Soft Skills For Engineers PDF

SOFT SKILLS FOR ENGINEERS Training Manual
ESSENTIAL SOFT SKILLS FOR ENGINEERS

Training Manual
Draft Training Manual by Ethiopian Road Authority,

ERA Training Directorate
Final and Revised Version by Civil Engineering Department,

Jimma Institute of Technology, Jimma University
July, 2013
ERA Sponsored PGP Page 1

Table of Contents
Introduction: What are soft skills? ..................................................................................................................................... 6
Definition of Soft Skills ...................................................................................................................................................... 6
Part I. MANAGEMENT ....................................................................................................................................................... 8
1.1 The Evolution of Management............................................................................................................................... 8
1.2 Introduction ............................................................................................................................................................ 8
1.3 Management: Definitions ........................................................................................................................................ 8
1.4 Managers .............................................................................................................................................................. 10
1.4.1 Definition........................................................................................................................................................ 10
1.4.2 Managerial Job/Roles in an Organization ........................................................................................................ 10
1.4.3 Levels of Management ................................................................................................................................... 15
1.4.4 Resources used by Managers.......................................................................................................................... 17
1.4.5 Mistakes managers make ............................................................................................................................... 17
1.5 Necessity of management ..................................................................................................................................... 18
1.6 Functions of Management ............................................................................................................................... 19
1.6.1 Planning.......................................................................................................................................................... 19
1.6.2 Organizing ...................................................................................................................................................... 25
1.6.3 Staffing ........................................................................................................................................................... 33
1.6.4 Directing / Leading.......................................................................................................................................... 37
1.6.5 Controlling ...................................................................................................................................................... 40
1.7. General Principles of Management ...................................................................................................................... 42
1.8. Managerial Skills ................................................................................................................................................... 46
1.8.1. Technical skill .......................................................................................................................................... 46
1.8.2. Human relations skill or Interpersonal skill .................................................................................................... 46
1.8.3. Conceptual skill.............................................................................................................................................. 47
1.8.4. Problem Solving skills ................................................................................................................................... 47
1.8.5. Decision-making skills .................................................................................................................................. 47
1.8.6. Political skill ................................................................................................................................................... 47
1.8.1 Problem Solving Skills ..................................................................................................................................... 48
1.8.2 Decision Making Skills and Techniques ........................................................................................................... 57

Part II: HUMAN RELATION SKILLS .................................................................................................................................... 63

2.1 Introduction........................................................................................................................................................... 63
2.2 Communication ..................................................................................................................................................... 63
2.2.1 Classification of communication..................................................................................................................... 64
2.2.2 Methods of Communication ........................................................................................................................... 65
2.2.3 Communication Styles .................................................................................................................................... 67
2.2.4 Communication Barriers ................................................................................................................................. 69
2.3 Conflict Management ............................................................................................................................................ 70
2.3.1 Introduction................................................................................................................................................... 70
2.3.2 Responding to Conflict.................................................................................................................................... 70
2.3.3 Factors affecting conflict handling modes ....................................................................................................... 72
2.3.4 Creating an Individual Conflict Management Plan........................................................................................... 73
2.4 Team Work............................................................................................................................................................ 73
2.4.1 Introduction .................................................................................................................................................. 73
2.4.2 Team Selection: .............................................................................................................................................. 74
2.4.3 Team Development Phases ............................................................................................................................ 74
2.4.4 Team Building ................................................................................................................................................. 74
Part III LEADERSHIP ......................................................................................................................................................... 79
3.1 Introduction ........................................................................................................................................................ 79
3.2 Leadership Skills .................................................................................................................................................... 80
3.3 Qualities of Effective Leaders................................................................................................................................. 82
3.4 Motivation............................................................................................................................................................. 84
3.4.1 Intrinsic Motivation and Extrinsic Motivation ................................................................................................. 84
Part IV. ETHICS ................................................................................................................................................................. 86
4.1 Introduction.......................................................................................................................................................... 86
4.2 Key Words and Concepts ....................................................................................................................................... 86
4.3 Engineering Ethics ................................................................................................................................................. 89
4.3.1 Definition........................................................................................................................................................ 89
4.3.2 Scope.............................................................................................................................................................. 90
4.3.3 Senses of Engineering Ethics ........................................................................................................................... 90
4.3.4 Types of Inquiries............................................................................................................................................ 90
4.4 Moral Dilemma...................................................................................................................................................... 91

4.4.1 Introduction ................................................................................................................................................... 91

4.4.2 Steps to Solve Dilemma .................................................................................................................................. 92
4.5 Models of Professional Roles ................................................................................................................................. 92
4.6 Responsibility ........................................................................................................................................................ 93
4.7 Responsible Professionalism.................................................................................................................................. 94
4.8 Social Responsibility .............................................................................................................................................. 94
4.9 Codes of Ethics ...................................................................................................................................................... 96
4.10 Confidentiality ..................................................................................................................................................... 97
4.11 Conflict of Interests............................................................................................................................................. 98
4.11.1 Introduction.................................................................................................................................................. 98
4. 11.2 Types of Conflicts of Interest........................................................................................................................ 98
4.12 Occupational Crime ............................................................................................................................................. 99
4.13 Professional Rights ............................................................................................................................................ 100
4.14 Whistle Blowing................................................................................................................................................. 102
4.14.1 Definition.................................................................................................................................................... 102
4.15 Environmental Ethics ......................................................................................................................................... 103
4.16 Engineers as Managers ...................................................................................................................................... 104
4.17 Consulting Engineers ......................................................................................................................................... 104
4.18 Engineers as Expert Witness .............................................................................................................................. 105
4.19 Engineers as Advisors ........................................................................................................................................ 106
4.20 Moral Leadership............................................................................................................................................... 107
REFERENCES .................................................................................................................................................................. 109

Preface
“For want of a nail, the shoe was lost.
For want of a shoe, the horse was lost.
For want of a horse, the rider was lost.
For want of a rider, the battle was lost.
For want of a battle, the kingdom was lost,
And all for the want of a horseshoe nail.”
(Anonymous)
Successful career in the Engineering field cannot solely be attained through competence
in the technical (hard) skill. Success is guaranteed only when technical excellence is
harmoniously blended with an in-depth knowledge and skill of understanding and
interacting with the human environment. The quest for competitiveness in today’s world
increasingly demands not only excellence in one’s specialized field, but also a broader
outlook in the rules and principles governing society and the appropriate modes of
interacting with it.
Science provides us with the knowledge and tools of ingenuous ways of creating,
modifying and putting to use invaluable techniques of coping with nature and make our
life easier. Successful applications of this scientific accumulated human craftsmanship
had always required a medium in the form art to deliver humankind to unimaginable
heights.
The oft neglected artistic components of life, especially in the realm of tertiary science classes are all
too obvious, such that, young Engineers of today are filled with surprise and disillusionment when
they have to face the intricacies of the social environment within, and to which they are to deliver
their hard skills.
Engineering is governed by strict sets of rules and principles and could be applied under relatively
controllable environment. The world in which such technical expertise are to take material form,
however, is dynamic by nature and mosaic in form. The essence of it all lies in the human nature, that is
governed more so by the factors beyond the realm of hard skills of Engineering.
Imparting essential soft skills, though to a limited degree, to the future Engineering
Managers and professionals, through shading spot lights on the basic principles and techniques
of management, human relations skills and ethics, is the purported aim of this material, the
compilation of which is attributed to the numerous authorities on the issues, both in the
printed and electronic media. Hence, notwithstanding the incompleteness of this project,
which we hope, will be complemented by the respective course leaders/trainers, we would
like to express our indebtedness for the vast numbers of unnamed contributors on the
various issues mentioned herein through the world - wide - web for the materialization of
this mediocre attempt.

Introduction: What are soft skills?
Definition of Soft Skills

The online encyclopedia “Wikipedia
“Soft skills refer to the cluster of personality traits, social graces, facility with language, personal
habits, friendliness, and optimism that mark people to varying degrees. Soft skills complement hard
skills, which are the technical requirements of a job.” (Wikipedia, 2007)
Oxford dictionary
◦personal attributes that enable someone to interact effectively and harmoniously with other people.
Collins dictionary
“Desirable qualities for certain forms of employment that do not depend on acquired knowledge: they
include common sense, the ability to deal with people, and a positive flexible attitude”.
In general soft skills refer to a cluster of personal qualities, habits, attitudes and social graces that
make someone a good employee and compatible to work with.
Unlike hard skills, which tend to be specific to a certain type of task, soft skills are broadly applicable.
Hard skills vs Soft skills

Hard skills are a person's skill set and ability to perform a certain type of task or activity
Soft skills are personal attributes that enhance an individual's interactions, job performance and
career prospects.
Technical skill ALONE does not make someone competitive in the job market
Today’s employees have gaps in:
 Communication skills
 Team work
 Interpersonal skills
 Problem solving
 Project/Time management
Table 1: Examples of soft skills

Common Soft Skills

 Strong work ethic
 Positive attitude
 Good communication skills
 Time management abilities
 Problem-solving skills
 Acting as a team player
 Interpersonal relations
 Self-confidence
 Ability to accept and learn from criticism
 Flexibility/adaptability
 Working well under pressure
Strong work ethic
 Are you motivated and dedicated to getting the job done?
 Will you be conscientious and do your best work?
Positive attitude
 ◦ Are you optimistic?
 ◦ Will you generate good energy and goodwill?
Time management abilities
 ◦ Do you know how to prioritize tasks?
 ◦ Will you use your time on the job wisely?
Good communication skills
 Are you both verbally articulate and a good listener?
 Can you express needs in a way that builds bridges with colleagues, customers and vendors
Problem-solving skills
 Are you resourceful and able to creatively solve problems?
 Will you take ownership of problems or leave them for someone else?
Acting as a team player
 Will you work well in groups and teams?
 Will you be cooperative and take a leadership
Interpersonal Relations
 Do you have the tools & techniques to maintain good relations with others?
Self-confidence
 Do you truly believe you can do the job?
 Will you project a sense of calm and inspire confidence in others?
Ability to accept and learn from criticism
 Will you be able to handle criticism?
 Are you coachable and open to learning and growing as a person and a professional?
Flexibility/Adaptability
 Are you able to adapt to new situations and challenges?
 Will you embrace change and be open to new ideas?
Working well under pressure
 Can you handle the stress that accompanies deadlines and crises?

Part I. MANAGEMENT
1.1 The Evolution of Management
The origin of management can be traced back to the days when man started living in groups. History
reveals that strong men organized the masses into groups according to their intelligence, physical and
mental capabilities. Evidence of the use of the well-recognized principles of management is to be
found in the organization of public life in ancient Greece, the organization of the Roman Catholic
Church and the organization of military forces. Thus management in some form or the other has been
practiced in the various parts of the world since the dawn of civilization. With the onset of Industrial
Revolution, however, the position underwent a radical change. The structure of industry became
extremely complex. At this stage, the development of a formal theory of management became
absolutely necessary. It was against this background that the pioneers of modern management
thought laid the foundations of modern management theory and practice.
1.2 Introduction
Management is a vital aspect of the economic life of man, which is an organized group activity. A
central directing and controlling agency is indispensable for a business concern. The productive
resources – material, labour, capital etc. are entrusted to the organizing skill, administrative ability
and enterprising initiative of the management. Thus, management provides leadership to a business
enterprise.
Without able managers and effective managerial leadership the resources of production remain
merely resources and never become production. Under competitive economy and ever-changing
environment the quality and performance of managers determine both the survival as well as success
of any business enterprise.
Management occupies such an important place in the modern world that the welfare of the people
and the destiny of the country are very much influenced by it.
The 21st century has brought with it a new workplace, one in which everyone must adapt to a
rapidly changing society with constantly shifting demands and opportunities. The economy has
become global and is driven by innovations and technology and organizations have to
transform themselves to serve new customer expectations. Today’s economy presents
challenging opportunities as well as dramatic uncertainty.
The new economy has become knowledge based and is performance driven. The themes in the
present context area ‘respect’, participation, empowerment, teamwork and self management. In the
light of the above challenges a new kind of leader is needed to guide business through turbulence.
Managers in organizations do this task.
1.3 Management: Definitions

There are many definitions of management but most perceptive managers are convinced that it is an
organized effort of people whose purpose is to achieve the objectives and goals of an organization. Of
course, it is not that simple. To gain a better understanding of management, let’s review the ideas and
views expressed by academicians and practitioners.

Management as a “Process”:
McFardland defines management as “A process by which managers create, direct, maintain and operate
purposive organization through systematic, coordinated, cooperative human efforts”.
An important term in this definition is “Process”. This term emphasis the dynamic or on going nature of
management, an activity over varying span of time. The dynamic nature implies that change is reality of
organizational life.
In managing organizations, managers create changes adopt organizations to changes and implement
changes successfully in their organizations. Businesses fail and become bankrupt because managers fail
in their attempt to cope with the change.
Management as “Coordination”:
Donally, Gibson and Ivancevich also support the view of management as a process but their stress in
more on co-ordination. According to them, “Management is a process by which individual and group effort
is coordinated towards group goals”.
In order to achieve goals, coordination is essential and management involves securing and maintaining
this coordination.
This coordination effort is also stressed in the definition of Koontz and O’Donnell. According to them,
“Management is a process of designing and maintaining an environment in which, individuals, working
together in groups efficiently and effectively accomplish group goals”.
Management as a “Function”:
There are those who view management as a function rather than a process. Dunn, Stephens and Kelly
contend that “Management is a role which includes a set of duties, responsibilities, and
relationships-involved in work organizations”.
These duties and responsibilities constitute the function a manager performs. The duties and
responsibilities a manager performs are quite different from those performed by managerial employees.
Management is getting things done through other people:

A simple definition of management that is often quoted and it sounds very simple. According to this
definition, managers do not do things they get other people to do things. If managing is an individual
ability to get things done, then it is not a problem. One can plan and perform things according to his own
convince and interests.
When somebody else is involved and wants to get things done through them, there is a difficulty. All sorts
of problems arise; personalities come into contact and conflict. Interpersonal problems crop up. We have
to understand the behavior of other people and must have knowledge as to how to motivate them in
order to get things done through them. We have to consider the conveniences and interest of others also
in planning and implementing things.
In getting things done through others, people have to be coaxed, they have to be shown, they have to
inspired, they have to be motivated and this is what management means. These activities are performed
not only by the people at the top but from the chairman of the board to the front line supervisors and
foremen. They use the above mentioned methods to get things done through other people.
A comprehensive definition of Management:

In mid 1940s, academic people from various business schools in the United States gathered together
with the sole purpose of deciding whether a definition of management could be written that
businessmen would accept and practice and academicians would teach. Ultimately they came up with the
fallowing definition. The definition reads;
“Management is guiding human and physical resources into a dynamic organization units that attain their
objectives to the satisfaction of those served and with the high degree of moral and sense of attainment on
the part of those rendering the services”.
Management is the process of designing and maintaining an environment in which individuals,

working together in groups, accomplish efficiently selected aims. This basic definition needs to be
expanded:
i. As managers, people carry out the managerial functions of planning,

organizing, staffing, leading, and controlling.
ii. Management applies to any kind of organization
iii. It applies to managers at all organizational levels.
iv. The aim of all managers is the same: to create a surplus.
v. Managing is concerned with productivity; that implies effectiveness and
efficiency.
“Management is the process of getting things done through the efforts of other people in order to achieve
the predetermined objectives of organization”.
Management is both science and an art.
1.4 Managers
1.4.1 Definition
“A manager is someone who works with and through other people by coordinating their work activities
in order to accomplish organizational goals.” Manager is also known as leader and administrative,
Manager is a person who under take the tasks and function of managing at any level, in any kind of
enterprise.
A manager is someone who coordinates and oversees the work of other people so that organizational
goals can be accomplished. It is not about personal achievement but helping others do their job.
Managers may also have additional work duties not related to coordinating the work of others.
1.4.2 Managerial Job/Roles in an Organization
Managers fulfill a variety of roles. A role is an organized set of behaviors that is associated with a
particular office or position. It is an expected set of activities or behaviors stemming from a job.
Professor Henry Mintzberg, a prominent management researcher, says that what managers do can best
be described by looking at the roles they play at work. The term management role refers to specific
categories of managerial behavior. According to the early study conducted by Professor H. Mintzberg
there are three main categories of roles which a manager usually does in any organization. Under each
category there are also sub managerial roles as per the functional approach of classifying the manager’s
job. The explanation of these roles are as under.
1. Interpersonal roles are roles that involve people (subordinates and persons outside the
organization) and other duties that are ceremonial and symbolic in nature. It grows directly out of the
authority of a manger’s position and involve developing and maintaining positive relationships with
significant others.
The three interpersonal roles include being a figurehead, leader, and liaison.
i. The figurehead performs symbolic legal or social duties.
ii. The Leader builds relationships with employees and communicates with, motivates, and coaches
them.
iii. The liaison maintains a network of contacts outside the work unit to obtain information.
2. Informational roles involve receiving, collecting, and disseminating information. It pertains to

receiving and transmitting information so that managers can serve as the nerve centers of their
organizational units. The three informational roles include a monitor, disseminator, and spokesperson.
i. The monitor seeks internal and external information about issues that can affect the organization.
ii. The disseminator transmits information internally that is obtained from either internal or external
sources.
iii. The spokesperson transmits information about the organization to outsiders.
3. Decisional roles revolve around making choices. In other words it involves making significant
decisions that affect the organization. The four decisional roles include entrepreneur, disturbance
handler, resource allocator, and negotiator.
i. The entrepreneur acts as an initiator, designer, and encourager of change and innovation.
ii. The disturbance handler takes corrective action when the organization faces important,
unexpected difficulties.
iii. The resource allocator distributes resources of all types, including time, funding, equipment, and
human resources.
iv. The negotiator represents the organization in major negotiations affecting the manager’s areas of
responsibility
Furthermore, Professor Mintzberg summarized his concept of the roles of managers with the help of
table which is given below.

