EMA 711: EDUCATIONAL ADMINISTRATION AND MANAGEMENT COURSE ASSESSMENT

Course Lecturer Dr. Kageha Zilpah Andiva Final Examination 70%

Policy Project 15%

COURSE PURPOSE Continuous Assessment 15%

This course examines the purpose and the functions of School Administration and Management. The
course explains how traditional and scientific management theories have impacted school administration
and management in Kenya. The course also explains the process of managing personnel and other
resources in order to achieve the school goals and objectives.
STUDENT LEARNING OUTCOMES
By the end of the course, the learners should be able to:
1.Be Conversant with the Foundational knowledge (Knowing basic foundational concepts and
definitions of educational administration & Management )
Total 100%
COURSE ATTENDANCE POLICY
Due to the fast-paced nature of this course, it is imperative that students attend and actively participate in
all classroom sessions. Your participation adds value to the class discussion and helps me assess your
level of understanding of the course materials. If you must miss my course, you must notify me via email
or phone within two business days. The University views class attendance as the responsibility of an
individual student. Attendance is essential to complete the course successfully.

a). Understand the basic tenets of educational administration and management and different types of Unexcused absences will result in a lower classroom participation grade.
leadership and strategy
SUMMARY OF COURSE SESSIONS
b). Categorize the essential components that define educational administration and management
Session 1: Basic concepts and processes in Educational Administration and Management
2.Application of course material (Applying the course’s basic tenets in your professional practice)
i. Administration, Management, Leadership, Delegation, Authority
a)Apply the course materials to critically think about educational administration and management in
school systems ii. Administrative processes (Planning, Organizing, Staffing, Directing
Coordinating, Reporting, Budgeting and Decision-making
3. Integration of course material (Connecting key course concepts with your professional practice and
program courses) Recommended Readings:

a). Become aware of various management functions in a school. 1. Sindhu I. S. (2012). Educational Administration and Management, Publisher: Pearson India: ISBN:
9788131771624( Chapter 1 ,2,3,4&5)
b). Communicate/share the knowledge, they have learned with peers, faculty members, and being able
to effectively lead others in their schools. 2. Chikweru A. E (2008). Introduction to Educational Administration; A Module Publisher: Harey
Publications, ISBN 978-48654-4-9
COURSE CONTENT
Session 2: Management and leadership theories and practice in Education
Management and administrative theory, human resource, project, strategic planning and organizational
change management iii. Definition of terms

iv. Classical/ Traditional theories (F. Taylor)

TEACHING AND LEARNING MODE OF DELIVERY v. Scientific management theory (H. Fayol)

The following methods of teaching and learning will be used: Lecture method e-learning, class vi. Bureaucratic approach – (Max weber)
discussion, individual or group research, and presentations.
vii. Human relations approach
INSTRUCTIONAL MATERIALS
viii. Behavioural approach
The following materials will be used: Handouts, lecture notes, and students are to conduct their
individual or group research in the library and in their communities. ix. Systems approach

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Recommended Readings: Session 6: Strategic Planning and Management in Education

1. Chikweru A. E (2008). Introduction to Educational Administration; A Module Publisher: Harey xxii. Definition of terms
Publications, ISBN 978-48654-4-9
xxiii. Strategy formulation (strategic direction, SWOT analysis, strategic
2. Amanchukwu, R. N., Stanley, G. J., & Ololube, N. P. (2015). A review of leadership theories, issues)
principles and styles and their relevance to educational management. Management, 5(1), 6-14.
xxiv. Strategy implementation (implementation framework)
Session 3&4: Human Resource Management in Education
xxv. Monitoring and evaluation tools
x. Definition of terms
Recommended Readings:
xi. The TSC staffing process (Recruitment, selection, orientation, and
placement of teachers 1. Chikweru A. E (2008). Introduction to Educational Administration; A Module Publisher: Harey
Publications, ISBN 978-48654-4-9.
xii. Motivation theories and strategies
3. Farrant J. S (2002). Principles and practice of education, Edinburg: Longman 2002
xiii. Delegation strategies and dynamics
4. Chang, G. C. (2008). Strategic planning in education: Some concepts and methods. In Directions
xiv. Human resource information system in educational planning: symposium to honour the work of Françoise Caillods.

xv. Management and Supervision of Students Session 7: Management of Educational Change

xvi. Management Structure and functions in Secondary school human xxvi. Definition of terms
resources: BOM, PTA, head teacher, deputy, head of department,
teacher, student council xxvii. Overview of educational changes in Kenya

Recommended Readings: xxviii. Rationale/reasons for educational change

1. Chikweru A. E (2008), Introduction to Educational Administration; A Module Publisher: Harey xxix. Resistance to change
Publications, ISBN 978-48654-4-9
xxx. Strategies for implementing change
2. Middlewood, D., & Lumby, J. (1999). Human resource management in schools and colleges.
SAGE. xxxi. Use of ICT in school administration and management

Session 5: Project Planning and Management in secondary school setting Recommended Readings:

xvii. Definition of terms 1. Farrant J. S (200). Principles and practice of education, Edinburg: Longman 2002

xviii. Types of projects in school 2. Yanling Jin , (2014). Educational Administration Management System and Modern Education
Management on the Perspective of Modern Information Technology. Information Technology
xix. Principles of project planning Journal, 13: 340-346.

xx. Importance of project planning and management in school 3. Hersey P. Blanchard K. Johnson D.(2001). Management of Organizational Behavior, New
Delhipearson Educational Inc. 2001.
xxi. Project appraisal
4. Nilakant V. Ramayayan S.(2003). Managing Organizational Change, New Delhi Response
Recommended Readings: books 2003.

1. Chikweru A. E (2008), Introduction to Educational Administration; A Module Publisher: Session 8: Assignments due
Harey Publications, ISBN 978-48654-4-9
Summary of Suggested References
2. Chang, G. C. (2008). Strategic planning in education: Some concepts and methods. In Directions
in educational planning: symposium to honour the work of Françoise Caillods. 1. Sindhu I. S. (2012) Educational Administration and Management, Publisher: Pearson
India: ISBN: 9788131771624

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2. Yanling Jin , 2014. Educational Administration Management System and Modern organizational goals can be achieved. Nature of management can be highlighted as: -
Education Management on the Perspective of Modern Information Technology.
Information Technology Journal, 13: 340-346. 1. Management is Goal-Oriented: The success of any management activity is
assessed by its achievement of the predetermined goals or objective. Management
3. Chikweru A. E (2008), Introduction to Educational Administration; A Module is a purposeful activity. It is a tool which helps use of human & physical resources
Publisher: Harey Publications, ISBN 978-48654-4-9 to fulfill the pre-determined goals. For example, the goal of an enterprise is
maximum consumer satisfaction by producing quality goods and at reasonable
4. Francisco Javier Blanco-Encomienda (2013) Strategic Management as Key to Improve the prices. This can be achieved by employing efficient persons and making better use
Quality of Education, University of Granada, Faculty of Education and Humanities, Ceuta, of scarce resources.
Spain
2. Management integrates Human, Physical and Financial Resources: In an
5. Farrant J. S Principles and practice of education, Edinburg: Longman 2002 organization, human beings work with non-human resources like machines.
Materials, financial assets, buildings etc. Management integrates human efforts to
6. Hersey P. Blanchard K. Johnson D. Management of Organizational Behavior, New those resources. It brings harmony among the human, physical and financial
Delhipearson Educational Inc. 2001. resources.
3. Management is Continuous: Management is an ongoing process. It involves
7. Nilakant V. Ramayayan S. Managing Organizational Change, New Delhi Response books continuous handling of problems and issues. It is concerned with identifying the
2003. problem and taking appropriate steps to solve it. E.g. the target of a company is
maximum production. For achieving this target various policies have to be framed
but this is not the end. Marketing and Advertising is also to be done. For this
policies have to be again framed. Hence this is an ongoing process.
TOPIC 1: BASIC CONCEPTS AND PROCESSES IN EDUCATIONAL 4. Management is a Group Activity: Management is very much less concerned
ADMINISTRATION AND MANAGEMENT with individual’s efforts. It is more concerned with groups. It involves the use of
group effort to achieve predetermined goal of management of ABC & Co. is good
1.1 Definition of Concepts refers to a group of persons managing the enterprise.
Administration is a process of systematically arranging and co- ordinating the human and
material resources available to any organization for the main purpose of achieving stipulated 1.3 Management and Administration
goals of that organization.
The difference between Management and Administration can be summarized under 2 categories:
When applied to the school system, the process is referred to as Educational Administration or
School Administration. The basic aim of administration is the need to get things done for
defined objectives to be accomplished. On the Basis of Functions: -

Educational Administration is the process of bringing men and materials together for effective Basis Management Administration
and functional teaching and learning in the school.
It is a process through which the school administrators arrange and co-ordinate the resources
available to education, for the purpose of achieving the goals of the educational system. Meaning Management is an art of getting It is concerned with formulation of broad
things done through others by objectives, plans & policies.
Management is a social process which is designed to ensure the cooperation, participation, directing their efforts towards
intervention and involvement of others in the effective achievement of a given or pre- achievement of pre-determined
determined goal or objective. goals.

Management is an integrating process by which authorized individuals create, maintain and

operate an organization in the selection and accomplishment of its aims. Management is
getting things done through others. Management is the co-ordination of all resources of an Nature Management is an executing Administration is a decision-making
organization through the process of planning, organizing, directing and controlling in order to function. function.
attain objectives (educational).
Management is the effective organization and utilization of human and material resources in a
particular system for the achievement of identified objectives.
Process Management decides who should Administration decides what is to be
as it & how should he dot it. done & when it is to be done.
1.2 Features of Management
Management is an activity concerned with guiding human and physical resources such that

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 achievable goals and providing followers with the knowledge and
Function Management is a doing function Administration is a thinking function tools necessary to achieve those goals.
because managers get work done because plans & policies are determined
under their supervision. under it. Delegation: Definition

Skills Technical and Human skills Conceptual and Human skills  The assignment of any responsibility or authority to another person (normally
from a manager to a subordinate) to carry out specific activities. It is one of the
core concepts of management.
Level Middle & lower level function Top level function  However, the person who delegated the work remains accountable for the
outcome of the delegated work.
 Delegation empowers a subordinate to make decisions, i.e. it is a shifting of
On the Basis of Usage: -
decision-making authority from one organizational level to a lower one.
Basis Management Administration  The opposite of effective delegation is micromanagement, where a manager
provides too much input, direction, and review of delegated work.
 Delegation is good and can save money and time, help in building skills, and motivate
Applicabil It is applicable to business It is applicable to non-business concerns people.
ity concerns i.e. profit-making i.e. clubs, schools, hospitals etc. Authority
organization.
 The power or right to give orders, make decisions, and enforce obedience.
‘he had absolute authority over his subordinates’
Influence The management decisions are The administration is influenced by
influenced by the values, public opinion, govt. policies, religious  Authority is the power to give orders and get it obeyed or in other words it is
opinions, beliefs & decisions of organizations, customs etc. the power to take decisions.
the managers.
Decision Making

Status Management constitutes the Administration represents owners of the

 Decision-making is the act of choosing between two or more courses of action.
employees of the organization enterprise who earn return on their  Decision-making involves choosing between possible solutions to a problem.
who are paid remuneration (in capital invested & profits in the form of Decisions can be made through either an intuitive or reasoned process, or a
the form of salaries & wages). dividend. combination of the two.
Intuition
 Intuition is using your ‘personal feeling’ about possible courses of action.
Intuition is a combination of past experience and your personal values.
From the above definitions of administration and management, the two terms are Reasoning
related. However for differentiation purposes, administration refers to development of
policies, management on the other hand refers to maintenance of such policies.  Reasoning is using the facts and figures in front of you to make decisions

1.4 Leadership: Definition

 Intuition is an acceptable means of making a decision, although it is generally
more appropriate when the decision is of a simple nature or needs to be made
According to the idea of transformational leadership, an effective leader is a quickly. More complicated decisions tend to require a more formal, structured
person who does the following: approach, usually involving both intuition and reasoning.

1. Creates an inspiring vision of the future. 1.4 Management functions

2. Motivates and inspires people to engage with that vision.
3. Manages delivery of the vision.
4. Coaches and builds a team, so that it is more effective at achieving the vision.
 Leadership is the ability of an individual or a group of individuals to
influence and guide followers or other members of an organization.
 Leadership involves making sound -- and sometimes difficult --
decisions, creating and articulating a clear vision, establishing
a) Planning
Planning is the process of determining the organizations goals, objectives and selecting how
best to achieve them. This functions also includes considering what must be done to
encourage necessary levels of change and innovation
b) Organizing
The process by which employees and their jobs are related to each other for accomplishing
organizational objectives. Through organizing managers determine which tasks are to be
done, how tasks can best be combined into specific jobs and how jobs can be grouped into
various units that make up the structure of the organization.

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c) Directing/ Leading Lilian Gilbeth and Henry Gauntt.
The process of inducing individuals or groups to assist willingly and harmoniously in
accomplishing organizational objectives i) Fredrick Taylor (1856-1915)
Leading includes communicating with others, helping to outline a vision of what can be - He is known the father of scientific management.
accomplished, providing direction, and motivating organization members to put forth the
substantial effort required. - He worked at midrale steel firm where he rose from a laborer to chief engineer in six
e) Controlling years.
This is the process of assuring efficient accomplishment of organizational objectives. It - This gave him and opportunity to deal with serious problems that he observed.
involves regulating organizational activities so that actual performance conforms to expected
organizational standards and goals.
- He particularly noted workers deliberately working at less than full capacity.
To do the necessary regulating, managers need to monitor ongoing activities, compare the - He believed that managers could solve this problem by developing a science
results with expected standards or progress towards goals and take corrective actions as of management based on the following principles.
needed. i) Scientifically study parts of a task and develop the best method for performing the
f). Staffing task.
The process of assuring that competent employees are selected developed and rewarded for
accomplishing organizational objectives. ii) Carefully select workers and train them to perform the task by using the
Though the functions of management are performed concurrently there is a logical flow of scientifically developed method.
activities. An organization must first plan in order to determine its objectives. iii) Cooperate fully with workers to ensure that they use the proper method.
iv) Divide work and responsibility so that management is responsible for
Once objectives are established, mangers design the organizations structure to meet these planning work methods, using scientific principles, and workers are
goals. Later they select employees to perform the required tasks. responsible for executing the work accordingly.
Managers consequently use leadership and interpersonal influence to spur employees to meet Taylor pioneered a method now known as the time and motion study.
the organizational objectives.
i) This method involved breaking down the work tasks into various elements or
Finally through control, managers determine whether organizations objectives are being motions eliminating unnecessary motions determining the best way to do the
efficiently achieved. job, and then timing each motion to determine the amount of production that
could be expected per day.
g).Reporting- ii) Workers should be given standardized conditions and appliances to
Process of ensuring that those to whom the executive is responsible are informed as to what is accomplish the task with certainty.
going on. It includes keeping himself and his subordinates informed through records, research iii) High pay should be tied to successful task completion.
and inspection.
iv) Failure should be penalized.
h). Budgeting- This is concerned with the financial matters of an organization v) As organizations become increasingly sophisticated, tasks should be made
where management states in quantitative terms in a certain currency planned so difficult as to be accomplished only by fast rate workers.
organizational activities for a given time.
Criticism
TOPIC TWO: MANAGEMENT AND LEADERSHIP THEORIES AND - Taylor took a narrow view of administrative behaviour in organizations. Eg he
PRACTICE IN EDUCATION ignored the motivational, interpersonal and emotional factors involved in
Classical Theories mobilizing human effort for common purposes.
The classical view point is a perspective of management that emphasizes finding ways to
manage work and organizations more efficiently. It is made up of three different approaches. Administrative management
(i) Scientific management - The administrative management approach focuses on principles that can be used
by managers to coordinate the internal activities of organization.
(ii) Administrative management
(iii) Bureaucratic management i) Major contributor include Henri Fayol

Scientific management
- It is an approach within the classical management theory that emphasizes Henry Fayol (1841-1925)
scientific study of work methods in order to improve workers efficiency. - Out of his experience as a manager he was convinced that it should be possible to
- Major representative of this approach include Fredrick Taylor, Frank and develop theories about management that could then be taught to individuals with

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 administrative responsibilities. - In other words, a sub-ordinate should not receive
- He defined the major managerial functions/activities; instructions from more than one person because It
 Planning undermines authority
 Organizing - Weakens discipline
 Commanding - Divides loyalty
 Coordinating - Creates confusion
 Controlling - Delays and chaos
From these functions he developed fourteen management principles which are; - Escaping responsibilities
- Duplication of work
Henri Fayols 14 Principles of Management - Overlapping of efforts

A principle refers to a fundamental truth. It establishes cause and effect relationship between
two or more variables under given situation. They serve as a guide to thought & actions. b. Therefore, dual sub-ordination should be avoided unless and until it
Therefore, management principles are the statements of fundamental truth based on logic is absolutely essential.
which provides guidelines for managerial decision making and actions. These principles are c. Unity of command provides the enterprise a disciplined, stable & orderly
derived: - existence.
d. It creates harmonious relationship between superiors and sub-ordinates.
a. On the basis of observation and analysis i.e. practical experience of managers.
4. Unity of Direction
b. By conducting experimental studies.
a. Fayol advocates one head one plan which means that there should be
There are 14 Principles of Management described by Henri Fayol. one plan for a group of activities having similar objectives.
b. Related activities should be grouped together. There should be one
1. Division of Labor plan of action for them and they should be under the charge of a
particular manager.
a. Henri Fayol has stressed on the specialization of jobs.
c. According to this principle, efforts of all the members of the
b. He recommended that work of all kinds must be divided & organization should be directed towards common goal.
subdivided and allotted to various persons according to their expertise
in a particular area. d. Without unity of direction, unity of action cannot be achieved.
c. Subdivision of work makes it simpler and results in efficiency. e. In fact, unity of command is not possible without unity of direction.
d. It also helps the individual in acquiring speed, accuracy in his performance. Basis Unity of command Unity of direction
e. Specialization leads to efficiency & economy in spheres of business.
2. Party of Authority & Responsibility
Meaning It implies that a sub- It means one head, one plan for a
a. Authority & responsibility are co-existing. ordinate should receive group of activities having similar
b. If authority is given to a person, he should also be made responsible. orders & instructions from objectives.
only one boss.
c. In a same way, if anyone is made responsible for any job, he should
also have concerned authority. Nature It is related to the functioning It is related to the functioning of
d. Authority refers to the right of superiors to get exactness from their of personnel’s. departments, or organization as a
sub-ordinates whereas responsibility means obligation for the whole.
performance of the job assigned.
e. There should be a balance between the two i.e. they must go hand in hand. Necessity It is necessary for fixing It is necessary for sound organization.
f. Authority without responsibility leads to irresponsible behavior responsibility of each
whereas responsibility without authority makes the person ineffective. subordinates.
3. Principle of One Boss
Advantage It avoids conflicts, confusion It avoids duplication of efforts and
a. A sub-ordinate should receive orders and be accountable to one and & chaos. wastage of resources.
only one boss at a time.

