THE UNIVERSITY OF ZAMBIA

in association with
DAVID LIVINGSTONE COLLEGE OF EDUCATION

BACHELOR OF EDUCATION
YEAR FOUR

EDUCATIONAL ADMINISTRATION AND

MANAGEMENT

EDU 4111

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EDUCATIONAL ADMINISTRATION AND MANAGEMENT
Course Description and Rational

Background
Educational Administration is a core course to be offered to all degree students. It is an
important component of study for it will prepare students for Administrative, Leadership
and Management skills that are required to Teachers as well as Administrators of
organisations.

Rationale
The course provide a comprehensive view of the theoretical as well as the practical
aspects of Educational Administration and Management existing and emerging in
schools.

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Course outline
Edu 4111

TOPIC
PAGE
1. An overview of Educational Management. ……………………………………. 4

2. Management and Administration ……………………………………………….. 8

3. The Functions of Educational Managers……………………………………….. 12

4. Skills needed by Administrators………………………………………………… 22

5. Theories of Educational Management …………………………………………..

24

6. Models of Educational Management …………………………………………….47

7. Techniques of Educational Management ……………………………………….. 51

8. Leadership ………………………………………………………………………. 74

9. Budgeting and Control ………………………………………………………….. 89

10. Total quality management ……………………………………………………….

96

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 UNIT: 1

AN OVERVIEW OF EDUCATIONAL ADMINISTRATION AND

MANAGEMENT

Introduction
Every human being at a certain phase of his or her life is associated with a formally
or informally structured organization such as a school, college, church, football
team, etc. As for the school it is an organization that has specific goals, tasks, clear
division of labour, a structure for coordinating activities, authority invested in the
management team and a set of management procedures. Irrespective of the
organization they all have common basic features of people working together and
trying to achieve objectives or specific goals through concerted effort. In this case,
management is needed to integrate the effort that people make in various activities.
It is through effective management that group activities can be planned, organized,
directed, controlled and integrated so that objectives are achieved. This means in
organizations such as schools, colleges or any other people work together to try and
accomplish particular objects objectives or goals through combined efforts. This can
only be done through efficient management by organizing, directing, controlling
and integrating activities of the organization.

Upon completion of this unit you will be able to:

Outcomes

• Define management
• Management as an Art and Science
• Management as a field of study

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 • Management as a team or class of people
• Management as a process

4.1.1. DEFINING MANAGEMENT

Educational management theories and practices draw their inspirations from general
administration and management. First, it would be prudent to define the term
management. It is not easy to define Management, for the reason that among different
thinkers there is no accurate agreement over the precise nature, scope and functions of
management.

Management from the economist point of view embraces the factors of production
together with land, labour and capital while sociologist’s outlook of management is
related to a class or group of people. Nonetheless, a working definition of management
can be discussed.
The word management is usually used in varied circumstances. When it is said that
management of a school has decided to reduce school fees, this refers to a group of
people. As for management as an activity, it refers to the functions of planning,
coordination, directing, supervision, staffing and controlling. In this case, the term
may be referred to as discussed below:
• Management as a process
• Management as an Art and Science
• Management as a field of study
• Management as an art and science
• Management as a team or class of people

4.1.2 Management as a process

In studying management as a process, different managerial activities are taken as a
foundation for defining management. According to Harold Koontz and Cyril O’
Donnell “Management is the art of getting things done through and with people in
formally organized groups. It is the art of creating an environment in which people
can perform as individuals and yet cooperate towards the attainment of group goals.
It is the art of removing obstacles or blocks to such performance, a way of
optimizing efficiency in reaching goals.” This simply means management is the
skill of guiding and motivating people.

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For George R Terry “Management is the distinct process performed to determine
and accomplish stated objectives by the use of human beings and other resources”.
In other ways, management is the effective utilization of human and material
resources to accomplish the objectives of the organization. Other scholars like
Blandford, Kreitner, and Adesina have defined management in their own ways:

• Blandford (2004) defines management as “The achievement of institutional

objectives through other employees”
• Kreitner (1995) defines management as; “The process of working with and
through others to achieve organizational objectives in a changing environment.
He states that central to this process is the effective and efficient use of limited
resources”

• Adesina (1990) defined management as the organization and mobilization of

all human and material resources in a specific system for the accomplishment
of identified objectives in the system.

4.1.3 Management as an art and science

Management is equally an art as it is a science. As an art, management is about

carrying out organizational functions and tasks through people. This art involves the
application of techniques in:
• human and public relations
• the delegation of an authority : assigning and sharing responsibilities and duties
• communication : including decision-making and problem-solving
• managing change

Managing has the following features that make it an art.

• Creative
• Individual approach
• Application and dedication
• Initiative and
• Intelligence.

The following features make it a science.

• Systematic decision making
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 • Universal management process
• Situational output and
• Universally accepted management.

Management as a science is concerned with establishing a philosophy, laws,

theories, principles, processes and practices which can be applied in various
situations, including schools.
Managing as practice is an art; the organized knowledge underlying the practice is a
science.

4.1.4 Management as a field of study

In this sense, management is a field of study with various subjects and topics.
Knowledge, skills and attitudes in management can be acquired through learning,
from experience and from certificated courses.

4.1.5 Management as a team or class of people

Managements may be seen as a person or a group of people. For example, a teacher
could say ‘The school management has changed the timetable in the middle of the
term’. This could be referring to you, as the head-teacher alone, or to all the heads
of sections and department, or it could refer to the members of the timetable
committee. In certain schools a ‘senior management team’ might be formed in much
the same way as a government has a cabinet of ministers.

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UNIT: 2
MANAGEMENT AND ADMINISTRATION – A TERMIOLOGICAL CONFLICT

Introduction
A terminological conflict among management thinkers has been observed between management
and administration. Broadly, there are two types of views expressed by different schools of
thought. Firstly management and administration are synonymous and there is no fundamental
difference between the two.

Upon completion of this unit you will be able to:

Outcomes

• Define Administration and Management

• Discuss conflicting terminologies of Administration and Management

4.2.1 DEFINING ADMINISTRATION

Administration as an activity is as old as society itself. However, as an area of
study, it originated, with the publication of Wilson’s essay on the study of
Administration in 1887. As a process, administration occurs in schools, colleges,
universities, churches, trade unions, NGOs, banks etc.
The word ‘administer’ originates from the Latin word administer, which means to
care for or to look after people, to manage affairs. Administration may be defined as
group activity which involves cooperation and coordination to achieve desired goals
or objectives. Laurie J. Mullin (2010) defines administration as part of management
relating to the more specific function of implementation of systems and procedures
in accordance with some form of rules or procedures.
Laurie J. Mullins (2010) defines management as the process through which efforts
of members of the organization are coordinated, directed and guided towards the
achievement of organizational goals.

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In what follows, we will examine definitions of administration by a few famous writers.
• Felix A. Nigro: “Administration is the organization and use of men and
materials to accomplish a purpose”.
• J.M. Pfiffner and R. Presthus: “Administration is the organization and
direction of human and material resources to achieve desired ends”.
• Herbert Simon, D.W. Smithburg and V.A. Thompson: “In its broadest
sense, the administration can be defined as the activities of group cooperating
to accomplish common goals.”

• L.D. White: “The art of administration is the direction, coordination and

control of many persons to achieve some purpose or objective”.

A short review of the definitions listed above tells us that administration comprises
two important views, namely, cooperative effort and pursuit of common objectives.
Another contribution from Musaazi (1982:42) is that administration is a social
process concerned with identifying, maintaining, motivating, controlling and
unifying, formally and informally, organized human and material resources within
an integrated system intended specially to achieve predetermined objectives. At play
in administration is the selection and posting of suitable members of staff, material
provision, motivating staff, performance evaluation and guaranteeing product
quality.
This view sees people as essential in a process. Administration, hence, deals with
people, their activities and inter-relationships in a systematic structure that is
purposefully designed.

4.2.2. A CONFLICTING TERMINOLOGY OF MANAGEMENT AND

ADMINISTRATION
The conflict concerning the use of ‘Administration’ and ‘Management’ was first
brought to the attention of society by Oliver Sheldon in 1923. This was when he
highlighted administration as decision-making function and management as an
executive function. Ever since the debate has been raised if or not there is a
difference between administration and management. We can draw our
conclusions based on the following categories:

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Basic Management Administration
Management is an art of getting things
Meaning done It is Concerned with formulation of
through others by directing their
effort broad objectives, plans and policies.
towards achievement of pre-
determined
goals
Nature Management is an executive function. Administration is a decision making
function.
Management decides who should do
Process it and Administration decides what is to be
how it should be done done and who should do it
Management decides in doing
Function certain Administration is a thinking function
functions because managers get work
done because plans and policies are
under their supervision. determined under it.
Skills Technical and human skills. Conceptual and human skills
Level Middle and lower level function Top level function
It is applicable to business concerns,
Applicability profit It is applicable to non-business
making organization. concerns Clubs, Schools,
Hospitals etc.
The management decisions are
Influence influenced The administration is influenced by
by the values, opinions, beliefs [Link]
and public opinion, ies

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 decisions of the managers. religious organizations, customs etc.
Management constitutes the
Status employees of Administration represents owners of
the organization who are paid the enterprise who earn return on
remuneration their
in the form of salaries and wages. capital invested and profits in the
forms of dividend.

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UNIT: 3
FUNCTIONS OF EDUCATIONAL MANAGEMENT

Introduction
In education, the management functions are performed at different levels in the
school or college. The process of management consists of five basic functions,
namely planning, organizing, directing and controlling and staffing. A manager uses
these functions to achieve organization goals and objectives. These functions are
interrelated in the following manner.

Upon completion of this unit you will be able to:

Outcomes

• define the functions of a Manager

• outline the characteristics of planning functions
• explain the steps and stages in planning
• describe the principles of Organising
• discuss the types of directing
• outlie the characteristics of effective control
• Justify the importance of staffing.

4.3.1 PLANNING
Planning is a rational and systematic way of forecasting the future of an
organization. It is a process of preparing for change by formulating future
course of action. According to Warren (1994), planning is a decision-making
activity requiring the process of ascertaining objectives and deciding on
activities to attain objectives. Through planning process the manager aims at
managing organization efficiently and effectively.

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Characteristics of planning functions

i. Planning is anticipatory. Decisions are made on how and what to do

before it is done.
ii. It is goal directed
iii. Planning focuses on desired future results
iv. Planning is future oriented. It involves making decisions that will be
achieved in future.

Stages in Planning
In preparing a plan, managers use the following series of steps.

i. Situational Analysis: This step involves analysis of past events,

current situation and attempts to forecast into future trends
ii. Identification of Needs: Needs assessment is a process of delineating
“what is” and “what should be”. It further involves placing priorities
of the two activities
iii. Derivation of goals and objectives: One derives goals and objectives
from the identified needs
iv. Delineating of alternatives: As alternatives are usually many, it is
necessary to rank them so that those which need immediate attention can
be acted on
v. Choice of strategies and tactics: It is necessary to select the most
convincing alternative while considering the other alternatives that
may not be a priority
vi. Implementation: After approval of the plan, it is split or handled as a
whole to determine the activities that should be undertaken
vii. Controlling and evaluation: Implementation of plans must be
continuously monitored. Planners must monitor the actual
performance of various work units according to unit goals and plans.
This stage helps identify deviation of actual performance from

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 expected performance. Correction action should be taken when there
is a discrepancy.

Importance of Planning
Planning is a very important function of management. It helps in goal setting.
The goals define desired outcomes for an organization which can be used as
performance criteria. The output of an organization can be well assessed if
there is intended output at the beginning. For example if at the beginning of
the year it is set that in a school about 80% of students must achieve
distinctions in examinations at the end of the year, this can be assessed to
find out if the goals were achieved after results are released. Through plans,
managers can learn what the organization intends to achieve. They can make
decisions to ensure that internal policies, roles, performance, structure,
product and expenditure will be in accordance with desired outcomes.

4.3.2 ORGANIZING
The word organizing is the function of gathering resources, establishing
orderly uses for such resources and structuring tasks to fulfill organizational
goals. It includes the determination of what tasks are to be done, how tasks
are to be grouped, who is responsible to do these tasks and who will make
decisions about the tasks (Robbins, 1991). Organizing is a process of putting
together human material resources in order to achieve organizational goal. In
a school situation it may involve putting together teachers, non-teaching
staff, and buildings, teaching and learning materials to ensure pupils learn
effectively. In order to achieve maximum success, activities need to be well
organized.

Stages of Organizing
There are five steps followed in the process of organizing. These are:

i. Review of plans and objectives. The first step of management is to

review organizational goals and objectives. This will help determine the
kind of activities carried to achieve the goals and objectives.
ii. Determination of activities. This step involves preparation and
analysis of activities required to accomplish the objectives. These
activities may involve recruitment, training, teaching, and record
keeping for a school.
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iii. Classification and grouping of activities. After determining the
activities of tasks, they are classified into smaller work units. This will
facilitate operations of the organization and supervision

iv. Assignment of work and resources. This involves assigning the right
personnel for the right kind of job. In a school set up it may involve
assigning a teacher of mathematics to teach the subject to a mathematics
class and not any other subject.

v. Evaluation of results. The feedback on the outcomes help determine

how well the organizational strategy was implemented. This feedback
can help determine if any changes are necessary.

Principles of organizing
The following are the principles underlying organizational design
i. The principle of objectivity: Every organization geared towards
achievement of its goals and objectives
ii. The principles of specialization: In the allocation of work, the
specialization of workers should be taken into consideration
iii. The principle of definition: The content, duties authority and
responsibility for each position should be clearly defined
iv. The principle of correspondence: Authority and responsibility for
each position should correspond
v. Efficiency: Organizational structure should enable it function
efficiently and accomplish objectives with minimum cost
vi. Simplicity: Organizational structure should be as simple as possible.
vii. Flexibility: The organization should be adaptable to changing
circumstances and permit expansion or replacement
viii. Balance: There is need to balance the size of different departments
and factors such as human, technical, expertise and financial.
ix. Unity of direction: For a group of activities having the same
objective, there should be one head and one plan.
x. Personal ability: Selection, placement and training of staff should be
given priority to ensure optimum performance from employees.

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4.3.3 DIRECTING
Directing is the integrating of people with the organization to get their
cooperation for the achievement of its goal. Directing is a process through
which employees are motivated to make effective and efficient contribution
to the realization of organizational goals.

Directing requires integration of organizational goals with those of individual

and groups. It exclusively deals with the human element. It is therefore a very
delicate and sensitive function that managers must take extreme care.

Importance of Directing
 Initiate action by giving directives ad guidance to employees;
 Coordinate employee efforts and leads toward objectives;

 Get maximum out from individuals by providing ways to fulfilling and

utilizing the potential and capabilities of employees;

 Facilitate changes by incorporating environmental/ external and internal

changes in the organization; and

 Enable subordinates to contribute their best to attain the goals of the

organization.

Types of directing
i. Consultative directing: Participative techniques of giving directions.
ii. Free-rein directing/laissez faire: The supervisor does not participate
actively in giving decisions.
iii. Autocratic/dictatorial directing: The executive keeps the entire
authority and control with him.

Principles of directing
 interaction of individuals and organization goals

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  integrations of groups and organization goals
 securing cooperation of informal leaders
 participative decision making
 delegation of adequate authority
 effective communication
 effective control
 direct contact
 unity of direction
 maximum individual contribution
 participation
 follow up through feedback

4.3.4. CONTROL
Controlling involves determining what is accomplished evaluating
performance and applying corrective measures to enable goals and objectives
be implemented according to the initial plans. Therefore, controlling implies
comparing performance in relation to pre-set objectives and making the
necessary adjustments and corrections.
Importance of control
Control, is practiced in order to update plans, to protect organizations assets
from inefficiency and waste and to appraise employee’s performance
Stages in the process of control
There are four steps in the process of control. These are
i. Establishing Standards
The standards of performance should be clearly stated. It can be in
form of number of students who achieve distinctions at grade 12
national examination or a school budget can also be expressed in
quantitative form and is measurable.
ii. Measuring Performance
Measuring of performance depends on such factors as adequacy and
timeliness of information. The measurement of performance should be
in units similar to get pre-determined criteria set at the beginning. The
unit of measurement should be clear and uniform throughout the
process of measurement. For example a teacher’s performance is

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 measured according to the average grade achieved by pupils he/she
has taught.

iii. Comparing Actual results against standards

This involves comparing actual performance to the standards set for
such performance. If measurement units for standards set and for
performance measured are the same or uniform, the comparison
become easier.
iv. Taking corrective action

After the deviations have been identified and presented to the

management for consideration a decision on corrective measure is
taken.

Characteristics of Effective Controls

According to Goold and Quinn (1990) effective control systems tend to have
certain characteristics. These are:
i. Accuracy: Effective controls should generate accurate date and
information for effective managerial decisions.
ii. Timeliness: Controls should ensure that information reaches a
decision maker when a meaningful response can be taken.
iii. Flexibility: Controls should be flexible to accommodate changes in
the environment. It is important to update control system if any when
a need arises.
iv. Acceptability: A good control system is one where people affected by
it understand and fully accepts it.
v. Integration: Controls that are consistent with organizations values
and culture are easier to enforce as they become integrated to
organizational environment.
vi. Economic feasibility: A control system should be economical and
reasonable to operate. Costs of operating such as system should be
balanced against its benefits.