Managerial Roles Continued: THE SEVENTEEN MANAGERIAL ROLES

To further understand the manager’s job, more research work has been carried out by several scientists
after Prof. H Mintzberg. In the above subsection the concept of managerial roles according to the findings
of Prof. H Mintzberg was discussed. Other researchers further extended the study made by Prof. H
Mintzberg and found out other roles played by managers. According to them there are seventeen roles
played by managers. Furthermore, the roles delineated by these researchers are associated with the
major managerial functions to which they most closely pertain. (Roles and functions are closely related.
They are both activities carried out by people.) The description of the seventeen roles should help you
appreciate the richness and complexity of managerial work, and also serve as a generic job description
for a manager’s position. The description of the seventeen managerial roles is given below.
Planning
Two managerial roles—strategic planner and operational planner—relate to the planning function.
1. Strategic Planner. Top-level managers engage in strategic planning, usually assisted by input from
others throughout the organization. Specific activities in this role include
(a) Setting a direction for the organization,
(b) Helping the firm deal with the external environment, and
(c) developing corporate policies.
2. Operational Planner. Operational plans relate to the day-to-day operation of a company or unit. Two
such activities are
(a) Formulating operating budgets and
(b) Developing work schedules for the unit supervised.
Middle-level managers are heavily involved in operational planning; first-level managers are involved
to a lesser extent.
Organizing and Staffing

Five roles that relate to the organizing and staffing function are organizer, liaison, staffing coordinator,
resource allocator, and task delegator.
3. Organizer. As a pure organizer, the manager engages in activities such as
(a) Designing the jobs of group members;
(b) Clarifying group members’ assignments;
(c) Explaining organizational policies, rules, and procedures; and
(d) Establishing policies, rules, and procedures to coordinate the flow of work and information within
the unit.
4. Liaison. The purpose of the liaison role is to develop and maintain a network of work-related contacts
with people. To achieve this end, the manager
(a)Cultivates relationships with clients or customers;
(b) Maintains relationships with suppliers, customers, and other persons or groups important to the
unit or organization;
(c) Joins boards, organizations, or public service clubs that might provide useful, work-related
contacts; and
(d) Cultivates and maintains a personal network of in-house contacts through visits, telephone calls,
e-mail, text messages, and participation in company-sponsored events.
5. Staffing Coordinator. In the staffing role, the manager tries to make sure that competent people fill
positions. Specific activities include
(a) Recruiting and hiring staff;
(b) Explaining to group members how their work performance will be evaluated;
(c) Formally evaluating group members’ overall job performance;
(d) Compensating group members within the limits of organizational policy;
(e) Ensuring that group members are properly trained;
(f) Promoting group members or recommending them for promotion; and
(g) Terminating or demoting group members.
6. Resource Allocator. An important part of a manager’s job is to divide resources in the manner that best

helps the organization. Specific activities to this end include

(a) Authorizing the use of physical resources (facilities, furnishings, and equipment);
(b) Authorizing the expenditure of financial resources; and
(c) Discontinuing the use of unnecessary, inappropriate, or ineffective equipment or services.
7. Task Delegator. A standard part of any manager’s job is assigning tasks to group members. Among
these task-delegation activities are
(a) Assigning projects or tasks to group members;
(b) Clarifying priorities and performance standards for task completion; and
(c) Ensuring that group members are properly committed to effective task performance.
Leading
Eight identified managerial roles relate to the leadership function. These roles are motivator and coach,
figurehead, spokesperson, negotiator, team builder, team player, technical problem solver, and
entrepreneur.
8. Motivator and Coach. An effective manager takes time to motivate and coach group members. Specific
behaviors in this role include
(a) Informally recognizing employee achievements;
(b) Offering encouragement and reassurance, thereby showing active concern about the professional
growth of group members;
(c) Providing feedback about both effective and ineffective performance; and
(d) Giving group members advice on steps to improve their performance.
9. Figurehead. Figurehead managers, particularly high-ranking ones, spend some of their time engaging
in ceremonial activities or acting as a figurehead. Such activities include
(a) entertaining clients or customers as an official representative of the organization,
(b) serving as an official representative of the organization at gatherings outside the organization, and
(c) escorting official visitors.
10. Spokesperson. When a manager acts as a spokesperson, the emphasis is on answering inquiries and
formally reporting to individuals and groups outside the manager’s organizational unit. As a
spokesperson, the manager keeps five groups of people informed about the unit’s activities, plans, and
capabilities. These groups are
(a)Upper-level management,
(b) Clients and customers,
(c) Other important outsiders (such as labor unions),
(d) Professional colleagues, and
(e) The general public. Usually, top-level managers take responsibility for keeping outside groups
informed.
11. Negotiator. Part of almost any manager’s job is trying to make deals with others for needed
resources. Three specific negotiating activities are
(a) Bargaining with supervisors for funds, facilities, equipment, or other forms of support;
(b) Bargaining with other units in the organization for the use of staff, facilities, and other forms of
support; and
(c) Bargaining with suppliers and vendors about services, schedules, and delivery times.
12. Team Builder. A key aspect of a manager’s role is to build an effective team. Activities contributing to
this role include
(a) Ensuring that group members are recognized for their accomplishments (by issuing letters of
appreciation, for example);

(b) Initiating activities that contribute to group morale, such as giving parties and sponsoring sports
teams; and
(c) Holding periodic staff meetings to encourage group members to talk about their accomplishments,
problems, and concerns.
13. Team Player. Three behaviors of the team player are
(a) Displaying appropriate personal conduct,
(b) Cooperating with other units in the organization, and
(c) Displaying loyalty to superiors by fully supporting their plans and decisions.
14. Technical Problem Solver. It is particularly important for first- and middle-level managers to help
group members solve technical problems. Two such specific activities related to problem solving are
(a) Serving as a technical expert or advisor and
(b) Performing individual contributor tasks such as making sales calls or fixing software problems
on a regular basis. The managers most in demand today are those who combine leadership skill
with a technical or business specialty.
15. Entrepreneur. Managers who work in large organizations have some responsibility for suggesting
innovative ideas or furthering the business aspects of the firm. Three entrepreneurial role activities
are
(a) Reading trade publications and professional journals and searching the Internet to remain
up-to-date;
(b) Talking with customers or others in the organization to remain abreast of changing needs and
requirements; and
(c) Becoming involved in activities outside the unit that could result in performance improvements
within the manager’s unit. These activities might include visiting other firms, attending
professional meetings or trade shows, and participating in educational programs.
Controlling
The monitor role mentioned next fits the controlling function precisely, because the term monitoring is
often used as a synonym for controlling. The role of disturbance handler is categorized under controlling
because it involves changing an unacceptable condition to an acceptable stable condition.
16. Monitor. The activities of a monitor are
(a) Developing systems that measure or monitor the unit’s overall performance,
(b) Using information systems to measure productivity and cost,
(c) Talking with group members about progress on assigned tasks, and
(d) Overseeing the use of equipment and facilities (for example, vehicles and office space) to ensure
that they are properly used and maintained.
17. Disturbance Handler. Four typical activities of a disturbance handler are
(a) Participating in grievance resolution within the unit (working out a problem with a labor union,
for example);
(b) Resolving complaints from customers, other units, and superiors;
(c) Resolving conflicts among group members; and
(d) Resolving problems about work flow and information exchange with other units. Disturbance
handling might also be considered a leadership role.
1.4.3 Levels of Management
Another way of understanding the nature of a manager’s job is to examine the three levels of
management shown in figure below. The level of management takes the shape of a pyramid. As the

pyramidal shape in figure illustrates progressively fewer employees at each higher managerial level are
required. The largest number of people is at the bottom organizational level. Note that the term
organizational level is sometimes more precise than the term managerial level, particularly at the bottom
organizational level, which has no managers.
First-line managers (or first-line supervisors) are those managers having the least authority and are
at the lowest level in the hierarchy of the organization. First-line managers are at the lowest level of
management and manage the work of non-managerial individuals who are involved with the production
or creation of the organization’s products. They’re often called supervisors but may also be called line
managers, office managers, or even foremen. They are directly responsible for the work of operating
(non-managerial) employees.
a) Titles often include the term, “supervisor.”
b) Factors changing the jobs of first-line managers include emphasis upon worker participation and
teamwork and the use of computers to regulate many activities formerly regulated by first-line
managers.
c) The jobs of first-line managers are likely to change toward a greater emphasis on dealing with
internal human relations.
Middle-level managers are those managers beneath the top-levels of the hierarchy and directly
supervise other managers below them. It includes all levels of management between the first-line level
and the top level of the organization. These managers manage the work of first-line managers and may
have titles such as department head, project leader, plant managers, or division manager.
a) Typical titles include “manager,” “director of,” “chief,” “department head” and “division head.”
b) Middle managers are mainly responsible for implementing overall organizational plans so that
organizational goals are achieved as expected.
c) They plan, allocate resources to meet objectives and coordinate and link groups, departments,
and divisions within a company.
d) They monitor and manage the performance of the subunits and individual managers who report
to them.
e) Implement changes or strategies generated by top managers.
f) The modern trend of adding layers of middle management is reversing as companies reduce the
number of levels in the managerial hierarchy.
g) Reducing the number of levels of managers’ results in greater power and responsibility for those
managers who remain.
h) It is predicted that there will be increasingly less emphasis on hierarchical levels in organization.
Top managers are those managers at the very top levels of the hierarchy who have the most authority
and who are ultimately responsible for the entire organization. They are those who are responsible for
making organization-wide decisions and establishing the plans and goals that affect the entire
organization. These individuals typically have titles such as executive vice president, president,
managing director, chief operating officer, chief executive officer, or chairman of the board.
a) Other titles include “chief executive officer (CEO),” “president,” “executive vice president,”
“executive director,” “senior vice president,” and sometimes, “vice president.”
b) They oversee overall planning for the organization, work with middle managers in implementing
and planning, and maintain overall control over the progress of the organization.
c) In those public corporation that sell their stock to the public, top managers’ report to the board of

directors whose function is to represent the interests of the stockholders.

d) They are responsible for the overall direction of the organization and for creating the context for
change.
e) They develop in employees the attitudes of commitment to and ownership in the company’s
performance and create a positive organizational culture through language and action.
Figure: Levels of management
1.4.4 Resources used by Managers

Managers use resources to accomplish their purposes. A manager’s resources can be divided into four
types: human, financial, physical, and informational.
Human resources are the people needed to get the job done. Managers’ goals influence which employees
they choose. An automotive part suppler industry has the goal of delivering automotive supplies and
tools to auto and truck manufacturers. Among the human resources it chooses are manufacturing
technicians, sales representatives, information technology specialists, and a network of dealers.
Financial resources are the money the manager and the organization use to reach organizational goals.
The financial resources of a business organization are profits and investments from stockholders. A
business must occasionally borrow cash to meet payroll or to pay for supplies. The financial resources of
community agencies come from tax revenues, charitable contributions, and government grants.
Physical resources are a firm’s tangible goods and real estate, including raw materials, office space,
production facilities, office equipment, and vehicles. Vendors supply many of the physical resources
needed to achieve organizational goals.
Information resources are the data that the manager and the organization use to get the job done.
1.4.5 Mistakes managers make

A comparison of “arrivers,” those who made it all the way to the top of their companies, and “derailers,”
those who were successful early but were knocked off the “fast track,” shows that although both groups
had talent and weaknesses, the “derailers” had some fatal flaws. Here are the top ten mistakes made by
derailers.

a) Insensitive to others: abrasive, intimidating, bullying style.

b) Cold, aloof, arrogant.
c) Betrayal of trust.
d) Overly ambitious: thinking of next job, playing politics.
e) Specific performance problems with the business.
f) Over managing: unable to delegate or build a team.
g) Unable to staff effectively.
h) Unable to think strategically.
i) Unable to adapt to boss with different style.
j) Over dependent on advocate or mentor.
Successful entrepreneurs have all the managerial and technical competencies along with some key
personal attributes to take risk and win through the odd situations.
1.5 Necessity of management

(1) Management is an essential activity of all organizational level: (Low, middle, and upper level)
(2) Management applies to:
i. Small and large Organizations.
ii. Profit and non-profit Organization.
iii. Manufacturing Organization.
iv. Service rendering Organization.
The importance of studying management in today’s dynamic global environment can be explained by
looking at the universality of management, the reality of work, and the rewards and challenges of
being a manager.
The Universality of Management: Management is needed in all types and sizes of organizations,
at all organizational levels, and in all organizational work areas throughout the world.
The Reality of Work: All employees of an organization either manage or are managed.
Rewards and Challenges of Being a Manager

Challenges
a) Managers may have difficulty in effectively blending the knowledge, skills, ambitions, and
experiences of a diverse group of employees.
b) A manager’s success typically is dependent on others’ work performance.
Rewards
a) Managers have an opportunity to create a work environment in which organizational
members can do their work to the best of their ability and help the organization achieve its goals.
b) Managers often receive recognition and status in the organization and in the larger
community; influence organizational outcomes; and receive appropriate compensation.
c) Knowing that their efforts, skills, and abilities are needed by the organization gives many
managers great satisfaction.
The manager of today must integrate management skills with new approaches that emphasize the
human touch, enhance flexibility, and involve employees.

1.6 Functions of Management

According to the functional approach managers perform certain functions to efficiently and
effectively coordinate the work of others. The five functions of management are listed below.
1. Planning
2. Organizing
3. Staffing
4. Leading
5. Controlling
A detailed explanation of the five functions of management are given in the next sections.
1.6.1 Planning
1.6.1.1 Introduction
Planning is often called the primary management function because it establishes the basis
for all other functions. Planning involves two important elements: goals and plans.
The work of establishing plans includes developing both long-and short-range plans that are
appropriately comprehensive, realistic, and effective in meeting goals. Managers begin the
planning process by developing strategic plans and then continue by breaking down these plans
into annual, monthly, weekly, and daily plans. Effective plans also integrate work units, as well as
anticipate problems and develop contingency plans. Effective plans emerge by involving
employees in the process right from the start as their experience, skills and expertise is
indispensable for the formulation of realistic plan.
1.6.1.2 Definitions
There are many definitions of planning. some of them are reviewed as under.
According to Fayol: "The plan of action is, at one and the same time, the result envisaged, the line of
action to be followed, the stages to go through, and the methods to use. It is a kind of future picture
wherein proximate events are outlined with some distinctness."
Planning is deciding in advance what is to be done. It involves the selection of objectives, policies,
procedures and programmes from among alternatives. A plan is a predetermined course of action
to achieve a specified goal. It is a statement of objectives to be achieved by certain means in the
future. In short, it is a blueprint for action.
According to Louis A Allen: "Management planning involves the development of forecasts,

objectives, policies, programmes, procedures, schedules and budgets".
According to Theo Haimann - "Planning is deciding in advance what is to be done When a manager
plans, he projects a course of action, for the future, attempting to achieve a consistent, co-ordinated
structure of operations aimed at the desired results".
According to Koontz O’Donnell - "Planning is an intellectual process, the conscious determination of

courses of action, the basing of decisions on purpose, acts and considered estimates".
Planning involves defining goals, establishing strategies for achieving those goals, and developing
plans to integrate and coordinate activities.