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 - There are good superiors at all levels.
Result It leads to better superior It leads to smooth running of the
sub-ordinate relationship. enterprise. - There are clear & fair agreements with workers.
- Sanctions (punishments) are judiciously applied.

Therefore it is obvious that they are different from each other but they are dependent on each 8. Initiative
other i.e. unity of direction is a pre-requisite for unity of command. But it does not a. Workers should be encouraged to take initiative in the work assigned to
automatically comes from the unity of direction.
them.
5. Equity b. It means eagerness to initiate actions without being asked to do so.
a. Equity means combination of fairness, kindness & justice. c. Fayol advised that management should provide opportunity to its
employees to suggest ideas, experiences& new method of work.
b. The employees should be treated with kindness & equity if devotion is
d. It helps in developing an atmosphere of trust and understanding.
expected of them.
e. People then enjoy working in the organization because it adds to their zeal
c. It implies that managers should be fair and impartial while dealing with the and energy.
subordinates. They should give similar treatment to people of similar f. To suggest improvement in formulation & implementation of place.
position. g. They can be encouraged with the help of monetary & non-monetary
d. They should not discriminate with respect to age, caste, sex, religion, incentives.
relation etc. h.
e. Equity is essential to create and maintain cordial relations between the 9. Fair Remuneration
managers and sub- ordinate.
a. The quantum and method of remuneration to be paid to the
f. But equity does not mean total absence of harshness. workers should be fair, reasonable, satisfactory & rewarding of the
g. Fayol was of opinion that, “at times force and harshness might efforts.
become necessary for the sake of equity”. b. As far as possible it should accord satisfaction to both employer and the
6. Order employees.
a. This principle is concerned with proper & systematic arrangement of things c. Wages should be determined on the basis of cost of living, work
and people. assigned, financial position of the business, wage rate prevailing etc.
b. Arrangement of things is called material order and placement of people d. Logical & appropriate wage rates and methods of their payment reduce
is called social order. tension & differences between workers & management creates
c. Material order- There should be safe, appropriate and specific place for harmonious relationship and pleasing atmosphere of work.
every article and every place to be effectively used for specific activity e. Fayol also recommended provision of other benefits such as free
and commodity. education, medical & residential facilities to workers.
d. Social order- Selection and appointment of most suitable person on the f. Stability of Tenure Fayol emphasized that employees should not be
suitable job. There should be a specific place for every one and moved frequently from one job position to another i.e. the period of
everyone should have a specific place so that they can easily be service in a job should be fixed.
contacted whenever need arises.
g. Therefore employees should be appointed after keeping in view
7. Discipline
principles of recruitment & selection but once they are appointed their
a. According to Fayol, “Discipline means sincerity, obedience, respect of services should be served.
authority & observance of rules and regulations of the enterprise”. h. According to Fayol. “Time is required for an employee to get used to a
b. This principle applies that subordinate should respect their superiors and new work & succeed to doing it well but if he is removed before that he
obey their order. will not be able to render worthwhile services”.
c. It is an important requisite for smooth running of the enterprise. i. As a result, the time, effort and money spent on training the worker will go
d. Discipline is not only required on path of subordinates but also on waste.
the part of management. j. Stability of job creates team spirit and a sense of belongingness among
e. Discipline can be enforced if - workers which ultimately increase the quality as well as quantity of

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 work.
10. Scalar Chain
a. Fayol defines scalar chain as ’The chain of superiors ranging from the
ultimate authority to the lowest”.
b. Every orders, instructions, messages, requests, explanation etc. has to
pass through Scalar chain.
c. But, for the sake of convenience & urgency, this path can be cut shirt
and this short cut is known as Gang Plank.
d. A Gang Plank is a temporary arrangement between two different
points to facilitate quick & easy communication as explained below:
In the figure given, if D has to communicate with G he will first send
the communication upwards with the help of C, B to A and then
downwards with the help of E and F to G which will take quite some
time and by that time, it may not be worth therefore a gang plank has
been developed between the two.
e. Gang Plank clarifies that management principles are not rigid
rather they are very flexible. They can be moulded and modified as
per the requirements of situations
11. Sub-Ordination of Individual Interest to General Interest
a. An organization is much bigger than the individual it constitutes
therefore interest of the undertaking should prevail in all
circumstances.
b. As far as possible, reconciliation should be achieved between
individual and group interests.
c. But in case of conflict, individual must sacrifice for bigger interests.
- In order to achieve this attitude, it is essential that
- -Employees should be honest & sincere.
Another branch of the classical viewpoint is bureaucratic management an approach that
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- Proper & regular supervision of work.
- Reconciliation of mutual differences and clashes by
mutual agreement. For example, for change of location
of plant, for change of profit sharing ratio, etc.
12. Espirit De’ Corps (can be achieved through unity of command)
a. It refers to team spirit i.e. harmony in the work groups and mutual
understanding among the members.
b. Spirit De’ Corps inspires workers to work harder.
c. Fayol cautioned the managers against dividing the employees into
competing groups because it might damage the moral of the workers
and interest of the undertaking in the long run.
d. To inculcate Espirit De’ Corps following steps should be undertaken -
 There should be proper co-ordination of work at all levels
 Subordinates should be encouraged to develop informal
relations among themselves.
 Efforts should be made to create enthusiasm and keenness
among subordinates so that they can work to the maximum
ability.
 Efficient employees should be rewarded and those who
are not up to the mark should be given a chance to
improve their performance.
 Subordinates should be made conscious of that
whatever they are doing is of great importance to the
business & society.
e. He also cautioned against the more use of Britain communication to the
subordinates i.e. face to face communication should be developed. The
managers should infuse team spirit & belongingness. There should be
no place for misunderstanding. People then enjoy working in the
organization & offer their best towards the organization.
13. Centralization & De-Centralization
a. Centralization means concentration of authority at the top level. In
other words, centralization is a situation in which top management
retains most of the decision making authority.
b. Decentralization means disposal of decision making authority to all the
levels of the organization. In other words, sharing authority downwards
is decentralization.
c. According to Fayol, “Degree of centralization or decentralization
depends on no. of factors like size of business, experience of superiors,
dependability & ability of subordinates etc.
d. Anything which increases the role of subordinate is decentralization &
anything which decreases it is centralization.
e. Fayol suggested that absolute centralization or decentralization is not
feasible. An organization should strike to achieve a lot between the
two.
Bureaucratic Management
emphasis the need for organizations to operate in a rational manner rather than relying on the
arbitrary ideas of owners and managers. This approach is based on the work of max Weber, a
prominent German sociologist.
i) Max Weber (1864-1920)
- He is the father of modern bureaucracy, reacting to class consciousness and
nepotism in the recruitment in organizations where such tended to interfere with
organizational effectiveness: and Visualizing on how large organizations evolving
out to the industrial revolution might operate the formulated characteristics of the
ideal bureaucracy.
Bureaucracy – is the administration of an organization through
departments and sub- divisions by appointed officials following an
inflexible routine.
According to Weber the characteristics of ideal bureaucracy include;
1. Well defined hierarchy of offices.
- Each office has specified functions.
- Hierarchical authority is clearly outlined.
2. Selection of office holders on the basis of technical qualifications.
- Certificates, diplomas, degrees provide evidence that one has achieved a minimum level of
qualification.
3. Remuneration
- should be in fixed salaries. Each office bearers should treat his/her job as a career.
4. Office holders are expected to perform their functions independent of their
personal bias and are subject to organizational rules and regulations.
Conclusion to Classical Theories
- They formulated principles for establishing basis for sound organizational
management. From these theories several principles have emerged and are
practically useful e.g.
 Principle of hierarchy of office
 Principle of chain of command
 Division of labour
 Specialization, etc, however some limitations can be cited
- Principles postulated were broad and general. They were therefore difficult to
apply in a meaningful manner by practioners.
- The theories over emphasized universalism on the assumption that administration
management is the same in all types of organizations.
- The traditional theories tend to concentrated on internal management of
organizations under conditions assumed to be relatively static rather than viewing
organizations as dynamic.
- Traditional theories were too mechanistic. They viewed people in economic
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terms and ignored behavioural influences etc.
Human Relations and Behavioural Science Appraoch Theories
The traditional /classical theories were criticized for assuming that people could work as
machines and thus put emphasis on organizational structure as if these structures operated
without people. This led to emergence of Human Relations and Behavioural science approach
theories 1935-1950.
The main proponents of theories in these two approaches include
- Mary Paker Follet
- Elton mayo
- Herbert Simon
- Douglas Mc Gregor
- Fredrick Herzberg
Human Relations
This approach focuses on the interaction between and among people in all kinds of
situations in which they seek, through mutual actions to achieve some purposes.
Mary paker follet (1868-1933) was the first proponent of the Human Relations
Theory in Administration. She argued that;
….the problem of any enterprise, be it local or national government, business
organization or school system, is the building and maintaining of dynamic yet
harmonious human relations,’
She postulated that in any organization human relations are at their best when;
1. Differences between and among people are solved through conferencing and or cooperation.
2. When interested persons evoke each other’s latent ideas based on the facts of the situation.
3. When the interested persons come to ‘see’ each other better
4. When the interested parties integrate those view points and become united in the pursuit of
their common goal.
She further postulated that administrators should make employees feel that they are in some
sense partners in the business of the organization i.e. that the interest of the employees are the
same as those of the organization.
Elton Mayo (1920) and his associates championed the Human Relations ideas initiated by
Follet. They emphasized the human side of the enterprise and how it influenced productivity.
After conducting various experiments with different groups of workers at Hawthorne in the
USA, they showed that interpersonal relations and employee motivation and satisfaction
matters contributed immensely to the final product and thus in any working place.
From their experiments they made the conclusion that;
 Productivity of the worker is not controlled by the physical factors only but
more strongly by psychological considerations.
 Motivating a person to be productive is not simply a matter of providing
economic rewards but also psychological rewards.
 Establishment of small, compatible, social groups where people are accepted is
a key factor to favorable work relationships and productivity.
  When employees are given more freedom in their work situations and are
not subjected to directives, supervision, etc, they are more productive.
Behavioural Science Approach
- Classical theories were criticized for being too formal; they put too much
emphasis on the structure of organizations.
- Human relations theorists were criticized for being too informal. They
overemphasized on how people get along in groups almost neglecting structure.
- Behavioural scientists put emphasis on human behavior as an approach to
understanding administrative practice.
ii) People will exercise initiative, self-direction and self-control on the job if
they are committed to the objectives of the organization.
iii) The average person, under proper conditions, learns not only to accept
responsibility on the job but to seek it.
iv) The average employee values creativity ie the ability to make good
decisions and seeks opportunities to be creative at work.
Educational administrators who prefer theory X will use both the ‘carrot and stick’ strategy to
motivate their subordinates while those who prefer theory Y will treat their subordinates in a
more democratic manner.

Herbert Simon Fredrick Herzberg Motivation hygiene Theory

He is considered the architect of the behavioral science approach. He argued that The theory has 2 sets of factors which affect people at work.
‘An organization should be seen as an exchange system in which inducements are exchanged for i) Hygiene factors
work’ ii) Motivation hygiene actors
In this process of exchange individuals use the organization to fulfill their needs. These are factors within the environment which cause job dissatisfaction.
Simultaneously, the organization likewise uses individuals to accomplish its aims goals, and In every social organizational environment there are factors that will demotivate workers
objectives. and they will cause job dissatisfaction.
Accordingly, the behavioural science approach seeks to: Motivators
i) Describe These are factors within the job
itself that motivate the workers.
ii) Understand and Hygiene factors (dissatisfiers)
iii) Predict Human behaviour in the formal organizational environment. Within the environment
i) Policies and administration
DOUGLAS MCGREGOR (1906-1964) ii) Supervision
The movement towards having managers think of workers in a new light also was given
impetus by the work of McGregor.
iii) Working conditions
As the president off Antoch College he realized that the notion of trying to have everyone iv) Interpersonal relations
like the boss offered inadequate guidance to managers. v) Money (pay)/Salary
To fill the gap he developed a well known dichotomy; Theory X verses Theory Y
dealing with the possible assumptions that managers make about workers. vi) Status
Theory X postulates four assumptions. vii) Security
i) The average persons inherently hates/dislikes work and will avoid it whenever
possible. Motivators (satisfiers)
ii) Since people dislike work they must be supervised closely, directed coerced - Achievements
or threatened with punishment in order for them to put forth adequate effort - Recognition
towards the achievements or organizational objectives. - Challenging work
- Increased responsibility
iii) The average worker will avoid responsibility and seek formal direction from
- Growth and advancement/development
those in charge.
iv) Most workers value job security above other job related factors and In the two factor theory it was observed that hygiene factors help to prevent
have little ambition.\ dissatisfaction while the motivators help to promote satisfaction.

