A CRITICAL ANALYSIS OF THE REGULATION OF SOCIAL WORK A CRITICAL ANALYSIS OF THE REGULATION OF SOCIAL WORK By DANIELLE C. UNGARA A Thesis Submitted to the School of Graduate Studies in Partial Fulfilment of the Requirements for the Degree Master of Social Work McMaster University © Copyright by Danielle C. Ungara, August 2007 MASTER OF SOCIAL WORK (2007) McMaster University Hamilton, Ontario TITLE: A Critical Analysis of the Regulation of Social Work AUTHOR: Danielle Ungara, B.S.W. (University of Windsor) SUPERVISOR: Professor Sheila Sammon NUMBER OF PAGES : 164 11 Abstract In 1998, the Government of Ontario passed legislation requiring social workers and social service workers to become registered. As a result, the Ontario College of Social Workers and Social Service Workers was created, yet regulation was opposed by a number of social workers and related groups. Therefore it seems there remain proponents and opponents of regulation. As registration carries implications for all practicing Ontarian social workers, this research explored the views of non-registered and registered social workers, about regulation. Through a qualitative analysis of the information compiled from ten participant interviews, six themes emerged: When Regulation Met Practice; Accountability: To Whom?; The Reciprocal Relationship of Power; The Protection Factor; Developing the Regulated Social Work Identity and Future Knowledge Building. Demonstrating the complexity of regulation, many uncertainties, confusions, concerns and ideological differences arose. Calls by participants for amendments to the current regulatory body reflect the diversity ofthose regulated and served, and emphasize a need for regulation to remain true to the values and advocacy roots of the profession. It is proposed that the College expand its role to include advocacy and education functions, as well as providing a more supportive and informed relationship with members, potential members and the public. Achieving these expectations amounts to creating a reflexive and inclusive entity. Although breaking the regulatory body molds, these suggestions are not viewed as the result of weaknesses in the profession or of regulation. Instead, recommended changes emulate a fluid, distinct, and diverse profession, requiring an atypical regulatory body. III To McMaster Staff & Faculty: I have had the privilege over this last year to learn from some of the greatest minds in social work. You have challenged me and as a result I have grown immensely since beginning this program, which I will always attribute to you! I also want to specifically thank Darlene Savoy, Diane Allen and Lorna O'Connell for their constant presence this last year. You truly have contributed to a successful year at McMaster! To my peers in the MSW program: Thanks to the amazing graduate students in social work I have had the pleasure of meeting this past year. You each have contributed to my learning in one way or another, and have absolutely made the isolation of thesis research bearable. Thank you so much for the laughs and the wealth of knowledge and experience you have brought! To the participants of this study: Without you, there would be no research, and this would still be an idea. I thank you for sharing your time, views, knowledge and most importantly, your experiences. To Sheila Sammon: You have been, and continue to be, my mentor. Your sense of and drive for social justice is an inspiration to me. I can not thank you enough for your guidance, your knowledge and your constant encouragement throughout this thesis project. To my friends: Thanks to my friends who have dealt with my absence in your lives over the last year. I will always remember and have appreciated the support, pep talks and cheerleading! To my family: Thanks to my family of editors! Thanks for listening to my bursts of excitement and rants of frustration pertaining to my thesis. Your understanding of this all-consuming process has enabled me to complete this project, especially during difficult times as in Auntie Babs' passing. As she was always a champion of my efforts, you have continued her and Lena's memories through your support. Your assistance, understanding and encouragement has made all the difference. Nat, Mom, Dad & Doris, I will always be indebted! IV Table of Contents Abstract........ ... ..... ........... ..... ...... .... ..... ... ............ ...... ..... ..... ... ..................... 111 Acknowledgments .. ... ...... . .... .......... ..... . ........ ............. ... ... ........ .............. .. ... IV Chapter One: Introduction ... ...... ..... ............ ...... .. ...... ....... .. .... .... ........ ..... .. . Chapter Two: Literature Review ..... ..... ... .................. ........ ... ... .... .. ....... ...... 3 Chapter Three: Methodology .............. .... ..... .. .... ...... ....... ... .............. ........ .. 38 Chapter Four: Findings & Analysis ...... ....................... ... ............. ........ ... ... 54 When Regulation Met Practice Accountability: To Whom? The Reciprocal Relationship of Power The Protection Factor Developing the Regulated Social Work Identity Future Knowledge Building Chapter Five: Implications & Concluding Discussion ......... .... ................. 118 References ............................ .. ... ... .............. ........... ...... ... .... .... .. ... ....... .. ..... 131 List of Appendices Appendix A Table One: Social Work Law Enactment - United States of America .... ... . 152 Appendix B Table Two: Social Work Law Enactment - Canada ........ ..... ....................... 153 Appendix C Call for Participation/Poster .. .. ... ........ ...... .. .... ........................ ..................... 156 Appendix D Interview Guide ........... ..... .... .. .... ... ...... ... .. .. .. ... .. .. .......... ..... .................. .. ..... 157 Appendix E Letter of Information ....... .......................................... .. .......... ... ................... 159 Appendix F Consent Form ........... ............................. ................... ... ... ....................... ..... 162 Appendix G Table Three: Participants' Demographics ......... .... ....... ... .. ........... .... ......... . 164 MSW Thesis - Danielle Ungara McMaster - School of Social Work CHAPTER ONE Introduction The current system of social work regulation in Ontario is relatively new, being fully implemented in the year 2000. In the present climate ofneo-liberal ideology, social workers already work in a restructured and restricted welfare state. The initiation of regulation has created additional effects and has begun to change the organization of social work practice in Ontario. Stemming from a personal journey with the issue of regulation and a curiosity about why some people are not registered, this issue emerged as a research topic. Graduating from a Bachelor of Social Work program during the regulatory body' s infancy, I remember being told I ' had' to register, never questioning or being taught about the intricacies of regulation. Once in the field, I was exposed to little dialogue on the issue, yet did hear critical voices. As regulation has continued to enter the mainstream discourse, voices reflecting opposition have become less accessible. However, this in no way suggests critiques and critics do not exist. In fact, professionalization of social work has long been debated and, as a modern facet of professionalization, regulation has had its own contested campaign. 1 MSW Thesis - Danielle Ungara McMaster - School of Social Work A logical beginning to an inquiry into regulation starts with an exploration of the seepage of professionalization, intentionally or not, into social work practice. 2 MSW Thesis - Danielle Ungara McMaster - School of Social Work CHAPTER TWO Literature Review History of Professionalization in Social Work In an overview of social work's roots, Brawley (1974) noted that the two forces which influenced the formation of social work were the charity organizations focused on helping individuals and the social reform movement which focused on causes such as poverty, suggesting that "The Profession of Social work has a dual and philosophically conflicting heritage" (Brawley, 1974: 183). Soon after social work's inception, the idea of professionalization arose. But, even early in its development, there were tensions. Our u .S. foremothers, Mary Richmond and Jane Addams represented conflicting opinions about the emerging practice of social work. Mary Richmond, often cited as one of the leading figures in social work individual and family practice, contributed to the early attempts at professionalization through her 1917 classic work, Social Diagnosis (Ferguson, 1965: 66). While Jane Addams, who worked with immigrants in the slums of Chicago, denounced the professionalization of social work through refraining to use this title and distancing herself from casework (Margolin, 1997: 4). In accounts of her career, 3 MSW Thesis - Danielle Ungara McMaster - School of Social Work Lundblad (1995) and Klosterman & Stratton (2006) discussed Addams' reluctance to label herself a 'social worker' , instead preferring ' settlement worker ' . Professionalism has been defined by Lawler & Hage (1973) as involving "". high professional training, high professional activity, high pro-change beliefs, and high idealism" (p. 93). Professionalization is the process of increasing professionalism and simply means to "give professional character or status to; make into or establish as a profession" (Lexico Publishing Group, 2007). It seems that a large push in this direction was the result of a question posed to Abraham Flexner at a 1915 National Conference of Charities and Corrections in the United States, where he was asked whether social work was a profession and he concluded it was not (Flexner, 2001; reproduced from Flexner' s original essay of 1915). This determination was based on criteria "extracted" from what he felt were "universally" accepted professions such as "law, medicine and preaching" (Flexner, 2001: 154), and involved the following six criteria: Professions involve essentially intellectual operations with large individual responsibility; they derive their raw material from science and learning; this material they work up to a practical and defmite end; they possess an educationally communicable technique; they tend to self-organization; they are becoming increasingly altruistic in motivation (Flexner, 2001: 156). Flexner (2001) felt social work was a "mediator" whereas individuals are referred to other professionals, as opposed to social work being an "original agency" in providing 4 MSW Thesis - Danielle Ungara McMaster - School of Social Work outcomes or treatment for individuals. In his analysis, he argued the basis of social work did not reflect a profession, "Professions may not be cultivated for mere profit. Neither, let me add, can they develop on the basis of volunteer or underpaid work" (Flexner, 2001: 163). But Flexner (2001) concluded by discussing a concept of "professional spirit", which social work espouses in its dedicated work to others, that could potentially lift the profession to the criteria he utilized and become a profession (Flexner, 2001). In Canada, professionalism through education had already begun with the establishment of the first school of social work at the University of Toronto in 1914 (Yelaja, 1985: 10). Over the roaring twenties, schools of social work solidified and social work was deemed "a unified profession with more similarities than differences among its specialties" (Sowers & Ellis, 2001: 246). Concerns surrounding professionalization were documented by the Director ofthe New York School of Social Work, Porter Lee, in 1928, "there seems to be fewer prophetic voices, less evidence of the quickened spirit, greater interest in social work as a career than as a cause" (Jennissen & Lundy, 2006: 3) . Although rooted in social work's history, there was concern that social justice as a focus would dwindle as a result of professionalization. The move to