PHARMA COLLEGE

Marketing and Sales Management

Level-II

Learning Guide
Unit of Competence: Monitor Implementation of Work Plan/Activities

Module Title: Monitor Implementation of Work Plan/Activities

TTLM Code: LSA MSM 04 12 1221

Lo1. Monitor and improve workplace operations

Lo2. Plan and organise workflow
Lo3. Maintain workplace records
Lo4. Maintain workplace records
Occupational Standard: Marketing and Sales management Level IV

Unit Title Monitor Implementation of Work Plan/Activities

Unit Code LSA MSM 04 12 1221

Unit Descriptor This unit covers competence required to oversee and monitor the
quality of work operations within an enterprise, monitor and
improve workplace operations, planning and organising workflow
activities and maintaining workplace records to solve problems
and make decisions to create sustainable and productive work
environment.

Elements Performance Criteria

1. Monitor and 1.1Efficiency and service levels are monitored on an ongoing

improve basis.
workplace 1.2Operations in the workplace support overall enterprise goals
operations and quality assurance initiatives.
1.3Quality problems and issues are promptly identified and
adjustments are made accordingly.
1.4Procedures and systems are changed in consultation with
colleagues to improve efficiency and effectiveness.
1.5Colleagues are consulted about ways to improve efficiency
and service levels.
2. Plan and 2.1Current workload of colleagues is accurately assessed.
organise 2.2Work is scheduled in a manner which enhances efficiency
workflow and customer service quality.
2.3Work is delegated to appropriate people in accordance with
principles of delegation.
2.4Workflow is assessed against agreed objectives and timelines
and colleagues are assisted in prioritisation of workload.
2.5Input is provided to appropriate management regarding
staffing needs.
3. Maintain 3.1Workplace records are accurately completed and submitted
workplace within required timeframes.
records 3.2Where appropriate completion of records is delegated and
monitored prior to submission.
4. Solve problems 4.1 Workplace problems are promptly identified and considered
 and make from an operational and customer service perspective.
decisions 4.2 Short term action is initiated to resolve the immediate
problem where appropriate.
4.3 Problems are analysed for any long term impact and
potential solutions are assessed and actioned in
consultation with relevant colleagues.
4.4 Where problem is raised by a team member, they are
encouraged to participate in solving the problem.
4.5 Follow up action is taken to monitor the effectiveness of
solutions in the workplace.

Variables Range

Problems May include but not limited to:

 difficult customer service situations

 equipment breakdown/technical failure
 delays and time difficulties
 competence
Workplace records May include but is not limited to:

 staff records
 regular performance reports

Evidence Guide

Critical Aspects of Must demonstrate knowledge and skill of competence to:

Competence
 ability to effectively monitor and respond to a range of common
operational and service issues in the workplace
 understanding of the role of staff involved in workplace
monitoring
 knowledge of quality assurance, principles of workflow
planning, delegation and problem solving
Underpinning Demonstrate knowledge of:
Knowledge and
Attitudes  roles and responsibilities in monitoring work operations
 overview of leadership and management responsibilities
 principles of work planning and principles of delegation
 typical work organization methods appropriate to the sector
 quality assurance principles and time management
 problem solving and decision making processes
 industrial and/or legislative issues which affect short term
work organization as appropriate to industry sector
Underpinning Skills Demonstrate skills to:

 monitor and improve workplace operations

 plan and organize workflow
 maintain workplace records
Resource Access is required to real or appropriately simulated situations,
Implications including work areas, materials and equipment, and to
information on workplace practices and OHS practices.

Methods of Competence may be assessed through:

Assessment
 Interview / Written Test
 Observation / Demonstration with Oral Questioning
Context of Competence may be assessed in the work place or in a simulated
Assessment work place setting.

Information sheet 1
LO -1 Monitor and improve workplace operationsit includes

1.1 Efficiency and service levels are monitored on an ongoing basis.

1.2 Operations in the workplace support overall enterprise goals and
quality assurance initiatives.
1.3 Quality problems and issues are promptly identified and
adjustments are made accordingly.
1.4 Procedures and systems are changed in consultation with
colleagues to improve efficiency and effectiveness.
1.5 Colleagues are consulted about ways to improve efficiency and
service levels.
Monitoring is an integral part of every project, from start to finish

A project is a series of activities (investments) that aim at solving particular

problems within a given time frame and in a particular location. The
investments include time, money, human and material resources. Before
achieving the objectives, a project goes through several stages. Monitoring
should take place at and be integrated into all stages of the project cycle.