In contrasts to theory X, theory Y postulates the following assumptions about SYSTEMS THEORY
people.
The systems theory approach is based on the notion that organizations can be visualized as
i) If it is satisfying to them, employees will view work as natural and acceptable as
systems.
play. A system can be defined as a set of interrelated parts that operate as a whole in pursuit of

10
common goals. The general systems theory refers to social organizations. An organization,
Owens (1987) can be defined as an integrated system of interdependent structures and
functions. In an organization, individuals work in harmony, to achieve some pre-determined
organizational goals.
According to the systems approach, an organizational system has four major components;
 Inputs: - These are the various human, material, financial, equipment and informational
resources required to produce goods and services.
 Transformation processes: - organizations managerial and technological
abilities that are applied to convert inputs into outputs.
 Output: - are products, services and other outcomes produced by the organization
 Feedback – is information about result and organizational status relative to the
environment.
Advantages of the systems approach
 Can be used to analyze systems at different levels.
 It provides a framework for assessing how well the various parts of an
organization interact to achieve a common purpose
 It emphasizes that change in one part of the system may affect other parts.
 It considers how an organization interacts with its environment (factors outside
the organization that can affect its operations.
Schools as Social Systems
Schools possess all characteristics of social systems. They are open systems as opposed to
closed systems. Open systems operate in continual interaction with its environment. Closed
systems have little or no interaction with the environment.
As social systems schools have boundaries in form of school compounds.
Inputs:- students, financial resources, materials, equipment, information (policies
/procedures etc) staff etc
Processes: - management process within the organizational structure of planning,
organizing, leading controlling. Teaching, learning, testing, sporting etc.
Technology; vehicle, telephone, computers/types writers etc.
Output: - attainment in exams, performance in games and sports promotions, dropout,
socially well-adjusted graduates etc
Feedback: information to the environment about how the school is fairing on
organizational status given by PTA, BOG, Exams results etc.
Environment: operate within a supra system the larger environment e.g. district, province etc.
- Each social organization eg a school has sub-systems e.g. teacher, students,
parents technicians, secretaries, grounds men etc
- The subsystems interact in the transformation processes to achieve the educational
goals.
- As open systems schools operations are highly influenced by the environment,
since they receive and give their products into the environment in which they are
situated.
LEADERSHIP THEORIES AND PRACTICE IN EDUCATION
What is Leadership?
Leadership is a process by which an executive can direct, guide and influence the behavior
and work of others towards accomplishment of specific goals in a given situation. Leadership
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is the ability of a manager to induce the subordinates to work with confidence and zeal.
Leadership is the potential to influence behaviour of others. It is also defined as the capacity
to influence a group towards the realization of a goal. Leaders are required to develop future
visions, and to motivate the organizational members to want to achieve the visions.
According to Keith Davis, “Leadership is the ability to persuade others to seek defined
objectives enthusiastically. It is the human factor which binds a group together and motivates
it towards goals.”
Characteristics of Leadership
1. It is a inter-personal process in which a manager is into influencing and guiding
workers towards attainment of goals.It denotes a few qualities to be present in
a person which includes intelligence, maturity and personality.
2. It is a group process. It involves two or more people interacting with each other.
3. A leader is involved in shaping and moulding the behaviour of the group towards
accomplishment of organizational goals.
4. Leadership is situation bound. There is no best style of leadership. It all
depends upon tackling with the situations.
Importance of Leadership
Leadership is an important function of management which helps to maximize efficiency
and to achieve organizational goals. The following points justify the importance of leadership
in a concern.
1. Initiates action- Leader is a person who starts the work by communicating the
policies and plans to the subordinates from where the work actually starts.
2. Motivation- A leader proves to be playing an incentive role in the concern’s
working. He motivates the employees with economic and non-economic rewards
and thereby gets the work from the subordinates.
3. Providing guidance- A leader has to not only supervise but also play a guiding
role for the subordinates. Guidance here means instructing the subordinates the
way they have to perform their work effectively and efficiently.
4. Creating confidence- Confidence is an important factor which can be achieved
through expressing the work efforts to the subordinates, explaining them clearly
their role and giving them guidelines to achieve the goals effectively. It is also
important to hear the employees with regards to their complaints and problems.
5. Building morale- Morale denotes willing co-operation of the employees towards
their work and getting them into confidence and winning their trust. A leader can
be a morale booster by achieving full co-operation so that they perform with best
of their abilities as they work to achieve goals.
6. Builds work environment- Management is getting things done from people. An
efficient work environment helps in sound and stable growth. Therefore, human
relations should be kept into mind by a leader. He should have personal contacts
with employees and should listen to their problems and solve them. He should
treat employees on humanitarian terms.
7. Co-ordination- Co-ordination can be achieved through reconciling personal
interests with organizational goals. This synchronization can be achieved through
proper and effective co- ordination which should be primary motive of a leader.
Role of a Leader
Following are the main roles of a leader in an organization:
1. Required at all levels- Leadership is a function which is important at all levels of
management. In the top level, it is important for getting co-operation in
formulation of plans and policies. In the middle and lower level, it is required for
interpretation and execution of plans and programmes framed by the top
management. Leadership can be exercised through guidance and counseling of the
subordinates at the time of execution of plans.
2. Representative of the organization- A leader, i.e., a manager is said to be the
representative of the enterprise. He has to represent the concern at seminars,
conferences, general meetings, etc. His role is to communicate the rationale of the
enterprise to outside public. He is also representative of the own department which
he leads.
3. Integrates and reconciles the personal goals with organizational goals- A
leader through leadership traits helps in reconciling/ integrating the personal goals
of the employees with the organizational goals. He is trying to co-ordinate the
efforts of people towards a common purpose and thereby achieves objectives. This
can be done only if he can influence and get willing co- operation and urge to
accomplish the objectives.
4. He solicits support- A leader is a manager and besides that he is a person who
entertains and invites support and co-operation of subordinates. This he can do by
his personality, intelligence, maturity and experience which can provide him
positive result. In this regard, a leader has to invite suggestions and if possible
implement them into plans and programmes of enterprise. This way, he can solicit
full support of employees which results in willingness to work and thereby
effectiveness in running of a concern.
5. As a friend, philosopher and guide- A leader must possess the three dimensional
traits in him. He can be a friend by sharing the feelings, opinions and desires with
the employees. He can be a philosopher by utilizing his intelligence and
experience and thereby guiding the employees as and when time requires. He
can be a guide by supervising and communicating the employees the plans
and policies of top management and secure their co-operation to achieve the goals
of a concern. At times he can also play the role of a counselor by counseling and a
problem-solving approach. He can listen to the problems of the employees and try
to solve them.
Qualities of a Leader
A leader has got multidimensional traits in him which makes him appealing and effective in
behavior. The following are the requisites to be present in a good leader:
1. Physical appearance- A leader must have a pleasing appearance. Physique and
health are very important for a good leader.
2. Vision and foresight- A leader cannot maintain influence unless he exhibits that
he is forward looking. He has to visualize situations and thereby has to frame
Some of the important leadership styles are as follows:
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logical programmes.
3. Intelligence- A leader should be intelligent enough to examine problems and
difficult situations. He should be analytical who weighs pros and cons and then
summarizes the situation. Therefore, a positive bent of mind and mature outlook is
very important.
4. Communicative skills- A leader must be able to communicate the policies and
procedures clearly, precisely and effectively. This can be helpful in persuasion and
stimulation.
5. Objective- A leader has to be having a fair outlook which is free from bias and
which does not reflects his willingness towards a particular individual. He should
develop his own opinion and should base his judgement on facts and logic.
6. Knowledge of work- A leader should be very precisely knowing the nature of
work of his subordinates because it is then he can win the trust and confidence of
his subordinates.
7. Sense of responsibility- Responsibility and accountability towards an individual’s
work is very important to bring a sense of influence. A leader must have a sense of
responsibility towards organizational goals because only then he can get maximum
of capabilities exploited in a real sense. For this, he has to motivate himself and
arouse and urge to give best of his abilities. Only then he can motivate the
subordinates to the best.
8. Self-confidence and will-power- Confidence in himself is important to earn the
confidence of the subordinates. He should be trustworthy and should handle the
situations with full will power.
9. Humanist-This trait to be present in a leader is essential because he deals with
human beings and is in personal contact with them. He has to handle the personal
problems of his subordinates with great care and attention. Therefore, treating the
human beings on humanitarian grounds is essential for building a congenial
environment.
10. Empathy- It is an old adage “Stepping into the shoes of others”. This is very
important because fair judgement and objectivity comes only then. A leader
should understand the problems and complaints of employees and should also
have a complete view of the needs and aspirations of the employees. This helps in
improving human relations and personal contacts with the employees.
From the above qualities present in a leader, one can understand the scope of leadership and
it’s importance for scope of business. A leader cannot have all traits at one time. But a few of
them helps in achieving effective results.
Leadership Styles
All leaders do not possess same attitude or same perspective. As discussed earlier, few leaders
adopt the carrot approach and a few adopt the stick approach. Thus, all of the leaders do not get the
things done in the same manner. Their style varies. The leadership style varies with the kind of
people the leader interacts and deals with. A perfect/standard leadership style is one which assists
a leader in getting the best out of the people who follow him.
 Autocratic leadership style: In this style of leadership, a leader has complete command and hold over their employees/team. The team cannot put forward their views even if they are best for the team’s or
organizational interests. They cannot criticize or question the leader’s way of getting things done. The leader himself gets the things done. The advantage of this style is that it leads to speedy decision-making and
greater productivity under leader’s supervision. Drawbacks of this leadership style are that it leads to greater employee absenteeism and turnover. This leadership style works only when the leader is the best in
performing or when the job is monotonous, unskilled and routine in nature or where the project is short-term and risky.
The Laissez Faire Leadership Style: Here, the leader totally trusts their employees/team to perform the job themselves. He just concentrates on the intellectual/rational aspect of his work and does not focus on
the management aspect of his work. The team/employees are welcomed to share their views and provide suggestions which are best for organizational interests. This leadership style works only when the employees
are skilled, loyal, experienced and intellectual.
Democrative/Participative leadership style: The leaders invite and encourage the team members to play an important role in decision-making process, though the ultimate decision-making power rests with the
leader. The leader guides the employees on what to perform and how to perform, while the employees communicate to the leader their experience and the suggestions if any. The advantages of this leadership style are
that it leads to satisfied, motivated and more skilled employees. It leads to an optimistic work environment and also encourages creativity. This leadership style has the only drawback that it is time-consuming.

Bureaucratic leadership: Here the leaders strictly adhere to the organizational rules and policies. Also, they make sure that the employees/team also strictly follows the rules and procedures. Promotions take place
on the basis of employees’ ability to adhere to organizational rules. This leadership style gradually develops over time. This leadership style is more suitable when safe work conditions and quality are required. But
this leadership style discourages creativity and does not make employees self-contented.

resources which are required by employees to complete the task.

THEORIES OF LEADERSHIP
Just as management knowledge is supported by various theories, the leadership function of
management too is authenticated by various theories. While the behavioural theories of
leadership focused on discovering the constant relationship between leadership behaviours
and the group performance, the contemporary theories emphasized the significance of
situational factors (such as stress level, job structure, leader’s intelligence, followers’ traits,
etc.) as well.
Some of the important leadership theories are as follows:
House’s theory advocates servant leadership. As per servant leadership theory, leadership
is not viewed as a position of power. Rather, leaders act as coaches and facilitators to their
subordinates. According to House’s path-goal theory, a leader’s effectiveness depends on
several employee and environmental contingent factors and certain leadership styles. All
these are explained in the figure 1 below:
Figure 1: Path-Goal Leadership

 Blake and Mouton’s Managerial Grid

 House’s Path Goal Theory
 Great Man Theory
 Trait Theory
 Leadership-Member Exchange (LMX) Theory
 Transformational Leadership
 Transactional Leadership

 Continuum of Leadership Behaviour

 Likert’s Management System

 Hersey Blanchard Model
 Fiedler’s Contingency Model

House’s Path Goal Theory

The theory was developed by Robert House and has its roots in the expectancy theory of
motivation. The theory is based on the premise that an employee’s perception of expectancies
between his effort and performance is greatly affected by a leader’s behavior. The leaders
help group members in attaining rewards by clarifying the paths to goals and removing Theory Leadership Styles
obstacles to performance. They do so by providing the information, support, and other The four leadership styles are:

13

 Directive: Here the leader provides guidelines, lets subordinates know what is
expected of them, sets performance standards for them, and controls behavior
when performance standards are not met. He makes judicious use of rewards and
disciplinary action. The style is the same as task- oriented one.
 Supportive: The leader is friendly towards subordinates and displays personal
concern for their needs, welfare, and well-being. This style is the same as people-
oriented leadership.
 Participative: The leader believes in group decision-making and shares
information with subordinates. He consults his subordinates on important
decisions related to work, task goals, and paths to resolve goals.
 Achievement-oriented: The leader sets challenging goals and encourages
employees to reach their peak performance. The leader believes that employees
are responsible enough to accomplish challenging goals. This is the same as goal-
setting theory.
According to the theory, these leadership styles are not mutually excusive and leaders are
capable of selecting more than one kind of a style suited for a particular situation.
Contingencies
The theory states that each of these styles will be effective in some situations but not in
others. It further states that the relationship between a leader’s style and effectiveness is
dependent on the following variables:
 Employee characteristics: These include factors such as employees’ needs, locus
of control, experience, perceived ability, satisfaction, willingness to leave the
organization, and anxiety. For example, if followers are high inability, a directive
style of leadership may be unnecessary; instead a supportive approach may be
preferable.
 Characteristics of work environment: These include factors such as task structure
and team dynamics that are outside the control of the employee. For example, for
employees performing simple and routine tasks, a supportive style is much
effective than a directive one. Similarly, the participative style works much
better for non-routine tasks than routine ones. When team cohesiveness
is low, a supportive leadership style must be used whereas in a situation where
performance-oriented team norms exist, a directive style or possibly an
achievement- oriented style works better. Leaders should apply directive style to
counteract team norms that oppose the team’s formal objectives.
Conclusion
The theory has been subjected to empirical testing in several studies and has received
considerable research support. This theory consistently reminds the leaders that their main
role as a leader is to assist the subordinates in defining their goals and then to assist them in
accomplishing those goals in the most efficient and effective manner. This theory gives a
guide map to the leaders about how to increase subordinates satisfaction and performance
level.
Great Man Theory of Leadership
Are some people born to lead? If we look at the great leaders of the past such as Alexander
the Great, Julius Caesar, Napoleon, Queen Elizabeth I, and Abraham Lincoln, we will find
that they do seem to differ from ordinary human beings in several aspects. The same applies
to the contemporary leaders like George W. Bush and Mahatma Gandhi. They definitely
possess high levels of ambition coupled with clear visions of precisely where they want to go.
These leaders are cited as naturally great leaders, born with a set of personal qualities that
14
made them effective leaders. Even today, the belief that truly great leaders are born is
common.
Top executives, sports personalities, and even politicians often seem to possess an aura that
sets them apart from others. According to the contemporary theorists, leaders are not like
other people. They do not need to be intellectually genius or omniscient prophets to
succeed, but they definitely should have the right stuff which is not equally present in all
people. This orientation expresses an approach to the study of leadership known as the great
man theory.
Assumptions
 The leaders are born and not made and posses certain traits which were inherited
 Great leaders can arise when there is a great need.
Theory
Much of the work on this theory was done in the 19th century and is often linked to the work
of the historian Thomas Carlyle who commented on the great men or heroes of the history
saying that “the history of the world is but the biography of great men”. According to him, a
leader is the one gifted with unique qualities that capture the imagination of the masses.
Earlier leadership was considered as a quality associated mostly with the males, and therefore
the theory was named as the great man theory. But later with the emergence of many great
women leaders as well, the theory was recognized as the great person theory.
The great man theory of leadership states that some people are born with the necessary
attributes that set them apart from others and that these traits are responsible for their
assuming positions of power and authority. A leader is a hero who accomplishes goals against
all odds for his followers. The theory implies that those in power deserve to be there because
of their special endowment. Furthermore, the theory contends that these traits remain stable
over time and across different groups. Thus, it suggests that all great leaders share these
characteristic regardless of when and where they lived or the precise role in the history they
fulfilled.
Criticism
Many of the traits cited as being important to be an effective leader are typical masculine
traits. In contemporary research, there is a significant shift in such a mentality.
Conclusion
Prompted by the great man theory of leadership, and the emerging interest in understanding
what leadership is, researchers focused on the leader - Who is a leader? What are the
distinguishing characteristics of great and effective leaders? This gave rise to the early
research efforts to the trait approach to leadership.
Trait Theory of Leadership
The trait model of leadership is based on the characteristics of many leaders - both successful
and unsuccessful - and is used to predict leadership effectiveness. The resulting lists of traits
are then compared to those of potential leaders to assess their likelihood of success or failure.
Scholars taking the trait approach attempted to identify physiological (appearance, height, and
weight), demographic (age, education and socioeconomic background), personality, self-
confidence, and aggressiveness), intellective (intelligence, decisiveness, judgment, and
knowledge), task-related (achievement drive, initiative, and persistence), and social
characteristics (sociability and cooperativeness) with leader emergence and leader
effectiveness.
Successful leaders definitely have interests, abilities, and personality traits that are different
from those of the less effective leaders. Through many researches conducted in the last three
decades of the 20th century, a set of core traits of successful leaders have been identified.
These traits are not responsible solely to identify whether a person will be a successful leader
or not, but they are essentially seen as preconditions that endow people with leadership
potential.
Among the core traits identified are:
 Achievement drive: High level of effort, high levels of ambition, energy and initiative
 Leadership motivation: an intense desire to lead others to reach shared goals
 Honesty and integrity: trustworthy, reliable, and open
 Self-confidence: Belief in one’s self, ideas, and ability
 Cognitive ability: Capable of exercising good judgment, strong analytical abilities,
and conceptually skilled
 Knowledge of business: Knowledge of industry and other technical matters
 Emotional Maturity: well adjusted, does not suffer from severe psychological disorders.
 Others: charisma, creativity and flexibility
Strengths/Advantages of Trait Theory
 It is naturally pleasing theory.
 It is valid as lot of research has validated the foundation and basis of the theory.
 It serves as a yardstick against which the leadership traits of an individual can be
assessed. It gives a detailed knowledge and understanding of the leader element in the
leadership process.
Limitations of The Trait Theory
 There is bound to be some subjective judgment in determining who is regarded as
a ‘good’ or ‘successful’ leader
 The list of possible traits tends to be very long. More than 100 different traits of
successful leaders in various leadership positions have been identified. These
descriptions are simply generalities.
 There is also a disagreement over which traits are the most important for an effective
leader
 The model attempts to relate physical traits such as, height and weight, to effective
leadership. Most of these factors relate to situational factors. For example, a
minimum weight and height might be necessary to perform the tasks efficiently in
a military leadership position. In business organizations, these are not the
requirements to be an effective leader.
 The theory is very complex
Implications of Trait Theory
The trait theory gives constructive information about leadership. It can be applied by people
at all levels in all types of organizations. Managers can utilize the information from the theory
to evaluate their position in the organization and to assess how their position can be made
stronger in the organization. They can get an in-depth understanding of their identity and the
way they will affect others in the organization. This theory makes the manager aware of
their strengths and weaknesses and thus they get an understanding of how they can develop
15
their leadership qualities.
Conclusion
The traits approach gives rise to questions: whether leaders are born or made; and whether
leadership is an art or science. However, these are not mutually exclusive alternatives.
Leadership may be something of an art; it still requires the application of special skills and
techniques. Even if there are certain inborn qualities that make one a good leader, these
natural talents need encouragement and development. A person is not born with self-
confidence. Self-confidence is developed, honesty and integrity are a matter of personal
choice, motivation to lead comes from within the individual, and the knowledge of business
can be acquired. While cognitive ability has its origin partly in genes, it still needs to be
developed. None of these ingredients are acquired overnight.
Leadership-Member Exchange (LMX) Theory
Informal observation of leadership behavior suggests that leader’s action is not the same
towards all subordinates. The importance of potential differences in this respect is brought
into sharp focus by Graen’s leader-member exchange model, also known as the vertical dyad
linkage theory. The theory views leadership as consisting of a number of dyadic relationships
linking the leader with a follower. The quality of the relationship is reflected by the degree of
mutual trust, loyalty, support, respect, and obligation.
According to the theory, leaders form different kinds of relationships with various groups of
subordinates. One group, referred to as the in-group, is favored by the leader. Members of in-
group receive considerably more attention from the leader and have more access to the
organizational resources. By contrast, other subordinates fall into the out-group. These
individuals are disfavored by the leader. As such, they receive fewer valued resources from
their leaders.
Leaders distinguish between the in-group and out-group members on the basis of the
perceived similarity with respect to personal characteristics, such as age, gender, or
personality. A follower may also be granted an in-group status if the leader believes that
person to be especially competent at performing his or her job. The relationship between
leaders and followers follows three stages:
 Role taking: When a new member joins the organization, the leader assesses the
talent and abilities of the member and offers them opportunities to demonstrate
their capabilities.
 Role making: An informal and unstructured negotiation on work-related factors
takes place between the leader and the member. A member who is similar to the
leader is more likely to succeed. A betrayal by the member at this stage may result
in him being relegated to the out- group
The LMX 7 scale assesses the degree to which leaders and followers have mutual respect for
each other’s capabilities, feel a deepening sense of mutual trust, and have a sense of strong
obligation to one another. Taken together, these dimensions determine the extent to which
followers will be part of the leader’s in- group or out-group.
In-group followers tend to function as assistants or advisers and to have higher quality
personalized exchanges with the leader than do out-group followers. These exchanges
typically involve a leader’s emphasis on assignments to interesting tasks, delegation of
important responsibilities, information sharing, and participation in the leader’s decisions, as
well as special benefits, such as personal support and support and favorable work schedules.
Strengths of LMX Theory
 LMX theory is an exceptional theory of leadership as unlike the other theories, it concentrates and talks about specific relationships between the leader and each subordinate.