professionalization was the result of factors including an "increased demand" for social workers in society (Jennissen & Lundy, 2006: 2), and outsiders' 5 MSW Thesis - Danielle Ungara McMaster - School of Social Work suggestions to professionalize. Early efforts to professionalize involved social work imitating professions that were established, such as medicine. "At the same 1915 conference [as Flexner's presentation] Felix Frankfurter, a lawyer, suggested that social work follow the example of the older, established professions by upgrading the educational requirements for entry" (Brawley, 1974: 185). However, similar to a critique of the professionalization of doctors, social work's attempts at professionalization may have created social workers who are authorities rather than activists or compassionate helpers. Haas & Shaffir (1991) critique the "cloak of competence" used by doctors: The cloak allows patients to trust, without question, both the health professional and the prescribed treatment... Students recognize the importance of appearing authoritative in professional situations. In turn, as they perceive themselves to be successful, they become to believe in their competence in professional matters (p.82). Thus even professionalization within the established professions is critiqued, the very professions which Frankfurter & Flexner suggested as models for social work. A gendered analysis adds to the critique of the relationship social work developed with such established professions. The critique put forward involves the female dominated social work profession being influenced by male dominated professions, which caused social work to move away from its roots. In practice, practitioners shifted from work with individuals as allies, to developing practices based on medical models. Haynes 6 MSW Thesis - Danielle Ungara McMaster - School of Social Work (1998) questions, "What happened to Mary Richmond' s and Jane Addams ' influence on our profession? Well, might it in part be a women' s issue again" (p. 506). Furthermore, Haynes (1998) linked these thoughts with Flexner's definition of a profession, "A theoretical base was not the only criteria that Flexner described - autonomous practice was another. Why did we allow a predominantly female profession to be so directed by male medical model of what that autonomous practice should look like?" (p. 506). One might conclude simply that the other groups of professionals had substantial influence as they had obtained more status, power and privilege than social work. During the 1970s-1990s the idea of professionalization, including the growing accountability expected of social workers, dominated the social work discourse (Margolin, 1997). For some, this was at the expense of social work's social reform and social justice roots (Brawley, 1974). Social workers in 2001 were still debating Abraham Flexner's question about social work's identity as a profession. Eight authors' responses to a call for submissions were studied. Six authors, Glaser (2001); Rullo (2001); Wong (2001); Brill (2001); Franklin (2001) and Holosko & Leslie (2001), agreed that social work is a profession; Two issues do tend to tip the balance toward identification of social work as a profession. The first is evidenced by the apparent universality or consistency of social work values, knowledge and approach .. . Second, social work's continued existence, consistent process and continued commitment reflects the wisdom of 7 MSW Thesis - Danielle Ungara McMaster - School of Social Work Flexner's overall conclusion [of] the spirit of[this] profession. (Holosko & Leslie, 200 1: 207). The other two authors' (Sowers & Ellis and Gambrill) agreed with Flexner's conclusion that social work was not a profession, based on social work's lack of knowledge base (Sowers & Ellis, 2001); and more specifically a lack of "unique knowledge and skills in social work that produce better results compared to paraprofessionals" (Gambrill, 2001 : 166). As recent as 2001 the debate continued, as does an ongoing analysis of professionalization through the use of theory. Theoretical Foundation This paper will explore the current status of the social work profession, by engaging in a postmodern exploration of the journey of professionalization in social work. To understand where the profession currently stands, it is important to review its history. However, such a review has found conflicting opinions about its development and divides in the profession regarding its role and status. Postmodernism signifies one must review discourse and an analysis of less popular views, or one risks maintaining the status quo through inquiry. Thus, there are various ways of viewing the profession's history, and development. One of the most critical thinkers regarding social services, Michele Foucault, is often linked to postmodernism. Using a Foucaultian analysis, Chambon (1999) provides 8 MSW Thesis - Danielle Ungara McMaster - School of Social Work a different outlook on social works' history, "Clients do not exist outside the historical activity of social work; they are the result of that activity. The starting point is not inside the client but inside the social work" (p. 52-53). Thus as the focus (,inside social work') was on professionalization, service users resulted from the creation of a social work role, therefore received secondary attention from the profession. In this sense, the service user and social worker maintain separate roles, and the relationship between social work' s history as informer of social work practice speaks to a power differential between the two groups involved in the social work intervention. Coined as dividing practice by Foucault, and explained by Chambon (1999), this can relate to social work "practices [which] further divide those who are served from those who serve, the helpers, establishing a particular structure of relation ... [ are] imposed from the outside" (p. 67-68). Implicated in creating such divides is social work' s history, its practice models, its organizations, its workers etcetera. McKnight (1995) agreed by purporting that professionalization is a way to create need (in clients, in society) to ensure social work jobs and services are created. If using modernist theory, the development of professionalization would be viewed as a natural progression for social work (Irving, 1999). Interpreting Nietzshe' s work in Philosophy & Truth, Irving (1999) felt such an acceptance does not take into consideration all peoples' experiences which are different and "it assumes that everyone 9 MSW Thesis - Danielle Ungara McMaster - School of Social Work perceives the world in the same way" (p. 34). Using a postmodem or Foucaultian analysis, terms often used interchangeably, one can derive there is significant critique of professionalization, based on its focus on the profession rather than service users and the divides between the two as a result. Although some documented their critiques of professionalization, and others their support, it has encroached on the profession. However dominant a force professionalization has been, it is important to seek answers and explore the different experiences, perceptions and views of its development, as Nietzshe suggests. Using a postmodem lens regulation will be deconstructed, or broken down to analyse (Lexico Publishing Group, 2007), through this literature review and supplementary research study in order to reconstruct a view of social work regulation, as a facet of professionalization. Social Work Practice in the Current Context Currently 'professional ' social work practice is predominantly clinical-based, has become business-like (consumer focused) and scientific (measurable). Fabricant & Burghardt (1992) refer to these changes, beginning in the 1970s, as resulting in proletarianization: the deskilling of professionals, decreasing levels of control over one' s own work and decreasing workers' stability in the labour market. The nature of organizations have and continue to change as a result, focusing on the 'business' of social 10 MSW Thesis - Danielle Ungara McMaster - School of Social Work services (McKnight, 1995). These changes have been directly related to the neo-liberal ideology which reigns in Canada. McKeen (2004) outlines this shift, "a relatively broad social democratic outlook based on such principales as universality, horizontal equity, and social responsibility .. . this gave way in the late 1990s to one more closely aligned with the human capital orientation of neo-liberal/third way thinking" (p. 89). Dominelli (2007) further adds neo-liberalism "favors market based welfare provisions" (p. 31). As a result, the welfare state has been restructured leading to standardization and managerial ism, with increased accountability becoming commonplace in social work and impacting the way the profession is organized, including the onset of regulation. As social work practice has evolved towards a business-like enterprise, the credibility of social work practice has been questioned. This doubt has been termed the crisis of confidence (Dominelli, 2004), and the profession has responded by implementing Evidence-Based Practice (EBP). As a result of desired measurable practice, EBP guides practice decisions based on research that has been constructed to ensure social workers are being effective, " ... where good intentions and commitment are insufficient to maintain standards" (Plath, 2006: 59). Proponents for EBP, perhaps also for professionalization, feel that "increasing a commitment to evidence-based practice is required to justify services, establish professional credibility, and secure funding" (Bates, 2006: 1). 11 MSW Thesis - Danielle Ungara McMaster - School of Social Work However, there are polar views regarding EBP' s use, specifically the concern EBP lessens clients ' self determination (Plath, 2006), and a deteriorated emphasis on professional social work judgement (Staller, 2006: 510). Even proponents highlight concerns "that evidence-based practice has been driven by an agenda of fiscal restraint rather than service excellence" (Antle, 2003: 3). Yet, EBP remains on the social work horizon. Parallel to the move to increased accountability by many outside forces, there is an internal move in social work practice and education towards Anti-Oppressive Practice (AOP). AOP in social work involves practice stemming from an awareness of power differentials with the goal of creating space for emancipation from oppression. "The concepts of race, gender, sexuality, ability, oppression and social identity that form the theoretical foundations of anti-oppressive, difference-centred analysis are defined in ways that emphasize their fluid and multiple nature, albeit within very stable and systemic social conditions of injustice" (Moosa-Mitha, 2005: 65). EBP and AOP as perspectives or approaches in social work, when compared appear conflicting, for instance EBP' s step- by-step practical approach and AOP' s way of interpreting the world or theoretical approach. This highlights the fragmentation of the profession, building upon the profession' s first division of practice perspectives, begun by our foremothers Addams and 12 MSW Thesis - Danielle Ungara McMaster - School of Social Work Richmond. Within this context of social work conflict and development, the move to regulation became the next stage of professionalization and most recent phase in Ontario. Regulation In the Present The Encyclopedia o/Canadian Social Work discusses regulation and professionalization within the heading of professional issues, again making the link to the current context of practice. "With increased recognition of the profession has come increased visibility and public scrutiny" (Turner, 2005: 301-302). This highlights a need for social work regulation in Canada and resembles the development in social work worldwide. Around the World Currently the International Federation of Social Workers (IFSW), an umbrella body, consists of association members from 84 countries including Canada (IFSW, 2006). Over the last decade there has been significant growth around the world in social work associations (lFSW, 2006), which are sometimes interchangeable with regulatory bodies. Similarities about social work were found in a cross national study of social work students 13 MSW Thesis - Danielle Ungara McMaster - School of Social Work in ten (10) countries I, "Social workers in all countries have sought official recognition and legitimization for the profession" (Weiss, 2005: 103). More specifically, in 2004 both New Zealand (NZ) and the United Kingdom (UK) introduced regulation of social workers, however, each have significant differences. The UK's professional associations and UK academics advocated for regulation, now compulsory with re-registration occurring every 3 years and a code of ethics which has an "emphasis on balancing risks and standardizing behaviour or conduct" (Orme & Rennie, 2006: 340). Whereas, in NZ the Ministry of Commerce began to organize occupations thus created voluntary registration for social workers (Orme & Rennie, 2006). With their re-registration occurring every 5 years, NZ' s code of ethics is unique as it takes into consideration research and knowledge production (Orme & Rennie, 2006). Although these countries' implementation of regulation is quite recent, another country, who has a more lengthy history with regulation, will be reviewed. Regulation in the United States of America With the advent of professional associations, social work had more organized efforts to professionalize. The first American social work organization, founded in 1918, I Weiss (2005) studied 10 countries including: Australia, Brazil, Britain, Canada, Germany, Hungary, Hong Kong/China, Israel, US, and Zimbabwe. 