Theories and Principle of Educational Management

(EDM 211)

CONTROLLING:
PREVENTION AND
COPING

EMILIO FER G. VILLA DR. ROMULO N. LAGON

Reporter Professor
Discuss the following:
Control Process
Establishing standards and measuring
performance
Taking corrective actions
Types of controls
Criteria in making controls effective

Theories and Principle of Educational Management 1

Control Process

Control process is the last managerial

function and takes place after the fulfilment of
all others managerial functions.

Theories and Principle of Educational Management 2

Control Process

In practice, however, control is connected more to the

planning because:
First, planning determines the targets and the methods for
their achievement, while control investigates the point up to
which those will be implemented.
Second, control helps, through the feedback system, the
management of an organization in the decision-making
process and the determining of new plans, aimed at the
further improvement of organizational efficiency.

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Definition of “Control”

The role of a manager involves designing-

planning, decision-making, organizing, directing-
leading and controlling.
From this sequence, it is evident that control is
the fifth and last stage of the management
process and takes place after all other functions
have been completed.

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Definition of “Control”
In practice, though, control is closely related to the
stage of designing-planning, as:
Firstly, designing-planning establishes the objectives
and the methods to be used, while control examines
the degree to which those objectives have been met.
 Secondly, control helps the organization’s
management make new decisions and establish new
designs-plans via the feedback process so as to further
improve efficiency (Schermerhorn,2011).
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Definition of “Control”
• Since the concept of control is often related to and
mistaken for “coercion” and “disciplinary enforcement”
in everyday life, it is therefore essential to provide a
brief analysis of this term.
• From a managerial point of view, “control” does not
constitute a type of disciplinary action, meaning that it
has no punitive denotation nor does it constitute a
process of submission (Giglioni & Bedeian,1974).

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Definition of “Control”
• It means much more than the mere identification of
mistakes.
• As Fayol (1949, p. 107) pointed out long ago, control
means that everything in an organization was
performed in accordance with established principles
and rules.

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Definition of “Control”
• In education, for example, school directors had the
authority to control the conduct of both teachers and
students in accordance with pertinent school regulations.
• The above concise analysis can help us define the control
process as a management activity intended to assess
deviations from the predetermined desired performance.
• This information too will allow corrective measures to be
taken so as to either improve future performance or
readjust the organization’s initial designs-plans.

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Objectives of Control
According to the above definition, it can be ascertained
that control is exercised on individuals, objects and
activities in all levels of the hierarchy.
Thus, the control process is a duty of all managerial
levels, ranging from top management all the way to
supervisors of smaller groups of employees (Child, 2015;
Drummond, 2001; Koontz, O’Donnell, & Weihrich,1982; Mullins, 2010;
Zimmerman, 2010).

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Objectives of Control
In addition, the objective of this function is to:
Assess when and why the deviation from the established
plan occurred, which constitutes an assessment of the
organization’s current state.
Correct deviations and causes of final outcomes as
compared to initial pre-dictions which are rewarded or
reprimanded accordingly.
Take preventative measures, so as to prevent such
deviations in the future, taking measures that will
contribute to performance enhancement.
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Objectives of Control
In addition, the objective of this function is to:
Assess when and why the deviation from the established
plan occurred, which constitutes an assessment of the
organization’s current state.
Correct deviations and causes of final outcomes as
compared to initial pre-dictions which are rewarded or
reprimanded accordingly.
Take preventative measures, so as to prevent such
deviations in the future, taking measures that will
contribute to performance enhancement.
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Significance of Control
What makes the control process so indispensable in a typical
organization?
It is asserted (Child, 2015; Hicks & Gullett, 1976(cited by Mullins, 2010, p. 674); Lucey,2005;
Zimmerman, 2010) that the significance of control lies in the
unexpected problems that might arise and lead to
unfavourable situations during the operation of an
organization, causing substantial deviations from the
desired or planned outcomes.

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Significance of Control
Also, control can significantly contribute to the motivation
of employees since, as supported by Dubrin (1997), the
accurate measurements provided by the control process
can offer an opportunity for motivated and competent
employees to aim for distinction in their field of work and
remunerated for their effort.

Theories and Principle of Educational Management 12

Significance of Control
Finally, it is also supported (Bouradas,2001; Child,2015;
that the
Drummond,2001; McKenna,1998(cited by Mullins,2010, p. 669))
significance of control can be attributed to the following
reasons:
 The establishment of objectives and ways of achieving
them, which obviously depends on predictions and hence
future uncertainty
The fact that individuals might have beliefs, needs and
attitudes that do not always coincide with the
organization’s objectives and aspirations
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Significance of Control
The detection of poor functioning, since ignoring
operational weaknesses and problems might place the
organization in an unfavorable position
The complexity of the organization, which comprises of
numerous individuals, specialities and processes and which
calls for a mechanism of coordinated action and a more
effective system of information management
The measurement and evaluation of outcomes, a
fundamental prerequisite for competent individuals in an
organization to experience a feeling of success
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Control Process
The control process resembles the designing-planning
process and consists of four stages (Child,2015; Koontz et al., 1982;
Zavlanos, 1998; Zimmerman, 2010):

1. Establishing Performance Standards

Performance standards are related to the organization’s
objectives and constitute the foundation (or measuring unit)
for the evaluation of outcomes.