Operation Sheet 1
Operation Title: - stages of project planning:
  Project planning (situation analysis, problem identification, definition
of the goal, formulating strategies, designing a work plan, and
budgeting);
 Project implementation (mobilization, utilization and control of
resources and project operation); and
 Project evaluation.

Monitoring should be executed by all individuals and institutions which

have an interest (stake holders) in the project. To efficiently implement a
project, the people planning and implementing it should plan for all the
interrelated stages from the beginning.

In the "Handbook for Immobilizer’s," we said the key questions of planning

and management was: (1) what do we want? (2) What do we have? (3) How
do we use what we have to get what we want? And (4) what will happen
when we do? They can be modified, using "where," instead of "what," while
the principles are the same.

The questions become:

Where are we?

Where do we want to go?
How do we get there? And
What happens as we do?
Problems May include but not limited to:
 difficult customer service situations
 equipment breakdown/technical failure
 delays and time difficulties
 competence

Situation Analysis and Problem Definition:

This asks the question, "Where are we?" (What do we have?).

Situation analysis is a process through which the general characteristics

and problems of the community are identified. It involves the identification
and definition of the characteristics and problems specific to particular
categories of people in the community. These could be people with
disabilities, women, youth, peasants, traders and artisans.

Situation analysis is done through collecting information necessary to

understand the community as a whole and individuals within the
community. Information should be collected on what happened in the past,
what is currently happening, and what is expected to happen in the future,
based on the community's experiences.

Information necessary to understand the community includes, among

others:

 Population characteristics (eg sex, age, tribe, religion and family sizes);
 Political and administrative structures (eg community committees and
local councils);
 Economic activities (including agriculture, trade and fishing);
 Cultural traditions (eg inheritance and the clan system), transitions (eg
marriages, funeral rites), and rites of passage (eg circumcision);
 On-going projects like those of sub-county, district, central
Government, non-Governmental organizations (NGOs), and community
based organizations (CBOs);
 Socio-economic infrastructure or communal facilities, (eg schools,
health units, and access roads); and
 Community organizations (eg savings and credit groups, women
groups, self-help groups and burial groups), their functions and
activities.

Information for situation analysis and problem definition should be collected

with the involvement of the community members using several techniques.
This is to ensure valid, reliable and comprehensive information about the
community and its problems.

Some of the following techniques could be used:

 Documents review;
 Surveys;
 Discussions with individuals, specific groups and the community as a
whole;
 Interviews;
 Observations;
  Listening to people;
 Brainstorming;
 Informal conversations;
 Making an inventory of community social resources, services and
opportunities;
 Transect walks, maps; and
 Problem tree.

Situation analysis is very important before any attempts to solve the

problem because:

 It provides an opportunity to understand the dynamics of the

community;
 It helps to clarify social, economic, cultural and political conditions;
 It provides an initial opportunity for people's participation in all project
activities;
 It enables the definition of community problems and solutions; and
 It provides information needed to determine objectives, plan and
implement.

Situation analysis should be continuous, in order to provide additional

information during project implementation, monitoring and re-planning.
Situation analysis and problem identification should be monitored to ensure
that correct and up dated information is always available about the
community and its problems.

Since monitoring should be integrated into all aspects or phases of the

process, let us go through each phase and look at the monitoring concerns
associated with each.

Setting Goals and Objectives:

Goal setting asks the question, "Where do we want to go?" (What do we

want?).

Before any attempts to implement a project, the planners, implementers and

beneficiaries should set up goals and objectives. See Brainstorm for a
participatory method to do this.

A goal is a general statement of what should be done to solve a problem. It

defines broadly, what is expected out of a project. A goal emerges from the
problem that needs to be addressed and signals the final destination of a
project. Objectives are finite sub-sets of a goal and should be specific, in
order to be achievable.