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 vii. Strategic placement, controls should be placed at strategic points
where time and money costs of failures are greatest.
viii. Corrective actions, controls should identify deviations and be
programmed to give solutions to such deviations.
ix. Emphasis on exception: Good control systems work on exception
principle so that only important deviations are brought to the attention of
management

4.3.4 STAFFING
Staffing as a management function refers to the process of acquiring the
required human resource to achieve organizational objectives. Staffing
involves matching jobs and individuals. It consists of functions such as
human resource planning, recruitment, selection, training and appraisal in an
organization.
Staffing is defined as the process of identifying, assessing, placing,
evaluating and developing individuals at work. Staffing therefore involves
determination of human resource requirements of an organization and
provision of adequate number of competent workers at all levels.

Stages in the staffing process

The staffing process involves the following steps:
i. Human resource planning: This is the determination of the future
requirement of personnel in an organization.
ii. The recruitment and selection: It is the process of selection of best and
qualified candidates from among the job applicants to fill vacant positions
in an organization.
iii. Induction and orientation: Refers to the process of introducing new
employees to their new work environment. It involves introducing the new
worker to colleagues, duties to be performed, rules and regulations, and
responsibilities.

iv. Training and development: The staff appointed to an organization may

require to be trained to acquire necessary specialized skills to perform
their jobs effectively.

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 v. Compensation/Remuneration: This is concerned with developing a
system of remuneration of personnel that is commensurate with their
contribution to the objectives of the organization.

vi. Performance appraisal: It is the process of determining the extent to

which an employee is performing the work effectively.

vii. Employment decisions: These include transfers promotions, layoffs and

dismissal. These decisions have specific applications and must be
objectively applied to workers.

Importance of Staffing
Staffing function of management is very important for the following reasons.
i. Job performance: Achievement of organizational goals is dependent
upon the quality of human resource it has. The staffing function of an
organization is very crucial.
ii. Development of manpower: In order to ensure that activities of an
organization are efficiently performed, the human resource in an
organization should be developed and provided with necessary skills.
iii. Use of technology: Due to technological changes taking place, an
organization should get the right people to make use of the technology.
iv. Optimum use of human resource: An organization can achieve its goals
through efficient use of staff. An organization should plan to have
optimum staff levels.
v. Recognition of human relations: Human factors are important in an
organization. They may determine the success of an organization.
Employees should be motivated through various financial and non-
financial incentives.

Assignment
1. “Administration and management are one and the same in terms of application”.
Critically discuss this statement with examples from the education system in
Zambia.

2. Discuss in detail why an administrator should have a thorough understanding

of his employees.
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 3. “Management is the process by which managers create maintain and operate
purposive organization through coordinated cooperative human efforts”.
Elaborate and explain this statement in line with school organization.

Assessment
1. What are the common factors and differences between ‘administration’ and
‘management’?

2. Define management and discuss the essential characteristics of management.

To what extent has Zambian management in education been
professionalized?

3. Explain the principle functions of management

4. Describe the skills of a good manager.

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UNIT: 4

SKILLS NEEDED BY ADMINISTRATORS

Background
For effective management of the educational organization, the manager needs to
have different skills. These skills differ according to the level of management in the
organization.

Upon completion of this unit you will be able to:

Outcomes
• Explain technical, conceptual, administrative and Human skills as required by
Administrators

Technical Skills
Technical skills are the abilities and knowledge needed to perform specific tasks. It
is the ability to work with resources in a particular area of expertise. A surgeon must
know how to do surgery. An accountant must know how to keep the accounts. A
head of section or department must ensure that teachers working with him or her
have adequate technical skills such as word processing, electronic presentation, e-
mail management, data base skills, spreadsheet skills etc.
Human Skills
Human skills are concerned with effective communication, empathy, understanding,
building a harmonious interpersonal relationship, developing the potentials of each
member of the organization according to individual capabilities, and motivation
with impartialities. Human skills are also concerned with accepting other people’s
viewpoints, perceptions and beliefs which are different from yours.

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Your human skills as a manager will help you to build a work atmosphere of
approval and security, where people working with you as subordinates feel free to
express themselves without fear of being ridiculed and to participate in the planning
and carrying out of those things which directly affect them.

Conceptual Skills
This skill means the ability to see the organization as a whole and it includes
identifying how the various functions of the organization depend on one another. It also
makes the individual aware of how changes in any one part of the organization affect
all the others. This gives the manager an insight on how to improve the welfare of the
entire organization.
As a manager, you should have the ability to coordinate and integrate a variety of
factors. You need to view situations and determine the inter-relatedness of various
factors. The success of any decision depends on the conceptual skill of the people
who make the decision and those who put it into action.

Administrative Skills
Administrative skills refer to planning, organizing, motivating, directing, controlling
and coordinating. Using these skills educational managers make efforts to achieve
educational goals to serve the interests of students, parents, community and the
country.

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UNIT: 5

THEORIES OF EDUCATIOAL MANAGEMENT

Introduction
We have defined the terms administration and theory. In this unit, we are going to
describe the major theories about organization that developed mostly in the early
twentieth century. These form the foundation of management thought. We have already
noted that whereas the practice of administration has been with mankind since the
ancient times, the ‘science of administration’ is relatively young. We shall now attempt
to trace the development of administrative theory. These theories apply as much to
fields other than education.

Upon completion of this unit you will be able to:

Outcomes
• Describe various theories of educational management;
• Reflect upon the implication of these theories for the educational system with
reference to the Zambian educational system.

Classical Theories of Educational Management

The Industrial Revolution gave rise to the need for a more sophisticated approach to
administration. Due to the development of new manufacturing technologies, great
quantities of raw materials and large numbers of workers were concentrated in the
emerging factories. It became increasingly difficult to coordinate all these resources
into a smoothly running process; hence people began to pay more attention to the
problems of management.
Although several people made considerable contribution to the early development of
management thought, three prominent personalities are taken to represent the
classical movement. These are Fredrick W. Taylor, Henry Fayol, and Max Weber.

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Scientific Management Theory
Fredrick Winslow Taylor (1856 – 1915)
We shall first study the work of Fredrick Taylor who is associated with Scientific
Management. Scientific Management, in general, arose in early 1900s out of a need to
improve manufacturing productivity through more efficient use of physical and human
resources. Factories were experiencing problems in formulating proper work
procedures, establishing job boundaries, and coordinating the flow of materials of the
engineers who developed interest in the process of work, Fredrick Taylor (1856–
1915) became the most prominent and is referred to as the Father of scientific
management. He developed the scientific approach to management. From his
technical experience in industry, Taylor noticed that workers were both in charge of
planning and performing their jobs; this he observed, led to waste and inefficiency.
He knew that much higher productivity was possible without unreasonable effort by
workers. He believed that application of scientific methods could yield higher
productivity without expenditure of too much human effort/energy. To demonstrate
his point, he invented the high- speed steel cutting machines. His basic approach to
studying work was to observe the separate functions and motions each worker
performed in his job, and from this analysis, re-design the job in a more efficient
manner -“the best way”. His principal concern was to increase production
efficiency so as to lower costs and raise profits. Higher productivity would in turn
lead to increased pay for workers. Taylor also observed that, many workers simply
worked and produced less rather than more, owing to the fear that they might
overwork themselves out of a job.

His basic principles were:

1. Workers should be given high targets to stretch them to maximum capacity.
Management should specify daily outputs based on detailed job-analysis that
shows the most efficient way to do work.

2. Work should be done under standard conditions using the most efficient
working methods. The work environment should be carefully controlled.

3. Division of labour (job specialization) should be applied to the maximum,

because, through repetition at work, speed and skill would be developed, leading
to high productivity. Duplication of effort should be avoided and workers saved
from time- wasting tasks such as fetching materials, transporting products, and
arranging tools. Each worker should know his job well and become a specialist
in it (including management). For management, he referred to this as functional

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 foremanship – the concept holds that each employee should be supervised by
several foremen, each with distinct responsibilities, such as, one for machine
speeds, another for repair, another discipline.

4. Time-study Principle: All productive effort should be measured by accurate

time study and a standard time established for all work done. It should
therefore be possible to know how much time is required to properly
accomplish a given task

5. Piece-rate Principle: Pay (wages) should be proportional to output so as to

stimulate effort and encourage cooperation i.e. wage incentives should be an
integral part of each job. The rates should be based on standards determined
by time-study. Time study refers to analyzing a job task to determine the
amount of time required to complete it. Lastly, a worker should be given the
highest grade of work of which they are capable.

6. Separation of planning from performance principle: Management should

take over from workers, the responsibility of planning work as well as for
making the performance physically possible. Also, everything in the
organization should be done by plan, (daily plans to yearly plans). Planning
and scheduling should serve to put people and materials at right place, right
time, and ready to work or in proper condition for use. There should be a
clear division of responsibility between management and workers.

7. Management should ensure the proper selection, training and

development of workers, using scientific and systematic methods. Workers
should be trained for specific jobs.

8. Scientific methods-of-work principle (elimination of rule-of-thumb

approaches) in deciding how each worker should do a job. Management should
use the scientific method rather than intuition and experience to determine work
activities, ensure each motion and movement is the most efficient possible. For
example, Taylor’s analysis of the process of loading iron onto a flat car resulted
in a 400% increase in tonnage loaded per worker. Taylor observed worker’s
movements along with the time needed to complete a particular movement, and
then redesigned the job giving it highly efficient motions and specific times for
each step. This led to the contemporary time and motion studies.

9. Establish the discipline whereby management sets the objectives and the
workers cooperate in achieving them. He advocated for the achievement of
the cooperation of human beings, rather than chaotic individualism.

26
10. Working should always be for maximum output, rather than restricted output.
Though his principles aimed at lowering unit cost in factory production, he
(and his followers) claimed they could apply universally. His principles were
criticized for treating men like machines and for ignoring the psychological
and personal aspects of mobilizing human effort. Still, he demonstrated that
many jobs could be done more efficiently and he introduced scientific study
into management. His principles had enormous impact during his time and
led to time-and-motion studies, rigid discipline at work, and strict application
of pay incentive systems.
11. Piece-rate Principle: Pay (wages) should be proportional to output so as to
stimulate effort and encourage cooperation i.e. wage incentives should be an
integral part of each job. The rates should be based on standards determined
by time-study. Time study refers to analyzing a job task to determine the
amount of time required to complete it. Lastly, a worker should be given the
highest grade of work of which they are capable.
12. Separation of planning from performance principle: Management should
take over from workers, the responsibility of planning work as well as for
making the performance physically possible. Also, everything in the
organization should be done by plan, (daily plans to yearly plans). Planning
and scheduling should serve to put people and materials at right place, right
time, and ready to work or in proper condition for use. There should be a
clear division of responsibility between management and workers.
13. Management should ensure the proper selection, training and
development of workers, using scientific and systematic methods. Workers
should be trained for specific jobs.
14. Scientific methods-of-work principle (elimination of rule-of-thumb
approaches) in deciding how each worker should do a job. Management should
use the scientific method rather than intuition and experience to determine work
activities, ensure each motion and movement is the most efficient possible. For
example, Taylor’s analysis of the process of loading iron onto a flat car resulted
in a 400% increase in tonnage loaded per worker. Taylor observed worker’s
movements along with the time needed to complete a particular movement, and
then redesigned the job giving it highly efficient motions and specific times for
each step. This led to the contemporary time and motion studies.

i. Establish the discipline whereby management sets the objectives and the
workers cooperate in achieving them. He advocated for the achievement
of the cooperation of human beings, rather than chaotic individualism.
ii. Working should always be for maximum output, rather than restricted
output.
27
 Though his principles aimed at lowering unit cost in factory production, he
(and his followers) claimed they could apply universally. His principles were
criticized for treating men like machines and for ignoring the psychological
and personal aspects of mobilizing human effort. Still, he demonstrated that
many jobs could be done more efficiently and he introduced scientific study
into management. His principles had enormous impact during his time and
led to time-and-motion studies, rigid discipline at work, and strict application
of pay incentive systems.

Administrative Management Theory

Henri Fayol (1841 – 1925)
Scientific management, with its emphasis on efficient production was quite limited
in scope. Even though efficiency of production was important, of great importance
too were issues related to management of the total organization. The management
of organizations had become more complex than could be handled by scientific
management principles alone. From this situation, emerged Administrative Theory.
Of the several contributors to this theory, Henri Fayol stands out. While Taylor’s
ideas were picking momentum and their application became popular, a French
mining engineer, Henri Fayol, (1841 – 1925), was working out some powerful
ideas. He wrote extensively on management topics. Unlike Taylor who had a
technician’s background, Fayol had the background of a top-management executive
(was born in a well to do French family). These different backgrounds are reflected
in their perceptions.
1. Unlike Taylor who concentrated on the worker and studied him as an
extension of factory machinery, Fayol focused on the manager.

2. Fayol clearly separated the process of administration from other

operations such as production i.e. he made the distinction between
operations and managerial activities.

3. Fayol emphasized the common elements of the process of administration.

Fayol is considered to be the father of Modern Management Theory.

Fayol’s book, ‘General and Industrial Administration’ (1916), had a major impact
on the emerging field of management. In it, he described the necessity and
possibility of teaching principles and elements (functions) of management. The now
famous elements are Planning, Organizing, Commanding, Coordinating and
28
Control. Fayol believed that a trained administrative group was essential to
improving operations of the organization, which was becoming increasingly
complex. He asserted that administrative ability can and should be acquired first at
school, then at work. Like Taylor, he believed the process of production could be
analyzed and studied scientifically .He also focused on increased efficiency, at the
expense of the individual, just like Taylor.
Fayol established himself as the first organizational theorist with definition of
administration in terms of five functions (elements); that management could be split
into 5 broad areas;
1. Planning (forecasting) –he defined it as looking into the future and
deciding what shall be done depending on occurrence of certain events.

2. Organizing: he described this as the process of dividing work into units

and allocating these to people and departments i.e. establishing the
structure of authority, responsibility and tasks.

3. Commanding: this is the issuing of instructions to ensure targets are met.

4. Coordination: refers to the unification of effort and it ensures all

activities bind the organization together to achieve a common goal.

5. Controlling: This element entails setting targets, monitoring activity to

ensure targets are met and taking remedial action to deal with divergence
of actual from target performance. Simply put, it’s the evaluation of
activities against stated goals and plans.

Fayol also believed in the universality of certain principles of administration

(management) applicable to any organization. He proposed 14 principles to guide
managers in resolving concrete problems. He emphasized the fact that flexibility and
a sense of proportion were essential to managers who adopted the principles to
particular situations and warned against the rigid dogmatic interpretation of them.
This is unlike Taylor who held firmly to the uniform, emphatic application of
principles.

Fayol’s principles of management

Fayol believed that success in management results from application of a set of
administrative principles of management. Five of the 14 principles were concerned

29
with improvement of human relations, one emphasized production efficiency and
the other eight were directed toward administration of the organization.

Principles Emphasizing Human Relations

These are:-subordination of individual interest to the general interest, equity,
stability of tenure of personal interest, initiative, and esprit de’ corps.
i. Subordination of individual interest to general interest.
Individuals/small groups within the organization should make their needs
secondary to those of the firm. The firm, in turn, should place its interests
second to those of society.
ii. Equity
Equity is composed of kindliness and justice. It means that there
should be equal application of policies and practices to all
groups/individuals
iii. Stability of tenure of personnel
Production workers must have a sense of tenure security in order to
learn their jobs so that they perform them well. This means that they
should have a level of guaranteed security in their position of work as
long as they conform to expectations of their job They must also have
a sense of psychological security. For the management, security
allows them to learn the organization better.
iv. Initiative

There should be participation in the solution of problems. Ideas and

energies of workers should be tapped in the solution of problems.
v. Esprit de Corps
That in union, there is strength Management must “avoid divide and
conquer” techniques and instead unify all the divergent groups and
individuals. There should be loyalty that unites members of a group,
expressed in team work spirit

Principle emphasizing production efficiency

vi. Division of work

30
 Proper division of work leads to increased skills, reduction in learning
time, and increased efficiency resulting from not having to change
from one task to another.
Principles emphasizing administration
They deal with the direction of day-to-day operations.
vii. Authority.
Authority is the right to give orders and it comes with responsibility (the
obligation to complete duties). When the manager is granted authority, it comes
with a responsibility. Managers must not abuse authority but rather, work with
integrity.

viii. Discipline
This is the respect shown by all members of the organization towards policies and
rules governing their conduct. Fayol proposed that good discipline could be
achieved by presenting agreement rules etc. to workers as clearly and fairly
possible. Penalties and disciplining should be fair and be executed by competent
supervisors.
ix. Unity of command
Orders should originate from one source only. Subordinates should be assured
that only one individual can give them orders.

x. Unity of direction
Refers to work activities or plan of the group: for one plan, there should be one
director or head. It compliments unity of command.

xi. Centralization
Actions that tend to reduce the authority/responsibility of subordinates by
placing more authority in the hands of a superior are considered as leading to
greater degree of centralization of authority to makes decisions. Those that
increase responsibility and authority at lower levels result in a greater degree of
decentralization of authority in decisions making. There is no absolute level of
centralization recommended.
xii. Scalar Chain Principle
Definite lines of authority should be established from the bottom to the top, in
such ways that exact lines of authority relationships between successive levels
of management are clear. When it is necessary for individual in different
sections to work directly with each other, to attain speed of action, the chain of
command should be short-circuited, provided concerned parties are informed.
xiii. Remuneration Principle
Rests on the assumption that wages paid should be based on the concepts of
equity and be satisfactory to workers and the company. In payment of bonuses

31
 and profit sharing the mode of payment should be suited for particular
situation.
xiv. Order
Means that in addition to the neat arrangement of physical materials, there
should be a device showing the place of every person in the organization and
the relationship of each to the other. An example of such information may be
shown through the organization chart.