1.6.1.3 The Nature and Purpose of Planning

The essential nature of planning can be defined by dividing it into four major aspects.
1. The contribution of planning to purpose and objectives
Every plan and all its supporting plans should contribute accomplishment of the purpose and objectives
of the enterprise. This concept is used in organized enterprise which tries to accomplish group purpose
through deliberate cooperation.
2. The primacy of planning
Since managerial functions like organizing, staffing, leading and controlling support to the
accomplishment of enterprise objectives, planning logically precedes or help the accomplishment of all
other managerial functions. Because manager must plan in order to know what kinds of organization
relationship and personal qualifications are needed, which method should be followed by subordinates
and what kind of control is to applied. All the other Managerial functions must be planned if they are to
be effective.
3. The pervasiveness of planning
Planning is the function of all managers, although the character and breadth of planning will vary with
each managers authority and with nature of polices and plans outlined by superiors. If managers are not
allowed a certain degree of discretion and planning responsibility they are not truly managers.
If we recognize the pervasiveness of planning, we can more easily understand why some people
distinguish between the “manager” and the “administrator” or “supervisor” one manager, because of his
or her authority or position in the organization, may do more important planning than another or the
planning of one may be more basic than that of another and applicable to a large portion of the
enterprise. However, all managers from presidents to first level supervisors plan.
Even the head of a road gang or a factory crew plans in a limited area under fairly strict rules and
procedures. A principal factor in a success of supervisors at the lowest organization level is their ability
to plan.
4. The efficiency of plans
Plans are efficient, if they achieve their purpose at a reasonable cost, when cost is measured not only in
terms of times or money or production but also in degree of individual and group satisfaction.
Many managers have followed plans whose costs were greater than the revenue that could be obtained.
For example, one airline acquired certain aircraft with costs exceeding revenues. Companies may have
also tried to sell products that were unacceptable to the market. Plan can even make it impossible to
achieve objectives if they make people in an organization dissatisfied or unhappy.
1.6.1.4 Types of Plans

Plans can be described by their breadth, time frame, specificity, and frequency of use.
On the basis of Breadth plans can be Strategic or operational plans. Strategic plans (long-term
plans) are plans that apply to the entire organization, establish the organization’s overall goals, and
seek to position the organization in terms of its environment. Operational plans (short-term plans)
are plans that specify the details of how the overall goals are to be achieved.
On the basis of Time frame plans can be Short-term or long-term plans. Short-term plans are plans
that cover one year or less. Long-term plans are plans with a time frame beyond three years.
On the basis of Specificity plans can be Specific or directional plans.Specific plans are plans
that are clearly defined and leave no room for interpretation. Directional plans are flexible plans
that set out general guidelines.
On the basis of Frequency of use plans can be Single-use or standing plans. A single-use plan
is a one-time plan specifically designed to meet the needs of a unique situation. Standing plans
are ongoing plans that provide guidance for activities performed repeatedly.
1.6.1.5 Planning and Performance

Although organizations that use formal planning do not always outperform those that do not plan,
most studies show positive relationships between planning and performance. Effective planning
and implementation play a greater part in high performance than does the amount of planning
done. Studies have shown that when formal planning has not led to higher performance, the
external environment is often the reason.
1.6.1.6 Characteristics of planning

1) Planning focuses on achieving the objectives: Management begins with planning and planning
begins with the determining of objectives. In the absence of objectives no organization can ever
be thought about.
2) Planning is the primary function of Management: Planning is the first important function of
management. The other functions –organizing, staffing, directing and controlling come later. In
the absence of planning no other function of management can be performed.
3) Planning is continuous: Planning is the process which begins with the beginning of business
itself and ends with the ending of the business. It means that as long a business exists, the
planning process is continuous. For example, a company plans to sell one million units in the
coming year. Suddenly, many competing companies enter the market. This will naturally affect
the previous position of the company and, therefore, it shall have to revise its planning.
4) Planning is Futuristic: Planning decides the plan of action-What is to be done, how is to be done,
when is to be done, by who is to be done, all the questions are related to future. Under the
planning, answer to these questions is found out.
5) Planning is mental exercise: planning is known as a mental exercise as it is related to thinking
before doing something. A planner has mainly to think about the following questions:
1.6.1.7 Importance of planning

Planning is the first and most important function of the management. It is needed at every level of the
management. In the absence of planning all the business activities of the organization will become
meaningless. The importance of planning has increased all the more in view of the increasing size of
organizations In the absence of planning, it may not be impossible but certainly difficult to guess the
uncertain events of future. The following points describe the importance of planning.
1) Planning facilitates Decision making: Decision making means the process of taking decision.
Under it, a variety of alternatives are discovered and the best alternative is chosen. But it is
important to determine the objectives before the discovery of alternatives. Objectives are
determined under the process of planning. So. it can be said that planning facilitates decision
making.
2) Planning reduce risk of Uncertainty: planning is always done for future and future is uncertain.
With the help of planning possible changes in future are anticipated and various activities are
planned in the best possible way.
3) Planning reduces overlapping and wasteful activities: Under planning, future activities are

planned in order to achieve objectives. The problems of when, where, what and how are almost
decided. This puts an end to disorder. In such situation coordination is established among
different activities and departments. It puts an end of overlapping and wasteful activities.
4) Planning provides Direction: Under the process of planning the objectives of the organization
are defined in simple and clear words. The outcome of this is that all the employee’s important
role in the attainment of the objectives of the organization.
5) Planning establishes Standards for controlling: By determining the objectives the objectives of
the organization through planning all the people working in the organization and all the
departments are informed about when, what and how to do things. Standards are laid down
about their work, time and cost. Under controlling, at the time of completing the work, the actual
work done is compared with the standard work and deviations are found out and if the work has
been done as desired the person concerned is held responsible.
1.6.1.8 Limitations of planning

Planning is needed both in the business and non business organizations. Some people think that planning
is based on the future and nothing can be said certainty about future. Therefore, it is for all the situations
before and which now requires immediate decision. If planning has to be successful and purposeful, the
managers should be aware of these difficulties and limitations of planning. Following are the limitations
of planning.
1) Planning does not work in Dynamic Environment: Planning is based in the future happenings.
Since future is uncertain and dynamic. Generally, a longer period of planning makes it less
effectives. Therefore, it can be said that planning does not work in dynamic environment.
2) Planning reduce creativity: Under the planning all the activities connected with the attainment
of objectives of the organization are pre-determined. Everybody works as they have been
directed to do and it has been made clear in the plans. It means that they do not think about
appropriate ways of discovering new alternatives.
3) Planning involves huge costs: Planning is small work but its process is really big. Planning
becomes meaningful after a long path. It takes a lot of time to cover this path. During this entire
period the managers remain busy in collecting a lot of information and analyzing it. In this way
the organization is bound to face huge costs.
4) Planning is time consuming process: Planning is blessing in facing a definite situation but
because of long process it cannot face sudden emergencies. Sudden emergencies can be in the
form of unforeseen problems or some opportunity of profit is and there has been no planning
manager thinks of completing the planning process before taking some decision. Thus, planning is
time consuming process.
5) Planning does not guarantee of success: Sometimes the manager think that planning solves all
their problems. Such a concept makes them neglect their real work and adverse effect of such an
attitude has to be faced by the organization. In this way, planning offers the managers a false
sense of security and makes them careless. So, we can say that mere planning does not ensure
success, rather efforts have to be made for it.
1.6.1.9 Developing General Planning Skills

An organization’s strategic vision defines what the organization is, wants to be and where it wants
go. An effective strategy guides the decisions that affect the direction of the organization. In order to
develop successful plans, it is necessary for managers both to understand their organization’s
strategic vision and to incorporate it into their plans and day-to-day operations.

In doing so the following steps should be considered:

1) Become comfortable articulating your organization’s vision and strategic direction.
2) Link your operational plans with the organization’s vision and strategic direction.
3) Plan for ongoing review and updates.
The following are typical phases or steps in strategic planning.

Step 1 : Determination of Vision, and Mission
Every organization needs a mission, which is a statement of the purpose of an organization. The
mission statement addresses the question: What is the organization’s reason for being in business?
A mission statement defines the core purpose of the organization—why it exists. Unlike strategies and
goals, which may be achieved over time, you never really fulfill your mission. It acts as a beacon for your
work, constantly pursued but never quite reached. Consider your mission to be the compass by which
you guide your organization. In today’s hectic business world, you need a star to steer by and your
mission should provide just that.
Values are the timeless principles that guide an organization. They represent the deeply held beliefs
within the organization and are demonstrated through the day-to-day behaviors of all employees. An
organization’s values make an open proclamation about how it expects everyone to behave.
So far we’ve discussed the importance of a powerful mission to determine your core purpose as an
organization and the values that you consider essential to achieving that purpose. Based on that mission
and those values, we now want to create a statement that defines where we want to go in the future. The
vision statement does just that. The vision signifies the critical transition from the unwavering mission
and core values to the spirited and dynamic world of strategy.
A vision statement provides a word picture of what the organization intends ultimately to
become—which may be 5, 10, or 15 years in the future. This statement should not be abstract; it should
contain as concrete picture of the desired state as possible and also provide the basis for formulating
strategies and objectives. A powerful vision provides everyone in the organization with a shared mental
framework that helps give form to the often abstract future that lies before us. Vision always follows
mission (purpose) and values.
Step 2: Analysis of Internal and External Environment
External Analysis: Managers in every organization need to conduct an external analysis. Influential
factors such as competition, pending legislation, and labor supply are included in the external
environment. After analyzing the external environment, managers must assess what they have
learned in terms of opportunities and threats. Opportunities are positive trends in external
environmental factors; Threats are negative trends in environmental factors.
Because of different resources and capabilities, the same external environment can present
opportunities to one organization and pose threats to another.
Internal Analysis: Internal analysis should lead to a clear assessment of the organization’s
resources and capabilities. Any activities the organization does well or any unique resources that it has
are called Strengths. Weaknesses are activities the organization does not do well or resources it
needs but does not possess. The organization’s major value-creating skills and capabilities that
determine its competitive weapons are the organization’s core competencies. Organizational culture is
important in internal analysis; the company’s culture can promote or hinder its strategic actions.
SWOT analysis is an analysis of the organization’s strengths, weaknesses, opportunities, and threats.

Step 3: Establish Goals

Goals are desired outcomes for individuals, groups, or entire organizations. A goal is the end towards
which effort or ambition is directed. As a word it has its origins in ‘the point marking the end of a race’
or ‘posts between which a ball is to be driven’.
Step 4: Establish Strategies to reach goals
Strategies are the means or the “game-plan” by which organization/enterprise mission is put into
practice, and objectives achieved. It is a comprehensive master plan stating how corporation will
achieve its mission and its objectives. It maximizes competitive advantage and minimizes competitive
disadvantage. The typical business firm usually considers three types of strategy: corporate, business
and functional.
Some feel strategy is represented by the high-level plans management devises to lead the organization into the
future. Others would argue strategy rests on the specific and detailed actions you take to achieve your desired
future. To others still, strategy is tantamount to best practices. Finally, some may consider strategy a pattern of
consistency of action over time.
Step 5: Establish Objectives along the way to achieving goals
Objective is a very specific statement of what is to be done to accomplish the mission/goal. It is an end
towards which effort is directed.
The objectives to be set for an organization should be specific, measurable, achievable (Agreed) Relevant
(to the mission) or realistic and time bound. (SMART)
A statement of an objective makes clear:
 What is to be accomplished?
 How much is to be accomplished?
 By when it is to be accomplished?
 By whom it is to be accomplished (operational objectives)
Step 6: Associate responsibilities and time Lines with each Objective
Step 7: Write and Communicate a Plan Document
1.6.1.10 Developing Action Plans

It is not uncommon for best strategic plans to fall by the wayside because managers fail to
develop action plans for accomplishing strategic goals as they get lost in the day-to-day details and lose
sight of the big picture. Consider the following steps to develop strategic action plans:
1) Develop the teams/section goals: In doing so ensure you team’s goal matches the broader goals
of the organization.
2) Rank these goals in priority order. Usually the top two or three goals are
those that will have the greatest impact on the organization’s strategic
goals.
3) Define your roles and the roles of your staff in achieving them. Determine
the sources, amount and quality of support you may need for the
achievement of the defined goals.
4) Determine key result areas, identify the steps required to achieve these
results and identify risks and plan for contingencies.
5) Develop objective measures of success. Objectives shall be Specific,
Measurable, Acceptable, Realistic and Time bound (SMART).
6) Put all these into a format that is clear, accessible, and easy to update.

1.6.1.10 Engaging in Proactive Planning

There will always be unforeseeable circumstances that remain out of one’s control, which in many
cases, can successfully be integrated into plans. The following suggestions may help:
1) Over a short period, keep a list of discrepancies between actual performance and
objectives and establish cause and effect relationships.
2) At the end of this period, examine your list and examine which of the problems could have
been prevented, examine rate of prevalence of some problems and correct the pattern.
1.6.2 Organizing
No one individual alone can accomplish organizational goals. Employees have to
cooperate with each other and work in teams. Cooperation amongst employees presupposes
understanding precisely defined roles within the interconnectedness. Designing, maintaining and
continuously revising these systems of roles is an essential managerial function.
To enable employees perform their assigned roles effectively needed resources
should be provided, decision making authority accorded commensurate with their
respective responsibilities. Such an arrangement of elements of
interconnectedness within the bounds of the dynamics of internal and external
environment supported by an organizational structure is the essence of
organizing. Organizing is the second management function- is how an organization’s structure is
created.
The organizing functions of management entail combining a synchronized

system of human resources, financial and physical resources such that the firm is
able to attain its objectives. Knowledge as an aspect of organizing functions of
management is concerned with intense acquiring, as well as, gathering immense
information and later on disseminating the information in the right way.
Organization involves division of work among people whose efforts must be coordinate to achieve
specific objectives and to implement pre-determined strategies. Organization is the foundation upon
which the whole structure of management is built? It is the backbone of management. After the
objectives of an enterprise are determined and the plan is Prepared, the next step in the management
process is to organize the activities of the Enterprise to execute the plan and to attain the objectives of
the enterprise. The term Organization is given a variety of interpretations. In any case, there are two
broad ways in which the term is used. In the first sense, organization is understood as a dynamic
process and a managerial activity which is necessary for bringing people together and tying them
together in the pursuit of common objectives.
When used in the other sense, Organization refers to the structure of relationships among positions
and jobs which is Built up for the realizations of common objectives. Without organizing managers
cannot function as managers.
Organization is concerned with the building, developing and maintaining of a structure of working
relationships in order to accomplish the objectives of the enterprise. Organization means the
determination and assignment of duties to People, and also the establishment and the maintenance of
authority relationships among these grouped activities. It is the structural framework within which the
various efforts are coordinated and related to each other. Sound organization contributes greatly to the
continuity and success of the enterprise. However, good organization structure does not by itself
produce good performance. But a poor organization structure makes good performance impossible, no
matter how good the individual may be.
1.6.2.2 Definitions
The term 'Organization' connotes different things to different people. Many writers have attempted to
state the nature, characteristics and principles of organization in their own way. It can be used as a
group of persons working together or as a structure of relationships or as a process of management.
Now, let us analyze some of the important definition of organizing or organization, and understand the
meaning of organization.
ACCORDING TO SHELDON
"Organization is the process of so combining the work which individuals or groups have to perform
with facilities necessary for its execution, that the duties so performed provide the best channels for
efficient, systematic, positive and coordinated application of available effort."
MC FERLAND HAS DEFINED
Organization as, "an identifiable group of people contributing their efforts towards the attainment of
goals".
ACCORDING TO LOUIS A ALLEN
"Organization is the process of identifying and grouping the work to be performed, defining and
delegating responsibility and authority, and establishing Relationships for the purpose of enabling
people to work most effectively together in accomplishing objectives.
ACCORDING TO NORTH WHITEHEAD
Organization is the adjustment of diverse elements, so that their mutual relationship may exhibit more
pre-determined quality.
IN THE WORDS OF THEO HAIMANN
Organizing is the process of defining and grouping the activities of the enterprise and establishing the
authority relationships among them. In performing the organizing function, the manager defines,
departmentalizes and assigns activities so that they can be most effectively executed.
IN THE WORDS OF MOONEY AND RAILEY,
"Organization is the form of every human association for the attainment of a common purpose.”
ACCORDING TO JOHN M PFIFFNER AND FRANK P SHERWOOD,
"Organization is the pattern of ways in which large number of people, too many to have intimate
face-to-face contact with all others, and engaged in a complexity of tasks, relate themselves to each
other in the conscious, systematic establishment and accomplishment of mutually agreed purposes.”
1.6.2.3 The Nature of Organizing and Organization Structure

Managers are seeking structural designs that will best support and allow employees to effectively and
efficiently do their work. Organizing is the process of creating an organization’s structure.
Organizing represents the systematic classification and grouping of human and other resources in a
manner that is consistent with the firm’s goals. It is the responsibility of the manager to design a
structure that allows employees to accomplish their own work while working toward the
organization’s goals at the same time. Organizing is done continuously during the course of a firm’s life
and helps establish accountability for the results achieved. The manager must develop an
organizational structure before he or she can implement the strategies needed to achieve the goals

developed in the planning task.