LMX Theory is a robust explanatory theory.

LMX Theory focuses our attention to the significance of communication in leadership. Communication is a medium through which leaders and subordinates develop, grow and maintain beneficial exchanges. When
this communication is accompanied by features such as mutual trust, respect and devotion, it leads to effective leadership.

LMX Theory is very much valid and practical in it’s approach.

Criticisms of LMX Theory

LMX Theory fails to explain the particulars of how high-quality exchanges are created.

LMX Theory is objected on grounds of fairness and justice as some followers receive special attention of leaders at workplace and other followers do not.

Implications

According to many studies conducted in this area, it has been found that leaders definitely do support the members of the in-group and may go to the extent of inflating their ratings on poor performance as well.
This kind of a treatment is not given to the members of the out-group. Due to the favoritism that the in- group members receive from their leaders, they are found to perform their jobs better and develop
positive attitude towards their jobs in comparison to the members of the out-group. The job satisfaction of in-group members is high and they perform effectively on their jobs. They tend to receive more
mentoring from their superiors which helps them in their careers. For these reasons, low attrition rate, increased salaries, and promotion rates are associated with the in-group members in comparison to that of
the out-group members.

Transformational Leadership Theory

Creating high-performance workforce has become increasingly important and to do so business leaders must be able to inspire organizational members to go beyond their task requirements. As a result, new
concepts of leadership have emerged - transformational leadership being one of them.
Transformational leadership may be found at all levels of the organization: teams, departments, divisions, and organization as a whole. Such leaders are visionary, inspiring, daring, risk-takers, and thoughtful
thinkers. They have a charismatic appeal. But charisma alone is insufficient for changing the way an organization operates. For bringing major changes, transformational leaders must exhibit the following four
factors:

Figure 1: Model of Transformational Leadership

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 Inspirational Motivation: The foundation of transformational leadership is the promotion of consistent vision, mission, and a set of values to the members. Their vision is so compelling that they know what they want from
every interaction. Transformational leaders guide followers by providing them with a sense of meaning and challenge. They work enthusiastically and optimistically to foster the spirit of teamwork and commitment.

Intellectual Stimulation: Such leaders encourage their followers to be innovative and creative. They encourage new ideas from their followers and never criticize them publicly for the mistakes committed by them. The
leaders focus on the “what” in problems and do not focus on the blaming part of it. They have no hesitation in discarding an old practice set by them if it is found ineffective.
Idealized Influence: They believe in the philosophy that a leader can influence followers only when he practices what he preaches. The leaders act as role models that followers seek to emulate. Such leaders always win the
trust and respect of their followers through their action. They typically place their followers needs over their own, sacrifice their personal gains for them, ad demonstrate high standards of ethical conduct. The use of power by
such leaders is aimed at influencing them to strive for the common goals of the organization.
Individualized Consideration: Leaders act as mentors to their followers and reward them for creativity and innovation. The followers are treated differently according to their talents and knowledge. They are empowered
to make decisions and are always provided with the needed support to implement their decisions.

The common examples of transformational leaders are Mahatma Gandhi and Obama. Transactional Leadership Theory

Criticisms of Transformational Leadership Theory
 Transformational leadership makes use of impression management and
therefore lends itself to amoral self-promotion by leaders
 The theory is very difficult to e trained or taught because it is a combination of
many leadership theories.
 Followers might be manipulated by leaders and there are chances that they lose
more than they gain.
Implications of Transformational Leadership Theory
The current environment characterized by uncertainty, global turbulence, and organizational
instability calls for transformational leadership to prevail at all levels of the organization. The
followers of such leaders demonstrate high levels of job satisfaction and organizational
commitment, and engage in organizational citizenship behaviors. With such a devoted
workforce, it will definitely be useful to consider making efforts towards developing ways of
transforming organization through leadership.
The transactional style of leadership was first described by Max Weber in 1947 and then by
Bernard Bass in 1981. This style is most often used by the managers. It focuses on the basic
management process of controlling, organizing, and short-term planning. The famous
examples of leaders who have used transactional technique include McCarthy and de Gaulle.
Transactional leadership involves motivating and directing followers primarily through
appealing to their own self-interest. The power of transactional leaders comes from their
formal authority and responsibility in the organization. The main goal of the follower is to
obey the instructions of the leader. The style can also be mentioned as a ‘telling style’.
The leader believes in motivating through a system of rewards and punishment. If a
subordinate does what is desired, a reward will follow, and if he does not go as per the wishes
of the leader, a punishment will follow. Here, the exchange between leader and follower takes
place to achieve routine performance goals.
These exchanges involve four dimensions:

Contingent Rewards: Transactional leaders link the goal to rewards, clarify expectations, provide necessary resources, set mutually agreed upon goals, and provide various kinds of rewards for successful
performance. They set SMART (specific, measurable, attainable, realistic, and timely) goals for their subordinates.
Active Management by Exception: Transactional leaders actively monitor the work of their subordinates, watch for deviations from rules and standards and taking corrective action to prevent mistakes.

Passive Management by Exception: Transactional leaders intervene only when standards are not met or when the performance is not as per the expectations. They may even use punishment as a response to
unacceptable performance.
Laissez-faire: The leader provides an environment where the subordinates get many opportunities to
make decisions. The leader himself abdicates responsibilities and avoids making decisions and therefore the group often lacks direction.

17
Assumptions of Transactional Theory
 Employees are motivated by reward and punishment.
 The subordinates have to obey the orders of the superior.
 The subordinates are not self-motivated. They have to be closely monitored and
controlled to get the work done from them.
Implications of Transactional Theory
The transactional leaders overemphasize detailed and short-term goals, and standard rules and
procedures. They do not make an effort to enhance followers’ creativity and generation of
new ideas. This kind of a leadership style may work well where the organizational problems
are simple and clearly defined. Such leaders tend to not reward or ignore ideas that do not fit
with existing plans and goals.
The transactional leaders are found to be quite effective in guiding efficiency decisions
which are aimed at cutting costs and improving productivity. The transactional leaders tend to
be highly directive and action oriented and their relationship with the followers tends to be
transitory and not based on emotional bonds.
The theory assumes that subordinates can be motivated by simple rewards. The only
‘transaction’ between the leader and the followers is the money which the followers receive
for their compliance and effort.
Continuum of Leadership Behaviour
The leadership continuum was originally written in 1958 by Tannenbaum and Schmidt and
was later updated in the year 1973. Their work suggests a continuum of possible leadership
behavior available to a manager and along which many leadership styles may be placed. The
continuum presents a range of action related to the degree of authority used by the manager
and to the area of freedom available to non- managers in arriving at decisions. A broad range
of leadership styles have been depicted on the continuum between two extremes of autocratic
and free rein (See figure 1). The left side shows a style where control is maintained by a
manager and the right side shows the release of control. However, neither extreme is
absolute and authority and freedom are never without their limitations.
The Tannenbaum and Schmidt continuum can be related to McGregor’s supposition of
Theory X and Theory Y. Boss-centered leadership is towards theory X and subordinate-
centered leadership is towards theory Y.
Figure 1: Continuum Leadership Behaviuor.

Difference between Transactional and Transformational Leaders

Transactional leadership Transformational Leadership

Leadership is responsive Leadership is proactive

Works within the organizational culture Work to change the organizational culture by
implementing new ideas

Transactional leaders make employees Transformational leaders motivate and

achieve organizational objectives empower employees to achieve company’s
through rewards and punishment objectives by appealing to higher ideals and
moral values

Motivates followers by appealing to Motivates followers by encouraging them to

their own self-interest transcend their own interests for those of the
group or unit

Conclusion

The transactional style of leadership is viewed as insufficient, but not bad, in developing the
maximum leadership potential. It forms as the basis for more mature interactions but care
should be taken by leaders not to practice it exclusively, otherwise it will lead to the creation
of an environment permeated by position, power, perks, and politics.

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A manager is characterized according to degree of control that is maintained by him.
According to this approach, four main styles of leadership have been identified:
 Tells: The manager identifies a problem, chooses a decision, and announces this to
subordinates. The subordinates are not a party to the decision making process and
the manager expects them to implement his decisions as soon as possible.
 Sells: The decision is chosen by the manager only but he understands that there
will be some amount of resistance from those faced with the decision and
therefore makes efforts to persuade them to accept it.
 Consults: Though the problem is identified by the manager, he does not take a
final decision. The problem is presented to the subordinates and the solutions are
suggested by the subordinates.
 Joins: The manager defines the limits within which the decision can be taken by
the subordinates and then makes the final decision along with the subordinates.
According to Tannenbaum and Schmidt, if one has to make a choice of the leadership style
which is practicable and desirable, then his answer will depend upon the following three
factors:
 Forces in the Manager: The behavior of the leader is influenced by his
personality, background, knowledge, and experience. These forces include:
i. Value systems
ii. Confidence in subordinates
iii. Leadership inclinations
iv. Feelings of security in an uncertain situation
 Forces in the subordinate: The personality of the subordinates and their
expectations from the leader influences their behavior. The factors include:
i. Readiness to assume responsibility in decision-making
ii. Degree of tolerance for ambiguity
iii. Interest in the problem and feelings as to its importance
iv. Strength of the needs for independence
v. Knowledge and experience to deal with the problem
vi. Understanding and identification with the goals of the organization
If these factors are on a positive side, then more freedom can be allowed to the
subordinate by the leader.
 Forces in the situation: The environmental and general situations also affect the
leader’s behavior. These include factors like:
i. Type of organization
ii. Group effectiveness
iii. Nature of the problem
iv. Time pressure
When the authors updated their work in1973, they suggested a new continuum of patterns of
leadership behavior. In this, the total area of freedom shared between managers and non-
managers is redefined constantly by interactions between them and the environmental forces.
This pattern was, however, more complex in comparison to the previous one.
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Conclusion
According to Tannenbaum and Schmidt, successful leaders know which behavior is the most
appropriate at a particular time. They shape their behavior after a careful analysis of self, their
subordinates, organization, and environmental factors.
Fiedler’s Contingency Model
Fred E. Fiedler’s contingency theory of leadership effectiveness was based on studies of a
wide range of group effectiveness, and concentrated on the relationship between leadership
and organizational performance. This is one of the earliest situation-contingent leadership
theories given by Fiedler. According to him, if an organization attempts to achieve group
effectiveness through leadership, then there is a need to assess the leader according to an
underlying trait, assess the situation faced by the leader, and construct a proper match
between the two.
Leader’s trait
In order to assess the attitudes of the leader, Fiedler developed the ‘least preferred co-worker’
(LPC) scale in which the leaders are asked about the person with whom they least like to
work. The scale is a questionnaire consisting of 16 items used to reflect a leader’s underlying
disposition toward others. The items in the LPC scale are pleasant / unpleasant, friendly /
unfriendly, rejecting / accepting, unenthusiastic
/ enthusiastic, tense / relaxed, cold / warm, helpful / frustrating, cooperative / uncooperative,
supportive / hostile, quarrelsome / harmonious, efficient / inefficient, gloomy / cheerful,
distant / close, boring / interesting, self-assured / hesitant, open / guarded. Each item in the
scale is given a single ranking of between one and eight points, with eight points indicating
the most favorable rating
Diagram
Fiedler states that leaders with high LPC scores are relationship-oriented and the ones with
low scores are task-oriented. The high LPC score leaders derived most satisfaction from
interpersonal relationships and therefore evaluate their least preferred co-workers in fairly
favorable terms. These leaders think about the task accomplishment only after the relationship
need is well satisfied. On the other hand, the low LPC score leaders derived satisfaction from
performance of the task and attainment of objectives and only aftertasks have been
accomplished, these leaders work on establishing good social and interpersonal relationships.
Situational factor
According to Fiedler, a leader’s behavior is dependent upon the favorability of the leadership
situation. Three factors work together to determine how favorable a situation is to a leader.
These are:
 Leader-member relations - The degree to which the leaders is trusted and liked
by the group members, and the willingness of the group members to follow the
leader’s guidance
  Task structure - The degree to which the group’s task has been described as
structured or unstructured, has been clearly defined and the extent to which it can
be carried out by detailed instructions
 Position power - The power of the leader by virtue of the organizational position
and the degree to which the leader can exercise authority on group members in
order to comply with and accept his direction and leadership
With the help of these three variables, eight combinations of group-task situations were
constructed by Fiedler. These combinations were used to identify the style of the leader.
Figure 1: Correlation between leader’s LPC score and group effectiveness Leadership
Effectiveness
The leader’s effectiveness is determined by the interaction of the leader’s style of behavior
and the favorableness of the situational characteristics. The most favorable situation is when
leader-member relations are good, the task is highly structured, and the leader has a strong
position power.
Research on the contingency model has shown that task-oriented leaders are more effective in
highly favorable (1, 2, 3) and highly unfavorable situation (7, 8), whereas relationship-
oriented leaders are more effective in situations of intermediate favorableness (4, 5, 6).
Fiedler also suggested that leaders may act differently in different situations. Relationship-
oriented leaders generally display task-oriented behaviors under highly favorable situations
and display relationship-oriented behaviors under unfavorable intermediate favorable
situations. Similarly, task- oriented leaders frequently display task-oriented in unfavorable or
intermediate favorable situations but display relationship-oriented behaviors in favorable
situations.
TOPIC 3: HUMAN RESOURCE MANAGEMENT IN EDUCATION
In the educational organization, human resources include the workers and the
students. The workers consist of the teachers and the non-teaching staff.
The Teaching Staff
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Teachers are the most important resources in a country and in a school. This is because
they determine a country’s human capital development.
Majority of the teaching staff are appointees of the Teachers Service Commission. They
are appointed on:-
 Permanent and Pensionable Terms (Kenyan citizens only)
 Temporary Terms (unqualified teachers, non-citizens)
 Contract Terms
The TSC is provided for by the TSC Act Cap 212. The act mandates the TSC to compile
and publish the TSC code of regulations. The code of regulation is used to guide the
teachers’ code of behaviour in their performance of duty.
Currently the TSC is revising its code to include new features that have come into force
since 1986 when the code was last revised.
Teacher Recruitment
- Recruitment refers to the process of searching for prospective workers and stimulating
them to apply for the jobs available.
- Recruitment is undertaken after the manpower requirement process has shown need for new
workers.
 The TSC has decentralized recruitment of teachers. Currently the TSC advertises
vacancies in the schools and districts and requests teachers to apply to the BOG
(Secondary and Post-Secondary Institutions) of DEB’s for the primary school
teachers.
Selection
- Process of matching individual employees to the jobs they have applied for. In the
matching process the applicants’ qualifications are rated against the specifications of
the job advertised.
- Methods used in selection are; interviews, written tests like intelligence
tests, aptitude tests, achievement tests, and personality tests.
- The commonly used methods in selection of teachers is the interview method
- After interviews the successful candidates are deployed to teach in various schools.
Placement
Process of matching the employee to both the content and context of the assigned job.
- Head teachers assign duties to the teachers.
- As the secretary to the TSC agenda, the head teacher should induct the teacher
into the teaching profession, by availing the TSC code of regulations, the code of
ethics, the scheme of services for teachers and other relevant documents to the
teacher.
- The head teacher should provide a conducive working environment in the school by:
 Proper allocation of duties of staff
 Avoiding to show any form of favouritism
 Treating confidential matters with care
 Providing opportunities for teamwork among staff
 Taking care of teachers rights by observing KNUT regulations