Production Efficiency
 Division of work

Administration
 Authority – Centralization
 Discipline – Scalar chain
 Unity of command – Remuneration
 Unit of direction – Order

Bureaucratic Management
During Taylor and Fayol’s time, the western society was becoming increasingly
organizational. Giant industrial organizations emerged in the 1900s, engendering a
similar growth in other organizational aspects of life. The simple pre-industrial era
social and political structures began to look inadequate in the industrialized society.
A lot of social, political and economic friction resulted as evidenced in the
increasing sense of conflict between individuals and organizations. There was a lot
of labour unrest, revolution and a rise in communism. In this setting, Max Weber, a
German sociologist produced some useful, durable and brilliant work on
administrative system; the bureaucracy. It has seemed indispensable since then.
Weber saw hope in bureaucracy in the attempt to counter authoritarian industrialists.
He believed that well run bureaucracies would offer a fairer, more impartial, more
predictable, more rational administrative system than organizations subject to the
unpredictability and biases of powerful individuals. He asserted that well-run
bureaucracies would be more efficient since bureaucrats are highly trained,
technical specialists in a limited portion of administrative task.

32
The proposed bureaucratic apparatus would be impersonal, minimizing irrational,
personal and emotional factors, while at the same time, allowing bureaucratic
personnel to work with little friction and confusion. This leads to expert, impartial
and unbiased service to clients.
Bureaucratic organization is characterized by mechanical regimentation
(people/things organized into rigid groups, patterns of doing things), strict
discipline, top-down authority and following of rules.
The bureaucratic model proposed by Weber is an ideal type; an abstract form
against which actual manifestations can be compared. It is rarely found in its pure
form but organizations approximate to this model to some degree.
In an ideal bureaucracy, Weber envisioned characteristics that, in a sense, are
principles of administration. These elements are:

1. Specialization (division of labour) .There should be division of labour based

on specialization.

2. A well-defined hierarchy of authority.

3. A system of rules covering rights and duties of employees e.g. school rules,
code of ethics.

4. A system of procedures for dealing with work situations e.g. schemes of

work

5. Impersonality in interpersonal relations i.e. impartiality in relationships at

work.

6. Selection and Promotion based on technical competence.

In a truly bureaucratic organization, goals are determined by those legally

empowered to do so, and the means to achieving these are specified and codified.
They are passed down a hierarchy of competent personnel who ensure impersonal
(without favour or emotional bias) application of rules.
The ideal type of bureaucracy is seen as foolproof, since, if everyone went by the
book, nothing would go wrong. In bureaucracy, there exists anonymity; rights,
duties, power, authorities are not attached to individuals but to the office. When an
individual vacates official position, they cease to wield the authority and power of
that office.

33
Bureaucracy, as described by Weber is not a derogatory term referring to frustrating
red-tape. It was conceived as a rational, goal-directed hierarchy. The bureaucratic
concept was an attempt to minimize the frustrations and irrationality of large
organizations where relationships were based on class privilege. Rules and procedures
allow managers to eliminate the uncertainty of individual differences in job
performance. It thus provides order. Offices or positions of authority must be organized
into a hierarchical structure that defines scope of authority. This influence dimension
gives the mechanisms to establish and hold some form of order.
Impersonality: superiors should have an impersonal attitude in dealing with each
other and subordinates. The psychological and social distance enables them to make
decisions without the influence of prejudices and preferences. Everyone should be
subject to the same rules and evaluation should be based on expertise and
performance.
Careers: Employment and promotion should be based on qualifications and merit. The
characteristics of an ideal bureaucracy still appeal to many people to date. The idea that
effectiveness can be achieved by emphasis on efficiency, stability and control has been
attractive for many managers. The bureaucratic model, no doubt holds a lot of relevance
to any modern organization. However, there are issues inherent in the model that have
been noted by critics.

DISADVANTAGES OF BEREAUCRACY
The danger of bureaucratic model is that over-reliance on formal controls and
impersonality suppresses initiative and decision making in middle and lower ranks.
Excessive red tape: Rules provide a limited strategy for achieving coordination. In
some cases, other strategies may be required. Bureaucracy advocates for addition of
more rules to cover all contingencies and this results in too much red-tape. Once
established in a bureaucracy, it is difficult to eliminate ineffectual rules and
procedures, leading to confusion, and frustration.
Inflexibility: Bureaucratic insistence on “one best way” can be rigid even in the
face of rapidly changing internal and external environment.
Dominance of authority: In bureaucracy, authority is so dominant and strong that
many managers are unwilling to give up some of the authority when the situation
warrants. Managers also attempt to acquire as much status, authority and power as
possible (“empire building”)
Hoyle (1986) observes that we should make a distinction between bureaucracy as
structure and bureaucracy as style. Some elements of bureaucracy such as hierarchy

34
are inherent in organizational structure and thus inevitable in schools. But other
elements vary according to administrative style. The number and detail of rules laid
down by the head teacher, for example, will determine the extent to which the
school is perceived to be bureaucratic.

Bureaucratic model became the most widely adopted and successful form of
structuring organization. In spite of criticisms and drawbacks, it remains the more
common ideal of organization, to the extent that some people view it as the defining
concept of organization.

Human Relation Theory of Educational Management

Maslow’s Hierarchy of Needs Theory
Abraham Maslow (1908 to 1970) believed that human beings are born with weak
instincts which become specific needs. If these needs are not satisfied then they will
control the individuals’ personalities. These needs will therefore influence human
motivation for example, if a person is hungry and needs food, he will be motivated
to look for food. When a need is satisfied, it is no longer a need. For example if a
person has just eaten a lot of food and is satisfied, he will not view hunger as a need
at that time.
Maslow also believed that some needs are stronger than others that is, there are
some needs which have to be fulfilled before other needs can be fulfilled. He
believed that a person does not feel a second need until the first need has been
fulfilled or the third need until the second need has been satisfied. Maslow argued
that physiological needs that is the need for hunger, thirst, food, oxygen and sex
were the strongest; safety needs are next, then the need for love, affection and
belonging followed by need for self-esteem and finally the need for self-
actualization. He therefore came up with what is known as Maslow’s hierarchy of
needs which has these five classes of needs.
Physiological needs are also known as biological needs and include the needs for
food, water, oxygen, sex, to eliminate (go to the toilet), and to maintain a constant
body temperature. These needs are very important for human beings to survive.
Maslow believed these needs must be met before other needs can be met for
example, it would be very difficult for a child to concentrate in class when his
bladder is full. He will be very uncomfortable until the teacher allows him to go to
the toilet.
When all physiological needs are satisfied and are no longer controlling an individual’s
thoughts and behaviour, safety needs become active. Safety needs are also known as

35
security needs. An example of safety needs is the need to have a savings account in a
bank. Physiological needs have to be satisfied before safety needs can be satisfied for
example, street children might walk around late at night begging for food and not worry
about their safety because they have not catered for their physiological needs. Another
example is of a prostitute who has no money to buy food may agree to have sex
without a condom and not worry about her safety as she might believe that her
priority is getting food.
The needs for self-esteem come next. These needs are also known as the needs for
prestige. Maslow believed everyone has a need for prestige, fame and recognition as
well as a need for competence and confidence. In brief, everyone wants to be
respected by others and also to feel they can be able to succeed in something. If this
need is not satisfied, an individual feels inferior and worthless.
When all the above needs have been met, then the needs for self-actualization are
activated. Maslow says self-actualization needs are the person’s need to be and do
that which that person was born for example to be a musician, writer or artist. Self-
actualization is the need to become more fully and more truly what we have the
potential to be.
Application of Maslow’s theory to real life and educational situations According
to Maslow, human motivation is described by the hierarchy of needs. First, one
requires food, water, safety, and the other basic needs of survival. When these are
met, one then seeks meaningful relationships and prestige. Only when these are met
does one try to self-actualize.
The satisfaction or non-satisfaction of needs leads to certain kinds of character
formations or development of what Maslow calls a syndrome. Syndromes such as
insecurity, self-esteem and self-actualization can be seen in practically everything
that a person does, feels or thinks. When for example a person’s need for security
has not been met, the person becomes worried and nervous but when satisfied, the
individual becomes confident and feels secure. Another example is when an
individual feels his esteem needs are satisfied and other people respect and
recognize him, then he will feel and act in a self-confident manner. Satisfaction or
non-satisfaction of needs will therefore influence individual’s personalities.
When working with young children we should realize that if the children’s needs have
not been met, then it may be very difficult for them to participate in activities in school
and also with other children. For example a child who is starving cannot be able to
concentrate on what a teacher is teaching in the classroom. Children’s physiological
needs should therefore be met. In addition when safety needs are not met, then it is
useless to try and engage children in activities for example, if a child is afraid of a

36
teacher and does not feel safe in the teachers’ presence, then this child will not be able
to concentrate on what the teacher is saying. Safety in homes and schools is therefore
important. Bullying of children and other forms of abuse directed at children should
therefore be eliminated. Children should be made to feel that they are loved and they
belong for example that they belong in a school, classroom or home. Parents,
teachers and guardians should therefore try to love all children equally and avoid
treating some children badly. Group work among children should also be
encouraged so that children get to interact with one another and feel that they are
part of a group that is working together to achieve a certain goal.
In order to promote a feeling of esteem in children, parents, guardians and teachers
should recognize and praise children who do well. In a school for example, during
the school assembly teachers can give a present to a child who has done well. The
child will feel happy and prestigious that all his peers saw him getting the reward.
Young children who do well should also be praised as this helps them realize that
their efforts are recognized.
Children can also be made to realize that is not impossible to self-actualize. Parents,
teachers and guardians should tell children about people who have self-actualized
such as Mother Teresa and music composers such as Mozart. Children should
therefore be told that they also have the potential to be the best in anything they do.
They should therefore inspire and give hope to children and encourage the children
to engage in socially acceptable and useful tasks.

The Theory of Human Management in Organization (McGregor’s Theory X

and Theory Y)
Douglas McGregor proposed two theories/assumptions, which are very nearly the
opposite of each other, about human nature based on his experience as a
management consultant. His first theory was "Theory X", which is pessimistic and
negative; and according to McGregor it is how managers traditionally perceive their
workers. Then, in order to help managers replace that theory/assumption, he gave
"Theory Y" which takes a more modern and positive approach. He believed that
managers could achieve more if they start perceiving their employees as self-
energized, committed, responsible and creative beings. By means of his Theory Y,
he in fact challenged the traditional theorists to adopt a developmental approach to
their employees. He also wrote a book, 'The Human Side of Enterprise', in 1960;
this book has become a foundation for the modern view of employees at work.
In his 1960 book, The Human Side of Enterprise, Douglas McGregor proposed two
theories by which to view employee motivation. He avoided descriptive labels and

37
simply called the theories Theory X and Theory Y. Both of these theories begin with
the premise that management's role is to assemble the factors of production,
including people, for the economic benefit of the firm. Beyond this point, the two
theories of management diverge.

Theory X
Theory X assumes that the average person:

 Dislikes work and attempts to avoid it

 Has no ambition, wants no responsibility, and would rather follow than lead
 Is self-centered and therefore does not care about organizational goals
 Resists change

 Is gullible and not particularly intelligent

Essentially, Theory X assumes that people work only for money and security.

Theory X - The Hard Approach and Soft Approach

Under Theory X, management approaches can range from a hard approach to a soft
approach.
The hard approach relies on coercion, implicit threats, close supervision, and tight
controls, essentially an environment of command and control. The soft approach is
to be permissive and seek harmony with the hope that in return employees will
cooperate when asked to do so.
However, neither of these extremes is optimal. The hard approach results in
hostility, purposely low-output, and hard-line union demands. The soft approach
results in ever-increasing requests for more rewards in exchange for ever-decreasing
work output.
The optimal management approach under Theory X probably would be somewhere
between these extremes. However, McGregor asserts that neither approach is
appropriate because the assumptions of Theory X are not correct.

The Problem with Theory X

38
Drawing on Maslow's hierarchy, McGregor argues that a satisfied need no longer
motivates. Under Theory X the firm relies on money and benefits to satisfy employees'
lower needs, and once those needs are satisfied the source of motivation is lost. Theory
X management styles in fact hinder the satisfaction of higher-level needs.
Consequently, the only way that employees can attempt to satisfy their higher level
needs in their work is by seeking more compensation, so it is quite predictable that they
will focus on monetary rewards. While money may not be the most effective way to
self-fulfillment, in a Theory X environment it may be the only way.
Under Theory X, people use work to satisfy their lower needs, and seek to satisfy
their higher needs in their leisure time. But it is in satisfying their higher needs that
employees can be most productive.
McGregor makes the point that a command and control environment is not effective
because it relies on lower needs as levers of motivation, but in modern society those
needs already are satisfied and thus no longer are motivators. In this situation, one
would expect employees to dislike their work, avoid responsibility, have no interest in
organizational goals, resist change, etc., thus making Theory X a self-fulfilling
prophecy. From this reasoning, McGregor proposed an alternative: Theory Y.

Theory Y
The higher-level needs of esteem and self-actualization are continuing needs in that
they are never completely satisfied. As such, it is these higher-level needs through
which employees can best be motivated.
Theory Y makes the following general assumptions:
 Work can be as natural as play and rest
 People will be self-directed to meet their work objectives if they are
committed to them
 People will be committed to their objectives if rewards are in place that
address higher needs such as self-fulfillment
 Under these conditions, people will seek responsibility
 Most people can handle responsibility because creativity and ingenuity are
common in the population.

Under these assumptions, there is an opportunity to align personal goals with

organizational goals by using the employee's own quest for fulfilment as the
motivator. McGregor stressed that Theory Y management does not imply a soft
approach.

39
McGregor recognized that some people may not have reached the level of maturity
assumed by Theory Y and therefore may need tighter controls that can be relaxed as
the employee develops.

Theory Y Management Implications

If Theory Y holds, the firm can do many things to harness the motivational energy
of its employees:

 Decentralization and Delegation - If firms decentralize control and reduce

the number of levels of management; each manager will have more
subordinates and consequently will be forced to delegate some
responsibility and decision making to them.
 Job Enlargement - Broadening the scope of an employee's job adds variety
and opportunities to satisfy ego needs.
 Participative Management - Consulting employees in the decision making
process taps their creative capacity and provides them with some control
over their work environment.
 Performance Appraisals - Having the employee set objectives and
participate in the process of evaluating how well they were met.

Theory of Organizational Behaviour of Educational Management

As the study of the problems of organization and administration became established,
the principles of classical theory received more attention as well as challenge from
scholars and practitioners. There soon emerged some opposition to classical
thought. Human Relations constituted the second major approach to administration.
Of the contributors to this approach, Elton Mayo and Mary Parker Follet remains
the most notable.
Human Relations movement replaced focus on structure of the organization with an
emphasis on employee motivation and job satisfaction. It recognizes the human factor
in institutions. Human Relation movement was motivated by the increasing
dissatisfaction with scientific management approach for treating employees as
mechanistic element in the productive process. It made great effort therefore to focus on
establishing the relationship between work environment and productivity. The classical
approach was built on the premise that with efficiently designed jobs, the right
incentives and proper use of managerial functions, productivity would increase. This
formal, impersonal approach inevitably met with resistance from workers, hence the

40
development towards a human relations approach, whose main contention was that man
is a social animal with an affinity for group affiliation.