Organizing involves:
 setting up the organizational structure
 determining the job to be done
 defining lines of authority and responsibility
 establishing relationships within the organization
Organization structure is the formal pattern of interactions and coordination designed by

management to link the tasks of individuals and groups in achieving organizational goals. An
organizational structure is the formal framework by which job tasks are divided, grouped, and
coordinated. It is the framework of a company. It provides the beams, braces, and supports to which
the appropriate “building materials” are attached.
Different jobs are grouped, coordinated, and further defined. Coordinated communication and
cooperation between workgroups is essential.
This formal pattern designed by management is to be distinguished from the informal pattern of
interactions that simply emerges within an organization.
Organization structure consists primarily of four elements:
a) Job design
b) Departmentalization
c) Vertical coordination
d) Horizontal coordination
Organizational design is the process of developing or changing an organization’s structure. It involves
decisions about six key elements: work specialization, departmentalization, and chain of command, span
of control, centralization/decentralization, and formalization.
The organization chart is a line diagram that depicts the broad outlines of an organization’s structure.
It is a graphical representation that shows the formal organizational structure of a company. It helps
capture some important ideas, including the division of labor, the chain of command, bureaucracy, and
organizational design. The organization chart provides a visual map of the chain of command, the
unbroken line of authority that ultimately links each individual with the top organizational position
thorough a managerial position at each successive layer in between.
While varying in detail from one organization to another, typically organization charts show the major
positions or departments in the organization, the way positions are grouped together, reporting
relationships for lower to higher levels, official channels for communications, and possibly the titles
associated with major positions in the organization.
The division of labor is the manner in which jobs are broken into components or activities, and then
assigned to members or groups. The objective of the division of labor is to accomplish what one group
or individual could not successfully and efficiently accomplish alone. It is done by delegating specific
smaller tasks to many staff members without any of them shouldering the burden or the immensity of
the job.
The chain of command is illustrated in the organizational structure by the authority responsibility
relationships or links between managers and those they supervise. This continuum exists throughout
the company. The chain of command should be very clear. This way, employees will know to whom
they report and are accountable. It is also important to note that an employee should not report to

several people at the same time, because it may create a loop within which the employee receives
contradictory directions from different people and becomes unable to efficiently perform his/her task.
Responsibility is the obligation or expectation to perform and carry out duties and achieve goals
related to a position.
Authority is the right inherent in a managerial position to tell people what to do and to expect them to
do it, right to make decisions and carry out actions to achieve organizational goals.
While part of a manager’s work may be delegated, the manager remains accountable for results.
Accountability is the requirement of being able to answer for significant deviations from duties or
expected results.
The fact that managers remain accountable for delegated work may cause them to resist delegation.
Delegation is assignment of part of manager’s work to others along with responsibility and authority.
In addition to issues of accountability, managers may resist delegation for a number of reasons.
i. Managers may fear if subordinates fail.
ii. Managers may think they lack time to train subordinates.
iii. Managers may want to hold on to their power.
iv. Managers may enjoy doing the tasks subordinates could do.
v. Managers may feel threatened by subordinates.
vi. Managers may not know how to delegate.
Subordinates may resist delegation because of fear of failure or of risk taking.
Failure to delegate may have serious negative consequences for a manger’s career.
1.6.2.4 Job Design/Specialization and Departmentalization

Building Blocks of Organizing
1. Job design
Job design is an essential part of organizational structure. Job design is the specification of task
activities, usually repeated on a regular basis, associated with each particular job.
a. Task activities need to be grouped in reasonably logical ways for each job.
b. The way the jobs are configured influences employee motivation.
Job simplification is the process of configuring or designing jobs so that job holders have only a small
number of narrow, repetitive, activities to perform.
The concept of job simplification was championed by economist Adam Smith and by Frederick Taylor
Training new workers becomes relatively easy and workers become almost interchangeable.
The advantage is that major production efficiencies may be gained.
The disadvantages are that, if carried too far, job satisfaction may be destroyed by narrow, repetitive,
boring jobs and the firm may become too inflexible to serve customers with varying needs.
2. Work specialization
Work specialization is the degree to which the work necessary to achieve organizational goals is
broken down into various jobs. In Work specialization the tasks in an organization are divided into
separate jobs. Another term for this is division of labor.
Work specialization was seen as a way to make the most efficient use of workers’ skills because
workers would be placed in jobs according to their skills and paid accordingly.
Work specialization includes improvement in employees’ skills at performing a task, more efficient
employee training, and encouragement of special inventions and machinery to perform work tasks.

Work specialization is viewed as a source of unending productivity improvements. And it was—up to a

certain point.
The human diseconomies from work specialization included boredom, fatigue, stress, lowered
productivity, poor quality of work, increased absenteeism, and higher job turnover.
3. Departmentalization
Departmentalization is the clustering of individuals into units and units into departments and larger
units in order to facilitate achieving organizational goals.
1. An organization design is an overall pattern of departmentalization.
2. There are four major patterns of departmentalization.
a) The functional structure is a type of departmentalization in which positions are grouped
according to their main functional (or specialized) area. It groups jobs into units based upon
similarity of expertise, skills, and work activities, e.g., marketing, accounting.
b) The divisional structure is a type of departmentalization in which positions are grouped
according to similarity of products, services, or markets. It groups jobs into units according to
the similarity of products or markets. Divisional structures are also called “self-contained
structures” because each division contains the major functional resources it needs to pursue its
own goals with little or no reliance on other divisions.
c) The hybrid structure is a form of departmentalization that adopts parts of both functional and
divisional structures at the same level of management. It combines aspects of both the
functional and divisional forms, with some jobs grouped into departments by functions and
other grouped by products or markets. Hybrid structures are adopted by large organizations to
gain the advantages of functional and divisional structures.
d) The matrix structure is a type of departmentalization that superimposes a horizontal set of
divisional reporting relationships onto a hierarchical functional structure.
1.6.2.5 Span of Command, centralization of Command, Centralization Versus

Decentralization and Line versus staff Authority
Methods of Vertical Coordination
Vertical coordination is the linking of activities at the top of the organization with those at the middle
and lower levels in order to achieve organizational goals.
Formalization is the degree to which written policies, rules, procedures, job descriptions, and other
documents specify what actions are (or are not) to be taken under a given set of circumstances.
1) Most organizations need some degree of formalization so that fundamental decisions do not
have to be made more than once and so that inequities will be less likely to occur.
2) Being too highly formalized can lead to cumbersome operations, slowness in reacting to change,
and low levels of creativity and innovation.
Span of management or span of control is the number of subordinates who report directly to a
specific manager.
1) Managers should have neither too many nor too few subordinates.
2) Research indicates that there is no universally correct span of management for all managers.
Rather, spans of management can be narrower or broader depending on the circumstances of
each managerial job.
a) Subordinates’ work is such that little interaction with others is required.
b) Managers and/or their subordinates are highly competent.
c) The work of subordinates is similar.
d) Problems are infrequent.

e) Subordinates are located within close physical proximity of one another.
f) Managers have few non supervisory duties to perform.
g) Managers have additional help such as secretaries or assistants.
h) The work is challenging enough to motivate subordinates to do a good job.
Spans of management determine the number of hierarchical levels in an organization.
a) A tall structure is one that has narrow spans of management and many hierarchical levels in
an organization.
b) A flat structure is one that has broader spans of management and few hierarchical levels and
wide spans of control.
The number of hierarchical levels in an organization affects organizational effectiveness.
a) Very tall organizations raise administrative overhead, slow communication and decision
making, make it more difficult to pinpoint responsibility for various tasks, and encourage the
formation of dull, routine jobs.
b) Downsizing is the process of significantly reducing the layers of middle management,
expanding the spans of control, and shrinking the size of the work force.
c) Restructuring is the process of making a major change in organization structure that often
involves reducing management levels and also possibly changing some major components of
the organization through divestiture and/or acquisition.
d) Downsizing must be planned and implemented carefully.
i. Done well, downsizing may result in reduced costs, faster decision making, more challenging
jobs, fewer redundancies, and increased innovation.
ii. Done poorly, downsizing may result in the loss of valuable employees, demoralized
survivors, and an ultimate decline in productivity.
iii. A five-year study showed only increases in profits and productivity in a relatively small
number of firms that downsized while most had noticeable decreased in morale.
The degree to which authority in an organization is centralized or decentralized affects the pattern of
decision making in the organization.
1. Centralization is the extent to which power and authority are retained at the top
organizational levels.
2. Decentralization is the extent to which power and authority are delegated to lower levels.
3. An organization is centralized if decisions made at lower levels are governed by a restrictive set
of policies, procedures, and rules, and if situations not explicitly covered are referred to higher
levels for resolution.
4. An organization is decentralized to the extent that decisions made at lower levels are made
within a general set of policies, procedures, and rules, with decisions not covered left to the
discretion of lower-level managers.
5. Centralization offers advantages.
a. It is easier to coordinate the activities of various units and individuals.
b. Top managers have more experience and may therefore make better decisions.
c. Top managers have a broader perspective on decision situations.
d. Duplication of effort by various organizational units can be avoided.
e. Strong leadership is promoted.
6. Decentralization offers advantages.
a. Top managers can concentrate upon major issues.
b. The jobs of lower-level employees are enriched by the challenge of making decisions.

c. Decisions can be made faster.

d. Individuals at lower levels may be closer to the problem and may be in a better position
to make good decisions.
e. Relatively independent units emerge as divisions, with more easily measured outputs.
7. Organizations should move toward a decentralized structure when:
a. The organization is so large that top managers do not have the time or the knowledge to
make all the major decisions.
b. Operations are geographically dispersed.
c. Top managers cannot keep up with complex technology.
d. The environment is increasingly uncertain.
The configuration of line and staff positions can affect the vertical integration in organizations.
1. A line position is a position that has authority and responsibility for achieving the major goals
of the organization.
2. A staff position is a position whose primary purpose is providing specialized expertise and
assistance to line positions.
3. Line authority differs from staff authority.
a) Line authority is authority that follows the chain of command established by the formal
hierarchy.
b) Staff departments have functional authority, authority over others in the organization in
matters related directly to the staff departments’ functions.
c) Conflicts of line and functional authority.
a. Staff personnel may usurp line authority.
b. Line personnel may abdicate responsibility of staff departments.
c. Conflicts may be avoided by clarifying lines of authority and encouraging team work.
d) Recently a trend had developed to reduce the number of corporate-level staff positions in cost
cutting moves.
Methods of Horizontal coordination

Horizontal coordination is the linking of activities across departments at similar levels.
1. The need for horizontal coordination in an organization is directly proportional to the
information processing needs of the organization.
2. Organizations need to process more information under certain circumstances.
a) The organization faces complex and/or changing technology.
b) The environment is uncertain.
c) The company is growing.
3. In facilitating information processing across the organization, horizontal coordination also
promotes innovation.
a) New ideas are more likely to emerge when views are shared.
b) Awareness of problems and opportunities across areas may spark creative
solutions.
c) Involving employees in the development of ideas promotes commitment to
proposed changes.
1.6.2.5 Developing an effective structure

There is no one correct way to structure an organization. The structure one chooses will certainly affect
productivity, quality, customer satisfaction, employee morale and budget among others. An

organizational structure must be designed to support the organization’s vision and mission and that
enhances the stated objectives of the work unit. Organizing functions must emanate from the stated
objectives of the organization and/or work unit.
A manager performs organizing function with the help of following steps:-
1. Identification of activities
All the activities which have to be perform in a concern have to be identified first.. All these
activities have to be grouped and classified into units.
2. Departmentally organizing the activities
In this step, the manager tries to combine and group similar and related activities into units
or departments. This organization of dividing the whole concern into independent units and
departments is called departmentalization.
3. Classifying the authority
Once the departments are made, the manager likes to classify the powers and its extent to the
managers. This activity of giving a rank in order to the managerial positions is called hierarchy.
The clarification of authority helps in bringing efficiency in the running of a concern. This helps in
avoiding wastage of time, money, effort, in avoidance of duplication or overlapping of efforts and this
helps in bringing smoothness in a concern’s working.
4. Co-ordination between authority and responsibility
Relationships are established among various groups to enable smooth interaction toward
the achievement of the organizational goal. Each individual is made aware
of his authority and he/she knows whom they have to take orders from
and to whom they are accountable and to whom they have to report.
In a project setting, project organization will follow the Work Breakdown Structure
(WBS). A WBS is defined as a “deliverable oriented hierarchical decomposition of the work to
be executed by the project team.” The work
breakdown structure visually defines the scope into manageable chunks that a project team can
understand, as each level of the work breakdown structure
provides further definition and detail. A work breakdown structure starts with the project as the top
level deliverable and is further decomposed into sub deliverables.
The project team creates the project work breakdown structure by identifying the
major functional deliverables and subdividing those deliverables into smaller
systems and sub-deliverables. These sub-deliverables are further decomposed
until a single person can be assigned. At this level, the specific work packages
required to produce the sub- deliverable are identified and grouped together. The
work package represents the list of tasks or “to-dos” to produce the specific unit
of work. If you’ve seen detailed project schedules, then you’ll recognize the tasks
under the work package as the “stuff” people need to complete by a specific time
and within a specific level of effort. These work packages are usually grouped
and assigned to a specific department to produce the work.

1.6.3 Staffing
1.6.3.1 Definition
Staffing is define as “Filling and keeping filed, positions in the organization structure”. This process of
staffing is done by ten steps/phases.
1. Identifying the work force requirements.
2. Inventorying the people available.
3. Recruiting
4. Selecting candidates.
5. Planning candidates.
6. Promoting candidate.
7. Appraising candidates.
8. Planning careers of candidates.
9. Training candidate.
10. Developing and compensating candidates and current jobholders.
1.6.3.2 The System Approach to Human Resource Management
The Figure below shows the managerial function of staffing relates to the total management. In
system approach to staffing enterprise plan or organization plan become important inputs for staffing
tasks. The organization structure determines required numbers and kinds of managers. These
demands for managers/staffs are compared with the available talents through management
inventory.
On the basis of this analysis, external and internal resources are utilized in the process of recruitment,
selection, placement, promotion and separation. Other aspects of staffing are appraisal, career
strategy and training and development of managers/staffs.
Staffing effects leading and controlling. Well trained managers create an environment in which people
working together in the organization setup can achieve enterprise objectives and accomplish personal
goals. Staffing requires an open system approach. It is carried out within the enterprise which is
linked to the external environment.
1.6.3.3 Aspects in the System Approach to Staffing
In system approach to human resource management or staffing the following aspects are to be
considered.
Factors affecting the number and kinds of manager/staff required
The number of managers needed in an enterprise/organization depends on (1) Size of business (2)
plans of expansion (3) Rate of turnover of managers (4) Complexity of organization structure.
Determination of available managerial/staff resources
It is also known as management inventory. It is common for any business and nonbusiness
enterprises, to keep an inventory of new materials and goods on hand to enable it to carry on its
operations. The same applies for managers/staffs.

Figure: Managerial function of staffing
Analysis of the need for managers/staffs

Analysis of the need for managers/staffs depends upon internal and external resources described
below.
Internal resources
1. Plan for growth.
2. Replacement or out replacement staff.
3. Demotions
4. Early retirement.
External resources
1. Economic factor.
2. Technological factors.
3. Social factors.
4. Political factors.
5. Legal factors.
1.6.3.4 Objectives of staffing

The objective and purpose of managerial staffing is
 To ensure that organizational positions are filled by the qualified personnel, who are able to
willing to occupy them.
 To define job, performance appraisal training and development of people.
 To matching the persons with job, identifying job requirement, job, design etc.

1.6.3.5 Situational factors affecting staffing

The actual process of staffing is affected by many environmental factors. These include external and
internal factors.
External factors
Factors in external environment do affect staffing to various degrees. These influences can be grouped
into educational, social cultural, legal political and economic opportunities. External factors include.
1. Well trained managers.
2. Well educated managers.
3. Highly skilled managers.
Ignorance of external factors may keep away an enterprise from growing at design rate
Internal factors
Internal factors include
1. Personal policies.
2. Organizational climate.
3. Reward system.
Internal factors of staffing are required to be taking consideration.
1.6.3.6 The Selection Process

Selection is the process of choosing from among the candidates, from within the organization or from
the outside organization the most suitable person for the current position or for future positions.
There are many steps in the selection process, for example, the interview of a candidate, tests, etc.
There are some variations in the steps of selection process. For example the interview of candidate for
a first level supervisory position may be relatively simple than interviews for a top level executive. In
the selection process firstly, the selection criteria are established in the basis of current and future job
requirements. These criteria include.
1. Education, knowledge, skills and experience.
2. The candidate is requested to complete the application form.
3. A screening interview is conducted.
4. Candidates are tested for additional information.
5. Formal interviews conducted on the basis of test.
6. Information provided by candidates are checked and verified.
7. Physical fitness is examined.
8. On the basis of previous step the candidate is offered job or information about that he/she has
not been selected for the position. Lets determine some parts of selection process.
Interview
In a structured interview the manager ask a set of prepared questions, such as the following.
1) What were your specific duties and responsibilities in your last job?
2) What did you achieve in that job?
3) Who could be asked to verify these achievements?
4) Who are they?
5) What did you like or dislike about your job?
6) Why do you want to change your job?
Tests
The primary aim of test is to obtain data about the applicants. Some of the benefits from testing
include finding the best person for the job obtaining a high degree of job satisfaction for the applicant,
and reducing turnover. The most commonly used tests can be classified as follows.
 Intelligence test
Intelligence test is designed to measure mental capacity, to test memory, speed of thought and ability
to see relationship in complex problem situations.
 Proficiency test
It constructed to discover interest, existing skills and potential for acquiring skills.
 Vocational test
Vocational test are designed to show a candidates most suitable occupation.
 Personality test
Personality tests are designed to show or discover candidate’s personal characteristics.
1.6.3.7 Limitation of selection process

There are many limitation of the selection process.
1) There is no one perfect way to select managers/staffs.
2) There is distinction between what person can do,
3) Testing process and especially psychological testing is limited.
4) Time and cost involved in making personnel decisions. It is important to identify such factor as
advertising expenses, agency fees, cost of test materials, time spent interviewing candidate,
costs for reference check etc.
1.6.3.8 Steps/processes/principles of staffing

There are six steps/process or principles of staffing.
1) Principle of job definition
2) Principle of managerial appraisal
3) Principle of open competition.
4) Principle of management training & development.
5) Principle of training objectives.
6) Principle of continuing development.
1. Principle of definition
The more precisely the results expected of managers are identified the dimensions of their positions
can be defined.
2. Principle of managerial appraisal
The more clearly verifiable objectives and required managerial activities are identified.
3. Principle of open competition
The enterprise encourages open completion among all candidates for management positions. Open
competition shows the quality management. Open competition better candidate can be brought in to
the organization.
4. Principle of management training and development
Training and development efforts are related to managerial function. Management training and
development leads to the effective developed programs and activity of an enterprise.
5. Principle of training objectives
The principle of training objectives gives direction to development and facilitates the measurement of
the effectiveness of training efforts.
This principle suggests that in a fast changing and competitive environment, managers/staffs cannot
stop learning. Instead they have to update their managerial knowledge continually and improve their
managerial skills and performance to achieve enterprise result.