14 MSW Thesis - Danielle Ungara McMaster - School of Social Work was the American Association of Medical Social Workers (Rullo, 2001: 213). The National Association of Social Workers (NASW) was developed in 1955, causing the amalgamation of seven (7) social work associations2 (NASW, 2007). Currently in the United States, regulation and legislation of social work is a responsibility of each state (Association of Social Work Boards [ASWB), 2006), with different states requiring social workers be either licenced, certified, or registered3 (NASW, Date Unpublished). Another layer of one's licensure, certification or registration, within each state, depends on one's level of education, Jurisdictions may regulate as many as four broad areas of social work practice: baccalaureate social work degree upon graduation, master's degree in social work (MSW) upon graduation, MSW with two years of postgraduate supervised 2 The seven associations amalgamated into NASW include: American Association of Social Workers, American Association of Psychiatric Social Workers, American Association of Group Workers, Association for the Study of Community Organization, American Association of Medical Social Workers, National Association of School Social Workers, Social Work Research Group (NASW, 2007) 3 MacDonald & Adachi (2001) outline the differences between registration, certification and licensure: Registration involves the meeting of some criteria and receiving a certificate of registration, but one's competence is their own responsibility; Certification involves a governing body (public or private), the receiving of a certificate and competency which is sanctioned through the regulatory body; Licensure involves "issuance of a licence by a public mandated governing body granting right to engage in the activities of a given occupation", and oversees criteria for admission with competency sanctioned through the governing body (P. 2). 15 MSW Thesis - Danielle Ungara McMaster - School of Social Work experience, and MSW with two years of post-master's direct clinical social work experience (ASWB, 2006). The first legislative enactment for social work in the U.S. dates back to 1945 in California, and the last state to acquire regulation was Wisconsin in 1992 (ASWB, 2006). F or a comparison chart of the years of social work legislation enactment in each state, see Appendix A. In addition to licensing, certification and registration, there are additional credentials4 offered through the country's association, NASW, which has the largest worldwide membership of 150,000 social workers (NASW, 2007b). To add an additional layer of complexity, the ASWB implemented a Model State Social Work Act in 1998 (Biggerstaff, 2000), which has been consistently amended, most recently in 2006. As an attempt to unify state regulation (Biggerstaff, 2000), The purpose of the ASWB Model Act is simple: to provide a resource to legislatures and social work boards when addressing issues related to the public protection mission or regulating the practice of social work. Informed by a national perspective, the Model Act establishes standards of minimal social work competence, methods of fairly and objectively addressing consumer complaints, and means of removing incompetent and/or unethical practitioners from practice (ASWB, 2006b: 2). 4 There are three additional credentials for which one may apply; Qualified Clinical Social Worker (QCSW), Diplomate in Clinical Social Work CDCSW) and Academy of Certified Social Workers (ACSW). QCSW entails one has a Master's degree, postgraduate experience; DCSW involves a Master' s or Doctorate degree with five years postgraduate clinical experience ACSW entails one has a Master's, postgraduate experience and continuing education and is considered the most "respected" credential (NASW, 2007c). 16 MSW Thesis - Danielle Ungara McMaster - School of Social Work Although Biggerstaff (2000) critiqued the Model Act, her concerns relate to issues such as dual codes of ethics and other general critiques of regulation. Regulation in Canada Early social work in Canada was influenced by both British and American social work (Jennissen & Lundy, 2006). As social work grew south of the border, growth in Canada paralleled and "the Canadian Association of Social Workers [CASW] was founded in 1926" (Holosko & Leslie, 2001 : 207). Thus it seems that Canadian social workers began to construct and carve out a place for professionalization in social work early in the 20th Century, along with their American counterparts. Similar to the complexity of regulation in the U.S., each province in Canada is responsible for regulation and legislation of social workers (ASWB, 2005). MacDonald & Adachi (2001) explain the Canadian social work's regulatory system and surmise that each province'S act has "more differences than similarities", however each refer to registration only (p. 1). Yet as registration is defined5 , MacDonald & Adachi (2001) purport that no province "truly" follows this approach, instead utilizing a mixture of licencing and certification alike their American counterparts. Differences between the 5 For the definition of registration, please see footnote three. 17 MSW Thesis - Danielle Ungara McMaster - School of Social Work provincial legislations include: mandatory versus voluntary registration; use of entrance examinations; contractual complaint investigators versus in-house investigators; four codes of ethics within the country; a range from no written professional guidelines to standards for different fields of social work practice (MacDonald & Adachi, 2001). The oldest enacted social work legislation is Alberta' s which dates 1966, with Ontario's being the most recent (MacDonald & Adachi, 2001). For a comparison of provincial regulatory bodies and years of legislative enactment, see Appendix B. Ontario: History of Regulation In Ontario, there are conflicting accounts of regulation's history in social work, depending on the literature chosen for review. The current Encyclopedia o/Canadian Social Work reports that the Ontario Association of Professional Social Workers (OAPSW6 ) created the voluntary, non-legislated, regulatory body, the Ontario College of Certified Social Workers in 1982 (Turner, 2005). OAPSW then led the campaign, in the 1980s and 1990s , to seek social work legislation and participated in a "long-standing multi-pronged initiative .. . to vigorously seek social work legislation" (Turner, 2005: 6 The provincial social work association in Ontario was established in 1964 (Turner, 2005). Known as The Ontario Association of Professional Social Workers (OAPSW) until 1995 when the word 'professional ' was dropped creating Ontario Association of Social Workers (OASW) (Simonetta, 2007). 18 MSW Thesis - Danielle Ungara McMaster - School of Social Work 267). However, there was opposition to regulation legislation, causing the issue to be debated over 15 years, instead suggesting not everyone 'vigorously fought for regulation' (Lundy 2003). During this time period, pockets of social workers organized in an effort to actively resist regulation in Ontario. A former member of S.W.E.A.T. (Social Work Education Action Team) recalled that the New Democratic Party (NDP) provincial government was "relatively opposed to privatization of professions, and ideologically positioned themselves as such", so the group was able to keep social work legislation at bay (Phillips, 2007). The NDP government remained in office from 1990 until 1995 (Government of Ontario, 2003). When a change of government saw the Progressive Conservative Party enter office., the issue of regulation, supported by the OAPSW, was brought before the house as a bill (Phillips, 2007). Working from either a feminist- structural or a postmodernist perspective, S.W.E.A.T. was successful in ensuring some of the issues appearing in the final bill accurately reflected their positions., however to achieve this they conceded debate on other social issues before the government (ie. subsidized housing, second stage housing, welfare cuts) (Phillips, 2007). Thus, the focus moved, similar to Porter Lee's concerns, from social work causes to careers. 19 MSW Thesis - Danielle Ungara McMaster - School of Social Work Although there was opposition to regulation, a 1993 study found that seventy- seven percent (77 %) of social work respondents felt legislation should be a priority (Hansen & Repko, 1993). Of interest, those polled were OAPSW members and represented twenty-five percent (25%) of OAPSW full membership at the time (Hansen & Repko, 1993). Thus, it is difficult to determine accurate support levels for regulation during the regulation initiative. OAPSW successfully advocated for regulation, indicating a certain level of support from the profession. "To a considerable extent past success is the result of unity, and past failure the result of disunity" (Gowanlock, 1990: 7). As head of Project Legislation at the time, an OAPSW committee to advocate for regulation, Dan Andrae was interviewed by Phillips about the necessity of regulation: I am not sure that social workers fully appreciate the implications of not being regulated. The issue of regulation is difficult to grasp and may appear to be dry, not directly relevant to social work practice. Nothing could be further from the truth. The lack of regulation will mean a significant reduction in the autonomy for social workers in the system and will continue to affect the social worker's ability to influence policy, especially in health care delivery. The social service and health care systems in Ontario are being radically restructured and, unless social work is a regulated profession, it stands in danger of ' falling between the cracks' .. . Social workers must be committed to the issue of regulation and to the fact that, with no regulation, the public is not protected and we are marginalized (Phillips, 1992: 3). 