Mary Parker Follet

Mary Follet was born in 1868 in Australia and was a political and social philosopher
who developed a keen interest in the analysis of business and public administration.
She was a philanthropist who dedicated her life to bringing about a better-ordered
society that promotes a satisfying life for the individual. Though initially her ideas
were rooted in classical thought, they matured in such a way that she spanned the
gap between scientific management and human relations.
To Follet, the fundamental problem of any enterprise is the building and
maintenance of dynamic yet harmonious human relations.
Follet viewed the management first, as social process, and secondly, as inextricably
enmeshed in the particular situation. This means that the administrative process is so
closely linked and dependent on the situation that it is hard to separate the two. The
administrators’ behaviour and performance is influenced by the environment in
which she /he operates.
She opposed the top-down flow authority in hierarchy and proposed that not just one
person should give orders; rather, all should seek to take orders from the situation
itself. Management is an ever-changing, dynamic process in response to emerging
situations. This contrasts classical view of prescribed static universal principles of
action.
Her work emphasized the administrative system as both a social and economic
entity. She developed principles of human association and group organization in
industrial situations Follet regarded group coordination and integration as the
important task of administration and sought to identify the factors that lead to
integration of groups. She analyzed the nature of consent and argued that;
democratic groups are based on consent, and the degree of consent of a group
towards a leader constantly changes over time. She suggested that management
should consult with the labour force and actively seek its cooperation.
Since situations, rather than people should determine what’s to be done, the primary
task of management is to interpret situations correctly to be able to make objective
decisions. Parker Follet’s work contributed to the opposition against engineering
approach to people at work and her work began the shift from emphasis on work
process an organizational aspect of administration and introduced the elements of

41
individuals’ development and values. Follet was the first great proponent (supporter and
advocate) of human relations in administration, but it remained for Elton Mayo and
colleagues to give empirical data to support this view.

Elton Mayo (1880-1949)

Elton was an Australian professor of industrial research, who worked with a team of
Harvard Researchers. Though he was initially a follower of F.W Taylor, through the
findings of his work, he opposed the validity of the scientific management approach.
In one of Mayo’s early researches in a textile mill, “The first Inquiry”, the factory was
experiencing high employee turn-over, in spite of the fact that the mill had introduced
financial incentives. It had been assumed that, workers, being ‘economic animals’ were
easy to motivate through financial rewards. Yet, workers here still suffered low morale,
fatigue and depression. Mayo’s research introduced rest periods and more employee
participation in decision making, and efficiency/ productivity was improved.
The Western Electric Co. (Chicago) conducted research (1924 – 1927) to determine
effect of lighting and other conditions upon workers and their productivity at the
Hawthorne plant. Surprisingly, production increased whatever the alteration of physical
factors and this, confused the researchers. Mayo and his Harvard associates were called
into the Hawthorne plant, and conducted the now famous and significant Hawthorne
studies between 1927 –1932. True to scientific management tradition of problem
solving through elaborate research, they studied two groups (the test group and control
group). The test group was subjected to variation of physical conditions such as
illumination and noise while the control group maintained the normal conditions.
Again, in both groups, productivity was boosted. Mayo, thus discovered that, another
factor was responsible for the change. The workers in the two groups knew they were
being observed and this enhanced their self-esteem, a phenomenon now described as
the Hawthorne Effect.
They felt special (group pride) and this encouraged cooperative behavior among the
group. It thus emerged that social relationship exerted strong influence on
production. Also, since the groups were given a sympathetic leader who was a
member of the group, better performance was reinforced. The workers reacted not to
illumination, but to the experiment itself and their involvement in it. The Hawthorne
effect implies that they worked in the way they thought the experimenters wanted
them to, since they were the centre of attention.
The experiments demonstrated that economic and mechanistic approaches to human
relations at work were inadequate; that, what goes on inside a worker is more
significant for production that what goes on outside.

42
What proved more influential to behavior than physical conditions were the
following:
 Interpersonal relationship within groups
 Relations between groups and their supervisor
 The fact that wages were not the dominant motivator for workers.
The workers defended norms and standards established with other people within
and beyond the working group.
Mayo’s study led to the following conclusions;

 People are social beings, not economic beings.

 As social beings, they belong to groups social groups should therefore be

involved in discussing problems and getting solutions

 For successful human relations, there should be an able and sincere leader,
who is recognized as such by workers.

 The influence of the informal work group has great impact on productivity,
and management should thus strive to turn the informal group into a positive,
productive force. People respond better to work-group pressure than to
management control activities.

Summary on the Fundamental Propositions of the Human Relations Movement

 Amount of work done by a person depends not so much on strength or

physical conditions of work, but rather on social conditions surrounding work
 Non-economic rewards such as security and happiness ,can motivate workers
more than wages
 Specialization/division of labour is not necessarily efficient. Variety,
especially where initiative and discretion are encouraged, can stimulate
interest to the point of increased productivity.
 Individuals perceive themselves as members of groups. Norms of behaviour
emanate from standards set by groups which workers belong, not standards
set by managers.
 Work performance depends not just on the individual, but on the network of
social relationship within organization.
 Managers should be sensitive to people and strive to develop human relations
or social skills for working with employees.

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Contingency and Situational Theories

The latest approach of management which integrates the various approaches is

known as ‘contingency’ or ‘situational’ approach. The contingency approach was
developed by managers, consultants, and researches who tried to apply the concepts
of the major schools to read-life situations. They found that methods that were
effective in one situation would not work in other situations.
According to contingency approach, then, the task of managers is to identify which
technique will in a particular situation under particular circumstances, and at a
particular time, best contribute to the attainment of management goals. The basic theme
of the contingency approach is that there is no single best way of managing
application in all situations. The application of management principles and practices
should be contingent upon the existing circumstances. Functional, behavioural,
quantitative and systems tool of management should be applied situational.
Management should deal with different situations in different ways. There cannot be
a particular management action or design which will be appropriate for all
situations.
The system approach emphasizes the interrelationships between parts of an
organization. The contingency approach builds upon this perspective by focusing in
detail on the nature of relationships existing between these parts. It seeks to define
those factors that are crucial to a specific task or issue and to clarify the functional
interactions between related factors. This approach is a long-sought synthesis that
brings together the best of all segments of what Harold Koontz has called the
“Management Theory Jungle.” The main features of contingency approach are as
follows:

a. The contingency approach stresses that there is no one best style of

leadership which will suit every situation. The effectiveness of leadership
style varies from situation to situation. Therefore, according to this approach,
management is entirely situational.

b. Contingency Approach is action-oriented as it is directed towards the application

of systems concepts and the knowledge gained from other approaches. The
contingency approach builds upon this perspective by following in detail on the
nature of relationships existing between these parts.
44
 c. Contingency theory attempts to determine the predictable relationships
between situations, actions and outcomes.
d. Management should match or ‘fit’ its approach to the requirements of the
particular situation. Management has to exercise the action subject to
environmental changes.
e. Contingency approach provides significant contribution in organizational
design. It suggests that no organizational design can be suitable for all
situations, rather, the suitable design is one determined, keeping in view the
requirements of environment, technology, risk and people. Contingency
approach is useful orientation in management.

Systems Theory of Management

b.
What is a system?
c.
A system is composed of a whole made up of interacting parts , and
therefore, systems scientists in both the natural and social sciences study the
interaction between parts to better understand the complexities of reality
(Lalande, and Baumeister 2015) Arnold and Wade (2015, p.7), further define
a systems as, “groups or combinations of interrelated, interdependent, or
interacting elements forming collective entities” . A system therefore denotes
a set of parts that are interrelated so as to function as a whole in order to
achieve a common purpose. For example; school organizations with all their
institutional components that make them function as a whole (Bozkus, 2014).
All organizations are open systems in that they interact with their
environment to survive (Daft, 2010). The basic system theory of
organizations is made up of five major components: inputs, a transformation
process, outputs, feedback, and the environment (Daft, 2010). In this theory,
inputs encompass the material, human, financial, or information resources
required to produce goods and services of varied quantities and qualities. The
transformation process involves the application of production technology by
management to change the inputs into outputs. The outputs are the tangible
products and services of the organization that possess a market value or user
utility.

Use of Systems Theory in Education

45
The systems theory is analogous to education production function. According
to John (2010), education has a high-priority function in the production of
human resources, and that the production function is a relationship between
the amount of input and intervening factors to produce a certain good, with
consideration to its quality. An education production function therefore
represents a functional relationship between school and students inputs to an
associated measure of school outputs. To ensure the production function
adequately addresses the demands of society, education policy makers and
managers must determine clear and precise objectives; and select the inputs
and strategies that will be transformed through the productive process into a
qualified product; possessing certain competences in form of skills, abilities,
and knowledge that can be transferred to the productive sector of the
economy with efficiency and effectiveness (John,2010). Cory and Betts
(2007) on their study on the role of teacher quality in education in the
education production function established that, variation in teacher quality is
an important contributor to student achievement.

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UNIT: 6
MODELS OF EDUCATIONAL MANAGEMENT

Introduction
Theories and models of educational management have been categorized by different
scholars. Bush (2010) categorized the models of educational management into six
clusters which are formal, collegial, political, subjective, ambiguity and cultural
models.

Upon completion of this unit you will be able to:

Outcomes

• Explain the models of educational management

• Analyze the steps involves in models of educational management

Bureaucratic Model of Educational Management

Bureaucratic models emphasize the official structure of the organization, with
recognized and accepted relationships between members. The organization is
hierarchal, vertical rather than horizontal. Generally the bureaucratic model has
explicit goals, which guide decisions taken in an institution. The authority of the
leaders is vested in them by virtue of their position and they are accountable to their
superior. Principals are accountable for every aspect of the school. The limitations
of the formal model are:

 Their emphasis on goals, which are not always easily attainable or

measurable or identifiable.
 Decisions are assumed to be taken by means of a rational process when in
practice decisions are often based on experience.

47
  The contribution of the individual is often ignored.
 Vertical hierarchy presumes that the leaders are most competent.
 The leaders assumed compliance from the organization.

The past education system of Zambia was dominated by the formal models of
management. Formal structure, rational decision-making and top-down leadership
were regarded as the central concepts of effective management and attention was
given to refining these processes to increase efficiency. Senior staff determined
institutional goals and teachers support was taken for granted.

Collegial Model of Educational Management

A collegial model emphasize that power and decision-making should be shared
among members of the organization. Authority in the institution depends on
specialist expertise and not position. The limitations of the collegial model are:
 Decision-making is slow and cumbersome;
 The effectiveness of collegiality depends in part on the attitudes of staff. If staff
actively support participation then it may succeed, if they display apathy it will
fail.
Collegial model includes all those theories, which emphasize that power and
decision-making should be shared among some or all members of the organization.
These approaches range from a "restricted" collegiality where the leader shares
power with a limited number of senior colleagues to "pure" collegiality where all
members have an equal voice in determining policy (Bush, 1995:52).

Major Features of Collegiality

According to Bush (1995: 53-55) collegial models have the following major features:
 They are strongly normative reflecting how institutions should be managed,
not necessarily what takes place in them. It is an idealistic model.
 Authority in the institution depends on specialist expertise and not position.
Authority originates from knowledge and skills and not from position (i.e. it
is an authority of expertise). Collegial models assume that professionals have
a right to share in the wider decision-making process and need to collaborate
for effective teaching and learning.

48
Political Model of Educational Management
A political model focuses on group activities rather than the institution as a whole
and interaction between groups is one of the essential aspects. The political model is
concerned with interest groups and interests which are personal, professional and
political. They recognize and stress the existence of conflict within institutions and
capacity of individuals to confront one another.
Goals are a central feature because they are unstable and highly contested. Decisions
are only reached after a complex process of bargaining and negotiation, and are
determined according to the complex power relationships within the organization.
Major features of political model include focus on group activities rather than organization as
a whole. Conflict between the leaders of different sub- groups is about resources and power.
Interest groups pursue their independent objectives which may be in conflict with the interest
of other subunits / groups in the organization' (Morgan, 1997). Goals may be disputed and
become a significant element in the conflict between groups
(Botman and Deal,1991).Limitations of this model include:

 The focus is on the formulation of policy rather than implementation;

 Too much prominence is accorded to interest groups rather than the institution;
 Too much emphasis on conflict and too little on collaboration.

Subjective Model of Educational Management

The subjective model focuses on individuals, their different backgrounds,
experiences and values rather than on the institution. This model depend on the
different meanings ascribed to events by individuals, and these are often confused
with organizational objectives. The organization takes its structure through the
members. Limitations are:
 Strongly normative in that they reflect the attitudes and beliefs of their supporters.
 There is no clearly defined character to the organization.
 There are no guidelines for management other than their own ideas and
experiences.

Ambiguity Model of Educational Management

The ambiguity model emphasizes that organizations are unstable and unpredictable.
The goals of the organization are used to justify any behaviour. This model is
fragmented and unstructured, as there are problems regarding the power of the

49
processes within the institution. Participation in management varies and decisions
are frequently unplanned. The ambiguity model assumes that problems are foremost
and, thus, should dominate and that other theories underestimate the complexity
surrounding decision-making.
Ambiguity is a prevalent feature of complex organizations like schools. Educational
institutions are regarded as typical in having no clearly defined objectives as
teachers work independently most of the time. The degree of integration required in
education is markedly less than in other settings allowing fragmentation to develop
and persist.
Committee and other formal bodies have right and responsibilities which overlap
with each other. The effective power of each element within the structure varies
with the issue and according to the level of participation of committee members.
Ambiguity model assumes that organizations have a problematic technology i.e.
their processes are not clearly understood. In education, it is not clear how students
acquire knowledge and skills so the processes of teaching are clouded with doubt
and uncertainty.

Limitation are as follows:

 An exaggeration of the problem in institutions;
 Being inappropriate in stable institutions or in times of stability in institutions;
 Offer little practical guidance to leaders in educational institutions.

Cultural Model of Educational Management

The cultural model emphasizes the informal rather than the official aspects of
organizations. Ceremonies and rituals are common and they assume the existence of
heroes and heroines who personify the values and beliefs of the organization. These
figures help to sustain the unity of the organization. The school culture is expressed
through its goals and reflected in its structure.
Schools are rich in such symbols such as assemblies, annual school functions.
Symbols are central in the process of constructing meaning (Boyle, 1986).Culture
springs primarily from the beliefs, values and assumptions of founders of
organizations. Head teachers have their own values and beliefs arising from many
years of professional practice. They are also expected to embody the culture of
school/college.
Limitations of this model include:
 The values of leaders may be illegitimately imposed on others.

50
  Subcultures may emerge which are inconsistent with predominant culture.
 The overemphasis of ceremonies and rituals detract from essential functions.

UNIT: 7
PRINCIPLES AND TECHNIQUES OF EDUCATIONAL MANAGEMENT

Introduction
The study of leadership is an interesting but complex endeavor as there are many
variables surrounding it. It is also broad, as many theories have been proposed in an
attempt to understand this phenomenon. This unit discusses some of the aspects and
theories associated with leadership, as it is impossible to study all the theories that
have been proposed by various writers.

Upon completion of this unit you will be able to:

Outcomes

• Examine different techniques of educational management

• Analyze application of techniques of educational management to the

Zambian education system.

ORGANIZATIONAL CHANGE
Change simply refers to alteration in the existing conditions of an organization.
Even in most stable organizations change is necessary to maintain stability. The
economic and social environment is so dynamic that without adapting to such
change even the most successful organizations cannot survive in the changed
environment. Therefore, management must continuously monitor the outside
environment and be sufficiently innovative and creative to implement these changes
effectively.
Organizations encounter different forces for change. These forces come from
external and internal sources of the organization.

51
External forces
External forces for change originate outside an organization. There are four key
external forces for change:

 Demographic Characteristics: These include age, education, skill level and

gender of employees. Organizations need to effectively manage these
characteristics in order to receive maximum contribution and commitment from
their employees.

 Technological Advancements: Both manufacturing and service

organizations are increasingly using technology as a means to improve
productivity and market competitiveness.
 Market Changes: The emergence of a global economy is forcing Zambian
organizations to change the way they do business. Organizations are entering
into new partnerships with their suppliers in order to deliver higher quality
products at lower prices.
 Social and Political Pressures: These forces are created by social and
political events. Personal values affect employees’ needs, priorities and
motivation.

Therefore, managers need to adjust their managerial style according to the changing
employee values. Political events also create substantial change in an organization.
Although it is difficult for organizations to predict changes in political forces, many
organizations hire lobbyists and consultants to help them detect and respond to
social and political changes.

Internal forces
Internal forces for change come from inside the organization. This may come from
both human resource problems and managerial behavior.

a. Human Resource Problems: These problems stem from employee

perceptions about their work environment and conflict between an employee
and organization needs. Organizations might respond to these problems by
using the various approaches to job design by implementing realistic job

52
 previews and by reducing employees' role conflict, stress, work overload and
ambiguity.
b. Managerial Behaviour: excessive interpersonal conflict between managers
and their subordinates is a sign of implementing an immediate change.
Inappropriate leader behavior such as inadequate direction and support are
the cause of conflict between managers and their subordinates.

Nature of Change
Organizations introduce changes through people. Unless the people are willing to
accept the need and responsibility for organizational change, intended changes can
never be translated into reality. In addition, individuals have to learn to adapt their
attitudes and behavioral patterns to constantly changing environments.
Management of change involves both individual and organizational change.
Individual change is behavioral change, which is determined by individual
characteristics of members such as their knowledge, attitudes, beliefs, needs,
expectations and skills. It is possible to bring about a total change in an organization
by changing behaviors of individual members through participative and educative
strategies. Although, the degree of difficulty involved in the change and the time
taken to bring about the change will depend on the target of change.
The attitudes towards change are largely dependent on the nature of the situation
and the manner in which changes are initiated and executed. Changing individual
behavior is more time consuming and a difficult task. The linkage between attitude
and behavior is not direct and therefore changing behavior is more difficult than
changing attitudes.
It is possible to change total organization without focusing at the level of
individual's change of knowledge, attitude and behavior. Modification in the
organization's structures, policies, procedures and techniques leads to total
organizational change. These types of changes alter prescribed relationships and
roles assigned to members and eventually modify the individual members’ behavior
and attitudes. As these two kinds of changes are interdependent, the complexity of
managing change increases manifold.
Approaches to organizational change
Organizational change is a complex process, therefore managers must approach it
systematically and logically. Some organizational changes are planned whereas
other changes are reactive.