The objectives should be "SMART." They should be:

Specific: clear about what, where, when, and how the situation will be
changed;
Measurable: able to quantify the targets and benefits;
Achievable: able to attain the objectives
(Knowing the resources and capacities at the disposal of the
community)
Realistic: able to obtain the level of change reflected in the objective;
and
Time bound: stating the time period in which they will each be
accomplished.

To achieve the objectives of a project, it is essential to assess the resources

available within the community and those that can be accessed from
external sources. See Revealing Hidden Resources.

The planners, implementers and community members should also identify

the constraints they may face in executing the project and how they can
overcome them. Based on the extent of the constraints and positive forces,
the implementers may decide to continue with the project or to drop it.

The goals and objectives provide the basis for monitoring and evaluating a
project. They are the yardsticks upon which project success or failure is
measured.

Generating Structures and Strategies:

This aspect asks the third key question, "How do we get there?" (How do we
get what we want with what we have?).

The planners and implementers (communities and their enablers) should

decide on how they are going to implement a project, which is the strategy.
Agreeing on the strategy involves determining all items (inputs) that are
needed to carry out the project, defining the different groups or individuals
and their particular roles they are to play in the project. These groups and
individuals that undertake particular roles in the project are called "actors."

 Generating the structures and strategies therefore involves:

 Discussing and agreeing on the activities to be undertaken during

implementation;
 Defining the different actors inside and outside the community, and
their roles; and
 Defining and distributing costs and materials necessary to implement
the project.

After establishing the appropriateness of the decisions, the executive should

discuss and agree with all actors on how the project will be implemented.
This is called designing a work plan. (How do we get what we want?). A work
plan is a description of the necessary activities set out in stages, with rough
indication of the timing.

Operation sheet 2
Operation Title: - drawing a good work plan
 List all the tasks required to implement a project;
 Put the tasks in the order in which they will be implemented;
 Show allocation of the responsibilities to the actors; and
 Give the timing of each activity.

The work plan is a guide to project implementation and a basis for project
monitoring. It therefore helps to:

 Finish the project in time;

 Do the right things in the right order;
 Identify who will be responsible for what activity; and
 Determine when to start project implementation.

The implementers and planners have to agree on monitoring indicators.

Monitoring indicators are quantitative and qualitative signs (criteria) for
measuring or assessing the achievement of project activities and objectives.
The indicators will show the extent to which the objectives of every activity
have been achieved. Monitoring indicators should be explicit, pertinent and
objectively verifiable.

Monitoring Indicators are of four types, namely;

 Input indicators: describe what goes on in the project (e.g. number of

bricks brought on site and amount of money spent);
 Output indicators: describe the project activity (eg number of
classrooms built);
 Outcome indicators: describe the product of the activity (eg number of
pupils attending the school); and
 Impact indicators: measure change in conditions of the community (eg
reduced illiteracy in the community).

Writing down the structures and strategies helps in project monitoring

because they specify what will be done during project implementation.
Planning must indicate what should be monitored, who should monitor, and
how monitoring should be undertaken.

Implementation:

Monitoring implementation asks the fourth key question "What happens

when we do?"

Implementation is the stage where all the planned activities are put into
action. Before the implementation of a project, the implementers
(spearheaded by the project committee or executive) should identify their
strength and weaknesses (internal forces), opportunities and threats
(external forces).

The strength and opportunities are positive forces that should be exploited
to efficiently implement a project. The weaknesses and threats are
hindrances that can hamper project implementation. The implementers
should ensure that they devise means of overcoming them.

Monitoring is important at this implementation phase to ensure that the

project is implemented as per the schedule. This is a continuous process
that should be put in place before project implementation starts.
As such, the monitoring activities should appear on the work plan and
should involve all stake holders. If activities are not going on well,
arrangements should be made to identify the problem so that they can be
corrected.

Monitoring is also important to ensure that activities are implemented as

planned. This helps the implementers to measure how well they are
achieving their targets. This is based on the understanding that the process
through which a project is implemented has a lot of effect on its use,
operation and maintenance.

When implementation of the project is not on target, there is a need for the
project managers to ask themselves and answer the question, "How best do
we get there?"