20 MSW Thesis - Danielle Ungara McMaster - School of Social Work Perhaps another important piece of support for the movement was pressure based on the fact that Ontario was the last province/state in North America to regulate social work (OAPSW, 1994). During the 1980s-1990s, when S.W.E.A.T. was resisting, there were many concerns raised regarding regulation. Lundy (2003) lists the specific concerns at the time: that there would be a reduction in the number of Canadian Association of Social Workers' (CASW) and Ontario Association of Social Workers (OASW) members with the creation of Ontario College of Social Workers and Social Service Workers (OCSWSSW or the College); there was disagreement about the idea that malpractice was rampant and regulation was necessary to combat this problem; and that the conservative government was involved in creating and overseeing the regulatory body, which led to concerns that the government put forth its own agenda. Other academics voiced their concerns at the time, including Carniol & Kitchen (1990) who felt that the move to regulation, based on crises in social services, was misplaced. "We agree that there is a crisis in the social services but it is not a crisis from social work incompetence. Rather it is a crisis of under funding and of structures which perpetuate inequalities" (p. 62). Although these critiques were specific critiques to Ontario at that time, they may be linked with general critiques of regulation presented momentarily. 21 MSW Thesis - Danielle Ungara McMaster - School of Social Work Ontario: Regulation in the Present In Ontario, Bill 76 the Social Work and Social Service Work Act (SWSSWA) was passed in 1998 (OCSWSSW, 2003). This meant the profession had a self-regulating body, and membership approvals for applicants began in 2000 (OCSWSSW, 2003). To oversee the profession, the Ontario College of Social Workers and Social Service Workers7 (OCSWSSW) was initiated, as the regulatory body, while OASW7 maintained its role as a social work association. Of importance, OCSWSSW, is one of only three non-association regulatory bodies in Canada (CASW, 2003), and is the only body which includes social service workers in the legislation and regulatory body (Ontario Ministry of Community & Social Services, 2005). In 2005, the SWSSWA had its five year review by the provincial government, and several stakeholder groups made submissions8 (McDonald, 2007). The Canadian Union 7 OCSWSSW states in its mission: "The Ontario College of Social Workers and Social Service Workers protects the interest of the public by regulating the practice of social workers and social service workers and promoting excellence in practice" and its vision states that it will be "accountable and accessible to the community" (OCSWSSW, 2003b). On the other hand, OASW "speaks on behalf of the interests and concerns of social workers" (OASW, 2007). 8 Of the 97 submissions to the government review of SWSSWA (McDonald, 2007), these included CUPE, OASW, and the Ontario Association of Children' s Aid Societies. 22 MSW Thesis - Danielle Ungara McMaster - School of Social Work of Public Employees (CUPE) Ontario voiced its opposition to social work regulation in its 2005 submission, indicating the public should not be led to believe they need protection from social workers or social service workers. Additional concerns were raised through other submissions, which generally reflect critiques of regulation as will be discussed next. After the review was complete, McDonald (2007) reported to the College' s members that the government made no major amendments to the legislation, and that OCSWSSW "Council is pleased with the recommendations and provisions laid out in the report" (p. 2). It is important to note that none of the stakeholder concerns were implemented as changes. Factors Involved in Regulation Many benefits and criticisms about regulation have surfaced over the years. During this research, a number of beliefs about the advantages and disadvantages will be deconstructed, in order to understand if and how they impact social workers ' and their practice with clients. For every critique there are valid arguments to support regulation and vice versa, therefore, it becomes evident that regulation is complex. Yet it also requires an exploration to ensure that the profession is meeting its now legal obligations to the public, that it is meeting 23 MSW Thesis - Danielle Ungara McMaster - School of Social Work social workers' needs and that regulation ensures social workers are able to practice with a social justice and anti-oppressive focus . Benefits of Social Work Regulation The regulation of social work has many benefits, including: (1) protection of clients; (2) higher credibility/status for the profession; (3) social work identity and cohesiveness; (4) a united profession being a powerful advocate for social justice; and (5) accountability for ethical behaviour. (1) Protection of Service Users: Protection of clients is a central feature of pro- regulation discussions, however the incidence of malpractice within social work is minimal (Glob erman, 1992). Jones & Alcabes (1989) found that social workers, in comparison with medical and legal professionals, have lower malpractice rates as a result of the models from which they work. Utilizing a 'service-ideal model', the service user is aware ofthe social work professional 's "dedication and concern" for them (Jones & Alcabes, 1989: 415), thus service users would be less likely to complain about their hardworking social worker. Berliner (1989) disputes this by saying reports of sexual misconduct are "consistently under reported because many complaints never surface" (p. 70), and raises 24 MSW Thesis - Danielle Ungara McMaster - School of Social Work further concerns about individuals who upon dismissal or "who forfeited their NASW [National Association of Social Workers] affiliation because of sexual misbehaviour, continue to practice" (p. 70). Berliner (1989) reported that "One in 12 complaints concerned a social worker's sexual misbehaviour toward a client" (69-70). OCSWSSW (2006) reports having had 255 complaints since its inception. Yet, a breakdown of the types of complaints received by OCSWSSW has not been provided. Of concern, McDonald (2005) reported the College has been unable to investigate 28% of complaints due to the reported individual not being registered. A current trend in the field is an increased focus on liability issues within social work. "As of October 31, 2003, there were approximately 6000 social workers across Canada in the [malpractice insurance] plan and approximately 1500 were OASW members" (OASW, 2004: 22). Members sought insurance to protect them from complaints made to the College or for legal action coverage (OASW, 2004: 22). Additional reasons may also influence one's choice to have insurance, such as work in private practice. (2) Status: In the College's first issue of its newsletter to members social work's status was discussed: 25 MSW Thesis - Danielle Ungara McMaster - School of Social Work A regulatory college lends credibility to the profession(s) it regulates by gaining the confidence of the public it protects. Social workers and social service workers now have the status of being regulated professions comparable to other regulated professions in Ontario such as physicians, nurses, lawyers and accountants (OCSWSSW, 2002: 3). This quote resembles the early comparisons of social workers with medicine and law. And although social work is criticized for being elitist through attempts to gain status, many highlight the need for the public to understand the profession and for social work successes to be publicized (Antle, 2002). (3) Identity: The College views itself as playing a role in the social work identity, thus regulation may be the link between vast fields of practice, " ... membership in the college [is] a logical extension of the professional identity associated with obtaining a degree in social work or a diploma in social service work" (McDonald, 2006b: 1). Although there has been difficulty identifying social work identity, a cross national study of ten countries found similarities, "With respect to the goals of social work, students in all 10 cohorts attributed high levels of importance to enhancing social justice and individual well-being and lower levels of social control. These similarities were found despite the different contexts of students' professional socialization" (Weiss, 2005: 108). This focus on social justice speaks to the values, ethics and roots of social work. 26 MSW Thesis - Danielle Ungara McMaster - School of Social Work Essentialism suggests that all social workers would experience or create identity the same way (Yee & Dumbrill, 2003). "Professional identities take many forms - but have in common an encouragement to develop certain capacities in a workplace/organizational environment. These capacities then entitle a person to be identified, by him/herself and others, as 'professional" (Kelly & Colquhoun, 2005: 139). Although there may be an identity associated with or defined by one's organization, it can not be assumed that this creation of identity is generalizable to all employees. Other countries are fraught with tensions among their social workers, mainly depending on their varied social locations. In a South African study, social workers were often found split along racial lines as a result of Apartheid, Although a shared conception of professional values has the potential to promote a unifying bond among South African social workers, this article contends that commonality is only likely to be reached once attention has been paid to the social, historical and ideological contexts that precipitated fragmentation of the profession in the first place ... To date the most vocal calls for professional unity have originated from this privileged, majority section of the profession who constitute a minority section of the general popUlation (Drower, 1996: 139). Aligned with the gendered critique of regulation, a similar racial critique could be theorized, that the groups advocating for regulation are representatives from the privileged population, in this case the White population. This also connects to Carniol & 27 MSW Thesis - Danielle Ungara McMaster - School of Social Work Kitchen's (1990) emphasis on the groups who opposed regulation in Ontario, .. . model[ing our college] roughly along the lines of the College of Physicians and Surgeons and the Law Society is opposed by a variety of practitioners, including community workers, agency directors, social work educators, union representatives, first nation representatives, multi-cultural organizations and community groups (p. 62). Although one could argue it is the foundation or structure of the college they oppose, others may contend that the critique is much deeper, regarding oppressive structures. Raising the concern that professionalization seeks essentialist identities, Haas & Shaffir (1991) analyzed medical students' shift in identity, "Professionalization thus requires symbolic-interactional and ideological control, legitimization and identification. Therein lies the crux of the process of professionalization which necessitates an alienation from the self and from others" (p. 111). One could argue that based on its modeling of such professions, the social work identity will need to continue its efforts to achieve an anti-essentialist identity. (4) Powerful Advocate for Social Justice: Healy and Meagher (2004) argue that professionalization of social work may be necessary as "a deprofessionalized and deskilled workforce is not in a good position to defend the interests of social service users" (p. 250). This idea of advocacy in numbers has been, and continues to be, a part of 28 MSW Thesis - Danielle Ungara McMaster - School of Social Work OASW's work. Such social justice work speaks to the heart of social work, and as just one example of their advocacy, OASW spoke in 2002, on behalf of service users with disabilities who were not being included in decision making regarding Bill 125, the Ontario Disabilities Act (OASW, 2002). Davies (2002) added that social workers must understand the importance of the public's opinion of their work, echoed by Antle (2004) who recognized the need for the public to understand social work and "the relationship between private troubles and public ills" (p. 3). In the midst of this work, some feel social work can not advocate in the current neo-liberal climate; Advocacy has long been