53
Planned change is designed and implemented by an organization in an orderly and
timely fashion in the anticipation of future change.

Reactive change results from a reaction of an organization to unexpected events. In

contrast to planned change, it is a piece-meal response to circumstances as they
develop. External forces that the organization has failed to anticipate or interpret
always bring about reactive change. Since reactive change may have to be carried
out hastily, it increases the likelihood of a poorly conceived and poorly executed
Program.
Planned change is always preferable to reactive change. Managers who sit back and
respond to change only when they can no longer avoid it are likely to waste a lot of
time and money trying to patch together a last-minute solution. The more effective
approach is to anticipate the significant forces for change working in an organization
and plan ways to address them. To accomplish this, managers must understand the
steps needed for effective change.

A comprehensive model of change

The comprehensive model of change shows seven steps that can lead to effective
change. This model is useful for both planned and reactive change. The seven steps
of comprehensive model of change are as follows:

1. Recognize need for change

The first step in this model is recognizing need for change. For marketing
managers who anticipate needed. Change, recognition is likely to come much
earlier, as a result of marketing forecasts indicating new market potential, expert
indications about impending socio-economic change or a perceived
opportunity to capitalize on a key technological breakthrough. These
managers tend to ‘initiate change because they expect it to be necessary in
the near future in any case’.
2. Establish goals for change
The manager must then set goals for the proposed change. It is important for
the manager to specify goals that the change is supposed to accomplish. The
goals can be set to maintain or increase the market standing, to enter new
markets, to restore employee morale, to reduce turnover, to settle a strike and
to identify good investment opportunities.
3. Diagnose relevant variables
54
 An important next step is diagnosing organizational variables that have
brought about the need for change. Turnover, for example, may be caused by
a variety of factors such as low pay, poor working conditions, poor
supervision, better alternatives in the job market or employee job
dissatisfaction etc. Thus, if turnover is the recognized stimulus for change,
the manager must understand what has caused it in a particular situation in
order to make the right changes. To carry out this diagnosis, the manager
may discuss the situation with employees and other managers.
4. Select change intervention
After the manager has developed an understanding of the problem and its causes
then he must select a change intervention that will accomplish the intended goal.
An intervention is a specific change induced in an organization with the
intention of solving a particular problem or accomplishing a specific objective.
For example, if turnover is caused by low pay, then a new reward system is
required and if the cause is poor supervision then interpersonal skills and
training for supervisors is required.
5. Plan implementation of change
The manager must then carefully plan the implementation of change. Planning
the implementation of change involves consideration of the cost of the change,
how the change will affect other areas of the organization and the degree to
which employees should participate in bringing about the change. Hastily
implemented change can result in more harm than benefit. For example, if the
change involves the use of new equipment, the manager should not make any
changes that rely on the use of new equipment until it has arrived and been
installed and workers know how to use it. Moreover, if change is thrust upon
them too quickly, their resistance may stiffen.
6. Implement change
A systematically implemented change is more likely to proceed smoothly and
to encounter fewer obstacles than is a change that is implemented too quickly
and without adequate preparation.
7. Evaluate implementation
Finally, after the change has been implemented, the manager should verify
that it has accomplished its intended goals. A change may fail to bring about
the intended results. This may be due to inappropriate goals or inaccurate
diagnosis of the situation or wrong selection of intervention.

55
Lewin's Change Model
Most theories of organizational change originated from the landmark work of social
psychologist Kurt Lewin. Lewin developed a three-stage model of planned change,
which explained how to initiate, manage and stabilize the change process. The three
stages are unfreezing, changing and refreezing. Before reviewing each stage, it is
important to highlight the assumptions on which, this model is based:
• The change process involves learning something new, as well discontinuing
current attitudes, behaviors and organizational practices.
• Change will not occur unless there is motivation to change. This is often the
most difficult part of the change process.
• People are the hub of all organizational changes. Any change, whether in
terms of structure, group process, reward systems or job design requires
individuals to change.
• Resistance to change is found even when the goals of change are highly desirable.
• Effective change requires reinforcing new behaviors, attitudes and
organizational practices.

The following are the three stages of change:

a. Unfreezing: The focus of this stage is to make organization open to change. In
doing so individuals are encouraged to replace old behaviors and attitudes with
those desired by management. Managers also need to devise ways to reduce the
barriers to change during this stage.

b. Changing: The focus of this stage is in providing employees with new

information, new behavioral models, or new ways of looking at things. The
purpose is to help employees learn new concepts to implement change. Role
models, mentors, experts, benchmarking organization against world-class
organizations and training are useful mechanisms to facilitate change.
c. Re-freezing: The focus of this stage is stabilizing the change during refreezing by
helping employees integrate the changed behavior or attitude into their normal
way of doing things. This is accomplished by first giving employees the chance to
exhibit the new behaviors or attitudes. Once exhibited, positive reinforcement is
used to reinforce the desired change. Additional coaching and modelling are also
used at this point to reinforce the stability of the change.
56
Reasons for resistance to change
Improper handling of the change process: Employees resist change when they do not
get the answers to questions. They also resist when they do not have input into the
decision, they do not like the change introduced and when the change is a surprise.
People react to things like this with anger and resentment, because management used
methods to go against their values and violets their need for respect. Employees expect to
have their views considered, and to be treated with dignity (Hultman K, 1995).
There is no need for the change: Research suggests that the degree of resistance is
related to three factors: level of dissatisfaction with the status quo, desirability of
perceived change, and the practicality of the change. One of the most common causes of
resistance is that employees are content with the way things are now. As long as this is
true, change will only be viewed as unnecessary or negative (Hultman K, 1995).
The change will make it harder to meet their needs: Employees believe that the change
will make things worse, rather than make things better for them. Research shows that people
resist change that they believe represents a loss of personal choice. In situations like these,
facts tend to be less significant than the beliefs derived from them. Example, when managers
talk about making the work more "efficient," employees often interpret this to mean that they
will be doing more work. Also, if a change is presented as making the work easier,
employees worry about positions being eliminated.
Uncertainty: Changes substitute ambiguity and uncertainty for the known (Robbins and
Decenzo 2001:235). Employees resist change because they have to learn something new.
In many case there is not a disagreement with the benefits of the new process, but rather a
fear of the unknown future and about their ability to adapt to it

Fear of 'Change' itself: One of the greatest challenges in any program of 'change' is to
tackle the inherent fear that people feel when looking to a different future. It may be that
the future is better, but if there is a slightest chance of any uncertainty about the change,
it can safely be assumed that the change agents are going to face barriers. These barriers
are actually intended to destroy - or at least hinder - the new order of things being
introduced (Thomson K, 1990).
Fear of loss of face: It is this fear, which creates entrenched positions and negative
attitudes in people. The real problem is that if anyone says that they have a better way of
doing things – as opposed to saying, for example, 'here is a different way of doing things
that you might like to consider', people get defensive. This automatically assumes that the
way they were doing it before was, at best worse than what is being suggested now, or at
worst totally the wrong way of going about it (Thomson K, 1990).

57
Fear of failure: Taking on anything new as a task at home allows for a period of private
experiment 'where no one can see'. It might take hours to put a flat-pack kitchen cupboard
up, but it is done in the privacy of your own home. The same is not true at work. Under
the full glare of colleagues and bosses, the pressure to adapt and adopt to new practices
and principles are increasing daily (Thomson K, 1990).
These are real pressures to those who feel they cannot cope. The individuals who
refuse to accept that they are unable to change will once again self-justify their
incapability as being someone else's fault, example ' they are throwing too much at
us again'. However, it may be that they feel that the end result will be that the
organization will sooner or later not require their services. In the meantime any
failure, whether it is accepted by others as part of the learning curve or not, will
often be perceived by the individual as something personally unaccepted (Thomson
K, 1990).
The change will fail: Employees can resist change because they don't have confidence it
will work, or they don't believe the resources are available to implement the change
successfully. The anxiety stemming from these concerns will make it more difficult for
employees to support the change effort (Hultman K, 1995).
The change is Inconsistent with their values: Since values represent people's beliefs
about what's important, they feel alienated if they believe the change conflicts with those
values (Hultman K, 1995). Cultural convictions may also lead to resistance to change. It
is important to consider culture because it influences the employee's response and
interpretation of strategic issues (Reese K, 1994).1t is very rare that there is no uniform
culture within the organization. These cultural differences often lead to conflicts,
especially if the groups or individuals concerned have convictions that they feel very
strongly about (Ansoff, 1984). To set aside one's cultural belief and consider the change
objectively requires a mind shift.
Those responsible for the change can't be trusted: Employees will resist change if
they believe that leadership either doesn't have their best interests at heart, or isn't being
open and honest with them about the change and its impact. Lack of trust is an insidious
and pervasive problem, robbing organizations out of much – needed commitment and
performance.
Lack of trust puts employees in a defensive posture. They spend their time
protecting themselves from each other rather than focusing on organizational goals.
If employees have trouble trusting each other during routine times, this becomes an
even greater issue during the times of change (Hultman K, 1995).

58
Overcoming resistance to change
Managers need not abandon planned change in the face of resistance. Before
recommending specific approaches to overcome resistance, there are three key
conclusions that should be kept in mind. First, an organization must be ready for
change. Second, the top management should inform the employees about the
process of change. Third, the employees’ perceptions or interpretations of a change
should be considered. The following methods of overcoming-resistance to change
are as follows:
a. Participation: Participation is generally considered the most effective
technique for overcoming resistance to change. Employees who take part in
planning and implementing change are better able to understand the reasons
for the change than those who are not involved. They become committed to
the change and make it work. Employees who have the opportunity to
express their own ideas and to understand the perspectives of others are likely
to accept change gracefully. It is a time consuming process.
b. Education and Communication: Educating employees about the need for
and the expected results of an impending change help reduce their resistance.
Managers should maintain an open channel of communication while planning
and implementing change. However, it is also a time consuming process.
c. Facilitation of Change: Knowing ahead of lime that employees are likely to
resist change then the manager should do as much as possible to help them
cope with uncertainly and feeling of loss. Introducing change gradually,
making only necessary changes, announcing changes in advance and
allowing time for people to adjust to new ways of doing things can help
reduce resistance.
d. Force-Field Analysis: In almost any situation where a change is being
planned, there are forces acting for and against the change. In force-field
analysis, the manager list each set of forces and then try to remove or
minimize some of the forces acting against the change.
e. Negotiation: Where someone or some group will clearly lose out in a change
and where that group has considerable power to resist, there negotiation is
required. Sometimes it is a relatively easy way to avoid major resistance.

59
 f. Manipulation and Cooperation: This is followed when other tactics will
not work or are too expensive. It can be quick and inexpensive; however, it
can lead to further problems if people feel manipulated.
g. Explicit and Implicit Coercion: This is adopted where speed is essential
and where the change initiators possess considerable power. It is speedy and
can overcome resistance.

Assessment
1. In your own understanding how would you explain change management?
2. Explain the two types of change in an organisation
3. Who are the change agents in an organisation?
4. Explain the Lewin Model of Individual Change.

5. What factors contribute to resistance to change?

CONFLICT MANAGEMENT
Conflict arises from difference of opinion between the group members while
attaining the organizational goals. An organization is an interlocking network of
groups, departments, sections or work teams. In organizations everywhere, conflict
among groups of different interests is unavoidable. According to one survey,
managers spend an estimated 20 percent of their time dealing with group conflicts.
The success of an organization depends upon the harmonious relations among all
independent groups. Managers may either directly resolve the conflicts or they may
act as mediators between two or more employees. In either case, knowledge and
understanding of conflict and the methods of resolving it are important.

Types of conflict
The levels of group conflict are as follows:
• Personal conflict: Are the conflicts that arise among employees, individuals
because of their competitive roles.
• Group conflict: Are the conflicts arising within two or more groups due to
difference in their attitudes and behavior.

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 • Infra-organizational conflict: Are the conflict arising between levels of an
organization, which are of two types. Vertical conflict arises between higher
and lower level of management. Horizontal conflict arises among the
employees at same level.

Reasons for conflict

There are many reasons for conflicts among groups and its members. Some of them
are related to limited resources, communication problems, differences in interests
and goals, different perceptions, attitudes and lack of clarity about responsibilities.
The reasons for group conflicts are as follows:
• Communication problems: Groups often become very involved with their
own areas of responsibility. They tend to develop their own unique
vocabulary. Paying attention to an area of responsibility is a worthy
Endeavour, but it can result in communication problems. The receiver of
information should be considered when a group communicates an idea, a
proposal, or a decision. Misinformed receivers often become irritated and
then hostile.
Incompatible goals: Inter-group conflict arises because of goal
incompatibility. In other words, goal attainment by one group may reduce the
level of goal attainment by other groups. This may be due to horizontal
differentiation and task specialization. The conflict between production and
marketing departments, line and staff departments, union and management
are few examples of inter-group conflicts that arise because of
incompatibility of goals.
• Task interdependence: Task interdependence means to what extent a work,
group relies on other organizational groups to complete its tasks. In simple
words, it refers to the dependence of one group on another for resources or
information. It can be said in general that as interdependence increases, the
potential for conflict increases.

Conflict Resolution
Methods to Solve Inter-group Conflict Indirectly
The various methods to solve inter-group conflicts indirectly are as follows:
• Avoidance: It is an indirect method often used by the managers. It includes
avoidance of direct approaches on the part of managers to solve among
groups.

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 • Encouragement: This is another indirect method to solve the group
conflicts. It includes encouragement on the part of managers to the groups so
that they will be able to meet and discuss their differences.
• Bargaining: This is the indirect method, in which the groups agree as to
what each of them will get and give others regarding their work. This makes
the accomplishment of the assigned task much easier. For example, one
group may agree to give the other, a quick turnaround time on the repairs of
needed equipment only if the Second group agrees to bring complaints about
the quality of repairs to it before going to management.
• Persuasion: This is the indirect method, in which the groups find the areas of
common interests among themselves. The groups try to find out those
interests levels where they have the same say. Afterwards', the groups try to
show how important it is to each of them in attaining organizational goals.

Methods to Solve Inter-Group Conflict

The various methods to solve inter-group conflicts directly are as follows:
• Ignoring the conflict: This is a direct method used by (he managers to solve
inter-group conflicts. Ignoring the conflict is characterized by the absence of
behavior wherein the members of the groups avoids dealing with the
dysfunctional aspects of the conflict. In this, a, group simply refuses to attack
the other group. But the disadvantage of this method is that it ignores the
causes of conflicts and as a result, the conflict situation frequently continues
or gets worse over time.
• Domination by the management: This method of solving inter-group conflicts
emphasizes on improving the inter-group relations. To improve the inter-group
relations, greater integration or collaboration among groups is needed.
Management
can use domination to minimize the conflicts by exercising its authority and
power over the groups and their members.
• Removing the key figures in the conflict: This is another direct method to
solve the intergroup conflicts. If a conflict arises because of personality differences
between two individuals, removing them is a possible solution. It includes the
removal of the key figures in the conflict. The key figures that are to be removed
may be leaders of the groups and removing them could lead to greater conflict. It is
also difficult to pinpoint accurately the individuals who are the root-cause of
conflicts.

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 • Problem solving: Management can also establish a task force with
representatives from groups in conflict to work on problems. The task force
develops the ideas 'and procedures for improving group interaction and
thereby attempt to solve the conflicts arising between the groups.

Assessment
1. What is conflict? Explain its causes.
2. Explain the various types of conflict and ways to resolve them
3. Is conflict in a school set up always bad? Explain in the light of its consequences
4. How can inter-group conflict be managed?
5. Why do interpersonal conflict arise?

STRESS MANAGEMENT
Stress is the general term applied to the pressures people feel in life. The presence of
stress at work is almost inevitable in many jobs. The nature of stress has been
studied by scholars in a wide range of academic disciplines. Physicians,
psychiatrists, and researchers in management have all studied its causes and its
symptoms, and have defined the term in a variety of different ways. Stress is defined
as "the reactions of individuals to new or threatening factors in their work
environments”.
Stress can be either positive or negative. Some new work situations can bring us
positive challenges and excitement. For example, promotions to new jobs present
employees with positive stress. Employees may feel anxious about their new work
assignments; they also anticipate them eagerly and look forward to the additional
challenges, rewards, and excitement. In these cases, the new and uncertain job
situations create positive stress. The positive stress is also called the Eustress.
However, there are certain other types of work that are very threatening and anxiety
arousing. For example, depression in the economy can create negative stress for
teaching personnel, because they will be much more anxious about making paying
rentals school fees for children costs of food etc.