1.6.4 Directing / Leading

1.6.4.1 Definition
Directing or Direction function is said to be the heart of management of process and therefore, is the
central point around which accomplishment of goals take
place. It is also called as on actuating function of management because it is
through direction that the operation of an enterprise actually starts.
Leading is the process of influencing people so that they will contribute to organization and group
goals.
Leadership is influence. Leadership is the art or process of influencing people so that they will
contribute willingly and whole hardly toward the achievement of group goals. Ideally people
should be encouraged to develop not only zeal and confidence.
Zeal is intensity in the execution of works; Confidence reflects experience and technical ability.
Leaders help a group to attain objectives through the maximum application of its capabilities.
They do not stand behind a group but they inspire the group to accomplish organizational goals. A
good example is an orchestra leader, whose function is to produce coordinated sound and correct
tempo through the integrated efforts of the musicians. Depended on the quality of director’s
leadership, the orchestra will respond.
Leadership is a great quality and it can create and convert anything. There are many definitions of
leadership. Some of the definitions of leadership are reproduced below.
"Leadership" According to Alford and Beatty "is the ability to secure desirable actions from a
group of followers voluntarily, without the use of coercion".
According to Chester I Barnard "Leadership refers to the quality of the behavior of the
individual whereby they guide people on their activities in organized efforts".
According to Terry "a leader shows the way by his own example. He is not a pusher, he pulls
rather than pushes".
According to Koontz and O’Donnell
Managerial leadership is "the ability to exert interpersonal influence by means of communication,
towards the achievement of a goal. Since managers get things done through people, their success
depends, to a considerable extent upon their ability to provide leadership".
According to Peter Drucker: Leadership is the lifting of man's vision to higher sights, the raising
of man's performance to higher standards, the building of man's personality beyond its normal
limitations". Leadership "is not making friends and influencing people i.e., salesmanship.
According to Louis A Allen :"A leader is one who guides and directs other people. He gives the
efforts to hisfollowers a direction and purpose by influencing their behaviour".
In the words of Theo Haimann: "Leadership is the process by which an executive imaginatively
directs, guides and influences the work of others in choosing and attaining specified goals by
mediating between the individuals and the organization in such a manner that both will obtain
maximum satisfaction".
According to Katz and Kalm: "In the descriptions of organizations, no word is used with such
varied meanings. The word leadership is sometimes used to indicate that it is an attribute of
personality; sometimes, it is used as if it were a characteristic of certain positions, and sometimes
as an attribute of behavior". From the above definitions we can conclude that leadership is a
psychological process of influencing followers (subordinates) and providing guidance, directing

and leading the people in an organization towards attainment of the objectives of the enterprise.
1.6.4.2 Benefits of directing/Leading

Being the central character of enterprise, it provides many benefits to a organization which are
as follows:-
1. It Initiates actions
Direction is the function which is the starting point of the work performance of subordinates. It is
from this function that the action takes place, subordinates understand their jobs and do according to
the instructions laid.
2. It integrates efforts
Through direction, the superiors are able to guide, inspire and instruct the subordinates to work.
This can be done through persuasive leadership and effective communication. Integration of efforts
brings effectiveness and stability in a concern.
3. Means of motivation
Direction function helps in achievement of goals. A manager makes use of the element of motivation
here to improve the performances of subordinates. This can be done by providing incentives or
compensation, whether monetary or non - monetary.
4. It provides stability
Stability and balance in concern becomes very important for long term sun survival in the market.
This can be brought upon by the managers with the help of four tools or elements of direction
function -judicious blend of persuasive leadership, effective communication, strict supervision
and efficient motivation.
5. Coping up with the changes
It is directing function which is of use to meet with changes in environment, both internal as
external. Effective communication helps in coping up with the changes.
6. Efficient Utilization of Resources
The resources can be utilized properly only when less of wastages, duplication of efforts,
overlapping of performances, etc. don’t take place. This helps in maximum possible utilization of
resources of men, machine, materials and money which helps in reducing costs and increasing profits.
1.6.4.3 Ingredients of Leadership

Every group of people that performs job has same person as its head who is skilled in art of
leadership. This skill seems to be a compound of at least four major ingredients.
1. Power
2. Fundamental understanding of people.
3. Ability to inspire fowler
4. The ability to act in a manner that will develop a conducive climate to responding and rousing
motivations.
1. Power
The first ingredient of leadership is power. Power may be defined as a strong influence on the
direction of an individual’s behavior. There are five kind of power.
a) Legitimate power
The official position of a person is organization is known as legitimate power.
b) Corrective power
A person’s ability to create fear in other individuals is known as coercive power.

c) Reward power
This power arises from ability of some to grant reward is known as reward power.
d) Expert power
This power comes from the expertness of a person or a group.
e) Referent power
This is the power of admiring high esteemed leader by individuals.
f) Decision making power
This power arises from the power of positions.
2- Fundamental understanding of people
The second ingredient of leadership is fundamental understanding of people. A manager or any other
leader who knows the present state of motivation theory and understands the elements of motivation
is more aware of the nature and strength to define and design ways of satisfaction.
3- Ability to inspire followers
The third ingredient of leadership is an ability to inspire followers to apply their full capabilities to an
organization. Inspirations also come from group heads. They may have qualities of charm and appeal
that increase loyalty, devotion and strong desire in followers that the leaders want. This is not a
matter of need satisfaction; it is a matter of people giving unselfish support to a chosen objective.
4. The ability to act in a manner
The forth ingredient of leadership is related to style of leader and the climate he or she develops. The
strength of motivation greatly depends on expectations, perceived rewards, the task to be done and
other factors that are part of an environment as well as an organizational climate.
1.6.4.4 Principle of Leadership

The fundamental principle is that people tend to follow those who in their view offer them a means of
satisfying their own personal goals. The more managers understand what motivates their
subordinates and how these motivation operate, and the more they reflect their understanding in
caring out their managerial actions, the more effective they are likely to be as leaders.
1.6.4.5 Trait approach to Leadership

Many studies of traits have been made by various researchers have identified specific traits related to
leadership ability. These traits include the following.
 Five physical traits (such as energy, appearance and height),
 Four intelligence and ability traits;
 Sixteen personality traits (such as adaptability, aggressiveness, self-confidence etc).
 Six task related characteristics (Such as achievement drive, persistence and initiative) and
 Nine social characteristic (Such as co cooperativeness, interpersonal skill and administrative
ability).
More recently following key leadership traits were identified (i) drive (including achievement,
motivations energy, ambition etc). (ii) Honest and integrity, self confidence (including emotional
stability), (iii) cognitive ability and understanding of the business. Less clear traits is creativity,
flexibility etc)
In general, the study of leader’s traits has not been a very fruitful approach to explaining leadership.
Not all leaders possess all the traits and many non leaders may possess most or all of them. Also, the
trait approach gives no guidance as to how much of any trait a person should have. Most of these so
called traits are really patterns of behavior.

1.6.5 Controlling
1.6.5.1 Definition
There are many definitions of controlling forwarded by various authors.
According to Breach; "Control is checking current performance against predetermined standards
contained in the plans, with a view to ensuring adequate progress and satisfactory performance."
According to George R Terry; "Controlling is determining what is being accomplished i.e., evaluating
the performance and if necessary, applying corrective measures so that the performance takes place
according to plans."
According to Billy E Goetz; "Management control seeks to compel events to conform plans".
According to Robert N Anthony; "Management control is the process by which managers assure that
resources are obtained and used effectively and efficiently."
In the words of Koontz and O’Donnel; "Managerial control implies measurement of accomplishment
against the standard and the correction of deviations to assure attainment of objectives according to
plans."
In the words of Haynes and Massie
"Fundamentally, control is any process that guides activity towards some
predetermined goal. The essence of the concept is in determining whether the activity
is achieving the desired results”.
In the words of Henry Fayol; "Control consists in verifying whether everything occurs in conformity
with the plan adopted, the instructions issued and the principles established. Its object is to find out
the weakness and errors in order to rectify them and prevent recurrence. It operates on everything,
i.e., things, people and actions".
From the above definitions it is clear that the managerial function of control consists in a comparison
of the actual performance with the planned performance with the object of discovering whether all is
going on well according to plans and if not why.
Remedial action arising from a study of deviations of the actual performance with the standard or
planned performance will serve to correct the plans and make suitable changes. Controlling is the
nature of follow-up to the other four fundamental functions of management. There can, in fact, be not
controlling without previous planning, organizing/staffing and directing. Controlling cannot take place
in a vacuum.
Controlling is the measuring and correcting of activities of subordinates, to ensure that events
conform to plans. It measures performance against goals and plans, shows where negative deviations
exist, and, by putting in motion actions to correct deviations, helps ensure accomplishment of plans.
1.6.5.2 Features of Controlling Function

Following are the characteristics of controlling function of management: -
1) Controlling is an end function (feedback) - A function which comes once the performances are
made in conformities with plans.
2) Controlling is a pervasive function- which means it is performed by managers at all levels
and in all type of concerns.
3) Controlling is forward looking (feed forward) - because effective control is not possible
without past being controlled. Controlling always looks to future so that follow-up can be
made whenever required.
4) Controlling is a dynamic process (concurrent)- since controlling requires taking review

methods, changes have to be made wherever possible.
5) Controlling is related with planning - Planning and Controlling are two inseparable
functions of management. Without planning, controlling is a meaningless exercise and
without controlling, planning is useless. Planning presupposes controlling and
controlling succeeds planning.
1.6.5.3 The Basic Control Process/Steps in controlling

The basic control process involves three steps.
1) Establishing standards.
2) Measuring and monitoring performance against the standards.
3) Determination of reasons for deviation
4) Correcting variations from standard and plans / correction of deviations.
i. Establishing Standard
Standards are by definition is simply criteria against which performance are measured/evaluated.
Standards are the selected points in a planning performance at which performance is measured, so
that managers can receive signals about how things are going. Performance standards give employees
an idea of what is expected of them and tells them how you assess their performance.
There are many kinds of standard.
(1)Physical Standard (2) Cost Standard (3) Capital Standard (4) Revenue Standard (5) Program
Standard (6) Intangible Standard (7) Goals/Objectives Standard (8) Strategic plans as control
point/strategic control.
ii. Measurement and monitoring of performance
It is the second step of control process. In this step the measurement of the performance of the
planned activities are made. Although such measurement is not always predictable, but if standard
are appropriately drown and if means are available for determining exactly what subordinates are
doing then measurement of performance is fairly easy. But there are many activities for which it is
difficult to develop accurate standards and there are many activities that are hard to measure. Then
compare the measured performance against established standards in order to assess current
performance against expectations.
iii. Determination of reasons for deviation
This is the third step for control process. If current performance is assessed fairly accurately against
standards/expectations, and if it is found to be below the standard, the possible reasons for the
deviation (if any) can be easily determined and documented.
iv. Correction of Deviations
It is fourth and last step of control process. If performance is measured accurately, deviations are
observed and the reasons for the deviation found out, it is easier to correct deviations. Then this helps
managers to know exactly where the corrective measure must be applied. Correction of deviations is
the point at which control can be related to the other managerial factions. Managers may correct
deviations by redrawing their plans or by modifying their goals or they may correct deviations by
clarification of duties. This is often a difficult aspect of the controlling function of management. When
problems arise, handle the situations fast and efficiently. Ignoring a challenging situation only makes
things worse.

1.6.5.4 Critical control points and standards

Standards are yardsticks against which expected performance is measured. In simple operation a
manager may control through careful observations. But, in most operations this is not possible
because of the complexity of the operations. Manager must choose points for special attention and
then watch them to be sure that the whole operation is proceeding as planned.
The points selected for control should be critical. With such standards, manager can handle a large
group of subordinates and plans are working out the principle or critical. Points control states
“effective control requires attention to these factors critical to evaluating performance against plans.
1.6.5.5 Questions of selected critical point of control

In selection of critical control points, manager must ask themselves such questions.
1- What will best reflect the goals of my department?
2- What will best show me when these goals are not being met?
3- What will best measure critical deviation?
4- What will tell me who is responsible for any failure?
5- What standard will cost the least?
6- For what standards is information economically-available?
1.7. General Principles of Management

A management principle is a statement of general truth about organization. In the words of Hicks “
Principle of management are the guiding rules of laws for managerial action. These are designed
primarly to provide for better understanding of business circumstances and improving the
organizational performance”. A large number of principles have been contributed by the various
management authors. Of all contributors, the fourteen principles enumerated by Henry Fayol forms the
basis for modern management. According to him improvement and modifications can be made to suit
the need, time and circumstances so as to make management a living science (dynamic science)
adaptable to all situations. He noted that Principles of management are flexible, not absolute and must
be usable regard less of changing and special conditions. Some kinds of Principles appeared to be
indispensable in every undertaking. The description of the 14 principles are given below.
1. Division of Work
Division of work means dividing the work on the principle that different workers are best fitted for
different jobs depending on their personal aptitude, knowledge and skill. It leads to specialization and is
applicable to all kinds of work, weather technical or managerial. The specialization of the workforce
according to the skills of a person, creating specific personal and professional development within the
labour force and therefore increasing productivity; leads to specialization which increases the efficiency
of labour. By separating a small part of work, the workers speed and accuracy in its performance
increases. The objective of division of work is to produce more and better work with the same effort.
2. Authority and responsibility

Henri Fayol finds authority and responsibility to be related with the latter arising from the former. He
sees authority as a combination of official factors, manager’s position and personal factors,
“Compounded of intelligence, experience, moral worth, past services etc. The issue of commands
followed by responsibility for their consequences. Authority means the right of a superior to give order
to his subordinates; responsibility means obligation for performance. This principle suggests that there
must be parity between authority and responsibility. They are co-existent and go together, and are two
sides of the same coin. Generally speaking, responsibility is feared as much as authority is sought after,
and fear of responsibility paralyzes much initiative and destroys many good qualities. A good leader
should possess and infuse into those around him courage to accept responsibility’
3. Discipline
Fayol declares that discipline requires good superiors at all levels. Discipline refers to obedience,
proper conduct in relation to others, respect of authority, etc. “Discipline means sincerity,
obedience, respect of authority & observance of rules and regulations of the enterprise”. This
principle applies that subordinate should respect their superiors and obey their order. It is
essential for the smooth functioning of all organizations.
Discipline is not only required on path of subordinates but also on the part of management.
Discipline can be enforced if –
 There are good superiors at all levels.
 There are clear & fair agreements with workers.
 Sanctions (punishments) are judiciously applied.
4. Unity of Command
This principle states that every subordinate should receive orders and be accountable to one and only
one superior. If an employee receives orders from more than one superior, it is likely to create
confusion and conflict. Unity of Command also makes it easier to fix responsibility for mistakes. This
means that employees should receive order from one superior only. Each man should have only one
boss with no conflicting lines of command. ‘In all human associations, in industry, commerce, army,
home, State, dual command is a perpetual source of conflicts…’
5. Unity of Direction
According to this principal, each group of activities with same objective must have one head and one
plan. All those working in the same line of activity must understand and pursue the same objectives.
All related activities should be put under one group, there should be one plan of action for them, and
they should be under the control of one manager. It seeks to ensure unity of action, focusing of efforts
and coordination of strength.
Without unity of direction, unity of action cannot be achieved. In fact, unity of command is not
possible without unity of direction.
6. Subordination of individuals interest to general interest

When the two are found to differ, management must reconcile them. The management must put aside
personal considerations and put company objectives first. Therefore the interests of goals of the
organization must prevail over the personal interests of individuals.
An organization is much bigger than the individual it constitutes therefore interest of the undertaking
should prevail in all circumstances. As far as possible, reconciliation should be achieved between
individual and group interests. 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.
 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.