understood as an integral part of social work. However, the onslaught of the neo-conservative agenda of privatization and downsizing, the increasing complexity of problems and issues and the perennial problem on bureaucratic rigidity make advocacy particularly pertinent for social workers today (Lee, 2001: 11). Although such implications for advocacy remain, it is not documented how regulation impacts or influences social action, advocacy or social justice movements in practice. (5) Ethical Accountability: In Ontario, OCSWSSW puts forth a code of ethics, as does the CASW. As part of regulation, members must adhere to these ethics for the protection of service users. Of concern, a U.S . study found regulation does not 29 MSW Thesis - Danielle Ungara McMaster - School of Social Work necessarily equate with more ethical workers, "The Code of Ethics appears of little or no significance to many members ofNASW who have not read or thought about it" (Berliner, 1989: 70). At this time no findings, to support or speak to the contrary, from Canada have been located. Critique of Regulation Critics of social work regulation often have the following concerns, which involve: (1) power imbalances; (2) exclusionary criteria; (3) surveillance of the profession; (4) scapegoating of social workers; and (5) no evidence regulation is successful. (1) Power Imbalances: Thompson (2002) describes professionalism as ambiguous; that accountability can lead to emancipatory and social justice focused work, however, "it can also refer to elitism and relations of dominance and subordination" (717). Adams (2002) acknowledges the relation with elitism but instead focuses on its assistance in furthering this profession's knowledge base, "continuing education and research within the profession also speaks to the profile we are establishing both within the profession and among other professionals" (p. 3). Consistent with that, Thompson (2002) juxtaposes emancipatory work as assisting to buffer elitism, "In some respects, this user participation 30 MSW Thesis - Danielle Ungara McMaster - School of Social Work movement has had the effect of challenging the complacency of a traditional model of professionalism based on the notion of 'we know best" (p. 717). With such a social justice framework in mind, perhaps its feasible to contain elitist notions within regulation. (2) Exclusionary Criteria: From a Foucaultian perspective, social services " ... originated in social practices of selection and exclusion" (Chambon, Irving & Epstein, 1999: 85). McKnight (1995) continues the discussion about exclusion and power, by providing examples such as social workers' use of codified language, which results in service users ' inability to understand, creating the social worker 'expert' . Margolin (1997) asserted, which Orme & Rennie (2006) acknowledge, that the oppression of clients has increased as a result of social workers' power and control, which is observed in the monitoring of and social control practices that currently exist. As social workers work with increasingly marginalized and oppressed clients, the onus of responsibility for the role social workers have, must be acknowledged. Healy (2000) reiterates Foucault's point that social workers and other helpers, by fulfilling their roles, enable the state to "manage and discipline its citizens" (p. 44). This concept is consistent with Donna Jeffrey's work surrounding the all knowing/expert subject and social work education; 31 MSW Thesis - Danielle Ungara McMaster - School of Social Work I understand the dilemma in social work education to be two-fold: pedagogy that builds self-awareness does not, and cannot, meet social work practice needs as they are defined; and the pursuit of the 'new' subject is problematic in itself because the desired subject is simply a variation ofthe masterful, white, liberal, all-knowing, all-consuming subject (Jeffrey, 2005:424). Although some would argue that social work education continues to teach from such a subject state, others may argue that this is simply reflective of the field ' s and regulation's expectations. As discussed earlier, regulation creates a distinct difference/dividing practice between the status of service user and social worker, but dividing practices within the profession also exist. For example, some social workers and fields of social work are under-represented within the College. Currently the majority of OCSWSSW social work members, or sixty-eight percent (68%), are employed in direct service. Thirty percent (30%) ofOCSWSSW social work members represent employment in various social work roles including management, policy planning/analysis, program design/evaluation, community organizing/development, research, and education/training (OCSWSSW, 2006). The remaining two percent (2%) ofOCSWSSW social work membership were reported to be unemployed (OCSWSSW, 2006), yet no further explanation was provided. Exclusion within the profession also extends to colleagues who work in social services and in a capacity similar to, if not the same as, that of social workers. The 32 MSW Thesis - Danielle Ungara McMaster - School of Social Work College has provided the opportunity for these individuals who do not hold an academic degree in social work, to register, and in fact the College received "900 applications for a provisional certificate of registration received by the College, during the two-year period from grandparenting from those persons who had experience performing the role of a social worker or social service worker but who did not have the academic qualifications typically associated with the profession" (McDonald, 2005: 2). However, the argument could be that this was time limited and had strict criteria for acceptance9 . (3) Surveillance: Regulation in general, is related to surveillance of professionals, while the College becomes the enforcer of the rules and codes of the profession. Although OCSWSSW (2002) advised its members that the organization is not solely about discipline, they remain able to investigate allegations made against members. To date, the College has cautioned seven (7) members and has had nine (9) referrals to the discipline committee but zero (0) to the fitness to practice committee (OCSWSSW, 2006). In 9 The opportunity to be grandparented into OCSWSSW was offered until November 2002 (McDonald, 2006). The criteria for admission included: minimum of 2000 hours and a minimum of five (5) years of experience leading up to the application, training/education in similar course content, supporting workplace references, agreement to take additional training over the next three (3) years, social work supervision of at least 700 hours (McDonald, 2006). For more detail, refer to the College's 2006 (volume 5, number 1) edition of Perspective. 33 MSW Thesis - Danielle Ungara McMaster - School of Social Work addition, OCSWSSW (2002) reported that any history of a member remains on their record, in case of 'future complaints' (p. 8), which could be interpreted as scrutinizing social workers or as a safeguard for the profession. (4) Scapegoating Social Workers: Since the onset of the neo-liberal ideology and the restructured welfare state, social workers have needed to adjust their practices to adapt to more unpaid work (Baines, 2004), higher caseloads, and less funding. Yet, when complaints are fielded, the sole responsibility rests with the worker. OCSWSSW (2007) reported that they take into account the system which employs or mandates the work done by social workers, however, the College also clearly states: Had the members identified their difficulties at an earlier stage and taken appropriate steps to address them, for example, discussing workload stress with a supervisor and engaging in a process to more effectively deal with their stresses, the best interests oftheir clients could have been maintained (p.7). What is not captured is the difficulty employers or bureaucracies would have in providing changes even if they wanted, and even if the social worker had advocated for workplace changes or support. (5) No Evidence: Lastly, concerns surround a lack of evidence to indicate regulation has any overall benefit or meets its mission of protection. Orme & Rennie (2006) contend that "there is not universal acceptance of the need for registration as a 34 MSW Thesis - Danielle Ungara McMaster - School of Social Work response to these factors" (p. 334). Barth (2003) further explained that "The overall effectiveness of licensing in the job market is highly uncertain" (p. 13). In fact, an outspoken advocate Colleen Lundy stated in a 1989 newspaper article, "And we know that legislation doesn't stop extreme cases of sexual assault. We have, for example, priests, doctors and psychologists who are guilty of sexual assault" (Sweet, 1989). However, from a postmodem viewpoint, there is no absolute and therefore it would be impossible to determine for example that every client was protected. The Pulse & Status of ocswssw Social work's regulatory body, the College, now reports having over 11 ,000 members (OCSWSSW, 2006). The OCSWSSW's 2006 annual report indicates there are 10,289 social workers registered (with 726 registering in 2006 alone). "The College believes that the number of College members is indicative of social workers' and social service workers ' general support for professional self-regulation, and specific support for the college" (McDonald, 2005: 2). Considering the most recent statistics from Ontario Universities, representing 2002 statistics, there were 1,101 students who graduated from social work programs (Council of Ontario Universities, 2006: 92). In view of these numbers of new graduates 35 MSW Thesis - Danielle Ungara McMaster - School of Social Work (2002 = 1,101), and the most recent numbers from the College, there is a discrepancy between how many social workers register in a year (2006 = 726) and how many new eligible social workers are available. Lundy (2003) suggests that only 25% of social workers in Ontario become registered. It is difficult to ascertain what number of social workers exist in Ontario, and therefore it is almost impossible to obtain an accurate picture of the number of non-registered social workers. Social workers who are trained/educated in social work yet do not register exist, and are termed "Holding Out" (OCSWSSW, 200312004). As a result of legislated title protection, the use of the title ' social worker' without being registered has a first offence price tag of $5000 and second offence price tag of$10,000 (OCSWSSW, 2003/2004). The importance of title protection has always been to ensure that those who hold themselves out to be social workers have the knowledge and skills to practice social work, to prevent potential misrepresentation of worker and unethical treatment of service users. As a way to educate the membership on people who ' hold out' , The College took this stance: Although such individuals may have earned their BSW or MSW, these individuals also must consider their responsibility to represent themselves, their knowledge and their skills and abilities in a clear, open and thorough manner and in keeping with Ontario law. In order to achieve transparency and to avoid misleading or misrepresenting information it is essential to consider the general knowledge and 36 MSW Thesis - Danielle Ungara McMaster - School of Social Work expectation of the audience receiving the information (OCSWSSW, 2003/2004: 3). Thus, the difficulty remains in understanding the reasons behind "holding out", leading one to ask: Why are some social workers avoiding registration and 'holding out'? Why aren't all social workers in Ontario registered? According to McDonald (2005), "many members ofthe profession continue to see the College as an 'option' rather than a professional obligation" (p. 2), which they state "remains a curiosity and a concern" (p. 3). As no literature exists to more fully understand this issue, one must speak to social workers to explore their views regarding regulation. Though regulation is a complex topic, it has implications for all Ontarian social workers. There is vast literature which reflects the varied opinions about regulation from members of this profession, often academics. Yet, there is little research on the views and experiences of those being regulated. Considering this gap in the research literature, the many differing voices on this topic and Ontario's recent implementation of regulation, it seems timely, responsible and necessary to reflect on the impact of the regulation of social work on the people who practice social work in Ontario. 