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Characteristics of stress
The following are the perplex characteristics of stress:
The word stress portrays the idea of a ‘system in tension’. This will be true for
people who possess strong moral values of good and bad deep sense of personal and
organizational responsibility. Tension may arise because one might have to content
with the whistle blowing against one’s own colleagues, time deadline, which force
an employee to perform the job hurriedly and some other undesirable consequences,
which have to be pitted against one’s sense of duty.
a ‘Stress is intangible in nature’ which can neither be seen nor touched but its
presence can be felt through its damaging but sometimes to take a turn for the
better.
b ‘Stress is highly individualistic and impulsive’ as stress pressurizes or
induces an employee’s inclination towards the job and thereby enables an
employee to attain the individual as well as organizational goals.
c “Stress is a strong predictor of various personal and work-related outcomes.
In the encyclopedia of stress, Flick (2000) defines stress as real or interpreted
threat to physiological or psychological integrity of an individual that results
in physiological or behavioral response”. It is a response to a challenging
events.
d ‘Stress taxes a person’s physical and psychological resources’. A person for
whom no success is satisfying, who is provoked to anger and hostile towards
those on whom the employee should depend and who constantly worries
about the risk of future and also about the next project and complicated tasks,
keeps himself /herself under an undue degree of stress.
e ‘The outcomes of stress are not only negative but also positive’. It has
positive effects on an individual. However, “excessive and persistent stress is
aversive for employees”

Sources of stress
Stress is a reality of our everyday life. There are both positive and negative stresses that
come from our work and non-work lives. As pointed out by Near Rice, and Hunt (1980)
and Sckaran (1986), among others, the work and non-work domains of one's life are
closely interrelated. The stresses and strains experienced in one domain are carried over
to the other. Thus, if one experiences stress at work, that stress will be carried over to
the home.

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One major source of job stress is the job itself. The way the job is designed, the
amount of time pressure an individual faces and the amount of expectations others
have of a person at work can all lead to job stress. Interpersonal relationships are
a second source of job stress. How much contact an individual has with coworkers
and managers, how much time he or she deals with clients or consumers, and how
pleasant those interactions are all influences of how much stress an individual
experiences at work. Third source is problems in personal lives, which can spill
over into the work environment, adding further tension to an already stressful work
situation.

Sources of job stress

a. Job Characteristics: A major source of job stress is a person's role in the
organization. A role is simply the set of expectations that other people in the
organization have for an individual, For example, supervisors, coworkers,
customers and suppliers expect an employee to behave in certain predictable ways.
The expectations others have of an employee arc sometimes unclear, in conflict, or
too high for the employee to meet within the time allotted, and he or she
experiences stress.
b. Role Ambiguity: When there is a lot of uncertainty surrounding job definitions
or job expectations, people experience role ambiguity. With the recent increase
in mergers and acquisitions among major organizations, more and more
employees are experiencing job stress as a result of role ambiguity. Role
ambiguity is anxiety arousing among employees that leads to job stress.
c. Role Conflict: Often employees discover that different groups of people in an
organization have widely varying expectations of them, and that they cannot
meet all those expectations. This inconsistency of expectations associated
with a role is called role conflict, which results in stress.
d. Role Overload: Role overload is a situation in which employees feel they are
being asked to do more than time or ability permits. Working under time
pressure is especially stressful.
e. Ethical Dilemmas: Ethical dilemmas such as whether or not one should
report the observed unethical behaviors of another person can cause extreme
levels of stress in individuals. This will be especially true for those who have
strong moral values of right and wrong and a deep sense of personal and
corporate social responsibility. Tensions arise because one might have to
contend against one's own colleagues who might be close friends, and may
fear of reprisal and other undesirable consequences.

Interpersonal Relationships

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Another major source of stress in organization is poor interpersonal relationships
with supervisors, subordinates, coworkers or clients. When interpersonal
relationships at work are unpleasant, employees develop a generalized anxiety, a
diffuse feeling of dread about upcoming meetings and interactions. Three aspects of
interpersonal relationships at work, which have a negative impact on job stress, are
as follows:
 Amount of contact with others: Jobs vary in terms of how much interpersonal
contact is built into them. Too much prolonged contact with other people can
cause stress.
 Amount of contact with people in other departments: Having contacts with
people outside one's own department creates a special sort of stress. People in
other departments do not always have an adequate understanding of jobs
outside their own areas, which can cause stress.
 Organizational climate: The overall psychological climate of the organization
can create stress. When day-to-day life in an organization is marked by
unfriendly, distant, or hostile exchanges, employees are continually tense and
this causes stress.

Organizational Factors
The following are the organizational factors that cause stress in individuals:
 Work environment factors such as noise, heal, poor lighting, radiation and
smoke are stress inducing agents.
 Insufficient resources such as time, budget, raw materials, space or
manpower also induce stress in the work environment. When one has to
produce and perform with inadequate resources on a long-term basis, this
naturally imposes stresses and strains on the individuals who are responsible
for getting the job done.
 Structural factors in the organizational setting such as staff rules and'
regulations and reward systems, may cause stress.
 Lack of career promotion in organizations may be sometime cause stress.
 Environmental factors of stress include sudden and unanticipated changes in
the marketplace, technology, the financial market and so on.

Personal Factors
Employees’ personal lives have a marked effect on their lives at work. If things are
going well personally, they are more likely to be upbeat and optimistic. They have
more energy and patience for dealing with problems at work. On the other hand, if

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employees are having some personal problems, they might be more tense or
distracted when they go to work.
Factors that influence how much stress people bring from their persona! Lives to the
work setting are as follows:
 Career Concerns: One major career concern that can cause stress is lack of
job security. A second career concern that can cause employees stress is
status incongruity, i.e., having jobs with less status, power and prestige than
they think they deserve.

 Geographical Mobility: Geographical moves create stress because they disrupt the
routines of daily life. When geographical moves are undertaken as part of a job
transfer, the moves can be even more stressful. The transferred employees are
likely to feel out of control at work, too, and experience their new work
environments as unpredictable.

Methods of managing stress

Stress is a factor that everybody has to contend with, on a daily basis both in the work
and non-work sphere of life since the body has only a limited capacity to respond to
stress, it is important for individuals to optimally manage their stress level to operate as
fully functioning human beings.
There are several ways in which stress can be handled so that the dysfunctional
consequences of stress can be reduced. Some of them are:

a. Role analysis technique (RAT): the role analysis technique helps both the
manager and the employees to analyse the requirements and expectations from the
job. Breaking-down the job into various components clarifies the role of the job
for the entire system. This also helps to eliminate reduction of work and thus
lowering down the stress level.
b. Job relocation: job relocation assistance is offered to employees who are
transferred, by finding alternative employment for the spouses of the transferred
employees and getting admissions in schools for their children in the new place.
These agreements help to reduce the anxiety and stress for the moving family.
c. Recreational program: providing recreational facilities, arranging group
meditation programs, help to reduce the stress level of the employee
d. Employee assistance program: another widely used strategy is the employee
assistance program, which offer a variety of assistance to employee. These include
counseling employees who seek assistance on ow to deal with alcohol and drug
abuse, handling conflicts at the work place, dealing marital and other family
problems.
e. Career counseling: career counseling help the employee to obtain professional
advice regarding career that would help individual to achieve personal goals. It
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 also makes the employees aware of what additional educational qualifications or
specialized technical training, if any that they should acquire by becoming
knowledgeable about the possible avenues for advancement, the employees who
consider their careers to be important can reduce their stress levels by becoming
more realistic about their options and can start preparing themselves for it.
f. Time management: another way of coping with stress is to manage time more
effectively. People can learn to get better organized so that they can do their work
efficiently.

g. Delegation: Another way of coping with job stress is to delegate some

responsibilities to others. Delegation can directly decrease workload upon the
manager and helps to reduce the stress.
h. Health Maintenance: Probably the most frequently used organizational stress
management program is health maintenance. Many companies invest large sum of
money in gym and sport facilities for maintaining the health of the employees.
i. Supervisor Training: Another type of stress management Program that
organizations are experimenting with is supervisor training. The emphasis on
supervisory training Program is how to prevent job stress. Managers are trained to
give better performance appraisals, to listen to employees’ problems more
effectively, and to communicate job assignments and instructions more clearly.

Assessment
1. List the individual stressors you have experienced recently.

2. Identify the organizational stressors with reference to Primary or

secondary schools work program.

3. Identify the forms of stress.

4. Enumerate the organizational consequences of stress.

5. Examine intra organizational factors of stress. How do they

influence the organization?

6. What do you mean by the extra organizational stressors? Discuss various

extra organizational factors. Which create stress in the organization.

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 7. Discuss individual management strategies of stress. Do you think that
they can reduce stress in the organization? Discuss.

8. What are various external and internal causes of stress?

9. Explain work stress, what are various steps that a manager should take to
reduce stress among employees?

DELEGATION OF AUTHORITY

Authority
It is the power to make decisions which guide the actions of others. In other words, it is
the power to give orders and make sure that these orders are obeyed. In order to finish
the work in time, there is a need to delegate authority and follow the principles of
division of labour.
Definitions: According to Koonts and O‘Donnell, ― Authority is the power to command
others to act or not to act in a manner deemed by the possessor of the authority to further
enterprise or departmental purposes.
According to Luis Allen, It is the sum of powers and rights entered to make possible
the performance of the work delegated.‖

Responsibility
It is the obligation to do something. In other words, it is the obligation to perform the
tasks, functions, or assignments of the organization. The essence of responsibility is
obligation. If a person is entrusted with any work, he should be held responsible for the
work that he completes

Definitions: According to Davis, Responsibility is the obligation of individual to perform

the assigned duties to the best of his ability under the direction of his executive leader.
In the words of Theo Haimann, Responsibility is the obligation of subordinates to
perform the duty as required by his superior.

Delegation of authority
Delegation is a process which enables a person to assign a work to others with
adequate authority to do it. The authority can be delegated but not the responsibility.
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Delegation of authority is considered to be one of the most important methods of
training subordinates and building morals. It is acknowledged that delegation of
authority is one of the best methods of getting better results.

Principles of delegation

The following are the important principles of delegation.

 Delegation to go by results: The superiors should clearly know what they
expects from the subordinates before delegation of Authority. It should be
noted that the objective of the organization are to be accomplished in time.
 Non-delegation of responsibility: Assigning duties does not mean
delegation of responsibilities. A superior can delegate Authority but not
responsibility.
 Parity of Authority and responsibility: Responsibility without authority
will make a person an inefficient. So there should be a proper balance
between authority and responsibility.
 Unity of command: A subordinate should be assigned duties and
responsibilities only by one superior and he is accountable only to the
concerned superior.
 Definition of limitation of authority: There should be a written manual
which help a person to understand the authority in right direction.

Steps in successful delegation process

The following steps will help the successful delegation of authority.
1. Deciding the goals to be achieved: The purpose of delegation is to enable
efficient accomplishment of organizational objectives. If it is not clearly defined, the
subordinate may hesitate to accept the authority.

2. Establishment of definite responsibility: The authority and responsibility of

each subordinate should be clear. It helps to avoid duplication of authority.

3. Determining what to delegate: This will necessitate the evaluation of the

capacity of the individual and needs of the organization.

4. Training: Subordinate should be properly trained in handling delegated work.

5. Control system: There should be a suitable control system to keep a careful

watch over the performance of the subordinates.

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Types of delegation
A brief explanation of the different types of delegation is given below:
1. General delegation: It means granting authority to the subordinate to perform
various managerial functions and exercise control over them.

2. Specific delegation: the orders or instructions are delegated to a particular person

specifically.

3. Written delegation: When authority is delegated in written words it is known as

written delegation.

4. Unwritten delegation: If authority is delegated on the basis of custom or usage

etc, it is known as unwritten delegation.
5. Formal delegation: If duties and authority are shown in the organizational
structure of the enterprise, then it is called formal delegation.

6. Informal delegation: If a person exercising authority without getting it from the

top management in order to perform his assigned duties, it is a case of informal
delegation.

7. Downward delegation: It is a case where the superior delegate duties and

authority to his immediate sub ordinate.

8. Sideward delegation: A person delegate authority to another person who is also

in the same rank as he is in the organization.

Guidelines for effective delegation

Delegation is at the center of management. It is an important way of getting jobs
done in an organization. As a behavioral skill, it has to be handled properly for
effective management. The following tips can help managers to delegate properly:
1. Delegation has to do with location of decision making and involves
decentralization. School head teachers should adopt participative rather than
authoritative or consultative style of management

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 2. Work should be delegated to the right people whether individually or as a
committee by considering their personality characteristics: age, interest,
qualification, experience, capability and level of motivation

3. Terms of reference or guidelines should be clearly spelt out in writing for

whatever is delegated

4. Effective communication between the head teachers and subordinates is also

important

5. School head teachers remain accountable for work delegated

6. There must be effective coordination of functions and committees'

assignments by the head teacher so that they all work towards over-all school
objectives

7. Informal relationships can promote delegation among staff

8. Recommendations made by subordinates individually or as a committee

should be respected, examined and implemented if found acceptable so as to
encourage them and others.

9. Head teachers should avoid over-use of certain individuals for delegation of

duties to prevent dissatisfaction among other teachers

10. Head teachers should not be stingy of praise for good work done.

Ineffective delegation
Ineffective delegation occurs when the superior delegates responsibility but:
1. Frequent interferences to supervise what has been delegated to such an
extent that delegation only exists in name.

2. Arbitrary takes back the delegated area of responsibility.

3. Delegates only the disagreeable or unpleasant parts of the job.

4. Delegates only meaningless and unrelated parts rather than the whole job.

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 5. Cannot tolerate the initial mistakes or short comings of the subordinate
delegated.

6. Over delegates or dumps everything over the subordinates.

7. Fails to give credit for a job well-done.

8. Fails to support and take responsibility for the action of his subordinates.

9. Fails to reveal periodically the work delegated with a view to improving

operations.

10. Fails to show interest or enthusiasm in the work of the subordinates.

Assessment
1. Explain the meaning of delegation
2. Discuss the advantages and disadvantages of delegation
3. If you were a school head teacher how would you go about delegating duties
to your teachers?
4. What difficulties do leaders find in delegating duties to their subordinates?
5. What guidelines will you suggest for ensuring effective delegation of authority

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UNIT: 8

LEADERSHIP

Introduction
The study of leadership is an interesting but complex endeavor as there are many
variables surrounding it. It is also broad, as many theories have been proposed in an
attempt to understand this phenomenon. This unit discusses some of the aspects and
theories associated with leadership, as it is impossible to study all the theories that
have been proposed by various writers.

Upon completion of this unit you will be able to:

Outcomes

• Define the concept of leadership

• Discuss leadership theories

• Explain types of leadership

• Discuss qualities of good leaders

• Explain characteristics of good leaders

Definition of Leadership

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There are various definitions of the term leadership proposed by numerous writers
of educational and general administration. Hoy and Miskel (1987:270-271) have
stated some of these definitions as follows:
• Leadership is the process of influencing the activities of an organized group
toward goal setting and goal achievement – Ralph M. Stogdill.

• Leadership takes place in groups of two or more people and most frequently
involve influencing group member behaviour as it relates to the pursuit of
group goals – Robert J. House and Mary L. Baetz.
• To lead is to engage in an act that initiates a structure-in-interaction as part of
the process of solving a mutual problem – John K. Hemphill
• Leadership is power based predominantly on personal characteristics usually
normative in nature – Amitai Etzioni
• The leader is the individual in the group given the task of directing and
coordinating task- relevant group activities – Fred F. Fiedler
• Leadership is a particular type of power relationship characterized by a group
member’s perception that another group member has the right to prescribe
behaviour patterns for the former regarding his activity as a group member –
Kenneth F. Janda
• The essence of organizational leadership is the influential increment over the
routine directives of the organization – Daniel Katz and Robert L. Khan
• Leadership is the initiation of a new structure or procedure for accomplishing
an organization’s goals and objectives or for changing an organization’s
goals and objectives – James Lipman

Difference between Leadership and Management

Leading and managing go together but some differences exist between the two. The
following are the differences between the leadership and the management:
 Management takes rational and logical decisions while leadership takes
decision on expectations of the followers. Leadership has an emotional
appeal while management acts on rationality.
 The management establishes relationship through a lawful authority while
leadership establishes relationship through power.
 Managers have formal authority but the leaders have no such authority.
 All leaders are not managers and all managers are leaders.
 Management is a process of planning, organizing, directing and controlling
the activities of others to attain the organizational objectives. Leadership on
the other hand, is a process of influencing the behavior of the people to attain

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 their assigned tasks. A successful manager must possess both the managerial
and leadership qualities.

Types of Leadership
From the various components of leadership noted above, three types of leadership
have been isolated by Knezevich (1975), that is:
• Formal leadership
• Symbolic leadership
• Functional leadership

Formal leadership
The leader in a formal organization is the person who occupies a formal leadership
position. Knezevich (1975:83) observes that:
•
The individual occupying a given status in the organization or holding a specific
title of office or placed in a certain position in the hierarchy or granted special
authority in the formal chart of organization is automatically considered a leader.
This recognition may disappear when he vacates status, title, position or office.
Head teachers, Deputy Head teachers and Heads of Departments in primary and
secondary schools therefore occupy formal leadership positions.