7. Remuneration
Remuneration and method of payment should be fair and have maximum possible satisfaction to
employees and employer.
Workers must be paid sufficiently as this is a chief motivation of employees and therefore greatly
influences productivity. The quantum and methods of remuneration payable should be fair,
reasonable and rewarding of effort. Every mode of payment likely to make the personnel more
valuable and improve its lot in life, and also to inspire keenness on the part of employees at all levels,
should be a matter for managers’ constant attention. Wages should be determined on the basis of cost
of living, work assigned, financial position of the business, wage rate prevailing etc. Logical &
appropriate wage rates and methods of their payment reduce tension & differences between workers
& management creates harmonious relationship and pleasing atmosphere of work.
8. Centralization/Decentralization
Without using the term centralization of authority ‘’Fayol refers authority dispersed or concentrated.
The amount of power wielded with the central management depends on company size. Centralization
implies the concentration of decision making authority at the top management. Sharing of authority
with lower levels is called decentralization. The organization should strive to achieve a proper
balance.
The choice to depend on the condition of the business and the culture of its staff. ‘The finding of the
measure which shall give the best overall yield; that is the problem of centralization or
decentralization. Everything which goes to increase the importance of the subordinate’s role is
decentralization; everything which goes to reduce it is centralization. Centralization is a situation in
which top management retains most of the decision making authority. Decentralization means
disposal of decision making authority to all the levels of the organization. In other words, sharing
authority downwards is decentralization.
9. Scalar Chain
Fayol thinks of this as “Chain of Superior” from beigest to low ranks should be short circuited. Scalar
Chain refers to the chain of superiors ranging from top management to the lowest rank. The principle
suggests that there should be a clear line of authority from top to bottom linking all managers at all
levels. It is considered a chain of command. Every orders, instructions, messages, requests,
explanation etc. has to pass through Scalar chain. But, for the sake of convenience & urgency, this path
can be cut short and this short cut is known as Gang Plank. In this concept a subordinate may contact
a superior or his superior in case of an emergency, defying the hierarchy of control. However the
immediate superiors must be informed about the matter.
10. Order
This principle is concerned with proper & systematic arrangement of things and people. Fayol classify
this into “material” and “social” order. Arrangement of things is called material order and placement of
people is called social order. It is essential principle in arrangement of things and people in an
organization. Social order ensures the fluid operation of a company through authoritative procedure.
Material order ensures safety and efficiency in the workplace.

Social order demands a precise knowledge of the human requirements and resources of the concern
and a constant balance between these.’ In terms of managerial order—‘a place for everything and
everything in its place’, e.g. the organization chart and statement of areas of responsibility.
11. Equity
Equity means combination of fairness, kindness & justice. Managers should be fair and impartial when
dealing with employees. The head of the business should strive to instill a sense of equity throughout
all levels of the scalar chain.’—i.e. kindliness and justice by managers help to produce loyalty from
staff. Employees must be treated kindly, and justice must be enacted to ensure a just workplace.
Mangers should not discriminate with respect to age, caste, sex, religion, relation etc. But equity does
not mean total absence of harshness. Fayol was of opinion that, “at times force and harshness might
become necessary for the sake of equity”.
12. Stability of tenure

Fayol emphasized that employees should not be moved frequently from one job position to another
i.e. the period of service in a job should be fixed. Therefore employees should be appointed after
keeping in view principles of recruitment & selection but once they are appointed their services
should be served.
In bad management, Fayol points out it is dangers and costs. The period of service should not be too
short and employees should not be moved from positions frequently. An employee cannot render
useful service if he is removed before he becomes accustomed to the work assigned to him.
Generally the managerial concern of prosperous personnel is stable, that of unsuccessful ones is
unstable.
Instability of tenure is at one and the same time cause and effect of bad running.
Stability of job creates team spirit and a sense of belongingness among workers which ultimately
increase the quality as well as quantity of work.
13. Initiative
Initiative is execution of a plan. It means eagerness to initiate actions without being asked to do so.
Fayol advised that management should provide opportunity to its employees to suggest ideas,
experiences& new method of work. It helps in developing an atmosphere of trust and understanding.
Using the initiative of employees can add strength and new ideas to an organization. Initiative on the
part of employees is a source of strength for the organization because it provides new and better
ideas. Employees are likely to take greater interest in the functioning of the organization.
People then enjoy working in the organization because it adds to their zeal and energy.
In general workers should be encouraged to take initiative in the work assigned to them. They can be
encouraged with the help of monetary & non-monetary incentives.
14. Esprit decrops

This is the principle that in the union there is strength. This principle emphasis on work, and unity of
communication in order to accomplish objectives. It refers to team spirit i.e. harmony in the work
groups and mutual understanding among the members. It also refers to the need of managers to
ensure and develop morale in the workplace; individually and communally.
Team spirit helps develop an atmosphere of mutual trust and understanding. These can be used to
initiate and aid the processes of change, organization, decision making, skill management and the
overall view of the management function. Spirit De’ Corps inspires workers to work harder.
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.
1.8. Managerial Skills

Not everyone can be a manager. Certain skills, or abilities to translate knowledge into action that
results in desired performance, are required to help other employees become more productive.
However, the degree (amount) of these skills required varies (changes) from levels of management
and from an organization to the organization.
These skills fall under the following categories:
1) Conceptual skill
2) Technical skill
3) Human relations skill
4) Decision making skill
5) Problem solving skill
6) Political skill
Whatever the level of management, a manager needs a combination of all six skills.
1.8.1. Technical skill

Technical skill involves an understanding of and proficiency in a specific activity that involves methods,
processes, procedures, or techniques. is the ability to perform the given job. Technical skills help the
managers to use different machines and tools. It also helps them to use various procedures and
techniques. Technical skills include the ability to prepare a budget, lay out a production schedule,
program a computer, or demonstrate a piece of electronic equipment. A well-developed technical skill
can facilitate the rise into management. For example, Bill Gates of Microsoft Corp. launched his career by
being a competent programmer. The low-level managers require more technical skills. This is
because they are in charge of the actual operations. Managers acquire these skills initially through
formal education and then further develop them through training and job experience.
1.8.2. Human relations skill or Interpersonal skill

Human relations (or Interpersonal) skill is a manager’s ability to work effectively as a team member and
to build cooperative effort in the unit. It is an ability to work with people Interpersonal skills are more
important than technical skills in getting to the top. Communication skills are an important component of
interpersonal skills. They form the basis for sending and receiving messages on the job. It helps the
managers to understand, communicate and work with others. It also helps the managers to lead,
motivate and develop team spirit. Human relations skills are required by all managers at all levels of
management.
Human skills emerge in the workplace as a spirit of trust, enthusiasm, and genuine involvement in

interpersonal relationships. A manager with good human skills has a high degree of self-awareness and a
capacity to understand or empathize with the feelings of others. Some managers are naturally born with
great human skills, while others improve their skills through classes critical for all managers because of
the highly interpersonal nature of managerial work.
1.8.3. Conceptual skill

Conceptual skill is the ability to see the organization as a total entity. It includes analytical, creative and
initiative skills .It involves recognizing how the various units of the organization depend on one another
and how changes in any one part affect all the others. It also includes visualizing the relationship of the
individual business to the industry; the community; and the political, social, and economic forces of the
nation as a whole. It helps the manager to identify the causes of the problems and not the symptoms.
It helps him to solve the problems for the benefit of the entire organization. It helps the manager to fix
goals for the whole organization and to plan for every situation.
For top-level management, conceptual skill is a priority because executive managers have the most
contact with the outside world. Again, managers may acquire these skills initially through formal
education and then further develop them by training and job experience. The higher the management
level, the more important conceptual skills become.
1.8.4. Problem Solving skills

Problem solving skills are also called as Diagnostic skills. Managers are frequently called on to
investigate a problem and then to decide on and implement a remedy. A manager should know how to
identify a problem. He should also possess an ability to find a best solution for solving any specific
problem. This requires intelligence, experience and up-to-date knowledge of the latest
developments. Diagnostic skill often requires other skills, because managers need to use technical,
human, conceptual, or political skills to solve the problems they diagnose. Much of the potential
excitement in a manger’s job centers on getting to the root of problems and recommending solutions.
1.8.5. Decision-making skills

Decision-making skills are required at all levels of management. However, it is required more at
the top-level of management. The success or failure of a manager depends upon the correctness of his
decisions.
1.8.6. Political skill

An important part of being effective is being able to get your share of power and prevent others from
taking power away from you. Political skill is the ability to acquire the power necessary to reach
objectives. Other political skills include establishing the right connections and impressing the right
people.
Political skill should be regarded as a supplement to job competence and the other basic skills. Managers
who overemphasize political skill at the expense of doing work of substance focus too much on pleasing
company insiders and advancing their own careers. Too much time invested in office politics takes time
away from dealing with customer problems and improving productivity.
Notwithstanding the importance all of the above mentioned skills for Engineers; the problem
solving and decision making skills are more elaborated in the next subsection while the complex issues
related to the human relations skills are dealt with in a separate chapter.

Skills of management at different levels.

The types of managerial skills vary at different levels:
Top management: Conceptual, decision making, problem solving, political skills.
Middle management: Human relations skills, technical, and decision making skills.
Low level management/Supervisor’s : Technical skills.
1.8.1 Problem Solving Skills
1.8.1.1Definition
What is a problem?
 A problem is an opportunity for improvement.
 A problem is the difference between the actual state and desired state.
 A problem results from the recognition of a present imperfect and the belief in the
possibility of a better future.
 A problem is a situation or condition of people or the organization that will exist in
the system and that is considered undesirable by members of the organization.
Problem solving is a mental process and is part of the larger problem process that includes
problem finding and problem shaping. Considered the most complex of all intellectual functions,
problem solving has been defined as higher-order cognitive process that requires the modulation and
control of more routine or fundamental skills. Problem solving occurs when an organism or
an intelligence system needs to move from a given state to a desired goal state.
Many times ineffective or poor problem solving techniques have been employed owing to some factors
that constricted perspectives of the problem solvers. Some of these are:
 Bounded Rationality: Propounded by Herbert Simon, the concept of bounded rationality
assumes that individuals make decisions by constructing simplified models that extract
the essential features from problems without capturing all their complexity.
 Satisficing: Satisficing implies identifying and implementing a solution that is “good enough.”
According to Herb Simon, who coined the term, the tendency to ‘satisfice’ results in solving
problems which do not lead to optimal solutions. Most often, people look for solutions that
had worked for them before. There may be better ways to reach the outcome, but they
simply ignore them. Searching for alternative and superior solutions might entail an extra cost.
 Groupthink: ‘Groupthink’ is a phenomenon in which the norm for
consensus overrides the realistic appraisal of alternative courses of action.
It describes situations in which group pressures for conformity discourage
the group from critically appraising unusual, minority, or unpopular views.
‘Groupthink’ is a bug that strikes groups and can dramatically hinder their
performance.
 Conformation Bias: Conformation bias is the tendency on the part of
the people to search only for that information that supports their
perceived notions. Initial perceptions and ideas of people about a problem
often shape the search process for information. It is important to maintain objectivity in
evaluating ideas so that they are not biased toward their initial perceptions.
 Insufficiency of Hypotheses: Often, while solving problems, a solver seizes upon the first
explanation that comes to mind and stops thinking about the problem. This difficulty is

related to confirmation bias, but reflects insufficient thought applied to a problem.

Many times, the immediate answer is sufficient. Other times, however, only a careful
analysis of a situation beyond the immediate response is necessary to ensure a correct
solution. To avoid poor problem-solving resulting from insufficiency of hypothesis, people
should develop alternative ideas, rather than seizing upon the first idea as the solution.
 Fixation: Fixation is the inability to see a problem from a fresh
perspective. Again, initial perceptions and structuring of a problem often
determine the approaches people use to solve that problem. Structuring a problem incorrectly
is a prime contributor to the inability to solve a problem correctly. To overcome fixation, people
should see the problem with “fresh eyes” - allow time for reflection and incubation.
1.8.1.2 The Problem Solving Process

There is a variety of problem-solving processes. But each process consists of a series of steps -
identifying the problem, searching for possible solutions, selecting the most optimal solution and
implementing a possible solution. It is useful to view problem solving as a cycle because, sometimes,
a problem needs several attempts to solve it or the problem changes. The diagram below shows a
seven-step problem solving process.
Figure: The seven-step problem solving process

The explanation of each of the above six steps is given below.
I. Identifying the Problem: The first step in the problem solving process is sizing up the
situation to identify the problem. That sounds simple enough, but sometimes managers might
be uncertain about what the problem is; they might just feel general anxiety or be confused
about what is getting in the way of their objectives. If that is the case, they can ask
themselves or their friends or a professional expert.
II. Exploring the Problem: Having identified the problem, managers should analyze it to see
what the root cause is. Often people get caught up in symptoms or effects of a problem or issue

and never get down to the real cause. They get mad at someone’s attitude, anger, or actions,
which are not the cause of the problem. The key here is to focus on analyzing the problem
for the real cause without being affected by emotional issues.
III. Set Goals: Having explored and analyzed the problem, managers should be able to write a goal
statement that focuses on what is the successful end of the process.
Making and writing down a goal statement:

 helps them to clarify the direction to take in solving the problem; and
 gives them something definite to focus on
IV. Look at alternatives: Now that the problem has been analyzed, the managers can begin to
develop possible solutions. This is a creative as well as practical step where every possible
solution is identified. They should identify the various alternative solutions available to them
through such techniques as -
 Analysis of past solutions
 Reading
 Researching
 Thinking
 Asking Questions
 Discussing
 Viewing the problem with fresh eyes
 Brainstorming
 Sleeping on it
V. Select the best solution: Now that there are a wide variety of possible
solutions, it is time to select the best solution to fix the problem, given the
circumstances, resources and other considerations. Here the managers are
trying to figure out exactly what would work best given the nature of the problem.
There are always a number of things that can affect a solution, for instance,
money, time, people, procedures, policies, rules, and so on. All of these factors
must be thought about. Eventually, managers should narrow down the choices to
one best possible solution which will promise the best or optimal outcomes.
VI. Implementation: Implementation is a crucial part of problem-solving process.

In order to implement the solution chosen, managers must have an action plan
and communicate it to those directly and indirectly affected. Gemmy Allen
(“Problem-Solving & Decision-Making”) says that communication is most effective when
it precedes action and events.
VII. Evaluation: This is the final step in the problem-solving process. Managers should review the
effectiveness of the solution against desired outcomes. Did the solution work? If not, why not?
What went right, and what went wrong? What adjustments do they have to make to ensure
that the solution works better? This stage requires careful analysis that improves upon the best
solution.

1.8.1.3 Personality Types & Problem-Solving Orientations

According to Karl Jung’s (Psychological Types), people are all different in fundamental ways.
Their aptitude and competence to process different information is limited by their personality
type. There are eight personality types identified. They are described as follows.
Extroverts versus Introverts

Extroverts are directed towards the objective world whereas Introverts are directed towards the
subjective world. The most common differences between Extroverts and Introverts are shown in the
table below.
Sensing versus Intuition

Sensing is an ability to deal with information on the basis of its physical qualities
and its relation to other information. Intuition is an ability to deal with the
information on the basis of its hidden potential and its possible existence. The
most common differences between Sensing and Intuitive types are shown in the table below.

Thinking versus Feeling

Thinking is an ability to deal with information on the basis of its structure and its function. Feeling is
an ability to deal with information on the basis of its initial energetic condition and its interactions.
The most common differences between Thinking and Feeling types are shown in the table below.
Perceiving versus Judging

Perceiving types are motivated into activity by the changes in a situation. Judging types are motivated
into activity by their decisions resulting from the changes in a situation. The most common differences
between Perceiving and Judging types are shown in the table below.

Researchers like Lawrence, McCaulley and Myers have investigated the relationship of Karl Jung’s
theory of individuals’ preferences and their approach to problem solving and decision-making. Their
findings are summarized below (William G. Huitt – “Problem solving and Decision Making:
Consideration of Individual Differences Using the Myers- Briggs Type Indicator”):
1. When solving problems, individuals who are introverts will want to take time to think and
clarify their ideas before they begin talking. They will more likely be concerned with their own
understanding of important concepts and ideas.
2. Individuals who are extroverts will want to talk through their ideas in order to clarify them.
They will continually seek feedback from the environment about the viability of their ideas.
3. Sensing individuals will be more likely to pay attention to facts, details, and reality. They will
also tend to select standard solutions that have worked in the past.
4. Persons with intuition preferences will more likely attend to the meaningfulness of the facts,
the relationships among the facts, and the possibilities of future events that can be imagined
from these facts. They will exhibit a tendency to develop new, original solutions rather than to
use what has worked previously.
5. Individuals with a thinking preference will tend to use logic and analysis during
problem-solving. They are also likely to value objectivity and be impersonal in drawing
conclusions. They want solutions to make sense in terms of the facts, models, and/or principles
under consideration.
6. Individuals with a feeling preference are more likely to consider values and feelings in the
problem-solving process. They will tend to be subjective in their decision making and to
consider how their decisions could affect other people.
7. People, particularly, the ‘judging’ types, are more likely to prefer structure and organization to
the problems itself and will want the problem-solving process to demonstrate closure.
8. People with a perceiving preference are more likely to prefer flexibility and adaptability. They
will be more concerned that the problem solving process considers a variety of techniques and
provides for unforeseen changes.