Training and Development
- Owing to the changes in the work place and in policies in management of education its
important staff be trained and developed.
- Teacher training and development may be recommended at school level or at
national or regional level depending on the training needs.
- Its important school heads encourage their staff and support them for
continued training and development.
Performance Appraisal
- Evaluation of the effectiveness of staff in their work assignments
- For teachers its done by the head teacher and communicated to the employer
(TSC) through the annual confidential report.
Promotions
- Refers to the advancement of a worker to a better job in terms of more skill,
responsibilities, status and remuneration.
- Teachers are promoted as per the teacher scheme of service. For graduate teachers,
the scheme of service for graduate teachers revised in 2002 and implemented with
effect from 1st July, 2002 is in force.
Non-Teaching Staff
- These are staff in educational institutions that provide the support services. They
include bursars, accountants, clerks, matrons, secretaries, typists, foremen, cooks,
technicians, watchmen, cleaners’ etc.
- They ensure that the teaching and learning environment is made conducive for the
attainment of the educational objectives.
- The non-teaching staff is employed on terms agreed upon by the ministry of education
and the Kenya Union of Domestic, Hotels, Educational Institutions, Hospitals and
Allied Workers.
- They are direct employees of the BOG’s
- However, many schools do not follow the Ministry of Education pay guidelines
owing to ignorance, lack of ability to pay or lack of some of the basic qualification to
warrant recruitment to serve in the schools.
Effective management of school staff should recognize good work of teaching and
non-teaching staff alike by instituting good Human Resource Management practices.
Recognizing good performance through praise, social get-together meeting,
recommendations for promotions giving presents to exemplary workers e.t.c.
STRATEGIES FOR STAFF MOTIVATION
Money should not be the ONLY tool used to motivate people, because different things
motivate different people. Here are a few other simple, inexpensive choices to consider:
1. Seek buy-in. Involve staff in determining and seeing “the big picture” and the goals
needed to achieve it. Remember, they are closest to the work and often can see things more
clearly. Having employees harness self-direction in pursuit of common goals is far preferable
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to forcing people to meet goals they don’t understand or share.
2. Encourage contributions. If an employee can regularly contribute ideas, and suggestions, it
makes them feel important and gives meaning to their jobs. Give people responsibility and
they often rise to the challenge. Allow them to unleash their imagination, ingenuity and
creativity and everybody wins.
3. Recognize employees. Rewarding people for achievement is a far more effective than
punishing them for failure. There are plenty of simple but effective ways employers can
recognize hard work, such as emailing an appreciative note. Organize recognition programs
and events to honor accomplishments personally and publicly.
4. Nip negativity in the bud. Do not allow employees to talk down to one another and/or
drag each other through the mud. Likewise, make sure you don't do the same when other
employees are able to see it happen to a fellow co-worker. That's bad for morale and destroys
motivation.
5. Keep employees informed. When an employee feels he or she is not up to date with
what is occurring in the company or their department, it is a message to the employee that
says, “You are not important.” Keep information flowing to each employee; let them know
what the company is doing and the direction it is taking.
6. Help fulfill career goals. If the employee wants to take on more responsibility or move
into a different department, investigate the possibilities and get back to them with options.
Giving workers opportunities to build the skills and make the connections they need to get
ahead in their careers will build loyalty and motivation.
7. Maintain workforce satisfaction. One way to generate sustained profits is to build a work
environment that attracts and keeps talented people who want to show up and perform at a
level of excellence. Focus on creating satisfied employees and they will focus on satisfying
you and your customers.
8. Provide training. Being part of a learning culture is an important motivator for an
employee. Training can help fill the gap between lack of skills and better productivity after
training needs are assessed. Appropriate training should be viewed as an investment rather
than a liability.
9. Give constant feedback. The days of quarterly or annual reviews being the sole form of
feedback are long gone. Employees want to receive constant, specific, and clearly defined
feedback from their supervisors. Positive feedback about accomplishments is essential to
motivate an employee.
10. Communicate often. Open communication is most employees' #1 priority. Find out what
interests them and what doesn't. Speaking with an employee frequently shows that you care
about them in more ways than simply wanting them to keep up with productivity.
Motivation requires a strategy tailored to each worker’s needs. These ideas can help you know
what can drive your employees to want to do a better job. If your focus is on the bottom line
and long-term growth of the organization, it’s important to focus on your most important
asset.
DELEGATION someone else. But delegation is not ‘ dumping’ their work into the laps of others.
Delegation is the act of transferring selected responsibilities and commensurate authority, To delegate properly leaders must
usually from a superior to a subordinate in order to accomplish particular assignment(s) 1. Know the task to delegate
Types of Delegation
2. select the right personnel
There are two types of delegations
3. make assignments (let delegatee know expectations)
i) Continuous delegation
4. be supportive
ii) Ad Hoc delegation
5. periodically evaluate progress
Continuous delegation
It is based on the organizational established. It describes responsibilities and commensurate Elements of Delegation:
authority ascribed to various role occupants in departments, divisions, sections and units. E.g. in a i) Responsibility.
secondary school structure these would be ii) Authority.
- Head teacher/principal iii) Power.
- Deputy iv) Trust.
- Heads of departments
v) Accountability.
- Subject teachers
- House teachers Responsibility
- Cooks This is the obligation to carry out duties and achieve goals relevant to a position. Here the
- Cleaners etc delegatee assumes a recognizable position of the organizations activities in which he/she must
make decisions and or execute decisions to achieve specified goals.
All employees below the principal work on behalf of the principal. The school structure
requires for example the deputy to be in charge of school discipline, heads of departments Authority
to coordinate curriculum implementation in their department, subject teachers to teah etc. The right to make decisions, carry out actions, and direct others in matters related to the
This kind of delegation is continuous in the sense that everyone who becomes an HOD or duties and goals of a position.
subject head or house teachers must do specific things always (permanent) on behalf of the The delegatee has the right to:
principal. - give orders;
Ad hoc delegation
Involves temporary transfer of responsibility and commensurate authority from one
- make decisions;
role occupant to another in order to accomplish a specific job in a specified period eg - use resources and ;
setting up of committees commissions, task forces etc. - acquire resources to fulfill required goals.
Why delegate Power
1. To create time for other work This is the ability to influence/ability to get others do what you want.
Delegation frees time for those activities that only leaders can or should do. Mutual trust
2. Increased results Both the delegators and delegatee should have trust for each other
Delegation produces results beyond what leaders themselves can do. With Accountability
delegation leaders expand results to cover not only their own output but the The requirement to provide satisfactory reasons for significant deviation from duties or
outputs of their employees. expected results. Both the delegator and delegatee should share in the successes of failures of
3. Knowledgeable employees a task accomplished.
Delegation improves employees knowledge, skill, competence and initiative. Problems of the delegation process
4. Increased motivation From the delegators
Challenging assignments tend to meet the higher psychological needs that 1. Ignorance (not aware of the concept)
people have and increase their motivational levels. Most employees want
opportunities to handle new problems and increase their skills. By delegating
2. Lack of competence
leaders provide them with these opportunities. 3. Lack of confidence
How to Delegate 4. Unwillingness to give up authority
Some leaders and managers believes delegation means assigning part of their work to 5. Lack of trust in subordinates

22

From the delegatee
- Lack of competence
- Lack of confidence
- Fear of being blamed
- Feeling that only trivial tasks are delegated
- Lack of trust in the delegator
- Unwillingness to take on such responsibility
Improving delegation
- Clarify tasks delegated
- Do not delegate responsibilities because you dislike them
- Make delegate fees secure e.g. not being put to test by learning to acquire experience
- Create an atmosphere free from fear and frustration
- Seek delegatee’s willingness to accept the task.
- Establish effective communication between the delegator and delegatee.
TOPIC 4: PROJECT PLANNING AND MANAGEMENT IN SECONDARY SCHOOL
SETTING
 Project Management is the art of managing all the aspects of a project from
inception to closure using a scientific and structured methodology.
 The term project may be used to define any endeavor that is temporary in nature
and with a beginning or an end.
 A project is defined as a “temporary endeavor with a beginning and an end and it
must be used to create a unique product, service or result”. Projects are those
activities that cannot go on indefinitely and must have a defined purpose.
 A project is temporary in that it has a defined beginning and end in time, and
therefore defined scope and resources.
 A project is a plan (including partial plans or developmental,
procurement and adaptation activities)
 Which is clearly defined and differentiated from other plans (explicit
objectives),
 Which can be differentiated in terms of time (with a clear
start and closing date) and personnel (explicit resource
allocation),
 for which it is possible to calculate or estimate costs (explicit budget
planning),
 which is a once-off event and which will not be repeated in the
same form (innovative, unique),
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PROJECT MANAGEMENT
 The process of planning, organizing and managing resources to achieve the
organizational objective is called project management.
 Project management is the art of managing the project and its deliverables with a
view to produce finished products or service. Importance of Project Management
for Organizations
 Project management includes: identifying requirements, establishing clear and
achievable objectives, balancing the competing demands from the different
stakeholders and ensuring that a commonality of purpose is achieved.
PROJECT MANAGEMENT SKILLS FOR SCHOOL PRINCIPALS
 Project managers require a variety of skills to be able to effectively do their jobs
and ultimately benefit both their respective organizations and project stakeholders.
These capabilities can be gained from experience and take years to master.
However, they offer great benefits that could significantly contribute to managers’
career development. The following are some of the best project management skills
that project managers should possess:
1. Leadership
The issue of project leadership has always been and always will be a focal point
among organizations. This is why it is undoubtedly at the top of a project manager
most important skills. This skill enables project managers to come up with
corporate visions and lead teams effectively. Boosting this skill will greatly
improve project managers’ career advancement.
2. Communication
Communication goes hand-in-hand with leadership skills. To be an effective
leader, one has to be able to make clear what project teams must do. However,
communication is not limited to the project team, it also applies to all stakeholders,
including vendors, contractors and stakeholders. Such can be done though the use
of technologies and tools which facilitate person-to-person and group
communication alike.
3. Scheduling Capability
Another one of project manager most important skills is the ability to create
project schedules cannot be undermined. However, it has been established that
many project managers are lacking in this skill, an area where improvements are
greatly needed. This skill ensures that projects are completed on time and each
project phase is carefully planned and executed.
4. Risk Management
The proliferation of unique projects have resulted in project managers becoming
more adept at risk management. Unlike common projects, which are often
outsourced or assigned to less seasoned project managers, these unique
undertakings entail more complicated efforts that only mature project managers
are capable of handling. Having this skill is a sign of having control over your
project. Besides, its an effective way of assuring project sponsors that their
investments are in good hands.
 5. Negotiating
Project managers who have excellent negotiating skills are likely to resolve
conflicts that may arise among project stakeholders. This could lead to the
formulation of ideal scenarios that could prove to be amicable to all concerned.
6. Contract Management
The ability to manage contracts is very useful in maintaining relationships with
suppliers. As every project involves material supply, such skill really comes in
handy for project managers. Managing purchases is basically the cream of contract
management. As such functions have previously been handled by finance
departments, relegating it to project managers makes the process much simpler.
7. Team Management
Needless to say, most members of project teams need guidance from project
managers and the most effective way to do this is by coaching. Having this skill
will enable you to make up for employee shortcomings such as inadequate project
experience and therefore, need coaching. And besides, coaching has been proven
to help students to significantly boost their performance.
8. Cost Management
An essential project management skill, cost management is of critical importance
to most organizations. Failure to comply with this need could hurt organizations
who run on tight budgets. Project managers who are knowledgeable in this area
have the ability to deliver projects not only on time but on budget as well.
9. Critical Thinking
It is a fact that critical thinking is the basis of all sound decisions and corporate
decision is no exception to this rule. Project managers who consider the pros and
cons of potential answers to specific problems, practice critical thinking. This skill
separates those who are adept at managing issues from those who are not.
Development of critical thinking skills require practice and tools that can help you
logically structure arguments prior to coming up with a decision.
10. Task Management
An effective project manager should also be adept at task management. This skill
involves the ability to come up with task lists and delegate them while keeping
absolute control over the project. To be able to harness this skill, one must learn
the process of making lists. Strategies for ensuring that one is constantly on top of
such list should also be developed. This is known to ensure that project completion
time is always on time.
11. Sense of humor
Although this may sound absurd, this skill is definitely no laughing matter as far as
project management is concerned. In fact, a good sense of humor is one of the
most important skills that a project manager could possess. Aside from allowing
one to see a problem from an alternative point of view, it is effective in relieving
both managers and teams’ stress. Relieving stress allows key people to focus on
generating ideas as opposed to working in a tension-filled environment.
TYPES OF PROJECTS
There is obviously a whole range of projects in which two or more of
these criteria may be present at the same time.
For practical reasons, educational institutions should, in most cases, make
distinctions according to the project content, or according to what the project is
intended to construct or produce:
 Investment or manufacturing projects refer to projects in which the manufacture
of tangible assets is central (e.g. the construction of buildings, manufacture of
machinery, refurbishment of facilities).
 Development projects involve the design and/or realisation of innovative products,
which very often are aimed at improving subsequent routine activities (e.g.
designing a new study course, developing new course offers, producing
educational software).
 Organisation projects, sometimes also called management or modification
projects, occur when organisations wish to, or are obliged to, restructure (e.g.
develop a new concept, introduce new course structures, such as Bachelor's or
Master's degrees, reorganise information and services, organise a (major)
function). The most noticeable feature of these projects is that employees in the
organisation are directly affected by the intended project outcome.
 Research projects generally serve to extend a field of academic knowledge (e.g.
research on the effects of renewable energy on global climate change, how does
the labour market react to the increasing number of graduates in South Africa or
Germany?). In contrast to projects categorised according to content, it can be
difficult to define a tangible end result for research projects as, usually, the final
objective of research activity cannot be defined explicitly at the outset.
TYPES OF PROJECTS IN A SCHOOL
 Curriculum implementation Projects
 Physical Infrastructural projects eg
 Classrooms
 Sanitation facilities
 Laboratories
 Developing Sporting grounds
 Construction of Dormitories
 Income generation projects
 Acquisition of school bus
 Acquisition of equipment/machinery
 Installation of ICT software/equipment
PROJECT CHARACTERISTICS
A project is not normal day to day activity undertaken by organization rather it is specific,
non-routine activity of varying time frame and impact viability of the institution in the long
run. A typical project has following characteristics:
 Timeline: A project has a definite timeline with measurable starting and end point.
 Resources: A project has limited resource of capital and manpower.
 Tools: Special type of tools and techniques are used for project management
Team: Project management requires diverse team stretching across departments
and functions.
PROJECT LIFE CYCLE
 A typical project is divided into following phases. Each phase of the project has its own
importance and impact on overall success of the project.
 Initiation Phase: In this phase of the project, feedback received from customers is
analyzed and brainstorming is done as to develop new product or modify existing
product to meet the new demands.
 Project Definition Phase: In this phase of the project efforts are made to define
the solution for the problem posed by customers.
 Feasibility Study: In this phase, planning of the project is made and definite
milestones are established.
 Project Execution: In this phase all activities and milestones established in the
earlier phase are executed in a timely and orderly manner. This phase utilizes
maximum of all resources.
 Project Conclusion: This is the last phase of the project. In this phase, final product or
service is handed over to the operations team for commercial production.
BASIC PHASES OF PROJECT MANAGEMENT
According to the Project Management Institute, Inc. (of USA) defines project management as
"the application of knowledge, skills, tools and techniques to a broad range of activities in
order to meet the requirements of a particular project." The process of directing and
controlling a project from start to finish may be further divided into 5 basic phases:
1. Project conception and initiation
An idea for a project will be carefully examined to determine whether or not it benefits the
organization. During this phase, a decision making team will identify if the project can
realistically be completed.
2. Project definition and planning
A project plan, project charter and/or project scope may be put in writing, outlining the work
to be performed. During this phase, a team should prioritize the project, calculate a budget
and schedule, and determine what resources are needed.
3. Project launch or execution
Resources' tasks are distributed and teams are informed of responsibilities. This is a good
time to bring up important project related information.
4. Project performance and control
Project managers will compare project status and progress to the actual plan, as resources
perform the scheduled work. During this phase, project managers may need to adjust
schedules or do what is necessary to keep the project on track.
5. Project close
After project tasks are completed and the client has approved the outcome, an evaluation is
necessary to highlight project success and/or learn from project history.
Projects and project management processes vary from industry to industry; however, these are
more traditional elements of a project. The overarching goal is typically to offer a product,
change a process or to solve a problem in order to benefit the organization.
PROJECT MANAGEMENT ACTIVITIES
Project management activities are mainly divided into three main categories Planning,
Scheduling and Controlling.
1. Planning: Planning activities include defining project objective, resource planning, etc.
2. Scheduling: Scheduling activities include developing detailed milestones and
guidelines for the project. These activities are performed typically before actual
initiation of the project.
3. Controlling: Controlling activities include developing budget and finance
control points, measuring of scheduled tasks are performed.
ROLE OF PROJECT MANAGERS (THE SCHOOL PRINCIPAL)
A project manager is a person who has the overall responsibility for the successful initiation,
planning, design, execution, monitoring, controlling and closure of a project.
The project manager must have a combination of skills including an ability to ask penetrating
questions, detect unstated assumptions and resolve conflicts, as well as more general
management skills.
Delivering customer delight and stakeholder value.
It has been said that Project Management is the art of balancing competing demands and
determining appropriate interventions whenever necessary. The balancing act is about taking
the different stakeholder requirements together and then ensuring that everything falls
together for the common purpose of meeting the project deliverables. This then is the bottom-
line guideline for project managers:
Planning
Project managers have to combine the science of project management with the art of people
and process management to achieve optimal results. Project Management combines statistics
and people skills in equal measure and it is incumbent upon the project manager to plan their
strategies accordingly.
Clarifying roles
The project manager clearly and delineate the roles and responsibilities of team members.
This usually happens in Matrix organizations where the structure of the organization is such
that there is lot of emphasis on clarity of the role.
Specific Roles and Responsibilities include:
 Planning and Defining Scope
 Activity Planning and Sequencing
 Resource Planning
 Developing Schedules
 Time Estimating
  Cost Estimating There should be a measurement of the costs involved and their variances tracked, if any. Any
variance to the budget must be controlled by the controlling the impact of the cost changes.
 Developing a Budget
 Documentation
 Risk Analysis and Management Costs in Project Management - Costs associated with the Projects
 Monitoring and Reporting Progress Costs
 Team Leadership The following are the costs associated with the projects.
 Strategic Influencing
 Working with suppliers/Vendors 1. Direct costs
 Controlling Quality Any costs that are directly attributable to the work on the project. These can
 Benefits Realisation include the salaries paid to the resources, the billing rate of the resources and costs
of the software and hardware that are used for building the website