Summary of the Relationship:

The above illustrates the close relationship between monitoring, planning

and implementation.
It demonstrates that:

 Planning describes ways which implementation and monitoring should

be done;
 Implementation and monitoring are guided by the project work plan;
and
 Monitoring provides information for project planning and
implementation.

There is a close and mutually reinforcing (supportive) relationship between

planning, implementation and monitoring. One of the three cannot be done
in isolation from the other two, and when doing one of the three, the
planners and implementers have to cater for the others.

Self-check
1.Define work place operation in your own words
 2.Identify basic concepts in the definition of workplace operation

3.What is monitoring

4.What are the stages in project life cycle

5.Explain the relationship between the stages in project life cycle and
monitoring

6.List at least three quality problems in the work place

2. Plan and organise workflow it involves

2.6 Current workload of colleagues is accurately assessed.
2.7 Work is scheduled in a manner which enhances efficiency and customer
service quality.
2.8 Work is delegated to appropriate people in accordance with principles of
delegation.
2.9 Workflow is assessed against agreed objectives and timelines and
colleagues are assisted in prioritisation of workload.
2.10 Input is provided to appropriate management regarding staffing needs.

Planning and Organizing Workflow

 Assess current workflow of colleague accurately
 Assess workflow and progress against agreed objectives and timelines
 Schedule work in a manner that enhances efficiency and customer
service quality
 Provide timely input to appropriate management regarding staffing
needs
 Assist colleagues in prioritization of workload through supportive
feedback and
 Delegate work to appropriate people according to principles of
delegation
Meaning of Delegation of Authority ↓
Delegation of authority is one vital organizational process. It is inevitable
along with the expansion and growth of a business enterprise. Delegation
means assigning of certain responsibilities along with the necessary
authority by a superior to his subordinate managers. Delegation does not
mean surrender of authority by the higher level manager. It only means
transfer of certain responsibilities to subordinates and giving them the
necessary authority, which is necessary to discharge the responsibility
properly. Delegation is quite common in all aspects of life including
business. Even in the college, the principal delegates some of his authority
to the vice-principal.

In delegation, an attempt is being made to have meaningful participation

and cooperation from the subordinates for achieving certain well-defined
results. Due to delegation, the routine responsibilities of the superior are
reduced. As a result, he concentrates on more urgent and important
matters. Secondly, due to delegation, subordinate becomes responsible for
certain functions transferred to him. Delegation is a tool, which a superior
manager uses for sharing his work with the subordinates and thereby
raising his efficiency.

Delegation is not a process of abdication. The person who delegates does not
divorce himself from the responsibility and authority with which he is
entrusted. He remains accountable for the overall performance and also for
the performance of his subordinates. Delegation is needed when the volume
of work to be done is in excess of an individual's physical and mental
capacity.

Delegation involves the following three basic elements:

a. Assignment of duties to subordinates,
b. Granting of authority to enable the subordinates to perform the duties
assigned, and
c. Creation of obligation on the part of subordinate to perform duties in an
orderly manner.

Definitions of Delegation of Authority ↓

 i. According to F.C. Moore, "Delegation means assigning work to the others
and giving them authority to do so."
ii. According to O. S. Miner, "Delegation takes place when one person gives
another the right to perform work on his behalf and in his name and the
second person accepts a corresponding duty or obligation to do that is
required of him."
iii. According to Louis Allen, "Delegation is the dynamics of management, it
is the process a manager follows in dividing the work assigned to him so
that he performs that part which only he, because of his unique
organizational placement, can perform effectively, and so that he can get
others to help him with what remains."

Objectives of Delegation of Authority ↓

1. To reduce the excessive burden on the superiors i.e., executives and

managers functioning at different levels.
2. To provide opportunities of growth and self development to junior
executives.
3. To create a team of experienced and matured managers for the
Organization. It acts as a technique of management and human resource
development.
4. To improve individual as well as overall efficiency of the Organization.