Theories and Principle of Educational Management 15

Control Process
2. Performance Evaluation
After performance standards have been established, the measurement
of outcomes will be attempted. Managers usually employ four methods
of data collection in order to measure actual performance:
1. personal observation, which provides first-hand information
regarding the real status of the organization;
2. statistical reports and oral reports which are developed over the
course of meetings or discussions with colleagues; and
3. written reports, which are the result of substantiated documented
proposals from their staff members (Child, 2015; Kanellopoulos, 1995; Koontz et al.,
1982; Mullins, 2010; Zimmerman, 2010).

Theories and Principle of Educational Management 16

Control Process
3. Comparing Outcomes to Standards
In this stage, the real outcomes are compared to the
standards. This comparison helps the managers to identify
any deviations that may arise from the desired outcomes.
4. Correction of Deviations
If negative deviations are documented during the
previous control stage, then management is called to take
corrective action to rectify them.

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Corrective Action
Corrective action is an aspect of quality management
that aims to rectify a task, process, product, or even a
person’s behavior when any of these factors produce
errors or have deviated from an intended plan.
Corrective actions can be thought of as improvements
to an organization to eliminate undesirable effects.
Corrective actions can apply to an entire project when
the deliverables, whether tangible or service, deviate
from the required output.
Theories and Principle of Educational Management 18
Corrective Action
• In HR for higher education institutions in particular,
corrective action also applies to individual employees
and functions to communicate to the individual what
aspects of attendance, unacceptable behavior, or
performance require improvement.

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Corrective Action
What Is the Difference Between a Correction and a
Corrective Action?
Essentially, a correction is fire-fighting: It is a reactive
and more immediate response to an issue or the
containment of a problem.
For example, as you’re washing dishes, you knock
over the bottle of dish soap. In response, you right the
bottle and wipe up any spilled soap — that’s a
correction.
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Corrective Action
• If you knock the bottle over everyday, you need to find
a better place for the bottle, and therefore you need a
corrective action.
• A corrective action should be a more thoughtful
response to a problem, one in which you investigate
the underlying cause, consider a remediative plan, and
then document and implement the plan.

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Corrective Action
What Is Involved in Corrective Action?
Corrective action is commonly used in HR in higher education
institutions when employees fail to meet performance
standards and behave appropriately in the workplace.
Corrective action is a formal way of outlining the need for
behavioral change.
Corrective actions can include an oral warning, a written
warning, suspension without pay, reduction of pay within
classification, demotion to a lower classification, and, finally,
dismissal.
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Corrective Action
What Is the Corrective Action Process?
The corrective action process helps you create, implement,
and verify your corrective action plan.
• The process can be described in a simpler way:
Step 1: Describe the what, where, when, and why. Describe
the desired outcome and how the problem can be fixed.
Step 2: List the individuals responsible for taking corrective
actions, how they report on progress and problems, to
whom they reportproblem or deficiency. Explain the
who,, and when they report.
Theories and Principle of Educational Management 23
Corrective Action
Step 3: Create measurable, achievable solutions with
realistic deadlines that focus on the root cause.
Step 4: Implement your actions and manage those
actions to completion.
Step 5: Close out the corrective action process with a
debrief to determine what was done and to
inform the team of changes.
Step 6: Capture lessons learned for future problems and
projects.
Theories and Principle of Educational Management 24
Corrective Action
Step 3: Create measurable, achievable solutions with
realistic deadlines that focus on the root cause.
Step 4: Implement your actions and manage those
actions to completion.
Step 5: Close out the corrective action process with a
debrief to determine what was done and to
inform the team of changes.
Step 6: Capture lessons learned for future problems and
projects.
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Types Of Control
Management can implement controls before an activity
commences, while the activity is going on, or after the activity
has been completed.
The three respective types of control based on timing are:
1. feedforward/Preliminary control
2. Concurrent control
3. Feedback control

Theories and Principle of Educational Management 26

Types Of Control
1. Feedforward Control
• Feedforward control focuses on the regulation of inputs (human,
material, and financial resources that flow into the organization) to
ensure that they meet the standards necessary for the
transformation process.
• Feedforward controls are desirable because they allow management
to prevent problems rather than having to cure them later.
Unfortunately, these control require timely and accurate information
that is often difficult to develop. Feedforward control also is
sometimes called preliminary control, precontrol, preventive
control, or steering control.