Table below lists important aspects of personality when considering attention to individual
differences during problem solving. Each aspect of personality has a different orientation to problem
solving, different criteria for judging the effectiveness of the process and different associated
strengths.

1.8.1.4 Personality Types & Problem-Solving Techniques

It is not enough to describe a problem-solving process and to describe how individuals differ in their
approach to or use of it. It is also necessary to identify specific techniques of attending to individual
differences. Fortunately, a variety of problem-solving techniques has been identified to accommodate
individual preferences. Some of these techniques are oriented more to individuals who are more
structured, more rational and analytical, and more goal-oriented in their approach to
problem-solving.
Other techniques are more suited to individuals who demonstrate a preference for an approach that
is more holistic and parallel, more emotional and intuitive, more creative, more visual, and more
tactual/kinesthetic. It is important that techniques from both categories be selected and used in the
problem-solving process. “
Now let us take a look at William G. Huitt’s list of problem-solving techniques that conform to
creative, lateral, or divergent thinking. Following is the list of problem-solving techniques;
a) Brainstorming: It is attempting to spontaneously generate as many ideas on a subject as possible;
ideas are not critiqued during the brainstorming process; participants are encouraged to form new
ideas from ideas already stated.
b) Imaging/Visualization: It is producing mental pictures of the total problem or specific parts of the
problem.
c) Incubation: It is putting aside the problem and doing something else to allow the mind to
unconsciously consider the problem
d) Outcome Psychodrama: It is enacting a scenario of alternatives or solutions through role playing.
e) Outrageous Provocation: It is making a statement that is known to be incorrect (e.g., the brain is
made of charcoal) and then considering it; used as a bridge to a new idea.
f) Overload: It is considering a large number of facts and details until the logic part of the brain
becomes overwhelmed and begins looking for patterns. It can also be generated by immersion in
aesthetic experiences, sensitivity training or similar experiences.
g) Random Word Technique: It is selecting a word randomly from the dictionary and juxtaposing it
with problem statement, then brainstorming about possible relationships.

h) Relaxation: It is systematically relaxing all muscles while repeating a personally meaningful focus
word or phrase.
i) Synthesizing: It is combining parts or elements into a new and original pattern.
j) Taking Another’s Perspective: It is deliberately taking another person’s point of view.
k) Value Clarification: It is using techniques such as role playing, simulations, self analysis exercises,
and structured controversy to gain a greater understanding of attitudes and beliefs that individuals
hold important. The value clarification can provide a greater goal clarity and motivation and
increase an internal locus of control for managers.
Following is a table summarizing the personality types, orientations and problem solving techniques:
A variety of problem-solving techniques has been identified to accommodate individual

preferences. Some of these techniques are oriented more to individuals who are more
structured, more rational and analytical, and more goal oriented in their approach to problem-solving.
Other techniques are more suited to individuals who demonstrate a preference for an approach that is
more holistic and parallel, more emotional and intuitive, more creative, more visual, and more
factual/kinesthetic. It is important that techniques from both categories be selected and used in
the problem-solving process.
1.8.2 Decision Making Skills and Techniques

Everyone in an organization makes decisions, but decision making is particularly important in a
manager’s job. Decision making is such an important part of all four managerial functions that decision
making is said to be synonymous with managing.
All managers must sooner or later make decisions. That is, they face several alternatives, and their
decision involves a comparison between the alternatives and an evaluation of the outcome. The quality
of the decisions managers make is the true measure of their performance. Each operational decision
influences future actions, which in turn, require further decisions. Errors in decision making, therefore,
tend to be cumulative. Making good decisions is something that every manager strives to do because the
overall quality of managerial decisions has a major influence on organizational success or failure.
Decision making is part of all five managerial functions. In performing these functions, managers are
often called decision makers.
1.8.2.2 Definition
A decision is a choice made from two or more alternatives.
Decision Making is defined as:
 The cognitive process of reaching a decision.
 A position or opinion or judgment reached after consideration
 Choosing between alternative courses of action using cognitive processes- memory, thinking,
evaluation, etc
 The process of mapping the likely consequences of decisions, working out
the importance of individual factors, and choosing the best course of
action to take.
 The process through which managers identify organizational problems and attempt to resolve
them.
The decision-making process is defined as a set of steps consisting of identification, analysis of

problems, selection and implementation of alternative solutions as well as evaluation of the effectiveness
of the decision.
1.8.2.3 The nature of managerial decision making
Decision makers face three types of problems.
1. A crisis problem is a serious difficulty requiring immediate action.
2. A non-crisis problem is an issue that requires resolution, but does not simultaneously have the
importance and immediacy characteristics of crises.
3. An opportunity problem is a situation that offers a strong potential for significant organizational
gain if appropriate actions are taken.
a. Opportunities involve ideas that could be sued, rather than difficulties that must be
resolved.
b. Non-innovative managers tend to focus on problems rather than upon opportunities.
1.8.2.4 Decision-Making Conditions

Decision-making situations differ according to the types of problems that must be handled. Decision can
be made under conditions of certainty, uncertainty and risk.
Certainty is a situation in which a manager can make accurate decisions because all outcomes are known.
Few managerial decisions are made under the condition of certainty.
Uncertainty is a situation in which the decision maker is not certain and cannot even make reasonable
probability estimates concerning outcomes of alternatives. It is a condition in which the decision maker
chooses a course of action without complete knowledge of the consequences that will follow
implementation.
In such a situation, the choice of alternative is influenced by the limited amount of information available to
the decision maker. It’s also influenced by the psychological orientation of the decision maker.
Risk is the possibility that a chosen action could lead to losses rather than the intended results.
a. Uncertainty is seen as the reason why situation is risky.
b. A rapidly changing environment is a major cause of uncertainty.
1) An optimistic manager will follow a maximax choice, maximizing the maximum possible payoff.
2) A pessimistic manager will pursue a maximin choice, maximizing the minimum possible payoff.
3) The manager who desires to minimize the maximum regret will opt for a minimax choice.
1.8.2.5 General Steps in an Effective Decision-Making Process

1) The first step is to identify the organizational problem, i.e., discrepancies between a current state
or condition and what is desired.
 The scanning state involves monitoring the work situation for changing circumstances that
may signal the emergence of a problem.
 The categorization stage entails attempting to understand and verify signs that there is some
type of discrepancy between a current state and what is desired.
 The diagnosis stage involves gathering additional information and specifying both the nature
and the causes of the problem.
2) The generation of alternative solutions step is facilitated by using the four principles associated
with brainstorming.
 Don’t criticize ideas while generating possible solutions
 Freewheel, i.e., offer even seemingly wild and outrageous ideas in an effort to trigger more
usable ideas from others.
 Offer as many ideas as possible to increase the probability of coming up with an effective
solution.
 Combine and improve on ideas that have been offered.
3) The choice of an alternative step comes only after the alternatives are evaluated systematically
according to six general criteria:
 Feasibility is the extent to which an alternative can be accomplished within related
organizational constraints, such as time, budgets, technology, and policies.
 Quality is the extend to which an alternative effectively solves the problem under
consideration.
 Acceptability is the degree to which the decision makers and others who will be affected by the
implementation of the alternative are willing to support it.
 Costs are the resource levels required and the extent to which the alternative is likely to have
undesirable side effects.
 Reversibility is the extent to which the alternative can be reversed, if at all.
 The ethics criterion refers to the extent to which an alternative is compatible with the social
responsibilities of the organization and with ethical standards.
4) Finally, the implementing and monitoring the chosen solution step must be planned to avoid

failure of the entire effort.

1) Implementation requires careful planning.
a) The amount of planning depends upon whether the projected changes are minor or major.
b) Irreversible changes require a great deal of planning.
2) Implementation requires sensitivity to those involved in or affected by the implementation.
a) a Affected individuals are more likely to support a decision when they are able to participate
in its implementation.
b) b If Participation is not feasible, individuals should be kept informed of the changes.
3) Monitoring is necessary to ensure that things are progressing as planned and that the problem that
triggered the planning process has been resolved.
1.8.2.6 Basis/methods of Decision Making
Managers can make decisions on the basis of rationality, non-rationality, or intuition. Accordingly, there
are three bases for decision making:
1) Rational decision making
2) Non-rational decision making
3) Intuitive decision making
1.8.2.6.1 Rational decision making.
Introduction
Managerial decision making is assumed to be rational—that is, making choices that are consistent and
value-maximizing within specified constraints. A rational manager would be completely logical and
objective. According to the rational model of decision making, managers engage in completely rational
decision processes, ultimately make optimal decisions, and possess and understand all information
relevant to their decisions at the time they make them (including all possible alternatives and all potential
outcomes and ramifications). Rational decision making assumes that the manager is making decisions in
the best interests of the organization, not in his/her own interests.
The assumptions of rationality can be met if the manager is faced with a simple problem in which (1)
goals are clear and alternatives limited, (2) time pressures are minimal and the cost of finding and
evaluating alternatives is low, (3) the organizational culture supports innovation and risk taking, and (4)
outcomes are concrete and measurable.
Steps in decision- making by Rational

A significant part of decision making skills is in knowing and practicing good decision making
techniques. In the rational decision making process, the issue of decision making is approached in a
systematic manner comprising of distinct steps. The following eight steps are followed in this model.
Step 1:Identification of the problem and purpose of your decision.
A problem is defined as a discrepancy between an existing and a desired state of affairs. Some cautions
about problem identification include the following:
a) Make sure it’s a problem and not just a symptom of a problem.
b) Problem identification is subjective.
c) Before a problem can be determined, a manager must be aware of any discrepancies.
d) Discrepancies can be found by comparing current results with some standard.
e) Pressure must be exerted on the manager to correct the discrepancy.

f) Managers aren’t likely to characterize some discrepancy as a problem if they perceive that they
don’t have the authority, money, information, or other resources needed to act on it.
Step 2: Gather Information
This helps to gather the reasons that causes the problem and factors that the problem involve.
Step 3: Setting the decision criteria and allocating weights to the criteria .
Decision criteria are criteria that define what is relevant and important in making a decision. The
criteria identified in the decision-making process aren’t all equally important, so the decision maker
must weight the items in order to give them correct priority in the decision. This provides a response to
the question ‘What standards and judgment criteria should the solution meet?
Step 4: Developing alternatives. The decision maker now needs to identify viable alternatives for
resolving the problem. Brainstorm and list different possible choices. Generate ideas for possible
solutions.
Step 5: Analyzing alternatives. Each of the alternatives must now be critically analyzed. Each
alternative is evaluated by appraising it against the criteria. Evaluate each choice in terms of its
consequences. Use your standards and judgment criteria to determine the cons and pros of each
alternative.
Step 6: Selection of best alternative. The act of selecting the best alternative from among those
identified and assessed is critical. If criteria weights have been used, the decision maker simply selects
the alternative with the highest score from Step 5. In general this is much easier after we go through the
above preparation steps.
Step 7: Choosing a course of action and implementing the alternative. The chosen alternative must
be implemented. Implementation is conveying a decision to those affected by it and getting their
commitment to it. In this step we need to put the decision into action. Thus we first need to transform
our decision into specific plan of action steps and then execute our plan.
Step 8: Evaluating the effectiveness of the decision. This last step in the decision-making process
assesses the result of the decision to see whether or not the problem has been resolved. In general in this
step we need to evaluate the outcome of our decision and action steps. What lessons can be
learnt? This is an important step for further development of our decision making skills and judgment.
1.8.2.6.2 Non-Rational Decision Making : Non-rational model
The non-rational models of managerial decision making suggests that information-gathering and
processing limitations make it difficult for managers to make optimal decisions. It includes the following
models.
1. The Satisficing Model, developed in the 1950s by Nobel Prize winner economist Herbert Simon, holds
that managers seek alternatives only until they find one that looks satisfactory, rather than seeking the
optimal decision.
a) Bounded rationality means that the ability of managers to be perfectly rational in making decisions
is limited by such factors as cognitive capacity and time constraints. As the perfectly rational model of
decision making isn’t realistic, managers tend to operate under assumptions of bounded rationality,
which is decision-making behavior that is rational, but limited (bounded) by an individual’s ability to
process information.
Under bounded rationality, managers make satisficing decisions, in which they accept solutions that
are “good enough.” Managers’ decision making may be strongly influenced by the organization’s

culture, internal politics, power considerations, etc.

b) Actual decision making is not perfectly rational because of
1) Inadequate information
2) Time an cost factors
3) The decision maker’s own misperceptions or prejudices
4) Limited human memory
5) Limited human data-processing abilities.
Satisficing can be appropriate when the cost of delaying a decision or searching for a better alternative
outweighs the likely payoff from such a course.
2. The Incremental Model holds that managers make the smallest response possible that will reduce the
problem to at least a tolerable level.
a) Managers can make decisions without processing a great deal of information.
b) Incremental strategies are usually more effective in the short run than in the long run.
3. The Garbage-Can Model of decision making holds that managers behave in virtually a random pattern
in making non-programmed decisions.
a) Factors that determine decisions include the particular individuals involved in the decisions, their
interests and favorite solutions to problems, as well as any opportunities they stumble upon.
b) The garbage-can approach is often used in the absence of solid strategic management and can lead
to severe problems.
1.8.2.6. 3. Intuitive decision making.

Managers also regularly use their intuition. Intuitive decision making is a subconscious process of making
decisions on the basis of experience and accumulated judgment. Although intuitive decision making will
not replace the rational decision-making process, it does play an important role in managerial decision
making.
1.8.2.7. Types of Problems and Decisions

Managers encounter different types of problems and use different types of decisions to resolve them.
Problems can be structured problems or unstructured problems and decisions can be programmed
decisions or non-programmed decisions.
Structured problems are straightforward, familiar, and easily defined. In dealing with structured
problems, a manager may use a programmed decision, which is a repetitive decision that can be
handled by a routine approach.
Managers rely on three types of programmed decisions:
a) A procedure is a series of interrelated sequential steps that can be used to respond to a structured
problem.
b) A rule is an explicit statement that tells managers what they can or cannot do.
c) A policy is a guideline for making decisions.
Unstructured problems are problems that are new or unusual and for which information is ambiguous
or incomplete. These problems are best handled by a nonprogrammed decision that is a unique
decision that requires a custom made solution.
At higher levels in the organizational hierarchy, managers deal more often with difficult, unstructured
problems and make nonprogrammed decisions in attempting to resolve these problems and challenges.
Lower-level managers handle routine decisions, using programmed decisions.

1.8.2.8 Group Decision making

Decisions on all levels of organization can be made by groups. Group decision making has several
advantages and disadvantages over individual decision making.
1. Some advantages of group decision making include:
a) Groups bring more diverse information and knowledge to bear on the question under consideration.
b) An increased number of alternatives can be developed.
c) Greater understanding and acceptance of the final decision are likely.
d) Members develop knowledge and skill for future use.
2. Group decision making has several disadvantages when compared to individual decision making.
a) Group decision making is more time consuming.
b) Disagreements may delay decisions and cause hard feelings.
c) The discussion may be dominated by one or a few group members.
d) Groupthink is the tendency in cohesive groups to seek agreement about an issue at the expense of
realistically appraising the situation.
Managers can enhance group decision-making processes by taking steps to avoid the pitfalls of group
decision making:
1. Individuals should be involved only if they have information and knowledge relevant to the decision.
2. The composition of the group should reflect the diversity of the broader workgroup.
Heterogeneous groups have been found to be more effective over time than groups with the same
nationality and ethnic backgrounds.
3. Two tactics are available to avoid group-think
a) Devil’s advocates are individuals who are assigned the role of making sure than the negative aspects
of any attractive decision alternatives are considered.
b) Dialectical inequity is a procedure in which a decision situation is approached from two opposite
points of view.