37 MSW Thesis - Danielle Ungara McMaster - School of Social Work CHAPTER THREE: Methodology Goal of Study The purpose of this research is to explore social workers' views about regulation, in order to better understand the impact of regulation in social work. The secondary purpose of this study is to provide a platform for social workers to share feedback, experiences and views of the regulatory system in place in Ontario. Theory & Epistemology Theory is seen as a framework or world view. Embedded within the way one thinks, learns and knows information is theory, and theory "is inextricable from methodology" (Kovach, 2005: 28). Thus, it is important to ensure the world view, theory, and way of studying topics, epistemology, reflect similar goals. This study will utilize a postmodern theoretical approach incorporated with an Interpretive Social Science (ISS) epistemology. Postmodernism evolved after its pre- deceasor modernism, failed to explain the way societal factors influence events based on the notion that social phenomena does not occur in a vaccurnn. Often related to postmodernism is the idea of social constructionism and Burr (1995) explains "we might 38 MSW Thesis - Danielle Ungara McMaster - School of Social Work loosely group as social constructionist any approach which has at its foundation one or more of the following key assumptions ... a critical stance; historical and cultural specificity; knowledge is sustained by social processes and knowledge as social action" (2-5). From a modernist perspective, it seems professionalization has been accepted as a natural progression for social work (Irving, 1999). Two postmodern writers, Michel Foucault (in Reading Foucault for Social Work, 1999) and Leslie Margolin (1997), encourage readers to recognize the social construction and history of events. Using social constructionism, it is important to recognize how the profession of social work developed, what forces in society influenced it, and how this 'knowledge' about social work was transferred. Knowing the profession's journey will assist in understanding it's current existence, and the implementation of regulatory bodies. Theory, epistemology and this research are linked in their emphasis on social constructionism, as each seek an understanding of how people construct and interpret their world (Neuman, 1997). From this theoretical perspective, postmodernists believe it is "possible and necessary for individuals to be the subjects oftheir own knowledge and to be able to examine their own knowledge base, how it came to be that they acquired the knowledge that they did" (Moosa-Mitha, 2005: 60). This idea, that individuals can 39 MSW Thesis - Danielle Ungara McMaster - School of Social Work provide insightful information, informs this study as the social worker participants were expected to reflect on their understanding of the development of regulation and its current existence and impact. The ISS epistemology is based in part on Max Weber, a sociologist, who " ... felt that we must learn the personal reasons or motives that shape a person' s internal feelings and guide decisions to act in particular ways" (Neuman, 1997: 68). Thus, this study sought to include a range of perspectives from practicing social workers about regulation. Methodology Theory and epistemology are fused to create the lens from which this topic is studied. By utilizing such a foundation, a qualitative research methodology was chosen as it appears most congruent with this study' s purpose. Seen as more exploratory, qualitative research seeks participants' understanding and meanings (Rubin & Babbie, 2005), and is open to alternative interpretations of research which may not be represented within rigid quantitative studies (Patton, 1990). Participants are viewed as having valuable knowledge to contribute and thus their views were sought. ISS research details that researchers have a role in learning what underpins the views that participants employ 40 MSW Thesis - Danielle Ungara McMaster - School of Social Work within their lives (Neuman, 1997). Within this study participants were asked about their experiences of regulation and the context of those experiences, by exploring how they came to have these views, how this intersects with social work identity, and how this impacts their practice with service users. Strauss & Corbin (1998) and Rubin & Babbie (2005) acknowledge that research hypotheses and questions do not always contain a causal statement. This study is based on the use of exploratory research questions: What are social workers experiences and views of the regulation of this profession? What variables contribute to social workers registering (or lack thereof)? How does this impact their field of practice and work with service users? And, how does this relate to their social work identity? Locating the Researcher Insider/Outsider Status It was important for me as a researcher to reflect on my position within the research topic and to the information being shared, as well as in relation to the participants, " ... researchers should reflect on, reexamine, and analyze personal points of view and my feelings as part of the process of studying others" (Neuman, 1997: 73). Throughout this self-analysis, the insider/outsider debate often emerged, as did my 41 MSW Thesis - Danielle Ungara McMaster - School of Social Work feelings of loyalty to the Ontario College of Social Workers and Social Service Workers (OCSWSSW). Lasala (2003) discussed the researcher as being ' the outside insider' . I am an insider in this research as I too am a social worker, thus I share with the participants common education, professional values and perhaps work/field experience. But I am an outsider because I am the researcher and in a separate role from my colleagues, the research participants. I am an outsider in other ways, including the fact that I am registered as a social worker in comparison with participants who are not registered, and I may own views that differ from the participants'. I may also be an outsider based on other factors, such as my education, gender, race, age, field, geographic location etcetera. As an insider, there is a concern that affinity or closeness may limit the way I will analyze, view or understand the information which participants share (Lasala, 2003). Although referring to racial insider/outsider status, Boushel (2000) discussed experiential affinity, experiential interdependance and their relationship to power, concepts which have been applied to this study. 'Experiential affinity ' or "shared powerfulness" (p. 77) can become ' experiential interdependence' if shared prestige or power, between the researcher and participants, is not acknowledged or probed, and could lead to oversights 42 MSW Thesis - Danielle Ungara McMaster - School of Social Work of the differences which exist. I needed to recognize that as social work professionals, power is inherent and can not be overlooked or minimized. This complex issue remained at the fore of my consciousness, to identify the point where affinity can become or change into interdependence, where similarities end and differences begin. For example during the interviews I often asked participants to elaborate or explain what they had just said and the meanings behind what they said, to mitigate interdependence and provide room for difference, even when I thought I understood what they said. Accountability to Stakeholders More specific to my location was a sense of responsibility to stakeholders of this research. Beresford & Evans (1999) outlined the various entities to which the researcher is accountable, including organizations. This created dilemmas for this research as I tried to negotiate my role as a registered social worker and my accountability or obligation toward OCSWSSW. I also needed to remain accountable to the research participants, to their stories and experiences. These two groups, the College and the participants, may have conflicting or competing expectations or needs, and both hold different levels of power in relation to each other. 43 MSW Thesis - Danielle Ungara McMaster - School of Social Work Herising (2005) suggests that "Responsibility to, and being accountable for, our research requires that we need to be as attentive to process as we are to content" (p. 139). Therefore, to ensure accountability was upheld to both parties within the research process, I engaged in two tasks. I contacted OCSWSSW to make them aware ofthe research being conducted and still remain open to discussing this research and findings with them. In remaining accountable to participants, I completed ' member checks' to ensure trustworthiness/validity of the participants' responses. In member checks, participants reviewed their interview transcripts to ensure their views were presented accurately. In addition to these direct stakeholders, other groups or individuals have a vested interest. I must remain accountable to social workers in general, other helpers in the field, and most importantly to service users. All of the identified stakeholders will be discussed throughout the remaining chapters, including how they are implicated or the implications for them. Design Complimenting the exploratory nature of this study, a grounded theory approach was implemented. When used, exploration is paramount and continuous, as grounded theory is woven through data collection, instrumentation, and data analysis (Rubin & 44 MSW Thesis - Danielle Ungara McMaster - School of Social Work Babbie, 2005; Charmaz, 2002). Grounded theory' s reflexivity allows the researcher to gather data and ask questions about information which the literature has determined pertinent (Rubin & Babbie, 2005; Charrnaz, 2002; Strauss & Corbin, 1998). Such permeable boundaries between the data gathering, recruitment and analysis stages of the research process ensure newly developed themes are continuously being incorporated into the research. Sampling Luborsky & Rubinstein (1995) and Grinnell & William (1990) explain that a purposive sample is one in which the participants were chosen based on some criteria that was defined by the researcher. Babbie (1999) included that purposive sampling is also referred to as judgemental sampling as the researcher selects the participants based on some knowledge about the area being researched. Initially the only exclusionary criteria for this study was that participants were required to hold a B.S.W. and/or M.S.W. degree(s). Secondly, advertisement for this study (see Appendix C) asked that potential participants feel strongly about (as identified/determined by them) or express a critical opinion (pro-regulation, active resistance to regulation or other) about regulation. Both registered members of 45 MSW Thesis - Danielle Ungara McMaster - School of Social Work OCSWSSW as well as non-registered social workers were sought for participation. However, the researcher did not exclude participants based on characteristics such as age, gender, race, sexual orientation, ability, geographic location, social work field setting, or employer. Recruitment Using a snowball sampling technique, also known as word-of-mouth, potential participants were sought. An open call to participants was utilized and consisted of various types of contact with potential participants. Two posters (see Appendix C) advertising this study were displayed in the School of Social Work at McMaster University. Additionally, the researcher spoke to colleagues to promote this study, and three open calls for participants