Costs in Project Management - Costs associated with the Projects 2.
The following are the costs associated with the projects.
1. Direct costs
Any costs that are directly attributable to the work on the project. These can
include the salaries paid to the resources, the billing rate of the resources and costs 3.
of the software and hardware that are used for building the website
Indirect Costs
These costs are spread out against many projects and cannot be linked to one
project alone. These costs include those incurred in shared services like cost of
office space, taxes paid by the organization and other services like secretarial and
janitorial staff
Variable Costs
Costs that change in proportion to the amount of time and material that are spent
on produced in the project.

2. Indirect Costs 4. Fixed Costs

These costs are spread out against many projects and cannot be linked to one project
alone. These costs include those incurred in shared services like cost of office space,
taxes paid by the organization and other services like secretarial and janitorial staff
3. Variable Costs
Costs that change in proportion to the amount of time and material that are spent
on produced in the project.
4. Fixed Costs
Costs that do not change with the timeline or progress of the project.
A cost be either Fixed or
Variable; Direct or Indirect
Time phased budget
A time phased budget would include the costs incurred at each interval or milestone of the
project. The milestones for this project would be requirements, design, coding, testing and
implementation. The budget for the same would be the costs at each stage of the project.
Cumulative costs
The cumulative costs of the project are the ones that are incurred up to a specific phase or
milestone of the project. All the costs that accumulate up to a particular phase can be called
the cumulative costs of the project.
Cost control
The cost management plan should include the plan for controlling the costs of the project.
Costs that do not change with the timeline or progress of the project.
A cost be either Fixed or Variable; Direct or Indirect
The overhead costs for this project are the office setup and shared services. While the costs
incurred in setting up the office space can be general overhead cost as it is a one-time cost and is
borne by all the projects in the organization.
The project overhead costs are the costs incurred in the shared services such as secretarial
staff and other services provide to the project and can be directly billable as such.
Time phased budget
A time phased budget would include the costs incurred at each interval or milestone of the
project. The milestones for this project would be requirements, design, coding, testing and
implementation. The budget for the same would be the costs at each stage of the project.
The budget at completion or BAC should have all the components of the costs included like
direct and indirect costs, fixed and variable costs etc along with the cost at each phase or
milestone of the project.
The cost variance should be measured using Earned Value technique and this tool allows the
manager to assess the completion of the project at each milestone according to the cost
incurred and the value accrued till then. Variance between these two measures gives an
accurate estimate of the health of the project.
Cumulative costs
The cumulative costs of the project are the ones that are incurred up to a specific phase or
milestone of the project. It can be measured by using a Cost Performance Index or CPI which
measures the ratio of the Earned value with regards to the Actual cost incurred on the project.
As outlined above, all the costs that accumulate up to a particular phase can be called the
cumulative costs of the project.

Cost control
The cost management plan should include the plan for controlling the costs of the project.
There should be a measurement of the costs involved and their variances tracked, if any. Any
variance to the budget must be controlled by the controlling the impact of the cost changes.
Budget
Project management helps keep projects on budget. A good project management plan
identifies anticipated costs early on to develop a realistic budget. Coordinating tasks and
clearly identifying goals or deliverables within phases reduces inefficiencies in time
management that can result in being over- budget.
TOPIC 5: STRATEGIC PLANNING AND MANAGEMENT IN EDUCATION
i. Definition of terms
ii. Strategy formulation (strategic direction, SWOT analysis,
strategic issues)
iii. Strategy implementation (implementation framework, resource
mobilization)
iv. Monitoring and evaluation tools
Strategic management can also be defined as a bundle of decisions and acts which a manager
undertakes and which decides the result of the firm’s performance. The manager must have a
thorough knowledge and analysis of the general and competitive organizational environment
so as to take right decisions. They should conduct a SWOT Analysis (Strengths, Weaknesses,
Opportunities, and Threats), i.e., they should make best possible utilization of strengths,
minimize the organizational weaknesses, make use of arising opportunities from the business
environment and shouldn’t ignore the threats. Strategic management is nothing but planning
for both predictable as well as unfeasible. Strategic Management is a way in which strategists
set the objectives and proceed about attaining them. It deals with making and implementing
decisions about future direction of an organization. It helps us to identify the direction in
which an organization is moving.
Strategy is an action that managers take to attain one or more of the organization’s goals.
Strategy can also be defined as “A general direction set for the company and its various
components to achieve a desired state in the future. Strategy results from the detailed strategic
planning process”.
COMPONENTS OF A STRATEGY STATEMENT
The strategy statement of a firm sets the firm’s long-term strategic direction and broad
policy directions. It gives the firm a clear sense of direction and a blueprint for the firm’s
activities for the upcoming years. The main constituents of a strategic statement are as
follows:
1. Strategic Intent
An organization’s strategic intent is the purpose that it exists and why it will
continue to exist, providing it maintains a competitive advantage. Strategic intent
gives a picture about what an organization must get into immediately in order to
achieve the company’s vision. It motivates the people. It clarifies the vision of the
vision of the company.
2. Mission Statement
Mission statement is the statement of the role by which an organization intends to
serve it’s stakeholders. It describes why an organization is operating and thus
provides a framework within which strategies are formulated. It describes what the
organization does (i.e., present capabilities), who all it serves (i.e., stakeholders)
and what makes an organization unique (i.e., reason for existence).
Features of a Mission
a. Mission must be feasible and attainable. It should be possible to achieve it.
b. Mission should be clear enough so that any action can be taken.
c. It should be inspiring for the management, staff and society at large.
d. It should be precise enough, i.e., it should be neither too broad nor too
narrow.
e. It should be unique and distinctive to leave an impact in everyone’s mind.
f. It should be analytical,i.e., it should analyze the key components of the
strategy.
g. It should be credible, i.e., all stakeholders should be able to believe it.
3. Vision
A vision statement identifies where the organization wants or intends to be in
future or where it should be to best meet the needs of the stakeholders. It describes
dreams and aspirations for future. An effective vision statement must have
following features-
a. It must be unambiguous.
b. It must be clear.
c. It must harmonize with organization’s culture and values.
d. The dreams and aspirations must be rational/realistic.
e. Vision statements should be shorter so that they are easier to
memorize.In order to realize the vision, it must be deeply instilled in
the organization, being owned and shared by everyone involved in the
organization.
4. Goals and objectives
A goal is a desired future state or objective that an organization tries to achieve.
Goals specify in particular what must be done if an organization is to attain
mission or vision. Goals make mission more prominent and concrete. They co-
ordinate and integrate various functional and departmental areas in an
organization. Well-made goals have following features-
 a. These are precise and measurable. organization so as to achieve these objectives. Formulation of objectives is the task
of top level management. Effective objectives have following features-
b. These look after critical and significant issues.
c. These are realistic and challenging. f. These are not single for an organization, but multiple.
d. These must be achieved within a specific time frame. g. Objectives should be both short-term as well as long-term.
e. These include both financial as well as non-financial components. h. Objectives must respond and react to changes in environment, i.e., they
must be flexible.
Objectives are defined as goals that organization wants to achieve over a period
of time. These are the foundation of planning. Policies are developed in an i. These must be feasible, realistic and operational.

STRATEGIC MANAGEMENT PROCESS - MEANING, STEPS AND COMPONENTS

Strategic management process has following four steps:

1. Environmental Scanning- Environmental scanning refers to a process of collecting, scrutinizing and providing information for strategic purposes. It helps in analyzing the internal and external factors
influencing an organization. After executing the environmental analysis process, management should evaluate it on a continuous basis and strive to improve it.

2. Strategy Formulation- Strategy formulation is the process of deciding best course of action for accomplishing organizational objectives and hence achieving organizational purpose. After conducting
environment scanning, managers formulate corporate, business and functional strategies.

3. Strategy Implementation- Strategy implementation implies making the strategy work as intended or putting the organization’s chosen strategy into action. Strategy implementation includes designing the
organization’s structure, distributing resources, developing decision making process, and managing human resources.

4. Strategy Evaluation- Strategy evaluation is the final step of strategy management process. The key strategy evaluation activities are: appraising internal and external factors that are the root of present
strategies, measuring performance, and taking remedial / corrective actions. Evaluation makes sure that the organizational strategy as well as its implementation meets.he organizational objectives.

These components are steps that are carried, in chronological order, when creating a new
strategic management plan. Present businesses that have already created a strategic
management plan will revert to these steps as per the situation’s requirement, so as to make
essential changes.
Components of Strategic Management Process
Strategic management is an ongoing process. Therefore, it must be realized that each
component interacts with the other components and that this interaction often happens in
chorus.
Steps in Strategy Formulation Process
Strategy formulation refers to the process of choosing the most appropriate course of action
for the realization of organizational goals and objectives and thereby achieving the
organizational vision. The process of strategy formulation basically involves six main
steps. Though these steps do not follow a rigid chronological order, however they are very
rational and can be easily followed in this order.
1. Setting Organizations’ objectives - The key component of any strategy
statement is to set the long-term objectives of the organization. It is known that
strategy is generally a medium for realization of organizational objectives.
Objectives stress the state of being there whereas Strategy stresses upon the
process of reaching there. Strategy includes both the fixation of objectives as
well the medium to be used to realize those objectives. Thus, strategy is a wider
term which believes in the manner of deployment of resources so as to achieve
the objectives.
While fixing the organizational objectives, it is essential that the factors which
influence the selection of objectives must be analyzed before the selection of
objectives. Once the objectives and the factors influencing strategic decisions have
been determined, it is easy to take strategic decisions.
2. Evaluating the Organizational Environment - The next step is to evaluate the
general economic and industrial environment in which the organization operates.
This includes a review of the organizations competitive position. It is essential to
conduct a qualitative and quantitative review of an organizations existing product
line. The purpose of such a review is to make sure that the factors important for
competitive success in the market can be discovered so that the management can
identify their own strengths and weaknesses as well as their competitors’ strengths
and weaknesses.
After identifying its strengths and weaknesses, an organization must keep a track
of competitors’ moves and actions so as to discover probable opportunities of
threats to its market or supply sources.
3. Setting Quantitative Targets - In this step, an organization must practically fix
the quantitative target values for some of the organizational objectives. The idea
behind this is to compare with long term customers, so as to evaluate the
contribution that might be made by various product zones or operating
departments.
4. Aiming in context with the divisional plans - In this step, the contributions made
by each department or division or product category within the organization is
identified and accordingly strategic planning is done for each sub-unit. This
requires a careful analysis of macroeconomic trends.
5. Performance Analysis - Performance analysis includes discovering and analyzing
the gap between the planned or desired performance. A critical evaluation of the
organizations past performance, present condition and the desired future
conditions must be done by the organization. This critical evaluation identifies the
degree of gap that persists between the actual reality and the long-term aspirations
of the organization. An attempt is made by the organization to estimate its
probable future condition if the current trends persist.
6. Choice of Strategy - This is the ultimate step in Strategy Formulation. The best
course of action is actually chosen after considering organizational goals,
organizational strengths, potential and limitations as well as the external
opportunities.
Strategy Implementation - Meaning and Steps in Implementing a Strategy
Strategy implementation is the translation of chosen strategy into organizational action
so as to achieve strategic goals and objectives. Strategy implementation is also defined as
the manner in which an organization should develop, utilize, and amalgamate organizational
structure, control systems, and culture to follow strategies that lead to competitive advantage
and a better performance. Organizational structure allocates special value developing tasks
and roles to the employees and states how these tasks and roles can be correlated so as
maximize efficiency, quality, and customer satisfaction-the pillars of competitive advantage.
But, organizational structure is not sufficient in itself to motivate the employees.
An organizational control system is also required. This control system equips managers with
motivational incentives for employees as well as feedback on employees and organizational
performance. Organizational culture refers to the specialized collection of values, attitudes,
norms and beliefs shared by organizational members and groups.
Following are the main steps in implementing a strategy:
Developing an organization having potential of carrying out strategy successfully.
Disbursement of abundant resources to strategy-essential activities.
Creating strategy-encouraging policies.
Employing best policies and programs for constant improvement.
Linking reward structure to accomplishment of results.
Making use of strategic leadership.
Strategy Formulation vs Strategy Implementation

Following are the main differences between Strategy Formulation and Strategy Implementation-
Strategy Formulation
Strategy Formulation includes planning and
decision-making involved in developing
organization’s strategic goals and plans.
In short, Strategy Formulation is placing
the Forces before the action.
Strategy Formulation is an Entrepreneurial
Activity based on strategic decision-making.
Strategy Implementation
Strategy Implementation involves all those means
related to executing the strategic plans.
2.
In short, Strategy Implementation is managing
forces during the action.
Strategic Implementation is mainly an
Administrative Task based on strategic and
operational decisions.
These are what you are well-versed in or what you have expertise in, the traits and
qualities your employees possess (individually and as a team) and the distinct
features that give your organization its consistency. Strengths are the beneficial
aspects of the organization or the capabilities of an organization, which includes
human competencies, process capabilities, financial resources, products and
services, customer goodwill and brand loyalty. Examples of organizational
strengths are huge financial resources, broad product line, no debt, committed
employees, etc.
Weaknesses- Weaknesses are the qualities that prevent us from accomplishing our
mission and achieving our full potential. These weaknesses deteriorate influences
on the organizational success and growth. Weaknesses are the factors which do
not meet the standards we feel they should meet. Weaknesses in an organization
may be depreciating machinery, insufficient research and development facilities,
narrow product range, poor decision-making, etc. Weaknesses are controllable.
They must be minimized and eliminated. For instance - to overcome obsolete
machinery, new machinery can be purchased. Other examples of organizational
weaknesses are huge debts, high employee turnover, complex decision making
process, narrow product range, large wastage of raw materials, etc.