Theories and Principle of Educational Management 27

Types Of Control
2. Concurrent (or simultaneous) control
which takes place under the direct super-vision of senior
managers during the working operation of an activity.
This type of control helps the management correct several
problems throughout their actual performance.
A school director, for example, who has found irregularities
in the latest syllabus or the misconduct of a member staff,
can proceed to take corrective action so as to improve the
situation in the future.

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Types Of Control
3. Feedback (or output) control
which is conducted upon completion of an activity. This type
of control can provide guidelines for the organization’s future
operation but cannot alter the already achieved outcomes.

Theories and Principle of Educational Management 30

Criteria in Making Controls Effective
1. Integration with Planning:
First, to be effective, control systems should be integrated with
planning. Fig. 17.10 shows one way in which this can be done.

Theories and Principle of Educational Management 31

Criteria in Making Controls Effective
2. Flexibility:
This means that the control system itself must be flexible
enough to accommodate change.

Theories and Principle of Educational Management 32

Criteria in Making Controls Effective
3. Acceptance by Members of the Organisation:
The effectiveness and efficiency of controls largely depend
on the acceptance by the members of the organisation.
Doing the right thing and doing things right both require
people; controls are unlikely to work unless people want
them. If controls are to be accepted, it is important that
people clearly understand the purpose of the system and
feel that they have an important stake in it, more so when
new systems are established.

Theories and Principle of Educational Management 33

Criteria in Making Controls Effective
People resent controls, especially those considered
excessive. Excessive controls create the impression that
people are not treated to act on their own.
Both too many and too few controls can lead to frustration
and lack of motivation. Controls that appear to be arbitrary
or unnecessary can have demoralizing (damaging) effect on
the employees.
Moreover, at times the standards set by management may
be perceived as being unreasonable or unfair.

Theories and Principle of Educational Management 34

Criteria in Making Controls Effective
4. Focus on Critical Activities:
The proper activities should be controlled. When people
recognize that certain specific areas will be monitored and
compared to some standard, their behaviour is likely to be
channeled toward the standards set.
Critical control areas (points) include all the areas of an
organization's operations that directly affect the success of
its key operations such as sales, revenue, expenses,
inventory levels, personnel turnover, safety for people and
other assets, etc.
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Criteria in Making Controls Effective
Furthermore, each manager will have his (her) own critical
areas to control. The focus should be on those areas where
failures cannot be tolerated and the costs in time and money
are excessive.
It may also be noted that management has to frequently
balance control systems to assure that controlling one
activity does not cause another to get out of control.

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Criteria in Making Controls Effective
5. Timeliness:
Another characteristic of an effective control system is that
it provides perform­ance information in a timely way.
Timeliness does not necessarily mean maintaining a time
schedule for exercising control.
It simply means exercise of control mechanisms (or tech­
nique) as and when required.

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Criteria in Making Controls Effective
For control to be effective it must report deviations in time
to allow management to take corrective action.
Timely information, like accurate information, must be
provided to those in charge so as to make controls effective.
 Giving managers excessive or irrelevant informa­tion is as
serious a problem as is inadequate information.

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Criteria in Making Controls Effective
6. Economic Feasibility:
Control benefits should outweigh costs. In other words,
control should be cost-effective.
Thus the costs of the control system have to be weighed
against the benefits it can return.

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Criteria in Making Controls Effective
6. Economic Feasibility:
Control benefits should outweigh costs. In other words,
control should be cost-effective.
Thus the costs of the control system have to be weighed
against the benefits it can return.

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Criteria in Making Controls Effective
7. Accuracy:
Information must be accurate if it is to be useful.
This point is directly related to our discussion of feed
forward controls, used in diagnosing a deviation.
 Since control systems are important indicators of progress
and are the basis for corrective reactions, care has to be
taken to ensure that control measurements are accurate.
Yet measurements are often imprecise, and errors are often
made in interpreting and reporting control results.

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Criteria in Making Controls Effective
Controls that offer inaccurate assessments feed decision-
makers the wrong input, which will cause them to produce,
incorrect responses (lack of action or inappropriate action
and the waste of resources that go with both).
For instance, a manager may report that goals are not being
met because he does not have even manpower to work with.
Investigation may, however, reveal that there was adequate
labour available but the methods used were inappropriate.
So control systems have to be as accurate as possible.

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Criteria in Making Controls Effective
8. Ease of Understanding:
The control process should be simple so that it can be easily
understood and applied.
Complexity often means lack of understanding.
Controls often become complex because various persons
are responsible for creating, implementing and interpreting
them.

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Criteria in Making Controls Effective
Overlapping authority is likely to cause confusion and
unnecessary duplication or multiplication of effort.
Complexity can also result when control users focus on the
mechanics and techniques of control to the complete neglect
of the purposes of controls.
This usually happens when one control leads to another.

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 Thank You !!!

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