were sent, by the school of social work graduate secretary and the researcher, via group e-mail. Each e-mail contained the poster, information letter, and asked that potential participants contact the researcher directly if interested in volunteering. E-mail recipients and all research participants were also asked to forward the letter of information to other colleagues or potential participants. This recruitment strategy is congruent with the snowball sampling technique which "makes use of participants as referral sources" (Luborsky & Rubinstein, 1995: 104). The 'calls ' for 46 MSW Thesis - Danielle Ungara McMaster - School of Social Work participation were distributed intennittently, as grounded theory design involves this concurrent process, allowing for the recruitment process to continue during the period when interviews and analysis are taking place. Due to the broad criteria for participation in this study, and rapid response from the field, it was necessary to begin a screening process during recruitment. "Sampling is a power-laden decision and seen as one of many political acts in research" (Potts & Brown, 2005: 269). At this point in the research, it was important for the researcher to be reflexive about decisions being made. Sheppard (1998) explains that reflexive social workers are: " ... an active thinker, able to assess, respond and initiate action ... is one who is aware of the socially situated relationship" (p. 767). Such reflection on the power involved in selecting participants was augmented by receiving feedback from and discussions about this process with the thesis supervisor. As a result of the sample selection process, new criteria for participants emerged. In order to ensure an ethical study and participants' confidentiality, the researcher attempted to 'match' participants by field of practice for example. Based on the fact that this study relied on snowball sampling/referrals from participants' peers, it was important to ensure a participant could not be identified through their social work role/field. As a result of the overabundance affront-line workers' interest in this study, ofthe time & size 47 MSW Thesis - Danielle Ungara McMaster - School of Social Work constraints of thesis research, and to ensure confidentiality, participants who were in roles such as supervisor, manager or professor were not sought to participate in this study. This 'matching' extended to include an addition in subsequent 'calls for participation' to include a request for persons who had experienced the regulatory body's compliant process. This decision was made after meeting with a person who had been involved in a complaints process, in order to have more than one person in the sample who experienced a complaint. Instrumentation An interview guide was utilized within this research, containing questions and probes to facilitate the interviews. Most importantly, the interview guide (see Appendix D) was chosen as it allows flexibility within the process of gathering data (Patton, 1990), as the questions can be amended or expanded upon. In addition, Rubin & Babbie (2005) explain that interview guides allow for the construction of open questions and an interview format which allow space for the participant to answer in their own way. Using the grounded theory method, the researcher initiated each interview with preliminary questions but as the interviews proceeded, and information was obtained from research participants, the researcher could "further develop questions around those 48 MSW Thesis - Danielle Ungara McMaster - School of Social Work concerns" (Charmaz, 2002: 312). Thus, "new questions arise as the researcher talks to more people and gains greater understanding of their situation" (Charrnaz, 2002: 318), ensuring that the analysis is concurrent with the gathering of data. Within this study, the researcher held semi-structured, conversational interviews with nine (9) of the ten (10) participants. In general, interviews lasted approximately one to one and a half (1 -1 12) hours in length. The literature indicates that highly structured interviews can be too inflexible (Rubin & Babbie, 2005), thus semi-structured interviews appeared more congruent with the flexibility necessary for a grounded theory approach. Prior to the scheduled interviews, in an attempt to enhance the upcoming conversation, participants were provided with the interview guide in order to prepare for the meeting. Unexpectedly, one participant was unable to attend their scheduled interview, so voluntarily answered the interview questions sent to them via-email instead of meeting for a face-to-face interview. Data Collection While completing the semi-structured interviews, and with the permission of the participants, interview/field notes were taken and the interviews were audio-taped. All interviews were completed in privacy and no identifying information was included in the 49 MSW Thesis - Danielle Ungara McMaster - School of Social Work field notes or on the audio tape, unless the participant identified her/himself. At every phase of this research audio tapes and written transcripts were secured in a locked filing cabinet, to which only the researcher had access. Ethicsllnformed Consent An information letter (see Appendix E) was distributed to potential participants. This letter outlined the research purpose, the expectations of participants, information such as confidentiality, where the research has been approved and how to withdraw from the study. A consent form (see Appendix F) was signed by each participant who was interviewed. The participant who provided responses via e-mail, sent a written agreement upon reviewing the consent form and information letter. Each participant was provided the opportunity to ask any questions both before and after consent was obtained. As Kayser-Jones & Koenig (1994) and Patton (1990) identify, it is important to note the possibility that the participants in this study may encounter social risks as they speak about (perhaps speak against) the regulation of their profession. It can be presumed that if one provides a critical analysis of an institution, they may fear that this may impact their professional reputation. Participants were advised of their right to withdraw from this research, without consequence, at any point of the research process until the final 50 MSW Thesis - Danielle Ungara McMaster - School of Social Work analysis and writing of this research, and this was made explicit on the information letter and consent form. Confidentiality within this study has also been viewed as a method to mitigate the potential social risks. As already discussed within the recruitment section, confidentiality was upheld through the writing ofthe research findings, in an effort to minimize identifiable statements being disseminated. The Research Participants This study's purposive sample had ten (10) participants in total. Seeking a balance in views toward regulation meant the study concluded with participants who support and oppose regulation. Although not initially anticipated, support for regulation was not necessarily linked with registration and vice versa. Some participants were registered because it was a requirement of employment but did not identify as pro- regulation, while others supported aspects of regulation but were not registered. In total, eight (8) participants were registered and two (2) were non-registered. Participants' disclosed demographic information they felt comfortable sharing and anything they felt had impacted their views. Of particular interest is the diversity of various factors, including the broad range in participants ' years of experience, that they received social work degrees in five (5) different Ontario universities and have different 51 MSW Thesis - Danielle Ungara McMaster - School of Social Work geographic locales. For a complete outline of participants' demographics, see Table One (Appendix G). Data Analysis Luborsky & Rubinstein (1995) highlight that within qualitative research, one can reach saturation with a sample of 12-26 participants (p. 105). Due to the time constraints associated with a Thesis project, this size of sample was not feasible. Thus, it is likely that additional participants may have created additional themes that were not captured within this study. However, this does not in any way remove the importance of the experiences or views of the participants within this study. Strauss & Corbin (1998) explain that "analysis is the interplay between researcher and data" (p. 13). Furthermore, qualitative analysis incorporates "science and art" to determine categories of information within the data, to observe patterns and to compare participants' responses which lead the researcher to an understanding and interpretation of the data (Strauss & Corbin, 1998: 13; Rubin & Babbie, 2005). Firstly, each participant's interview was transcribed verbatim by the researcher, and excluded identifying information. To maintain validity, termed trustworthiness in qualitative research, triangulation techniques were incorporated. "When researchers seek corroboration 52 MSW Thesis - Danielle Ungara McMaster - School of Social Work between two or more sources for their data and interpretations" (Rubin & Babbie, 2005: 464). Member checks were utilized, to allow participants to view the interview data (Rubin & Babbie, 2005), to ensure their voices/experiences have been appropriately represented. In this study, each participant was sent their transcription and six (6), of the nine (9) participants interviewed, reviewed and made changes and approved their interview manuscript. As part of another form of triangulation, auditing, a "paper-trail" was left by the researcher to demonstrate accountability for decisions made (Rubin & Babbie,2005). Such documents, in this study, included field notes, meeting notes, audio tapes, interview transcripts and coding notes. As part of the analysis, researchers complete coding, memoing and concept mapping by reading the text, highlighting and categorizing the concepts then comparing the concepts to other participants' responses to create themes which answer the initial research question (Rubin & Babbie, 2005). Next, Connolly (2003) outlines the major steps undertaken in analysis, from the generative phase, to the interpretive phase and ending in the theorizing phase. Once themes were developed, the analytical work continued as meanings were derived, links were made to other works, and tensions or gaps were highlighted. The next chapter will discuss the findings of this research and the accompanying analysis. 53 MSW Thesis - Danielle Ungara McMaster - School of Social Work CHAPTER FOUR: Findings & Analysis In this chapter, the themes which emerged from participant interviews will be described. Intertwined throughout each theme were discussions about the pulse, status and realities of participants' practices in social work, often contextualized by participants' use of case examples or stories of their experiences. Of particular interest, these often overlapped regardless of field and seemingly different roles within the profession and/or registration status. At times the similarities which emerged occurred when participants had uncertainties, spoke of unknowns or confusions regarding regulation and the regulatory body. As this study sought social work participants with varied views on regulation, not surprisingly, there were some significant differences too. An unanticipated finding, presented within all themes, occurred when registered social workers had a critique to provide and when the non-registered social workers had positive points to make about regulation or OCSWSSW. The themes and sub-themes will be presented next, and are organized so each theme builds upon and leads into the next, which generally reflects the progression of topics discussed within interviews with participants. 