3. Opportunities- Opportunities are presented by the environment within which our

Strategy Formulation emphasizes on
effectiveness.
Strategy Formulation is a rational process.
Strategy Formulation requires co-ordination
among few individuals.
Strategy Formulation requires a great
deal of initiative and logical skills.
Strategic Formulation precedes Strategy
Implementation.
Strategy Implementation emphasizes on efficiency. organization operates. These arise when an organization can take benefit of
conditions in its environment to plan and execute strategies that enable it to
become more profitable. Organizations can gain competitive advantage by making
use of opportunities. Organization should be careful and recognize the
Strategy Implementation is basically an operational
opportunities and grasp them whenever they arise. Selecting the targets that will
process.
best serve the clients while getting desired results is a difficult task. Opportunities
may arise from market, competition, industry/government and technology.
Strategy Implementation requires co-ordination among Increasing demand for telecommunications accompanied by deregulation is a great
many individuals. opportunity for new firms to enter telecom sector and compete with existing firms
for revenue.
4. Threats- Threats arise when conditions in external environment jeopardize the
Strategy Implementation requires specific motivational reliability and profitability of the organization’s business. They compound the
and leadership traits. vulnerability when they relate to the weaknesses. Threats are uncontrollable. When
a threat comes, the stability and survival can be at stake. Examples of threats are -
Strategy Implementation follows Strategy unrest among employees; ever changing technology; increasing competition
Formulation. leading to excess capacity, price wars and reducing industry profits; etc.