Process of Delegation of Authority ↓

Delegation process involves four distinct stages. The process of delegation

moves through these stages. The following figure shows the stages in the
process of delegation of authority.
 Four Stages In Process of Delegation of Authority ↓

(A) Assignment of duties to subordinates ↓

Before delegating, the delegator has to decide precisely the duties which are
to be delegated to the subordinate or a group of subordinates. The authority
is delegated accordingly and the subordinate is told what is expected from
him. The usual practice is to list the functions to be performed by the
subordinate. If necessary, targets to be achieved by the subordinate are also
spelt out. Subordinates may be assigned tasks either in terms of activities or
results. The manager (delegator) must communicate clearly his expectations.
Competent and responsible employees may be given general guidelines
about what needs to be accomplished. Their less competent and responsible
counter-parts need more specific guidelines. In brief, in the first stage of
delegation process, duties are assigned to the subordinate.

(B) Transfer of authority to perform the duty ↓

In the second stage of delegation process, the authority is granted by the
delegator to his subordinate (delegate). Authority must be delegated strictly
to perform the assigned duty. The performance of duties suffers serious
setback when required authority is not delegated along with the duty. In
brief, the transfer of authority should be adequate considering the duties
assigned to the subordinate.

(C) Acceptance of the assignment ↓

In this third stage of delegation process, the subordinate/delegate has to
accept or reject the task assigned to him in the first stage along with the
authority given in the second stage. If the delegates refuse, the delegator has
to make fresh plan of delegation or may consider some other subordinate
who is capable and is willing to accept the assignment. On the other hand,
the process of delegation will move to the fourth and the last stage, if the
first delegates accept the assignment of work accompanying the authority.

(D) Creation of Obligation / Accountability / Responsibility ↓

The fourth stage in the, delegation of authority is the creation of obligation
on the part of the subordinate to perform duties assigned to him in a
satisfactory manner by using the authority given. When subordinate accepts
a task and the authority is given, an obligation is created. He has to perform
the assigned task by using the authority granted to him. A subordinate is
also responsible/accountable for completing the assigned work. He is held
answerable to a superior for the satisfactory performance of that work
assigned. The delegator has to help his subordinate as and when necessary
as he is responsible to his superior/organisation.

Advantages / Importance of Delegation of Authority

1. Relieves manager for more challenging jobs : Delegation makes it possible

for the managers to distribute their workload to others. Thus, managers
are relieved of routine work and they can concentrate on higher functions
of management like planning, organising, controlling, etc.
2. Leads to motivation of subordinates : Subordinates are encouraged to give
their best at work when they have authority with responsibility. They take
more initiative and interest in the work and are also careful and cautious
in their work. Delegation leads to motivation of employees and manpower
development.
3. Facilitates efficiency and quick actions : Delegation saves time enabling
tile subordinates to deal with the problems promptly. They can take the
decisions quickly within their authority. It is not necessary to go to the
superiors for routine matters. This raises the overall efficiency in an
Organisation and offers better results in terms of production, turnover
and profit.
4. Improves employee morale : Delegation raises the morale of subordinates
as they are given duties and supporting authority. They feel that they are
responsible employees. The attitude and outlook of subordinates towards
work assigned becomes more constructive.
5. Develops team spirit : Due to delegation, effective communication develops
between the superiors and subordinates. The subordinates are answerable
to superiors and the superiors are responsible for the performance of
subordinates. This brings better relations and team spirit among the
superiors and subordinates
6. Maintains cordial relationships : The superiors trust subordinates and
give them necessary authority. The subordinates accept their
accountability and this develops cordial superior-subordinate
relationships.
7. Facilitates management development : Delegation acts as a training
ground for management development. It gives opportunity to subordinates
to learn, to grow and to develop new qualities and skills. It builds up a
reservoir of executives, which can be used as and when required.
Delegation creates managers and not mere messengers.
The advantages of delegation will not be available easily and automatically.
They will be available only when the process of delegation moves smoothly.
Problems may develop, if the delegation is not introduced with proper
planning and in proper spirit. For example, the authority given to
subordinate is inadequate or the subordinate is not competent to discharge
the responsibilities assigned or the superior fails to monitor the whole
process of delegation effectively. In all such cases, the delegation will be
ineffective and the expected advantages will not be available to the
Organisation and also to concerned parties.