Symbolic leadership
Many writers (especially the early writers) have conceived leadership as an attribute
of personality. According Knezevich (1975:82) this view of leadership postulates
that, ‘leaders are born not made,’ that is, some have it, some don’t. The leader
stimulates and unifies the activities of others along certain paths because of the way
he looks and his personality. This is charismatic approach to leadership and bears a
strong kinship to trait psychology.
Knezevich further contends that the ‘romantic concept of the leader endowed with
almost magical attributes can be traced to a longing for security’. (p.82).This has led to
the leader being idealized, with almost ‘unlimited powers’ and none of the faults and
shortcomings found in ordinary humans. He becomes the “father image” or the
“security symbol.”
Hence, such a leader is seen as being stronger, more intelligent, more cultured, more
impressive than the average person.

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Functional leadership
Leadership can also be viewed in terms of the functions one is performing or is
expected to perform in the group. In other words, the criteria for leadership is based
on:
What the leader does to help the group define its goals, achieve its objectives, or
maintain its strength as a body. Unless a person can fulfill one or more of these
group functions, he is not a functional leader no matter how charming his
personality or how impressive the title of his position.
Functional leadership is therefore an attempt to conceptualize leadership in terms of
the functions the leader is performing rather than considering (i) his or her personal
attributes and characteristics or (ii) the position one is occupying in the organization.
Hence, Knezevich (1975) notes that, ‘leadership [now] emerges as a group
phenomenon, a function essential in organized groups’.

Theories of Leadership
This section discusses three approaches of leadership, that is, the Trait approach
theory, situational theory and contingency theories that have been proposed by
various writers in an attempt to identify the determinants or variables that influences
successful leaders.

Trait Approach Theory

Some of definitions of leadership have tended to stress the personal characteristics
or traits of the leader while others stress the situation and still others concentrate on
the leader’s behaviour. The Trait Approach Theory, for instance, attempts to identify
any distinctive physical or psychological characteristics of the individual that relate
or explain the behaviour of leaders.

Great Man Theory

The Great man theory posits that some people are born to be leaders. This in
essence, means that, if certain inborn traits were identifiable in leaders, then we
would believe as Aristotle did that “from the hour of birth, some are marked out for
subjection, others for rule”. This theory therefore implies that some were born to be
leaders and others were born to be followers.

Traits

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Several traits have been proposed by writers as being identifiable in leaders and not
non-leaders. Robbins (2003), for instance, quotes Kirk Patrick and Locke (1991) as
having identified six traits.

These are:
• ambition and energy,
• the desire to lead,
• honesty and integrity,
• self-confidence,
• intelligence,
• Job-relevant knowledge.

Stogdill in Hoy and Miskel also summarizes some of the personal factors associated
with the Trait approach theory of leadership. These are:
• Capacity (intelligence, alertness, verbal facility, originality, judgement).
• Achievement (scholarship, knowledge, athletic (sic) accomplishment).
• Responsibility (dependability, initiative persistence, aggressiveness, self –
confidence, desire to excel).
• Participation (activity, sociability, co-operation, adaptability, humour).
• Status (socio-economic position, popularity)

The trait studies now tend to focus on ‘the relationship between traits and leadership
effectiveness of administrators. (Hoy & Miskel 1987: 273). The traits that were
identified by these later studies were more consistent. Stogdill isolated more traits
that direct on traits leading to leader effectiveness and he concluded that these were:
• A strong drive for responsibility and task completion
• Vigor and persistence in pursuit of goals
• Venture soreness and originality
• Drive to exercise initiative in social situations
• Self-confidence and sense of personal identity.
• Willingness to accept consequences of decision and action
• Readiness to tolerate frustration and delay
• Ability to influence other person’s behavior.
• Capacity to structure interaction systems to the purpose at hand

Limitations of Trait Theory

Robbins (2003) identifies four limitation of Traits Approach theory namely:

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 • There are no universal traits that predict about leadership in all situations.
• The predicted traits are in ‘weak’ situations rather than ‘strong’ situations i.e
in strong situations leaders have little opportunity to express/ display interest
dispositional tendencies.

• The course and effect are not separated by evidence provided e.g. ‘does self-
confidence create leadership, or does success as leader build self-confidence?
• Traits tend to predict the appearance of leadership rather than ‘distinguish
between effective and ineffective leaders i.e. an individual may exhibit traits
associated with leadership by others but yet he may unsuccessful as leader
e.g. fail to achieve set goals.

Situational Approach
The intense debate and questionable findings of the trait approach made researchers
to focus on analyzing situational variables as at times findings were contrary and
inconsistent for many of the traits tentatively isolated as crucial in one study were
found to be unimportant in others. Thus in some groups, effective leaders were
assertive and aggressive, in others, mild mannered and restrained; in some quick and
decisive, in others, reflective and diplomatic. (Hoy and Miskel, 1987:272).
The failure to get consistent results in studies relating to leadership led to
researchers to focus on situational variables. In other words, the leaders’ traits were
therefore no longer considered to be the only determining factors of leadership for
situational variables also proved to be critical in determining the leader that was
chosen. Some of the situational variables or determinants of leadership that have
been postulated include:
• Structural properties of the organization (size, hierarchical structure,
formalization).
• Organizational climate (openness, participation, group atmosphere).
• Role characteristics (position, power, type and defiantly of task, procedural roles).
• Subordinate characteristics (knowledge and experience, tolerance for
ambiguity, responsibility, and power). (Hoy and Miskel 1987 :273

Situational approach and theories hence postulate that the leaders’ effectiveness
depends on the situation at hand for under condition a, style x would be appropriate,
whereas style y would be more suitable for condition b, and style z for condition.
Hence, according to the situational approach or theories ‘leaders were made by the
situation’, and were ‘not born to lead and others to follow’.

Contingency theories
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The most current theories or models of the study of leadership involve a
contingency approach. According to this approach, it is necessary to specify the
conditions or situational variables that moderate the relationship between leader
traits or behaviors and performance criterion. Fiedler’s contingency model and
House’s Path Goal exemplify contingency theories.

Fiedler Contingency Model

According to Fiedler contingency model ‘effective group performance depends on
the proper match between the leader’s style and the degree to which the situation
gives control to the leader. (Pg.320).
According to Fiedler the situation in which the leader operates is the first key
variable in the model and can be characterized by 3 factors namely:
• Leader-member Relations e.g. degree of confidence, trust, respect followers have

• Task structure – degree which task/assignment is clear to leader and subordinates

• Position power – amount of power attached to the leaders position. The

second variable in the model is the leader. He suggests 2 basic leader
orientation namely:
• Relationship oriented – more lenient, people oriented style
• Task oriented – concerned with accomplishment of task

House’s Path-Goal Theory

Path-Goal theory is another contingency theory (or approach to leadership). It was

developed by House and refined in the 1970’s. The model integrates concepts of
leader behavior and situational favourableness (with a unique definition of
effectiveness).
The theory is called Path-Goal because it explains how leaders influence their
subordinates’ perception of work goals, personal goals and paths to goal attainment.
Leaders are effective when they enhance acceptance, satisfaction and motivation
levels of their subordinates.

Types of Leadership styles

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Autocratic leader issues orders to subordinate, Democratic leader allows all people
to give ideas while Laissez Faire leader only provides leadership when called upon
to do so.

Autocratic/Authoritarian Style of Leadership

Autocratic leadership is also known as authoritarian leadership. An autocratic leader
more often than not has absolute power and as a result he tends to be dictatorial. The
autocratic leader wields a lot of power over the subordinates for he is in a position to
use ‘rewards, praise, or fear of criticism or punishment’ (see Hikes and Gullet,
1981:301).

Characteristics of an Autocratic Leader

As D’Souza (1989) has noted about the characteristics of authoritarian-style leaders, they:
• Are generally strong-willed, domineering, and to some extent, aggressive.
• Must have their own way, which for them, seems the only way.
• look upon subordinates more as functionaries than as persons, and the best
subordinates, in their estimation, follow directions without questions
• Ordinarily are not ready to listen to views and suggestions of others (although
may pretend to), if they are different opinions.
• Do not encourage equal relationships (i.e. adult to adult) with underlings. As
a rule they do not allow themselves to get close to employees. They do not
like to see employees get close to one another, for such cliques, as
authoritarian leaders perceive them, might endanger their authority.
• Have business-like and task-oriented attitudes. The job comes first.
• Generally blame poor results on the inability of others to carry out
instructions correctly.

Characteristics of an Organisation with autocratic Leadership

An organisation where authoritarian/autocratic style of leadership is being used one
therefore tends to find that:
• Power and authority is centralised on the leader

• The leader tends to be dictatorial, that is, he issues orders and instructions to
the employees and expects them to obey without any questioning. Violation
of orders is heavily punished.

• The leader sets policy, structures, interprets, and modifies tasks as he wishes.

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 • The leader does not consult his followers on important matters e.g. policies,
rules, definition of tasks, structure.

• The leader makes decisions without any consultations.

• Rules are very harsh.

• Employees are closely supervised controlled and directed.

• The flow of communication tends to flow from the top to bottom.

• There is little consideration for employees needs and interests e.g. when
issuing responsibility

Advantages of Autocratic style

• Decisions are made without any delays as leader does not consult or consider
the employees opinions needs, desires, interest.

• Work is accomplished quickly because employee is expected to perform

work without questioning. Employees are also dealt with harshly when they
fail to perform work as expected.
• This type of leadership is suitable for uncommitted workers e.g. those who
neglect their work, come to school drunk are frequently absent from work

Disadvantages
• Creates low jobs morale. Workers feel frustrated and demoralized as the
leader has little regard for their interests and needs

• Workers are expected to give unquestionable support to leader and whether

they agree with him or not. Failure to support the leader results in
punishment.

• Leaders tend to over control and direct employees even when it is not necessary.

• This may lead to feelings of dissatisfaction and they may even rebel against
the leader.

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 • The leader also set policies regulations, structure etc. He also sets and
modifies tasks without consulting others in the organization for school. This
may result in harsh rules, policies and working conditions.

• Decisions may be poor as leader may not consult others even though he may
lack information, expertise, knowledge on the matter (e.g. buying of computer
hardware)

• This may result in a high turnover (transfers) of staff and as a result it may be
difficult to achieve organizational objectiveness. In a school situation
students may fail to learn well due to frequent transfers and turnover of staff
leading to failure in national examinations.

Democratic/ participative style

Democratic leadership is also known as participative leadership. In a democratic
organization all members are involved in decision making and all other matters
concerning the organization and as a result the leader receives more cooperation
from employees in the achievement of organizational goals. D’Souza (1989)
summarizes the characteristics of democratic leaders as being:
• They are generally concerned with maintaining group effectiveness as with
completing the task to be done.
• They encourage members in their groups to express their ideas and feelings,
because they believe that such a climate leads to greater creativity and
commitment.
• If they encounter resistance or conflicts, they allow them to surface and they
seek the help of these groups in removing the resistance or resolving the
conflicts.
• They encourage joint decision-making as well as shared goal-setting.
• They rarely set policies without explaining the reasons, and proposing them
to their groups, when they can, for suggestions and criticism.
• They believe that responsibility for getting a job done depends as much on the
group as upon themselves. They try to have this attitude shared by all group
members.
• They allow group members a good deal of freedom in their work, once they
have shown their ability to do it.
• Thy keep looking for better ways to do things, and are open to change when
convinced that such changes seem called for and would lead to greater
effectiveness.

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 • They believe in the effectiveness of group work. They also believe that
groups of concerned individuals working together have greater potential than
when those same members work as individuals

Characteristics of an Organization with Democratic Leadership

An organization where democratic leadership is being exercised has the following
identifiable characteristics:
• A democratic leader is chosen through popular election or is appointed
because of ability and qualifications.

• The peoples’ basic needs, rights and freedoms are guaranteed and respected
by the organisation. The leader is therefore able to obtain workers co-
operation in achieving of organisational goals.

• The democratic leader recognises the fact his followers are capable of
making good decisions and suggestions based on the followers training and
experiences. Hence he allows workers to participate in decision making. It is
therefore assumed that workers will support decisions that they have helped
to make and that consequently this will lead to the achievement of
organisational goals.

• Ideas are exchanged between a democratic leader and his workers and also
between the workers themselves. A democratic organisation is more likely to
be better organised and more effectively run than an autocratic one for ideas
are contributed by many people and not just a selected few.

• In democratic style of leadership, power and authority are decentralised

unlike with autocratic leadership style. In other words, power and authority is
derived from both the governor and the governed.
• Followers are consulted on important matters concerning decisions, policies,
rules, and structure, definition of tasks and all other important matters. They
are also generally informed about their working conditions.

• There is a good interpersonal relation between leader and workers. The

morale is high and there is job satisfaction. Workers do not also over depend
on the leader.

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 • Decisions on organisational matters are reached after necessary consultations
and communications with various section / people in organisation.

Advantages of Democratic leadership style

• Job morale is high.

• There is commitment and team effort towards achievement of organisational goals.
• Employees are allowed to participate in decision making and their ideas are
appreciated and considered in all matters.
• Interpersonal relations between the leader and other workers is good.
• Communication is good
• There is delegation of authority.

Disadvantages / Limitations
• Employees with weak self-motivation tendencies may relax
• Decisions may be delayed due to too many consultations.
• Production may be low if there are too many considerations e.g. if teachers
requests to teach his preferred subject and not one which the school authorities
would prefer
• Students may fail examination if weak teachers are not controlled and
directed to some extent e.g. if teachers are not closely supervised by ensuring
schemes of work and Chapter plans are well written
• However there may be low productivity or poor decisions may be made of
when everyone’s wishes is taken into account

Laissez Faire style of leadership

This leadership is also referred to as free rein, meaning ‘free’ style of leadership. In
this type of style, the leader does not provide external motivation as is the case with
autocratic or democratic leadership styles but instead workers are left to ‘motivate
themselves based on their needs, wants, and desires. They are given a goal and left
mostly up to their own to achieve it, using their ingenuity.’ (Hicks and Gullet,
1975:303).
Characteristics of an Organization with a Laissez Faire Leader
• The leader has very little authority and power over the workers and he tends
to be very tolerant

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 • There are very few rules or regulations and there is no code of conduct for
employees.

• The leader assumes the role of group member rather than that of a leader, that
is, the employees see him/her as being on the same organizational level and
consequently he has very little influence on them.

• The leader does not provide external motivation but instead workers are left
to motivate themselves according to their ability, needs, interests, desires etc.

• Employees tend to work independently of the leader and there are also very
few committed workers. At best, the leader only assigns tasks and then leaves
employees to accomplish work on their own.

• Accomplishment of goals work depends on individual effort expertise and

knowledge

Advantages of the Laissez Faire style

• it increases the workers independence, expression and makes them function
as members of a group

• makes employees (especially those at the self-actualisation level) to be

creative for they are allowed to work independently without unnecessary
controls

Disadvantages of the Laissez Faire style

• lack of a strong leader can result in lack of direction and control and can
easily result in chaos

• workers can easily become frustrated, insecure, demoralised etc. due to lack
of guidance from the leader

• organisational goals may never be achieved

Qualities of a successful leader

The following are the major innate qualities in a successful leader.
• Physical features like height, weight, health and appearance

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 • Intelligence
• Emotional stability

• Human relations
• Empathy
• Objectivity
• Motivating skills
• Technical skills
• Communicative skills
• Social skills.

Functions of leaders
The functions of a leader can be detailed as follows:

• Taking the initiative – A leader initiates all the measures which are necessary
for the purpose of ensuring the health and progress of the undertaking in a
competitive economy.
• He/she identifies group goals
• He/she represents the organization
• He/she acts as an arbitrator
• To assign reasons for his actions
• To interpret the objectives of organization
• To guide and direct the organization
• To encourage team work
• He manages the organization

Assignment
1. “Leaders are born, not made.” Discuss

2. A leader is not necessarily a manager. Discuss

3. Critically examine the different theories of leadership.

4. Explain the qualities and functions of a leader.

5. Discuss various leadership styles. How would you secure effective leadership
in the management of an organization?

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Assessment
1. Why is it necessary to have leaders in organizations?

2. What traits do you think characterises successful leaders?

3. List and discuss five things a head teacher can do to motivate his or her
teaching staff.

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 UNIT: 9

BUDGETING AND CONTROL

Introduction
Budgeting is a process, which includes two important functions: Budget and
Budgetary control. Budget is a planning function and budgetary control is a
controlling system or technique. A manager looks to the future, searches for
alternative courses of action and predetermines a course of action to be taken in
relation to known events and the possibilities of future problems.

Upon completion of this unit you will be able to:

Outcomes

• Explain the concepts of budgeting and budgetary control

• Discuss the establishment of effective budgeting system

• Understand the role of budgeting various types of budgets

WHAT IS A BUDGET?
A budget is a plan expressed in quantitative, usually monetary terms, covering a
specific period of time, usually one year. In other words, a budget is a systematic
plan for the utilization of manpower and material resources. In a business
organization a budget represents an estimate of future costs and revenues. Budgets
may be divided into two basic classes: Capital Budgets and Operating Budgets.