Key strategic issues in a secondary school setting

SWOT ANALYSIS Curriculum implementation (targets will be set in the following areas:))
 Academic achievement/Mean score
SWOT is an acronym for Strengths, Weaknesses, Opportunities and Threats. By
 Syllabus coverage
definition, Strengths (S) and Weaknesses (W) are considered to be internal factors over which
you have some measure of control. Also, by definition, Opportunities (O) and Threats (T) are  Time management
considered to be external factors over which you have essentially no control.  Student Mentorship program
 Career guidance
An overview of the four factors (Strengths, Weaknesses, Opportunities and Threats) is given
below- Student welfare
 Strengthening Guidance and Counseling
 Co-Curricular activities and entertainment
1. Strengths- Strengths are the qualities that enable us to accomplish the
 Strengthening the Student council
organization’s mission. These are the basis on which continued success can be
made and continued/sustained. Strengths can be either tangi1ble or intangible.  Establishment of clubs and societies
Staffing and staff development  The Government through the subsidized secondary school education programme.
 Staff training for both teaching and non-teaching staf  The Government through the Constituency Development Fund.
 Number of staff required within the planned period  The County government through LATF
 Staff relations  Income Generating Projects owned by the school
 Internal quality assurance
 Leasing of structures like the school bus and halls.
 Benchmarking
 Donations from well-wishers
Physical Infrastructure
 Number of additional Classrooms MONITORING AND EVALUATION
 Sanitation facilitiesrequired
Monitoring and evaluation is an integral part of strategic planning. The monitoring and
 Laboratories to be constructed/renovated evaluation process is carried out by a committee that shall ensure implementation of the plan
 Number and type of Sporting grounds in planned period. It should be known that monitoring is a continuous process.
Therefore, the need to monitor and evaluate the performance of the school against the vision
 Dormitories to be constructed during the planned period
and objectives set out in the Strategic Plan (SP) is critical. This is one of the only means to
Financial sustainability
ensure and determine its success.
 Streamlining school fees collection Monitoring is the process of tracking the progress of the implementation of the Strategic Plan.
 Investment in Income generation activities Evaluation, on the other hand, is a critical and objective appraisal of the strategic planning
 Projected Donations/Grants from sponsors and well - wishers process in order to determine success and achievements.
A monitoring and evaluation committee is constituted to undertake monitoring and evaluation
Strategic issues of the plan to ensure that the plan achieves its objectives. The committee will ensure that
A comprehensive review of external and internal situation of the School identifies the various sections in school prepare work plans of projected activities to be undertaken within
following as key strategic issues. the 3 or 5 years period.
 Academic excellence – the school has realized steady improvement in academic The committee will comprise the following:
performance but there is room for further improvement to actualize perfect grades.  One member from B.O.M.
This conceived from the fact that the success of any school hinges on the efforts  One member from P.T.A.
made towards academic excellence.  The principal of the school
 Student welfare – without the students being comfortable physically,socially,  The deputy principal
spiritually, and morally balance they cannot realize excellence in academics and  The Director of Studies
character development. That is why there is need to focus on their comfort, tap
their talent in other areas and develop an all rounded person as envisioned in the
 One member from the strategic planning committee.
school vision.
Monitoring tool
 Staffing and staff development- The quality of the staff and their commitment
are key determinants of success of any school. Recruiting staff with the right The monitoring and evaluation committee will use the following matrix
skills, attitudes and knowledge is a step towards success but developing their
competencies will go a long way to create an empowered pull of skilled and :STRATEGY REPORTI ACTUA VARIANC RESPONS COMM
motivated staff that will be effective in service delivery. NG L DATE E IN % IB LE E NTS
 Infrastructure –Adequate infrastructure is critical for sustaining students and PERIOD
staff in an environment that is conducive for learning. Having noted the school is
surviving on the bare minimum to cater for the girls academic and welfare
needs, the school will aggressively source for funds to improve the existing and
develop new infrastructure.
 Income generation- having realized the potential to generate more income to
supplement the income from parents and other partners, the school will generate Evaluation Plan
finances to cater for the ever increasing financial needs in school for improved Evaluation entails critical and objective appraisal of the strategic planning process in order
service delivery. to determine success and achievements.
Sources of Funds to implement projects in the strategic plan  The school will also set up an evaluation team that will evaluate the implemented strategic plan
The following are the sources of funding for the school:  This team will evaluate the end
 Parents who pay fees results of the strategic plan.
The evaluation team will have
the following responsibilities: In the era of globalization, organizations function across the cultural boundaries with large
 Define evaluation roles and responsibilities by the departments planning investments in human capital as well as physical resources, give utmost importance to
committees and coordinators technological change and innovative practices for a leadership advantage. Business alliances
like mergers, acquisitions, diversifications, takeovers and various other collaborative ventures
 Conduct enquiries with assistance of questionnaires to relevant stakeholders have become the most preferred strategic best practices for the organizations to survive the
 Conduct Physical observation, interviews, and discussions with various stakeholders fierce forces of competition, through transfer of people, technology, processes and
 Evaluates quality of work done. leadership. For successfully handling this transition and converting the threats of change into
opportunities, organizations must be flexible and open for Change Management. By
improving the readiness for change, organizations can strengthen their adaptability
Evaluation Framework mechanisms and build their internal competencies for facing future uncertainties or many
KEY ISSUES BASE KEY ACTUAL VARIANCE AND such multiple change auguring situations.
An organization’s readiness for change management influences organizational strategies
LINE INDICA ACHIEV REASON
and policy related decisions, as it involves a comprehensive, well planned approach and
DATA TORS EMENT implementation of systemic interventions which would have an overall influence on the
Academic system, processes, people as well as the organizational structure as a whole.
Innovations in technology and research advancements, have created opportunities for working
achievement virtually across any part of the globe; changes in the organizational structure and hierarchy;
Students’ changes in the human resource policies and regulations, has resulted in organizational
welfare reengineering and change in the style of working of employees.
For meeting the growing demands of ever changing business operations, more dynamic and
Staffing flexible organizations have endorsed new methods of working like flexi work hours, work
and staff from home, freelancing opportunities, virtual method of working, business operation
development outsourcing and project driven operations, etc. which provide ample opportunities to the
workmen to work as per their convenience and flexibility.
Physical Organizations change for responding to the fluctuations or volatility in the business
infrastructure environment. Any change in order to have successful outcomes must involve comprehensive
planning, focused approach and involvement of the key stakeholders in the entire process.
Increase For any organization, people play a very vital role in driving business excellence as they
income are the most valuable assets. Hence, a change in the method of handling a job role,
implementation of facilitating interventions and training people about the new practices or
base
techniques, can result in impressive results in terms of the return on investment (ROI). How
organizations manage change or respond to the business transitions largely depend upon the
adaptability of people or readiness of the people in understanding the changes in the process
and method of handling a job. Change management process may directly affect the human
TOPIC6: MANAGEMENT OF EDUCATIONAL CHANGE resource strategies of an organization depending upon the goals or strategies of an
Change management is the process of continually renewing an organization's direction, organization.
structure, and capabilities to serve the ever-changing needs of external and internal customers. A well-defined change management process can help in mitigating risks related with the
The Need for Change Management people side. If this aspect is ignored, it might result in increase in the overall costs, decline in
In the contemporary environment, organizations fight the battle of competition by building productivity as well as employee motivation and increase in the absenteeism level and
their adaptive capabilities and preparedness for coping against the pressures of change. In the employee attrition. Hence, it improves the overall preparedness of the management and the
present scenario, top management give a lot of importance to change management process decision making authorities in understanding the need for managing change, the key
and the need for being flexible as well as adaptable for tackling the growing environmental processes involved in it and in understanding the operational technicalities connected with it.
uncertainties or competitive threats. Planned change if effectively implemented can be beneficial in terms of controlling costs,
Change management is a complex process and requires serious attention as well as minimizing risks, reducing the stress and anxiety by controlling uncertainties. It helps in
involvement from the management and people from all levels, in order to achieve a setting up new milestones, establishing objectives, defining priorities and identifying the
meaningful or a progressive transformation across various levels. For being ahead in the limitations for driving excellence in new initiatives.
competitive race and gaining a winning edge, organizations have been focusing on Effective Change management process help organizations in understanding the
expansion of business worldwide, achieving excellence in processes and operations, changing customer needs, meeting their demands and expectations much better since
implementing innovations in technology and identifying/developing the right talent. The fast the requirements are well defined. If implemented with proper planning, change
changes which have taken place and the way in which this has affected the strategies, people, management does not affect the day to day functioning of an organization, rather it functions
policies and processes in an organization, it has become all the more imperative that concurrently. Instead it creates a scope for establishing best practices, defining the operational
organizations clearly establish a well-defined change management framework for realizing framework and regulations for the people, processes and system. It engages people in the
the strategic objectives. Change is inevitable and it can only be managed, failing which the entire process and motivates them to work towards realization of a common goal or objective
organizations may cease to exist. and deliver excellence in performance through collaborative efforts and involvement in the
process as a whole. Research in this direction proves the fact that organizations which have an
established change management process are more likely to excel in meeting the business
goals or achieve excellence in their project outcomes.
Effective change management is the key to realization of operational effectiveness, plays a
key role in creating an optimism in the organizational environment as it has holistic outcomes
and enables achievement of outcomes by defining superior benchmarks and working towards
it for realization of the set benchmarks.
Organizational change affect the leadership thinking style and may optimize the benefits
by establishing the systems and processes in place, establishing an integrated framework for
achieving the developmental goals with the complete involvement of people in the end to end
stages of change management cycle.
Hence, to conclude it may be appropriate to mention that change management is a planned
and an integrated approach involving the support of the key stakeholders in terms of the
willingness as well as the preparedness to move from the existing state of affairs to a
reformed state by accepting the transition and wholeheartedly participating in the entire
process.
The success of change management process largely depends upon effective planning,
establishing of objectives, communication of objectives to the people involved in it and
establishing of the required framework to deliver the expected goals or outcomes.
Kinds of Change and the Barriers to Change
There are different kinds of change that an organization might undertake or be forced to
undertake because of internal and external factors.
The internal factors for change include reorganization and restructuring to meet the
challenges of the future and also to act proactively to initiate change as a means of staying
ahead of the competition.
The external factors include change that is forced upon the organization because of falling
revenues, changing market conditions and the need to adapt to the ever changing business
landscape.
Change can be organic which means that it evolves slowly and is like meandering
up the gentle slope of a mountain. In this case, the organization and the management have
enough time to prepare for change and reorient themselves accordingly. This is the kind of
change that is adaptive meaning that firms have the opportunity to adapt themselves to the
change.
Change can be radical which is rapid, sudden and uncertain. This is the kind of change
that is disruptive and often forces organizations to reorient themselves without adequate
notice and warning. It is better for organizations to anticipate change rather than be forced
into accepting change that is rapid and sudden.
We have seen how managers at different levels resist change and how this resistance
manifests itself. Apart from the ideological and personality issues, there is the very real
possibility of change being resisted because the “visibility” of what comes next is not clear.
For instance, many managers tend to resist change because the change initiators have not
clearly spelt out the outcomes of the changes and the possible impacts that such changes have
on the organization. This is the realm of the “known unknowns” and the “unknown
unknowns” which arise because of ambiguity, complexity and uncertainty. Hence, the
resistance to change can come about due to the lack of coherence in the vision and mission
and because the change is not clearly communicated as well.
Finally, the rapidity with which change is introduced can upset the organization structures that
are usually rigid and bureaucratic with bean counters at all levels resisting and actively
thwarting change. Hence, it needs to be remembered that change initiators take into account
all these factors when introducing changes. The possible approaches in dealing with these
resistances would be discussed in the next section. Reasons for Resistance to Change
Change is an important and an indispensable part of the organizational life. It is all pervasive
and hence comes the question of paying attention to the importance of building the coping
and adaptive mechanisms of an organization for being current and competitive in the
contemporary scenario. The phrase “Resistance to Change” is discussed hand to hand along
with the concept of Change Management. Resistance to Change may be organizational
or individual in nature. According to Ag cs, 1997, organizational resistance involves
all the organizational behavioural patterns which impede or undermines change.
A mild degree of resistance to change is considered to be positive as it provides a great
extent of behavioural stability as well as predictability. It is believed to have a favourable
influence on the decision making, evaluation of the available alternative critically and leads to
a healthy brainstorming on the viability of various ideas and strategic alternatives. But, on the
other hand, resistance to change hinders the progress of the work due to unnecessary chaos
and creates adaptability issues.
Resistance to change can manifest in different ways. Resistance towards a change can be
expressed in an overt manner, covertly, implicitly, can be immediate or may be deferred.
Individual Resistance to Change can be classified into the following categories as below:
Rational vs. Irrational Resistance
According to de Jager, 2001, Rational or Irrational Resistance to Change can be defined as
merely a perceptual process. Irrational resistance to change does not find too much of a
mention in the change literature. Hence the irrational resistance does not have a clearly
defined definition. Irrational resistance can only be felt or usually expressed in various
behavioural forms.
On the other hand, Rational Resistance to Change is backed by logical argument, justification
or a reward which can bring about the change.
Justified vs. Unjustified Resistance
Rational Resistance to Change can be classified into Justified and Unjustified Resistance
to Change. Unjustified Rational Change is usually psychological in nature and may involve
conflicting commitments in a hidden form (Kegan & Lahey, 2002), might manifest as
personal insecurities or fears (Powell & Posner, 1978; Yukl, 2006) or may be simply as a
belief that a change may come against one's very own ideals or culture (Lawson & Price,
2003; Recardo, 1995; Schein & NetLibrary, 2004; Yukl, 2006). Unjustified rational resistance
may take the following forms with fear or threat being the major drivers:
 Fear towards the unknown
 Fear regarding the Personal Failure
 Fear of Being Labelled as Incompetent
 Fear of Loss of Control over the situation
 Threat to personal values, principles or philosophy
 Threat of a possible change in the status
According to Recardo (1995), an employee who is faced with the fear of unknown may
require special efforts in communication from the change agent for managing that fear.
For dealing with the fear of failure or being considered as incompetent, the organization
may temporarily introduce changes in the workflow or change the employee evaluation
procedure so that the employees are reassured that they will not be penalized during the entire
change process. Atkinson (2005), a change specialist is of the view that various change
programs fail to meet the intended objectives due to the lack of efforts devoted to
effective internal public relations. Though some fears and threats can be easily addressed with
devoted efforts from the change management involving effective communication with the
key stakeholders and the people who are directly affected by the change. However, unhealthy
threats and fears cannot be easily addressed and are beyond the purview of the change agent
or the management and may take a longer time for adaptation process.
Justified Resistance takes place when the real threat or fear exists and the change is
manifested in a negative form. Several consultants explain that the Justified Resistance is
believed to have a positive effect on the organization (de Jager, 2001; Atkinson, 2005).
According to Dent and Goldberg (as cited in Oreg, 2006 p. 73), the members of the
organization resist adverse outcomes of the change and not the change itself. The negative
outcomes of the change may take the following forms: Change may increase the workload
 Change may affect the job security
 Change may adversely affect the social networking of the employee
 The resource availability for implementing the change are insufficient.
Hence the change is resisted
 The need for change is not so urgent or important
Research studies have proven that a negative consequence of change will lead to resistance
from the employees which is obvious and cannot be avoided. For example, organizational
downsizing or a reduction in the pay of employees will undoubtedly lead to a resistance from
the employees, but this resistance may not essentially affect the possible effects or the
outcomes of the change.
Covert vs. Overt Resistance
Resistance to change can be expressed in an overt or covert manner (de Jager,
2001). According to Atkinson (2005), identification of overt resistance is relatively easier,
and the appropriate strategies can be used for mitigating its effects. Overt resistance may
manifest in various forms but is usually expressed in the form of either opposing vocally or in
the form of strong agitation. On the other hand, it is very difficult to detect covert resistance to
change. According to Recardo (1995), covert resistance to change may be expressed in the
following ways:
 Reduction in the output
 Withholding the information
 Lingering the matter by asking for unnecessary details or information for further
studies or investigation
 Unnecessarily appointing committees or various task forces
Resistance to change is still a controversial area of research or study as still there is an
absence of a proper consensus between different authors regarding the change outcomes,
which is due to the lack of substantial empirical pieces of evidence or facts on the change
literature. Resistance to change is still a potential area of investigation or further research, and
a lot of newer insights on this subject can be unveiled through effective research and
investigation.
Individual and Organizational Sources of Resistance to Change
Individual sources of resistance towards a change exist in the basic human tenets or
characteristics and are influenced by the differences in perception, personal background,
needs or personality-related differences. It is important to understand those triggering factors
or issues which refrain individuals from endorsing change or extending their support and
cooperation towards any change initiatives at an organizational level.
Criticizing the individuals or the teams for not being supportive in the stages of transition or
compelling them cannot be an effective solution for implementing change smoothly or in a
hassle free manner.
The resistance towards change at an individual level can be due to various reasons:
 How satisfied they are with the existing state of affairs
 Whether they appreciate the overall end product of change and it’s outcome on them
 How much practical or realistic the change is
 What will be the possible cost change on the individual in terms of
potential risks involved, pressure to develop new competencies and disruptions
The following factors explain why individuals may pose resistance towards change:
 Habits: We individuals are influenced by our habits in our ways of working and
accept or reject a change depending upon the effect which a change may have on
the existing habits of the individuals. For example, change in the office location
might be subjected to resistance from the individuals as this might compel them
to change their existing life routine and create a lot of difficulties in
adjustment or coping with the schedule. The individuals might have to drive a
longer way for reaching their office, or start early from home for reaching their
office in time, etc.
 Lack of Acceptability or Tolerance for the Change: Some individuals endorse
change and welcome a change initiative happily while few individuals fear the
impact of change. Over a period of time change fatigue also builds up.
 Fear of a Negative Impact Economically or on the Income: During the process
of organizational restructuring or introduction of organization-wide change as a
strategic move on the part of the management, several inhibitions, and fear rule the
thought process of the individuals. Fear of possible loss of a job as a result of
change or a change in their income structure or may be a change in their work
hours could be one amongst the possible reasons.
 Fear of the Unseen and Unknown Future: Individuals develop inertia towards
the change due to the fear of unknown or uncertainties in the future. This can be
tackled through effective communication with the participants of change and
making people aware of the positives of change and the course of action which
individuals are expected to follow to cope with the changing requirements
successfully.
 Fear of Losing Something Really Valuable: Any form of threat to personal
security or financial security or threat to the health of the individuals may lead to
fear of losing something precious as a result of the implementation of change.
 Selective Processing of Information: It can be considered as a filtering process in
which the individuals perceive or make judgments by gathering selective
information which is greatly influenced by their personal background, attitude,
personal biases or prejudices, etc. If an individual maintains a negative attitude
towards any kind of change, then they are having a usual tendency of looking at
the negativities associated with the change and involve all the positive aspects of
it.
 A Rigid Belief that change cannot bring about any facilitating change in the
organization and it only involves the pain and threats to the individuals.
Now, we will look into the organizational factors which result in resistance to change.
 Resistance Due to the Structural Rigidities or Limitations: Structural
resistance is a characteristic feature of bureaucracies, which focus more on
stability, control, set methodologies or routine.
 Ignoring all the interconnected factors which require change or lack of clarity in
understanding the ground realities.
 Inertia from the Groups: Groups may resist change because just like individuals,
groups equally follow set behavioural patterns, norms or culture and as a result of
change the groups might have to change their existing ways of conduct or
 behaviour.
 Possible threats to Power, Resources or Expertise can also result in resistance
towards an organization level change. Any kind of devolution of power or transfer
of resources from some agency or group to some other agency or a group will
definitely lead to a feeling of fear or inertia towards a change initiative.
In the end, it can be concluded that any kind of change will surely involve heavy resistance at
the individual as well as organizational level. But through effective communication during all
stages and consulting, desirable outcomes can be ensured by breaking all the possible barriers
or resistances towards a change. What is more important is identifying the main source of
resistance and accordingly developing action plans for dealing with it.
Successful change in an organization will require strong commitment and involvement on the
part of the top management, focused and an integrated approach, strong and a stable
leadership, effective and open communication from the internal change agent for making
people sensitive and more aware of the realities and the ultimate need for change.
For minimizing the resistance towards the change employee participation and involvement in
the overall process plays a crucial role in building acceptability and seeking the
cooperation of the employees towards the change. Hence proper planning, coordinated
approach and complete involvement of all the stakeholders, play a decisive role in
implementing strategic decisions and determining the success of change.
Strategies for Successful Change Management
Change Management in an organization aims at realizing the strategic goals and improving an
organization’s preparedness for meeting both internal as well as external challenges, which
may influence business growth and profitability. To remain on top, today companies have to
undergo through progressive transformation and evolve as per the changing business
environment.
Effective Change Management involves a comprehensive and an integrated effort from all the
levels of the management. Successful change management involves consideration of several
factors, which have been described below:
Effective Planning: This is critical for ensuring successful change to happen. This stage
essentially involves definition and documentation of objectives to be attained from change
management and also the strategies for realizing those objectives. It aims at addressing the
vital questions of who, what, why, when, where and how involved in the implementation of
any change management programme. It takes into context the current situation and equally
assesses the impact of change initiatives on the futuristic strategies of the organization, the
people involved in it as well as the stakeholders connected with it.
Effective Planning should consider the below factors:
 Clear definition of objectives of change management and alignment of
objectives with the organizational vision/mission/strategies. If the vision is not
defined properly or shared, seeking the involvement of all the stakeholders in the
process of change may be difficult. Lack of vision and direction, may result in
misaligned approach, incompatible outcomes and may dissolve the long term
benefits of change initiatives.
 Documentation of the objectives, defining the road map or the development
of the change plan for implementing change management successfully.
Documentation of the change management objectives, provides a strategic
direction and justifies the rationale of a change initiatives along with the
resources required for it to happen. It provides a bigger picture regarding the
magnitude and complexities involved in the entire process of change management.
Documentation should justify the following points:
i. Why a change initiative is required and the factors/drivers establishing
a need for change management.
ii. What could be the possible outcomes of the change initiatives, and
iii. How a change management effort may affect the key stakeholders,
people, processes and the organization as a whole.
Change Plan must cover the following areas:
iv. The change plan should elaborate the key objectives which are aimed at.
v. Highlight the strategic alternatives, direction, organizational
restructuring, changes in the existing processes & people management
practices to ensure successful change.
vi. Plans for implementing the change, provide a description on how
the change would be communicated to the people or the stakeholders
who are connected with it.
vii. Highlight the resources involved or the timelines within which the
results are supposed to be achieved.
viii. The changes in the HR policies and principles which may be
applied particularly in relation with the staffing issues for realizing
the objectives of change management.
ix. Clear definition of the key performance indicators for reviewing the outcomes of
change management and its success in meeting the objectives.
Definition of the Governance Structure/Framework for effective Change Management:
In the absence of a well-defined governance framework, the success of change management
efforts may fizzle away. For a successful change to happen, the organizational structure, roles
& responsibilities should be established and defined clearly to monitor the progress of change
periodically and implement corrective actions for seamless transformation. The following
change governance structure model can be used:
 Steering Committee: It is the apex body responsible for ensuring the success of
change management. The members of the steering committee are responsible for
planning and implementing strategies, providing direction and leadership for
change management and ensure that the objectives of change management remain
in alignment with the organizational vision/goals.
 Change Sponsor: The change sponsor is the key person responsible who is
directly responsible and accountable for the change. This may be a senior level
representative who may have the responsibility of managing the resources
involved in the change management process and may exercise control over the
expenditure incurred in the entire process. The Change sponsor is involved in the
end to end process, is directly accountable for gathering the support and
commitment of the business leaders in particular, minimizes the resistance or
barriers to change management and addresses the risks associated by taking radicle
measures. A change sponsor is usually someone who enjoys greater authority, is
empowered and experienced in implementing vital decisions for handling the
complexities in change management.
 Change Agent: A change agent is responsible for coordinating the day to day
activities and provides the needed support as well as expertise for ensuring the
success of a change initiative. Change teams are the facilitators involved in
extensive coordination between the various functionalities, establishes the
operational framework and ensures adherence with the regulations involved in the
 entire process.
 Work Streams/Groups: This involves the task forces/groups directly responsible
for the realization of the specific objectives of change management. The task
forces or specialized groups within the organizations work upon the specific
projects and are directly accountable for completion of the assigned
responsibilities within the predefined timelines and resources.
Commitment of the Leadership: Leaders build the conducive organizational culture and
climate for the realization of the objectives of change management. Their commitment and
involvement is critical for the success of change efforts. Leaders who are transformational,
visionaries and lead by example can foster an environment of cooperation and collaboration
across all the levels of the organization.
Stakeholders Awareness and Involvement: Stakeholders involvement and participation in
the entire process is critical for the success of change management. The organizations should
engage the stakeholders by facilitating an environment of collaboration and communicate the
objectives as well as its outcomes.
Workforce Alignment: This should essentially involve an assessment of the impact of
change management process on the people and establishing plans for obtaining the support of
the people in the entire process by building collaborative synergies and highlighting the
beneficial outcomes.
Change Management: Success Stories as well as Failures (Organizational Case Studies)
1. Success Stories (Pearson): In 2012, John Fallon the new CEO of the organization
announced a new game plan “Global Education Strategy” for realizing the bigger
objectives of business. Apart from this, he championed organizational
restructuring leading to the formation of 6 different units of workforce. The
company went big by not only changing the strategies but also by implementing
organizational restructuring to support the entire plan. The communication was
established in a top down manner-Intranet was considered as the medium for
communicating the objectives of change and also the expectations involved in it.
For realizing the strategic intent of change management, the new CEO relied
heavily on new technology (intranet) for aggressive internal marketing of change
initiatives and the benefits associated with it.
2. Failure Stories (Walmart): The giant retail player followed the strategy of Low
Pricing few years ago and enjoyed a prominence in the market due to its low
pricing strategy for across various categories of products. Few years later, they
introduced a change in the strategy for attracting niche customer segments who
could afford higher priced products and up-scaled their items. Due to a change in
the strategy, Walmart lost its business profitability since it could neither attract the
higher end customers through its products and the regular customers started
looking for better bargains from the competitors.
Techniques for Overcoming Resistance to Change and Selection of Appropriate Technique
According to Kotter and Schlesinger (1979) proposed six crucial techniques for overcoming
the resistance to change. These are given below:
1. Widespread Education and Improving Communication
2. Facilitating Participation and involvement
3. Support and Facilitation
4. Agreement & Negotiation
5. Co-optation & Manipulation
6. Coercion-Both Explicit and Implicit
1. Education and Effective Communication: This is one of the commonest
techniques for minimizing resistance to change by educating people and promoting
awareness through effective communication regarding the benefits of a planned
change. By explaining the need for change and the objectives of change, the
management can gain the much-needed support from the team members and
facilitate its smoother implementation.
With the help of two-way communication, the employee’s queries and oppositions
related to various aspects of change can be quickly addressed and thereby,
minimize the objections or hassles which may come across in the path of
implementation of change.
Given below are the important principles which are related to the communication
of change and require a lot of attention while implementation a planned change:
 A large-scale planned change can be effective and yield successful
outcomes only if it involves two-way communication efforts. Only top
down communication or one-way communication will fail to attract the
desired commitment from the staff members.
 The staff members do have a preference for being communicated about
the change on face to face basis from their immediate supervisors.
 According to Beckhard & Pritchard 1992; Robbins et al. 1998;
Ivancevich & Matteson 1996, employees prefer a consultation and
involvement in the change.
Few important things which should be essentially followed while implementing an
organization- wide change are:
 Avoid sending emails or memo for informing the employees regarding
a change initiative and expect that the employees will be able to
understand and accept it readily.
 Invite the suggestions and feedback from the staff members, involve
them in the process and encourage their participation for effective
results.
 Communicate with people regularly by engaging in face to face
interactions with them both individually and in groups and provide
them opportunities for discussion.
2. Facilitating Participation and Involvement: This technique gives a lot of
importance to involving the resistors in the change process by setting up a
collaborative environment and implementing the change in consultation with the
staff. It is a constructive strategy and can be beneficial in minimizing the
resistance to change by involving the employees and seeking their participation in
the entire process.
3. Support and Facilitation: Employees fear or resist change due to a number of
reasons as a result of which they pose a resistance or oppose any kind of
transformation in the existing ways of work or methods. The employees look for
complete emotional support and facilitation for being able to cope up with the
challenges resulting from the change and should be allowed to express their fear,
resentment or anger in connection with the change and the challenges of change.
4. Agreement & Negotiation: This technique involves negotiating or bargaining
with the resistors on various aspects related to the change and making tradeoffs so
that the concerns of the resistors and the management are both being given due
consideration and importance.
 5. Co-optation & Manipulation: This technique involves getting the support, ………………………………………………………………………………………
persuading or influencing the employees in favor of the change. Manipulation ………………………………………………………………………………………
involves covert attempts from the managers by withholding painful information, ………………………………………………………………………………………
twisting or distortion of the information for making it more appealing for the staff
members or spreading false rumors across the organization in order to compel the ………………………………………………………………………………………
employees to accept the change manipulatively. ………………………………………………………………………………………
Alternately, the managers can depend on staff polling strategy and make an ………………………………………………………………………………………
attempt towards persuading the resistors to join the rest of the group. The ………………………………………………………………………………………
management may even co-opt an individual and assign certain important
responsibilities in connection with the implementation of change. ………………………………………………………………………………………
………………………………………………………………………………………
6. Coercion: Implicit and Explicit: Coercion involves exercising force or threat for ………………………………………………………………………………………
making the change accepted and followed by the employees. This strategy ………………………………………………………………………………………
emphasizes more on the use of fear by way of direct or indirect threats and ………………………………………………………………………………………
involves harassment, bullying or compels the employees to act in accordance with
the expected ways or else resign. This strategy is illegal, ineffective and in the
………………………………………………………………………………………
long-run, will result in mass resentment, dissatisfaction, high rate of absenteeism, ………………………………………………………………………………………
low productivity and ultimately high employee turnover. ………………………………………………………………………………………
Selecting the Right Technique and the Relative Benefits of Each Technique ………………………………………………………………………………………
………………………………………………………………………………………
1. Education and Effective Communication: This technique is useful when there is ………………………………………………………………………………………
an absence of availability of ample information with the employees, or they have ………………………………………………………………………………………
inaccurate or partial information on various aspects of change. Once the
employees are convinced about the change, then they will help in the successful
………………………………………………………………………………………
implementation of change as change partners. ………………………………………………………………………………………
2. Facilitating Participation and Involvement: This technique can be useful when ………………………………………………………………………………………
the initiators lack substantial information for designing and implementing the ………………………………………………………………………………………
change, or the employees have tremendous power to resist the change. The ………………………………………………………………………………………
involvement of the employees can increase their commitment level and motivation ………………………………………………………………………………………
for supporting the change initiatives, reduce resistance and improve the quality of
the decision in connection with the change. ………………………………………………………………………………………
3. Support and Facilitation: This technique is useful when there is resistance ………………………………………………………………………………………
towards change from the people due to certain adjustment or adaptability issues. ………………………………………………………………………………………
This is the best technique as it involves employee facilitation, training & various ………………………………………………………………………………………
supportive efforts for reducing the resistance. However, this technique is very time ………………………………………………………………………………………
consuming, expensive and does not necessarily assure a successful outcome.
………………………………………………………………………………………
4. Agreement & Negotiation: This technique is effective when it involves
………………………………………………………………………………………
exchanging something valuable for reducing the resistance towards the change.
This is one of the most convenient techniques for avoiding any kind of major ………………………………………………………………………………………
resistance. ………………………………………………………………………………………
5. Co-optation & Manipulation: This technique can be adopted only when the ………………………………………………………………………………………
other techniques fail to provide the desired results or are too expensive. This ………………………………………………………………………………………
technique can be relatively inexpensive and quick in terms of results. ………………………………………………………………………………………
6. Coercion (Explicit & Implicit): This technique should be avoided till the end and ………………………………………………………………………………………
can be used only as the last possible resort.
END
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