Obstacles / Barriers to Effective Delegation of Authority ↓

(A) Obstacles / Barriers on the Part of Manager / Superior / Delegator

1. Unwillingness of the manager to delegate authority : Some

superiors/managers tend to think that they can do the job better when
they themselves handle the job. The attitude that 'I can do it better
 myself' on the part of superior acts as an obstacle to delegation. Some
managers (superiors) who are autocratic and power worshippers feel that
delegation will lead to reduction of their influence in the Organisation. A
manager may feel that if he has a competent subordinate and if he
delegates authority to the subordinate, quite likely he will outshine him
(manager) and may be promoted.
2. Fear of competition: A manager may feel that if he has a competent
subordinate and if he delegates authority to the subordinate, quite likely
he will outshine him. Fear of subordinate's excellence may come in the
way of delegation.
3. Lack of confidence in subordinates: A manager may hesitate to delegate
authority, if he feels that his subordinate is not competent to deal with the
problem and take decisions. Even fear of losing control over the
subordinates acts as an obstacle to delegation. In addition, fear of being
exposed due to personal shortcomings may act as an obstacle in the
process of delegation.
4. Lack of ability to direct: Sometimes, a manager may experience difficulty
in directing the efforts of his subordinates because of his inability to
identify and communicate the essential features of his long-range plans
and programmes.
5. Absence of controls that warn of coming troubles: An Organization might
not have developed the controlling techniques to know in advance the
serious problems lying ahead. It may happen due to concentration of
power in the hands of few people. As a result, manager may resist
delegation.
6. Conservative and cautious temperament of the manager: If a manager has
a conservative and over-cautious approach, there will be psychological
barrier in the way of delegation. A manager avoids delegation as he feels
that something may go wrong even when the instructions given are clear
and the subordinates are reliable.
7. Desire to dominate subordinates: Managers (Superiors) normally, have a
desire to dominate the subordinates functioning under their control. They
feel that their domination will reduce if the powers are delegated to
subordinates. They also feel that due to delegation, the subordinates will
know their managerial deficiencies. In order to maintain their superior
 status and in order to dominate the subordinates, they avoid delegation
itself.

(B) Obstacles / Barriers on the Part of Subordinates ( Why

Subordinates Resist Delegation? )

1. Too much dependence on the manager for decisions: Some subordinates

avoid responsibility even when the superior/manager is prepared to
delegate authority. They want the manager to tackle problems and take
decisions. A subordinate who is not confident about his
performance/ability will certainly try to shirk responsibility even though
his superior is prepared to delegate functions and authority.
2. Fear of criticism: Subordinates express unwillingness to accept delegated
authority because of the fear of criticism in the case of mistakes. They fear
that they may be criticized by others if they commit mistakes. Such
subordinates have the following feeling in their mind, "Why should I stick
my neck out for my boss?"
3. Lack of information: A subordinate may hesitate to accept a new
assignment, when he knows that necessary information to perform the job
is not likely to be made available to him. He is reluctant to accept
delegated functions and authority as he feels that he will not be able to
perform well due to inadequate information available.
4. Absence of positive incentives: Positive incentives like recognition of work
and rewards go a long way in building up the morale of subordinates. In
the absence of such incentives in the form of recognition, appreciation or
monetary benefit, a subordinate may not be prepared to accept delegation
of authority.
5. Absence of self-confidence: A subordinate may lack self-confidence about
his ability to take quick and correct decisions. He may not like to accept
new challenging functions as he lacks self-confidence. Thus, lack of self-
 confidence on the part of subordinates is one obstacle which comes in the
way of delegation of authority.
6. Difficulty in decision-making: A subordinate may not have the skill and
the expertise to take quick and correct decisions. He prefers to go to his
superior (boss) and ask for his guidance or opinion. Such psychology acts
as a cause for non-acceptance of delegation. A subordinate avoids
delegation due to such mental tension or inferiority complex.
7. Poor superior-subordinate relations: Absence of cordial relations in
between the superior and the subordinates hampers the process
ofdelegation of authority. The attitude of the superior towards subordinate
may not be friendly but hostile. There may be undue interference in the
work assigned to the subordinate. Even the good work of subordinate may
not be appreciated by the superior. Such situation creates unfavorable
attitude of subordinate towards delegation. He avoids delegation as and
when offered.
8. Undue interference by superior: A superior should not interfere in the
duties delegated to the subordinate. He may offer guidance as and when
asked for. Some superiors interfere in the work of his subordinate and try
to control him often and again. In the absence of legitimate freedom, the
subordinate becomes uneasy and prefers to remain away from the process
of delegation.
9. Fear of being exposed: Some subordinates may have inferiority complex.
They feel that they have limited capacity to accept the challenges which
are bound to come out to delegation. They feel that their inability to deal
with new problems will be exposed due to delegation. This fear acts as an
obstacle to delegation.