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Capital budgets are directed towards proposed expenditure for new projects and
often require special financing (this topic is discussed in the next unit). The
operating budgets are directed towards achieving short term operational goals of the
organization, for instance, production or profit goals in a business firm. Operating
budgets may be sub-divided into various departmental or functional budgets. The
main characteristics of a budget are:
• It is prepared in advance and is derived from the long term strategy of the
organization
• It relates to future period for which objectives or goals have already
been laid down
• It is expressed in quantitative from, physical or monetary units, or both.
Different types of budgets are prepared for different purposes e.g. Sales Budget.
Production Budget, Administrative Expense Budgets, Raw-material Budget, etc. All
these sectional budgets are afterwards integrated into a master budget which
represents an overall plan of the organization. A budget helps in the following ways:
• It brings about efficiency and improvement in the working of the organization.
• It is a way of communicating the plans to various units of the organization.
By establishing the divisional, departmental, sectional budgets, exact
responsibilities are assigned. It thus minimizes the possibilities of buck-
passing if the budget figures are not met.
• It is a way of motivating managers to achieve the goals set for the units.
• It serves as a benchmark for controlling on-going operations.
• It helps in developing a team spirit where participation in budgeting is encouraged.
• It helps in reducing wastage's and losses by revealing them in time for
corrective action.
• It serves as a basis for evaluating the performance of managers.
• It serves as a means of educating the managers.

PERFORMANCE BUDGETING
Budgeting is nothing but the technique of ex pressing, largely in financial terms, the
management's plans for operating and financing the enterprise during specific

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periods of time. Any system of budgeting, in order to be successful, must provide
for performance appraisal, as well as follow up measures.

The traditional (also known as line-item or object-account) budget in government

enumerates estimated expenditures by type (and quantity) for a specified period of
time, usually one year. The expenditure is classified by object; the personnel are
listed by type of position; the budget is divided into sections according to
organizational units, department sections; and the types of expenditure are listed by
category. The primary purpose of traditional budget particularly in government
administration is to ensure financial control and meet the requirements of legal
accountability, that is, to ensure that appropriation, sanction or allotment limits for
different items are not related to the intended or planned outputs (or achievements).
The necessity for linking the expenditures (or inputs in financial terms) to outputs
(in physical terms), facilitating the evaluation of outcomes (or result of activities)
cannot be overemphasized.
Performance budgeting (or programme budgeting) has been designed to correct the
shortcomings of traditional budgeting by emphasizing management's considerations/
approaches. Both the financial and physical aspects are incorporated into the budget.
A performance budget presents the operations of an organization in terms of
functions, programmes, activities, and projects.
In performance budgeting (PB), precise detainment of job to be performed or
services to be rendered is done. Secondly, the budget is prepared in terms of
functional categories and their sub-division into programmes, activities, and
projects. Thirdly, the budget becomes a comprehensive document. Since the
financial and physical results are interwoven, it facilitates management control.

The Main objectives of performance budgeting are:

i. to coordinate the physical and financial aspects;
ii. to improve the budget formulation, review and decision-making at all levels
of management
iii. to facilitate better appreciation and review by controlling authorities
(legislature, Board of Trustees or Governors, etc) as the presentation is more
purposeful and intelligible
iv. to make more effective performance audit possible
v. to measure progress towards long-term objectives which are envisaged in a
development plan.
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Performance budgeting involves evaluation of the performance of the organization
in the context of both specific, as well as, overall objectives of the organization. It
presupposes a crystal clear perception of organizational objectives in general, and
short-term business objectives as stipulated in the budget, in particular by each
employee of the organization, irrespective of his level. It thus, provides a definite
direction to each employee and also a control mechanism to higher management.
Performance budgeting requires preparation of periodic performance reports. Such
reports compare budget and actual data, and show variances. Their preparation is
greatly facilitated if the authority and responsibility for the incurrence of each cost
element is clearly defined within the firm's organizational structure. In addition, the
accounting system should be sufficiently detailed and coordinated to provide
necessary data for reports designed for the particular use of the individuals or cost
centres having primary responsibility for specific cost.
The responsibility for preparing the performance budget of each department lies on the
respective Department Head. Each Department Head will be supplied with a copy of
the section of the master budget appropriate to his sphere. For example, the chief buyer
will be supplied with the copy of the materials purchase budget so that he may arrange
for purchase of necessary materials. Periodic reports from various sections of a
department will be received by the departmental head that will submit a summary
report about his department to the budget committee. The report may be daily, weekly
or monthly, depending upon the size of business and the budget period. These reports
will be in the form of comparison of budgeted and actual figures, both periodic and
cumulative. The purpose of preparing these
reports is to promptly inform about the deviations in actual and budgeted activity to
the person who has the necessary authority and responsibility to take necessary
action to correct the deviations from the budget.

ZERO BASE BUDGETING

Earlier we have explained the formulation of different types of budgets. If the
approach adopted in the formulation and preparation of budgets is based on current
level of operations or activities, including current level of expenditure and revenue,
such budgeting is known as traditional budgeting This type of budgeting process
generally assumes that the allocation of financial resources in the past were correct
and will continue to hold good for the future as well.

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 In most cases, an addition is made to the current figures of cost to allow for
expected (or even unexpected) in-creases. Consequently, the budget generally takes
an upward direction year after year, in spite of generally declining efficiency. Such a
system of budgeting cannot be expected to promote operational efficiency. It may,
on the other hand, create several problems for top management. Some of these
problems are:
• Programmes and activities involving wasteful expenditure are not identified,
resulting in avoidable financial and other costs.
• Inefficiencies of a prior year are carried forward in determining subsequent
years' levels of performance.
• Managers are not encouraged to identify and evaluate alternative means of
accomplishing the same objective.
• Decision-making is irrational in the absence of rigorous analysis of all
proposed costs and benefits.
• Managers tend to inflate their budget requests resulting in more demand for
funds than their availability. This results in recycling the entire budgeting
process.

Thus, the traditional budgeting technique may be quite meaningless in the present
context when management must review or re-evaluate every task with a view to
utilize the scarce resources in a better manner or to improve performance. The
technique of zero base budgeting provides a solution for overcoming the limitations
of traditional budgeting by enabling top management to focus on priorities, key
areas and alternatives of action throughout the organization.
The technique of zero base budgeting suggests that an organization should not only
make decisions about the proposed new programmes, but should also review the
appropriateness of the existing programmes from time to time. Such a review should
particularly be done of such responsibility centres where there is relatively high
proportion of discretionary costs. Costs of this type depend on the discretion or policies
of the responsibility centre or top managers. These costs have no direct relation to
volume of activity. Hence, management discretion typically determines the amount
budgeted. Some examples are: expenditure on research and development, personnel
administration, legal advisory services.
Zero base budgeting, as the term suggests, examines or reviews a programme or
function or responsibility from ‘scratch’. The reviewer proceeds on the assumption
that nothing is to be allowed. The manager proposing the activity has, therefore, to
justify that the activity is essential and the various amounts asked for are reasonable

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taking into account the outputs or results or volume of activity envisaged. No
activity or expense is allowed simply because it was being allowed or done in the
past. Thus according to this technique each programme, whether new or existing,
must be justified in its entirety each time a new budget is formulated. It involves:

• dealing with particularly all elements of mangers' budget requests

• critical examination of ongoing activities along with the newly proposed activities
• providing each manger a range of choice in setting priorities in respect of
different activities and in allocating resources.

Process of Zero Base Budgeting

The following steps are involved in Zero base budgeting:
a. Determining the objectives of budgeting: The objective may be 'to effect cost
reduction in staff overheads or it may be to drop, after careful analysis, projects
which do not fit into achievement of the organisations objectives etc.
b. Deciding on scope of application: The extent to which zero base budgeting is
to be introduced has to be decided, i.e. whether it will be introduced in all
areas of the organisation's activities or only in a few selected areas on trial
basis.
c. Developing decision units Decision units for which cost-benefit analysis is
proposed have to be developed so as to arrive at decisions whether they
should be allowed to continue or to be dropped. Each decision unit, as far as
possible should be independent of other units so that it can be dropped if the
cost analysis proves to be unfavourable for it.

Advantages of Zero Base Budgeting

Let us summarise the advantages of zero base budgeting:
• It provides the organisation with systematic way to evaluate different
operations and programmes undertaken. It enables management to allocate
resources according to priority of the programmes.
• It ensures that each and every programme undertaken by managers is really
essential for the organisation, and is being performed in the best possible
way.

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 • It enables the management to approve departmental budgets on the basis of
cost-benefit analysis. No arbitrary cuts or increase in budget estimates are
made.
• It links budgets with the corporate objectives. Nothing will be allowed simply
because it was being done in the past. An activity may be shelved if it does
not help in achieving the goals of the enterprises.
• It helps in identifying areas of wasteful expenditure and, if desired, it can also
be used for suggesting alternative courses of action.
• It facilitates the introduction and implementation of the system of
`management by objectives'. Thus it can be used not only for fulfilment of
the objectives of traditional budgeting, but also for a variety of other
purposes.

It is contended that zero base budgeting is time consuming. Of course, it is true, but
it happens only in the initial stages when decision units have to be identified and
decision packages have to be developed or completed. Once this is done, and the
methodology is clear, zero base budgeting is likely to take less time than the
traditional budgeting. In any case, till such time the organisation is properly
acclimatized to the technique of zero base budgeting, it may be done in a way that
all responsibility centres are covered at least once in three or four years.

Assignment
1. What is the significance of' Budgetary Control' in Zambian school?

2. Define budgeting and budgetary control. State the objective of Budgeting.

3. What are the essentials of an effective system of Budgeting? Discuss

Assessment
4. Has your organization adopted any of the features of the new developments
of innovations, such as Performance Budgeting, Zero Base Budgeting, etc.?
List some of the important steps taken in the recent past.
5. What is Budget? What is sought to be achieved by Budgetary Control?

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UNIT: 10

TOTAL QUALITY MANAGEMENT

Introduction
Total quality management entails not specific procedures, policies and practices but a philosophy
that commits the organization to continuous quality improvement in all of its activities. It refers
to the application of quality principles to overall process and all the management functions in
order to ensure total customer satisfaction. (Michael, et. Al. (1997)

4.10.1 Total Quality Management

According to Witcher (1990) Total Quality Management is composed of three terms:
Total: meaning that every person is involved including all organizational clients.
Quality: implying that clients’ requirements are met in accordance to specification.
Management: indicating that senior executives are committed.
A core definition of total quality management describes a management approach to long term
success through customer satisfaction. To achieve a goal in TQM all members in an organization
must participate in improving processes, products, services and the culture in which they work.
Quality management: consist of the methods organization use to ensure that their services
consistently meet and improve on quality standards.
Total quality management is therefore both a philosophy and a set of guiding principles that
represents foundation of a continuously improvement of an organization.
4.10.2 Quality
It can be seen as attribute of a product or service which ensures that it is attractive in the eyes of
the clients (learners and employees). It is relative property rather than an absolute one, in that a
given product or service will be attractive to clients if it fulfils their expectations more fully than
any other product or service under consideration.

4.10.3 Principle of total Quality Management

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Under the principles of TQM each person within an organization shares the responsibilities of
quality management. The primary purpose of these principles is to engage every worker, every
action and every system with one common goal, maintaining and advancing the best quality
standards.

i. Learners and employees focus

Learner focus is at the top of the list for the 7 principles of total quality management. Quality is
intrinsically linked to requirement of your learner and other employees. To be successful, quality
needs to match or exceed learners and employees expectations. Focus allow to receive greater
loyalty, better reputation and academic achievement. Without this focus the reason for your
organization is lost.
ii. Leadership
Leadership does not only flow from top to bottom, it should flow in all directions as members
interact. When talking about quality, leadership is less about telling people what to do and more
about unifying the workforce. Leaders of all levels must be on the same page aligning their
people, their strategies and their objectives. With leadership that points in one direction, to the
rest of the workforce follow suit under the same purpose and focus.
iii. Engagement of employees
No matter the size of the organization the school members are a team. To manage any team
efficiently, you need to involve all members. Otherwise you will not pull quality and value from
every area of your operation. To get the most out of your employees you need to first believe that
each person has value to give. Valuing your personnel’s skills, knowledge and uniqueness
involve them in the ongoing improvement process and the future direction of the organization,
this will enable them to share their insights and expertise. This is essential for TQM as the efforts
is a school wide objective.
Additionally, incorporating employees into the larger picture serves to enhance their
comprehension and capabilities. With more knowledge and communication, employees are better
able to make value- adding decisions.
iv. Drive out fear
Fear is enemy of creativity, which is a key factor in continuous improvement. Therefore, Deming
(1991) suggests driving out fear in all walks of the organizations both industry and education.
This is how everyone will perform and better the system. This can be done b preparing and
encouraging people for taking risks boldly. Fear can be thrown out from the organisation by
creating an environment of dignity and respect. If we behave with respect and dignity then the
members of the organistion will provide innovative ideas for improvement.
v. Process approach

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No action within an organization exist in isolation. Every process is connected to at least one
other procedure. Total quality management brings every activity into account when making
changes or seeking opportunities for continuous improvement. Having a clear understanding of
your organization interrelated activities will break down cross functional barriers and provide
consistent and predictable results.

vi. Improvement
Teaching methods, subject content and procedures in educational offices constantly change with
new policies and government, learners and employee’s expectations need to pursue improvement
at an equal pace.
For this rate of improvement to be possible organization need knowledge and flexibility. There is
need to gather accurate data and incorporate the best methods as fast as possible.
vii. Evidence based decision making
Often when faced with a decision, we are receiving information from multiple sources. This can
muddy the waters when it comes time to make changes as each source does not contain the story.
Without trustworthy data, how can we perform evidence based decision making? What is needed
is factual data from a trusted sources that monitor all aspects of your operations. This will
provide a firm grasp of the cause and end effect relationship within your organization.
viii. Relationships management
Interested parties in organizations should be connected to some degree and need to work
together. For continued success, organizations need to manage their relationships and optimize
their interactions to promote healthy business. One method of managing these relationships is by
optimizing methods to share procedures.
ix. Eliminate barriers to satisfaction and pleasure of workmanship
Majority of teachers want to perform better. Therefore, remove barriers that rob students,
principals and other supporting staff of their rights of joyful events. This leads towards the end of
rating practices.
Management’s responsibility must be moved from quantity to quality. Some common barriers
are conflicting or ambiguous goals, changing directions from the authorities, fear of mistakes,
lack of information and training deficient feedback on achievements.

4.10.5. Quality circles; Performance Appraisal

Quality circles
It is a team of superiors in organization who meet to identify, analyse, Appraise and resolve work
related problems not only to improve quality, productivity and total performance of the
organization but also to enrich the quality of work-life of employees.
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Performance appraisal.
 Performance appraisal is the process of determining and communicating to an employee
how he is performing the job.
 It is therefore, a formal exercise in which organizations evaluate its employees, in terms
of contributions made towards achieving organizational objectives.
WHO CAN BE THE APPRAISER?
 The immediate manager, Immediate supervisor, A high-level manager, Specialist (from
personal department)
WHY USE PERFORMANCE APPRAISALS?
- They provide systematic judgment to support salary increase, promotions, transfers,
and sometimes, demotions or terminations
- They are a means of telling subordinates how they are doing and of suggesting
needed changes in behavior, altitudes, skills, or knowledge, they let subordinates
know where they stand with the boss
- They furnish a useful basis for the coaching and counselling of individuals by
superiors.
- Performance appraisal is one of the important processes of human resource utilization
function which is related to the periodic assessment of employee’s job performance.
- It can be understood as the act of comparing employee’s input and output with the
pre-established criteria and objectives of the organization.
- Performance appraisal does not only focus on measuring the targets achieved by the
employees but also their behavior in the workplace.
BENEFITS OF PERFORMANCE APPRAISAL
- Appraisal can help to improve employees’ job performance by identifying strength
and weaknesses and determine how best to improve.
- They can help to reveal problems which may bring restricting employees’ progress
and causing inefficient work practices
- There must be right man for the job. In the absence of appraisal wrong persons may
be assigned with wrong job.
- It becomes easy for managers to convince employees and give them feedback on
inputs and outputs
- Identification of competent workers provide information to decide for promotion of
deserving employees.
- It helps in designing training programs. The weakness of workers and their potential
for development are revealed.

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 - Performance appraisal enables the superior to identify the reasons for good and bad
performance. This helps the superior to guide and help their subordinates where they
lack knowledge.
In conclusion organisations need to recognize people as a valuable business resource, which can
be used to create, protect or waste assets; that there are investment costs as well as benefits in
this process: that the benefits will be greater than the costs and that organizations will only
benefit fully from investing in people if they start with clearly defined objectives and actions. It
is recognized that the foundation TQM is the human response and human efforts which can give
extra-ordinary results with available materials resource and achieve total quality

100
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