54 MSW Thesis - Danielle Ungara McMaster - School of Social Work WHEN REGULATION MET PRACTICE i. Creation of a Perfect Storm: Regulation's History & Development Entering the field over a range of years from 1972 to 2005, participants spoke of learning about regulation in many different ways with universities playing a prominent role. Half of the participants first learned about regulation in school, while others recalled discussing the underpinning ideological debate. This debate is often implicated in discussions of professionalization, as outlined in the literature review and dates back to the early divides in the role of social worker between that of clinician focused on treatment or community activist working toward social change. Although this debate always existed, a perfect storm, or the perfect mixture of elements needed for regulation, had not always been present. Most participants were unaware of regulation's origins, including the OASW' s advocacy initiative, and none reported playing a role in that movement other than having opinions on the sidelines. Four of the participants were practicing social work during regulation's development, and two participants recalled the buzz, similarly referring to hearing "grumblings" or "rumblings" that regulation would occur. Another participant vaguely recalled the beginning of the advocacy campaign, yet noted the outcome had a significant impact: "1 think 1 just became shocked at how the forces that were pro- 55 MSW Thesis - Danielle Ungara McMaster - School of Social Work regulation seemed to gain such ground so quickly, because it always seemed like this debate would go on forever" . Adding to the perfect storm in Ontario, was the neo-liberal ideology, which Kingfisher (2002) explained as an approach to the world, where the state operates from a pro-market stance. Restructuring of the welfare state, which occurred in the '90s was seen as a result of this ideology, and Baines (2006) explained the restructuring is "in large part to remove barriers to corporate infiltration and domination of markets and regions" (p. 26). One participant nicely summarized these forces impacting the move to regulation during this period: "The perfect storm in the ' 90s, what I thought was happening is that right during the period ofthe cuts from the early '90s and mid-nineties, when all of a sudden all these services were being de-funded and squeezed and having shrinking resources, I think that social workers began to panic . . . and increasing credentialism became a way of holding onto job protection in a shrinking market in which all of a sudden everything was quite precarious .. .1 call that a bit of defensive credentialing .. . And the rationale behind that is we'll still be able to help people and serve communities" Although this is somewhat of a critique of the move toward regulation, no alternative has been provided that would ensure social work jobs exist in the current neo-liberal market. In Ontario, cuts and under funding have continued well into the 21 sl Century and it would be difficult to predict social work' s viability now, had regulation not occurred. 56 MSW Thesis - Danielle Ungara McMaster - School of Social Work A range of strong feelings towards regulation emerged during interviews. Some participants discussed their anticipation of the move to regulation, "I was quite excited, I thought it was a big moment in social work history that the College was formed". On the other side of the spectrum, participants displayed concern, "It's a bit disappointing that that's the route they decided to go, at a time with cuts to funding that it was the move toward protecting ourselves rather than confronting and challenging the cuts". And although service user protection is at the fore of regulation discussions, how to protect them seems to be defined differently, via advocacy or regulation, as though the two do not overlap. ii. Employer Support for and Participants' Registration Status Eight (8) participants in this study are registered social workers, six (6) of whom reported this is a requisite of their employment. Although this rate of registration is not generalizeable to the profession at large, there is some question as to how many social workers remain unregistered. It seems that employer support of regulation varies significantly and mirrors the variance in social workers' registration. In support of regulation two participants discussed ongoing reviews of their registration by the employer, and one explained that they would be suspended without pay if unable to 57 MSW Thesis - Danielle Ungara McMaster - School of Social Work provide up-to-date registration. Another participant remembered there was a period of uncertainty before and after their employer made registration mandatory, "there was this scramble to regulate everyone ... I thought clearly this place won't come down if I'm not registered". Indicating incongruence in agency support, those who are not registered explained some employers would ' like' employees to be registered, while others do not encourage registration, "The union does not support being registered and in fact encourages everyone not to register, or at least advises against registering". Aside from mandatory registration due to employer requirement, there was little variance in reasons for registration. Participants spoke about their beliefs, values and sense of responsibility, "Early on I decided its something I want to do ... morally I feel its right for me personally to be registered". Walsh (1990) supports this, explaining ethics is often viewed as "intricately related" to professionalization (p.14). iii. Varied Views on Regulation: On the One Hand, On the Other Hand Participants' views on regulation appeared fluid, changing over time. While a participant spoke about being " initially pretty resistant" and feeling regulation would "undermine individual social workers", this participant now labels themself as pro- 58 MSW Thesis - Danielle Ungara McMaster - School of Social Work regulation. What may impact participants' pro-regulation views are their field of practice and close proximity with other regulated professionals. Other participants spoke of initially being for regulation and now question its benefits. Although the development of views could be a result of various factors such as length of time in the field, field setting, or contact with the College, they represent diverse views of the contestation of social work regulation, as laid out in the literature review. Predicting participants views could not be deduced by simply associating one's registration with support for regulation. A few participants were ambivalent, having feelings for regulation on the one hand and opinions against on the other. One of the two participants not registered reported "I don' t have a problem being a part of the College ... its also like a rebellion, I'm not doing this unless I have to do it". However this participant had some significant critiques of the College, which gave the impression registration would not be supported. A registered participant stated "Well if I didn't have to, I don't think I would [register]", but also felt there needed to be increased accountability in their field and did not provide an alternative accountability mechanism if they were not registered. These confusions seem to speak to a lack of dialogue, perhaps understanding of regulation which McDonald (2005) acknowledged as resulting in social workers' feelings of "ambivalence and anger towards the College" (p. 2). 59 MSW Thesis - Danielle Ungara McMaster - School of Social Work Perhaps the least ambiguous, a non-registered participant reported not wanting to be registered. While another participant echoed this desire, they are registered but disagree with regulation from an ideological standpoint: "I never wanted to be a member. .. my views on regulation have always been that I'm opposed to it ... there's always been currents of wanting to regulate social work for decades and that's been a fairly conservative arm of the profession". In support of this participants' view, another participant stated "And if they don't believe in it, they shouldn't feel compelled. And thats what we try to do for people right, you don't have to necessarily tow the party line if the party line is a conflict of values for you or a conflict of interest, personally or professionally". So if one has a value or ideological base different than the College, is it beneficial to them, or service users, that they register? Does forcing one into registration, regardless of their point of view, distance the profession from the values of respect for the inherent dignity and worth of all persons (CASW, 2005)? ACCOUNTABILITY: TO WHOM? i. Accountability in Social Work Practice Although accountability was discussed with each participant, one made a 60 MSW Thesis - Danielle Ungara McMaster - School of Social Work distinction between what accountability means to them: "I think accountability starts in the community, it starts at the grassroots, so social workers ... have to figure out ways that they can be working towards gains and goals of the communities that they' re supposed to serve ... But also making sure, like I'm a big pusher of service user participation, you know that there are service users involved at having a voice at the table" Such inclusion is reflected in the College' s addition of public members on committees. However, the involvement of service users and how committee members are recruited is not well known to the participants. Accountability to service users was viewed as necessary in the field, and if a regulatory body was involved, participants felt it should be self regulation which is the current model in Ontario, as opposed to government regulated. The impact of regulatory accountability was varied, as described by participants, with some feeling regulation does not impact their work because ethical accountability and behaviour is inherent in being a social worker, "I think that's part of being professional, is you' re accountable for these things, because you are that discipline, not because there ' s the College". In support of accountability through regulation, participants spoke about the need to ensure practice is adhering to expected standards, "The grass roots or front line advocacy is very important but there needs to be a standard of ethics". Although there have always been codes of ethics for the practice of social work, including the 61 MSW Thesis - Danielle Ungara McMaster - School of Social Work responsibility to advocate, regulation legally binds social workers to practice ethically, and complete roles such as advocacy regardless of the job description designed by the employer. As one participant pointed out, regulation may 'back up' a social worker's refusal to complete a task, if asked to do something by an employer that contradicts their ethics. Thus, although ethical standards have always been present, they can now be legally enforced and monitored. ii. Panopticon Surveillance of Social Workers Foucault' s discussion of panoptic on surveillance, initially related to a physical structure used to monitor inmates in prisons (Foucault, 1979), serves as a useful metaphor for the regulation of social work. As social workers continue to be regulated, one can assume they will (if not already) learn to self-discipline because they know they are accountable (being watched). "Yet are not social workers, by their own definitions, just as much the objects of analysis as the clients they assist?" (Margolin, 1997: 161). This is demonstrated in Michel Foucault's thoughts on Self, interpreted as " .. . the ways in which Others seek to govern us in relation to ideas about the particular characteristics that this Self should exhibit" (Kelly & Colquhoun, 2005: 139). After social workers have internalized the expectations of professional behaviour, one can assume this contributes to social workers' accountability in practice, and was reflected by some participants, "1 think 62 MSW Thesis - Danielle Ungara McMaster - School of Social Work regulation reminds us of our ethics and values as social workers to do anti-oppressive work ... its that extra thought you know". The majority of