Principles of Effective Delegation of Authority ↓

1. Knowledge of Objectives: Before delegating authority, the subordinates

should be made to understand their duties and responsibilities. In
addition, knowledge of objectives and policies of the enterprise should be
provided to them. This will enable them to discharge their roles
purposefully in the process of delegation.
2. Parity of Authority and Responsibility: This principle of delegation
suggests that when authority is delegated, it should be commensurate
with the responsibility of the subordinate. In fact, the authority and
responsibility should be made clear to the subordinate so that he will
know what he is expected to do within the powers assigned to them. There
should be proper balance/parity or co-existence between the authority
and responsibility. A subordinate will not function efficiently, if authority
given to him is inadequate. On the other hand, if the excess authority is
given, he may misuse the same. For avoiding this, the subordinates who
are assigned duties should be given necessary/ adequate authority
enables them to carry out their duties.
3. Unity of Command: This principle of delegation suggests that everyone
should have only one boss. A subordinate should get orders and
instructions from one superior and should be made accountable to one
superior only. This means 'no subordinate should be held accountable to
more than one superior'. When a subordinate is asked to report to more
than one boss, it leads to confusion and conflict. Unity of command also
removes overlapping and duplication of work. In the absence of unity of
command, there will be confusion and difficulty in fixing accountability.
4. The Scalar Principle: The scalar principle of delegation maintains that
there should be clear and direct lines of authority in the Organization,
running from the top to the bottom. The subordinate should know who
delegates authority to him and to whom he should contact for matters
beyond his authority. They (subordinates) should also know what is
expected from them. This principle justifies establishment of the
hierarchical structure within the Organization.
5. Clarity of Delegation: The principle of clarity of delegation suggests that
while delegating authority to subordinates, they should be made to
understand the limits of authority so that they know the area of their
operation and the extent of freedom of action available to them. Such
clarity guides subordinates while performing their jobs.
6. Absoluteness of Responsibility: This principle of delegation suggests that it
is only the authority which is delegated and not the responsibility. The
responsibility is absolute and remains with the superior. He cannot run
away from the same even after delegation. Even when the manager
delegates authority to his subordinate, he remains fully accountable to his
 superiors because responsibility cannot be divided between a superior and
his subordinate. No superior can delegate responsibilities for the acts of
his subordinates. He is responsible for the acts and omissions of his
subordinates.
7. Use of Exception Principle: This principle of delegation indicates that when
authority is delegated, it is expected that the subordinate will exercise his
own judgment and take decisions within the purview of his authority. He
is to be given adequate freedom to operate within his authority even at the
cost of mistakes. He should refer the problems to the top level
management only when he is unable to take decisions. Unnecessary
interference in the work of delegates should be avoided. This normal rule
can be given up under exceptional circumstances. Here, the superior can
interfere in the work of his subordinate and even withdraw the delegated
duties and authority. The superior takes this decision under exceptional
circumstances.
8. Completeness of Delegation: This principle of delegation suggests that
there should be completeness in the process of delegation. The process of
delegation should be taken to its logical end. Otherwise, there will be
confusion of authority and accountability.
9. Effective Communication Support System: This principle suggests that
there should be continuous flow of information between the superior and
the subordinates with a view to furnishing relevant information to
subordinate for decision-making. This helps him to take proper decisions
and also to interpret properly the authority delegated to him. Delegation
system may not work smoothly in the absence of effective communication
between the superior and subordinates.
10. Reward for Effective Delegation: This principle suggests that effective
delegation and successful assumption of authority should be rewarded.
This will facilitate fuller delegation and effective assumption of authority
within the Organization. Reward for effective delegation will provide
favorable environmental climate for its fair introduction.
Self-check
1. What is delegation
2. Explain the principles of delegation
3. Show how you plan and organize workflow

3. Maintain workplace records

3.3 Workplace records are accurately completed and submitted within

required timeframes.
3.4 Where appropriate completion of records is delegated and monitored
prior to submission.

Records
Work place records may include
Staff records and regular performance reports

Employers are generally required to keep the following types of employment-

related records:
 general employment records
 pay
 overtime
 averaging of hours
 guarantee of annual earnings
 individual flexibility arrangements
 leave records
 superannuation
 termination of employment
 taxation
 pay slips
 workers compensation
 occupational health and safety
 personnel records
 child support deductions

Other issues which may require the employer to keep records include:

 the Fair Work Regulations

  obligation to keep records
 inspection and copying of records
 transfer of business
 modern awards — facilitative provision record requirements

Fair Work Regulations

For most employers, the employment details to be made and kept by an

employer under time and wage record provisions are determined by the Fair
Work Regulations 2009. These regulations became operative from 1 July
2009, although most of the details are similar to those previously provided
under the Workplace Relations Act 1996 and its Regulations.

The Regulations require time and wage records be kept by the employer for a
period of 7 years.

For details of record keeping requirements under the Fair Work Regulations,
see: Time and wages records.

Self-check
1. What are workplace records
2. List at least four types of records that needs to be maintained in
the workplace

4. Solve problems and make decisions

4.6 Workplace problems are promptly identified and considered from an
operational and customer service perspective.
4.7 Short term action in initiated to resolve the immediate problem where
appropriate.
4.8 Problems are analysed for any long term impact and potential solutions
are assessed and actioned in consultation with relevant colleagues.
4.9 Where problem is raised by a team member, they are encouraged to
participate in solving the problem.
4.5 Follow up action is taken to monitor the effectiveness of solutions in the
workplace.
Operation sheet 4
Operation Title: - seven-steps for an effective
problem-solving process.
1. Identify the issues.

 Be clear about what the problem is.

 Remember that different people might have different views of what the
issues are.
 Separate the listing of issues from the identification of interests (that's
the next step!).

2. Understand everyone's interests.

 This is a critical step that is usually missing.

 Interests are the needs that you want satisfied by any given solution.
We often ignore our true interests as we become attached to one
particular solution.
 The best solution is the one that satisfies everyone's interests.
 This is the time for active listening. Put down your differences for
awhile and listen to each other with the intention to understand.
 Separate the naming of interests from the listing of solutions.

3. List the possible solutions (options)

 This is the time to do some brainstorming. There may be lots of room

for creativity.
 Separate the listing of options from the evaluation of the options.

4. Evaluate the options.

 What are the pluses and minuses? Honestly!

 Separate the evaluation of options from the selection of options.

5. Select an option or options.

 What's the best option, in the balance?

  Is there a way to "bundle" a number of options together for a more
satisfactory solution?

6. Document the agreement(s).

 Don't rely on memory.

 Writing it down will help you think through all the details and
implications.

7. Agree on contingencies, monitoring, and evaluation.

 Conditions may change. Make contingency agreements about

foreseeable future circumstances (If-then!).
 How will you monitor compliance and follow-through?
 Create opportunities to evaluate the agreements and their
implementation. ("Let's try it this way for three months and then look
at it.")

Effective problem solving does take some time and attention more of the
latter than the former. But less time and attention than is required by a
problem not well solved. What it really takes is a willingness to slow down. A
problem is like a curve in the road. Take it right and you'll find yourself in
good shape for the straightaway that follows. Take it too fast and you may
not be in as good shape.

Working through this process is not always a strictly linear exercise. You
may have to cycle back to an earlier step. For example, if you're having
trouble selecting an option, you may have to go back to thinking about the
interests.

This process can be used in a large group, between two people, or by one
person who is faced with a difficult decision. The more difficult and
important the problem, the more helpful and necessary it is to use a
disciplined process. If you're just trying to decide where to go out for lunch,
you probably don't need to go through these seven steps!

Don't worry if it feels a bit unfamiliar and uncomfortable at first. You'll have
lots of opportunities to practice!

Self-check
1. What are workplace problems
2. What is the relationship between problem solving and decision
making
3. Show the steps of problem solving