Part II: HUMAN RELATION SKILLS

2.1 Introduction
Human relations and interpersonal communication skills are essential to working effectively in an
organization. Personality conflicts or communication interference causes friction between people, which
can drastically reduce productivity.
In fact, human relations are about you and how you get along with your family, friends, coworkers, and
everyone else you interact with. The term human relations means interactions among people . The goal
of human relations is to create a win–win situation by satisfying employee needs while achieving
organizational objectives. Human relations cover all types of interactions among people including conflics,
cooperative effort and group relationships. A win–win situation occurs when the organization and the
employees get what they want.
Human relations skills will help you ethically achieve your personal and professional goals, as well as
organizational goals. Effective leaders have good human relations skills
2.2 Communication
In the biblical story of the Tower of Babel, the people of the world come together to build a tower that
would reach heaven. In a single stroke, their efforts came to naught because they were besieged by
befuddled communication, resulting in breakdown of coordination. Intended message is frequently
mis - communicated, misunderstood, mis-quoted or even missed altogether because of ineffective
interpersonal communication skills.
Communication is the imparting or interchange of thoughts, opinions, or information by speech, writing, or
signs.
The ability to effectively communicate with other people is an important skill. Through
communication, people reach some understanding of each other, learn to like each other, influence
one another, build trust, and learn more about themselves and how people perceive them. People
who communicate effectively know how to interact with others flexibly, skillfully, and responsibly,
but without sacrificing their own needs and integrity.
Communication is a significant part of a manager’s job. In today’s team-oriented workplace, the

development of good interpersonal communication skills is an important key to success.
To build the competence and commitment of employees, a manager has to communicate
effectively. Through effective communication, a manager can mobilize the employees behind an
organization’s vision and inspire a conscious and concerted team effort to attain the vision.
The pay-offs of effective communication are:

 A more professional image
 Improved self-confidence
 Improved relationships
 Less stress
 Greater acceptance by others
People in managerial roles have many opportunities to communicate with others.

2.2.1 Classification of communication

Communication can be classified in the following different ways.
2.2.1.1 Intrapersonal Communication

When people talk to themselves, communication takes place within the brain. It embraces their
thoughts, experiences and perceptions during a communication event. Behavior responses on all
their levels of communication essentially begin on intrapersonal level. On this level, the individual
forms personal rules and patterns of communication.
Intrapersonal communication encompasses:

 Sense-making e.g. interpreting maps, texts, signs, and symbols
 Interpreting non-verbal communication e.g. gestures, eye contact
 Communication between body parts; e.g. “My stomach is telling me it’s
time for lunch.”
 Day-dreaming
 Nocturnal dreaming and
 Many others...
2.2.1.2 Interpersonal Communication

Interpersonal communication refers to communication between two or more individuals. This type of
communication can occur in both a one-on-one and a group setting. This also means being able to
handle different people in different situations and making people feel at ease. Gestures
such as eye contact, body movement, and hand gestures are also part of
interpersonal communication. The most common functions of interpersonal communication are
listening, talking and conflict resolution. Types of interpersonal communication vary from verbal
to non-verbal and from situation to situation. Interpersonal communication involves face-to-face
communication in a way that accomplishes the purpose and is appropriate.
2.2.1.3 Small Group Communication

Small group communication is an interaction process that occurs among three or more people
interacting in an attempt to achieve commonly recognized goals either face-to-face or through
mediated forms. This is sometimes included in the interpersonal level — the most obvious difference
is the number of persons involved in the process. The small group may be a family of three talking
at supper, or a meeting of an organization with just a few members.
2.2.1.4 Public Communication or Public Speaking

The speaker sends messages to an audience, which is not identified as individuals. Unlike the
previous levels, the speaker is doing most, if not all, of the talking.
2.2.1.5 Mass Communication

Mass communication occurs when a small number of people send messages to a large
anonymous and usually heterogeneous audience using specialized communication media. It
represents the creation and sending of a homogeneous message to a large heterogeneous audience
through the media.

2.2.1.6 Non-Verbal Communication

In non-verbal communication, people send messages to each other without talking. They
communicate through facial expressions, head positions, arm and hand movements, body
posture, and positioning of legs and feet. How people use “space” also transmits a message.
By being aware of non-verbal communication, one can interpret the signals of others, or send
signals to others. Awareness of non-verbal communication helps people:
 Project an image of confidence and knowledge.
 Demonstrate power or influence
 Express sincerity, interest and cooperativeness.
 Create trust.
 Recognize personal tension in self and others.
 Identify discrepancies between what people are saying and what they are actually thinking.
 Change behavior and environment to encourage productive discussion.
2.2.2 Methods of Communication

Communication occurs in an organization in the context of people trying to fulfill one or several of the
following six needs:
 To feel respected
 To give or get information
 To be empathically understood and respected
 To cause change of action
 To create excitement and reduce boredom
 To avoid something unpleasant, like silence or confrontation
The methods used by them to fulfill those needs include listening, speaking, reading and writing.
1. Listening: Various studies stress the importance of listening as a

communication skill. They point out that many of us spend 70 to 80 percent of
our working hours in some form of communication. Of that time, we spend about 9
percent writing, 16 percent reading, 30 percent speaking, and 45 percent listening. Studies also
confirm that most of us are poor and inefficient listeners. Most people listen at an efficiency level of
less than about 25 percent. Studies also show that, immediately after listening to a 10-minute oral
presentation, the average listener has heard, understood, properly evaluated, and retained only half
of what was said.
There are a few but effective techniques used in being an active listener. These
include verbal and non-verbal techniques. These techniques show others that
people are paying attention to them and are interested in what they are saying.
i. Non-verbal techniques:
 Good eye - contact
 Facial expressions
 Body language
 Silence
 Touching
ii. Verbal techniques:

 Listening to cues
 Disclosures
 validating statements
 Statements of support
 Reflection/ mirroring statements
iii. Active Listening
a. Setting the stage
 Choose an appropriate physical environment
 Remove distractions
 Be open and accessible
 Listen with empathy
b. Insuring mutual understanding
 Reflect feelings
 Paraphrase main ideas
 Interrupt to clarify
 Confirm next steps
c. Understanding body language
 Observe position and posturing
 Make eye contact
 Consider expression and gestures
d. Suspending judgment
 Concentrate
 Keep an open mind
 Hear the person out
2. Speaking:
Be considerate of others. Do not embarrass others.
 Don’t draw attention to yourself.
 When you speak, be concise.
 When a person tries his/ her best and fails, do not criticize him/ her.
 When you must give advice or criticism, consider the timing, whether it
should be given in public or private, and the manner and above all be
gentle.
 Do not make fun of anything important to others.
 If you criticize someone else of something, make sure you are not guilty of it yourself. Actions
speak louder than words.
 Do not detract from others nor be overbearing in giving orders.
 Do not go where you are not wanted. Do not give unasked-for advice.
 Do not be quick to talk about something when you don’t have all the facts.
 Do not speak badly of those who are not present.
 Show interest in others conversation, but don’t talk with your mouth full.
While manners of speech matters a great deal in defining the workplace relationships, it is
also essential that managers keep in mind that the following ground rules while speaking to their
colleagues or subordinates.

 Keep the message clear

 Be prepared
 Keep the message simple
 Be vivid when delivering the message Be natural
 Keep the message concise
3. Reading: Good reading habits and strategies help managers handle their tasks
more efficiently.
4. Writing: Clear and correct writing is essential to successful leadership
communication. When a letter, report, or program handout includes an error,
readers are likely to remember the error rather than the message. The following
are some of the principles managers must bear in mind while setting out to write.
2.2.3 Communication Styles

Every time a manager speaks, s/he chooses and uses one of four basic communication styles:
assertive, aggressive, passive and passive-aggressive.
1. Passive Style: Passive communication is based on compliance and hopes to

avoid confrontation at all costs. In this mode, people do not talk much, question
even less, and actually do very little. They usually have a low sense of self-
esteem, and have a difficult time recognizing their own needs and knowing how
to meet them more appropriately. They internalize discomfort rather than risk,
upsetting others. This style tends to result in a lose-win situation, and results in
feelings of victimization, resentment, and a loss of a sense of control.
2. Aggressive Style: Aggressive communication always involves manipulation.

Managers adopting the aggressive style create a win-lose situation. They use intimidation and
control to get their needs met, and they are disrespectful and hurtful to others in communications.
They have the underlying beliefs that power and control are the only way to get needs met. They
operate from a real sense of inadequacy and may have a lack of empathy for others.
3. Passive - Aggressive Style: Aggressive communication always involves manipulation. A

combination of styles, passive-aggressive avoids direct confrontation (passive), but attempts
to get even through manipulation(aggressive). The passive aggressive people incorporate
elements of both of the previous styles. They try to use procrastination, forgetfulness, and
intentional inefficiency rather that being direct in their communications with others. This style
of communication often leads to office politics and rumor-mongering.
4. Assertive Style: The most effective and healthiest form of communication is

the assertive style. It’s how people naturally express themselves when their self-
esteem is intact, giving them the confidence to communicate without games and
manipulation. The assertive people are direct with the goal of creating a win-win
situation. They operate from the belief that each person is responsible for solving
his or her own problems, and neither party in communication has to justify
themselves to each other. They take responsibility for their own decisions and
actions.

The following table shows the typical characteristics of various interpersonal communication styles
against selected important issues.

2.2.4 Communication Barriers

For communication to be effective, the receiver must be able to decode the
message and understand its true meaning. Decoding means translating the
symbolic, verbal, written, or visual symbols into an undistorted clear message.
The receiver may misinterpret the message if unable to decode it, perhaps
because the receiver does not have the necessary skills in language or culture.
The following are communication barriers:

1) Sender barrier. The sender may send a message to an audience that is not interested in the
content of the message.
2) Encoding barrier. The sender uses a vocabulary that is too technical for the audience.
3) Communication channel barrier. The sender selects a communication channel that is
too lean to provide the richness of information receivers need to decode the message. For
example, a written memo is inadequate for explaining a change in the employee retirement
plan.
4) Decoding barrier. The receiver does not have the decoding skills necessary to understand the
message. For example, poor reading skills can prevent employees from using manuals and
other reference materials.
5) Receiver barrier. The receiver is too busy focusing on other things to be able to accurately
listen to and understand the verbal or nonverbal content of the message.
6) Feedback barrier. The organization has few formal
communication channels with feedback loops to give lower
echelon employees the opportunity to communicate their true feelings about policies.
7) Noise barrier. The receiver does not understand how to use time-
saving feature of e-mail and voice mail, resulting in message overload and unacceptable
delays in responding to message of customer and coworker.
8) Perception barriers. Perception barriers occur when two
individual experiences the same message differently because
their mental images of the message are not identical. A receiver
will fit a message into an existing pattern of experiences to make
sense out of it. Sometimes the message becomes distorted
during this sense making process. One type of perception barrier
is selective perception, whereby the receiver focuses on the parts
of the message that are most relevant to his or her interests and
ignores other parts that are viewed as not relevant. For example,
an employee interested in a job vacancy may use selective
perception to discount the fact that the job requires more work
experience than the employee currently has accumulated. The
result is a personal disappointment when the employee is not
chosen for the job.

2.3 Conflict Management

2.3.1 Introduction
Conflict may be defined as a struggle or contest between people with opposing needs, ideas, beliefs,
values, or goals. Conflict on teams is inevitable; however, the results of conflict are not predetermined.
Conflict might escalate and lead to nonproductive results, or conflict can be beneficially resolved and
lead to quality final products. Therefore, learning to manage conflict is integral to a high
performance team.
Although very few people go looking for conflict, more often than not, conflict
results because of miscommunication between people with regard to their needs,
ideas, beliefs, goals, or values. Conflict management is the principle that all
conflicts cannot necessarily be resolved, but learning how to manage conflicts
can decrease the odds of nonproductive escalation. Conflict management involves acquiring
skills related to conflict resolution, self-awareness about conflict modes, conflict communication
skills, and establishing a structure for management of conflict in your environment.
2.3.2 Responding to Conflict

Physiologically we respond to conflict in one of two ways—we want to “get away from the conflict” or
we are ready to “take on anyone who comes our way.”
Whether we feel like we want to fight or flee when a conflict arises, we can
deliberately choose a conflict mode. By consciously choosing a conflict mode
instead of to conflict, we are more likely to productively contribute to solving the
problem at hand. Below are five conflict response modes that can be used in
conflict.
What modes do people use to address conflict?

1. Competing
All people can benefit, both personally and professionally, from learning conflict management skills.
Typically we respond to conflict by using one of five modes: The competing conflict mode is high
assertiveness and low cooperation. Times when the competing mode is appropriate are when
quick action needs to be taken, when unpopular decisions need to be made, when vital issues must
be handled, or when one is protecting self-interests.
Competing Skills:
 Arguing or debating
 Using rank or influence
 Asserting your opinions and feelings
 Standing your ground
 Stating your position clearly
2. Avoiding
The avoiding mode is low assertiveness and low cooperation. Many times people
will avoid conflicts out of fear of engaging in a conflict or because they do not
have confidence in their conflict management skills. Times when the avoiding
mode is appropriate are when you have issues of low importance, to reduce
tensions, to buy some time, or when you are in a position of lower power.

Avoiding Skills:
 Ability to withdraw
 Ability to sidestep issues
 Ability to leave things unresolved
 Sense of timing
3. Accommodating
The accommodating mode is low assertiveness and high cooperation. Times
when the accommodating mode is appropriate are to show reasonableness,
develop performance, create good will, or keep peace. Some people use the
accommodating mode when the issue or outcome is of low importance to them.
Accommodating Skills:
 Forgetting your desires
 Selflessness
 Ability to yield
 Obeying orders
4. Compromising
The compromising mode is moderate assertiveness and moderate cooperation.
Some people define compromise as “giving up more than you want,” while others
see compromise as both parties winning. Times when the compromising mode is
appropriate are when you are dealing with issues of moderate importance, when
you have equal power status, or when you have a strong commitment for resolution.
Compromising mode can also be used as a temporary solution when there are time constraints.
Compromising Skills:
 Negotiating
 Finding a middle ground
 Assessing value
 Making concessions
5. Collaborating
The collaborating mode is high assertiveness and high cooperation.
Collaboration has been described as “putting an idea on top of an idea on top of
an idea…in order to achieve the best solution to a conflict.” The best solution is
defined as a creative solution to the conflict that would not have been generated
by a single individual. With such a positive outcome for collaboration, some
people will profess that the collaboration mode is always the best conflict mode
to use.
However, collaborating takes a great deal of time and energy. Therefore, the
collaborating mode should be used when the conflict warrants the time and
energy. Times when the collaborative mode is appropriate are when the conflict
is important to the people who are constructing an integrative solution, when the
issues are too important to compromise, when merging perspectives, when
gaining commitment, when improving relationships, or when learning.

Collaboration Skills:
 Active listening
 Non - threatening confrontation
 Identifying concerns
 Analyzing input
2.3.3 Factors affecting conflict handling modes

Some factors that can impact how we respond to conflict are listed below with explanations of how
these factors might affect us.
Gender: Some of us were socialized to use particular conflict modes because of our gender. For
example, some males, because they are male, were taught “always stand up to someone, and, if
you have to fight, then fight.” If one was socialized this way he will be more likely to use assertive
conflict modes versus using cooperative modes.
Self-concept: How we think and feel about ourselves affect how we approach conflict. Do we think
our thoughts, feelings, and opinions are worth being heard by the person with whom we are in conflict?
Expectations: Do we believe the other person or our team wants to resolve the conflict?
Situation: Where is the conflict occurring, do we know the person we are in conflict with, and is the
conflict personal or professional?
Position (Power): What is our power status relationship, (that is, equal, more, or less) with the person
with whom we are in conflict?

Practice: Practice involves being able to use all five conflict modes effectively,
being able to determine what conflict mode would be most effective to resolve
the conflict, and the ability to change modes as necessary while engaged in
conflict.
Determining the best mode: Through knowledge about conflict and through practice we develop
a “conflict management understanding” and can, with ease and limited energy, determine what
conflict mode to use with the particular person with whom we are in conflict.
Communication skills: The essence of conflict resolution and conflict

management is the ability to communicate effectively. People who have and use
effective communication will resolve their conflicts with greater ease and
success.
2.3.4 Creating an Individual Conflict Management Plan

A conflict management plan is a thought and behavior process one can follow
when in conflict. A person creates a list of steps she/he can follow when a conflict
comes up so that the person can productively manage/solve the conflict. These
steps have to be thoughts or behaviors that can be realistically done. The
literature shows that, if we can identify we are in conflict and can then implement
a conflict management plan, our opportunity for resolution of the conflict
increases significantly. We identify we are in conflict by identifying our
physiological responses when in conflict and by identifying thoughts and feelings
we are having that trigger us to realize that we are experiencing a conflict.
2.4 Team Work

2.4.1 Introduction
Team: Team refers to two or more people working interdependently towards a common goal.
Getting a group of people together does not make a “team.” A team develops
products that are the result of the team's collective effort and involves synergy.
Synergy is the property where the whole is greater than the sum of its parts.
Team is generally defined as a small number of people with complementary skills who are committed
to common purpose, set of performance goals, and approach for which they hold themselves mutually
accountable.
Team Building: The process of gathering the right people and getting them to work together for
the benefit of a project.
Team Management: The direction to a group of individuals who work as a unit. Effective teams are
result-oriented and are committed to project objectives, goals and strategies.
There are several types of teams. The choice of type depends on the task to be performed, the
organizational context and the resources available. Carefully consider if some routine tasks will
need to be performed on an ongoing basis. A permanent core structure team at steering committee
level may be considered. Its function will be to provide quality control regularly and the continuity
needed to underpin such a large and ongoing programme, and ensure the timely completion
of projects within a set budget.

2.4.2 Team Selection:

You need the "best and brightest" on your team, but even those people must work well together
for the project to succeed. When selecting team members, give preference to individuals who are:
 Concerned about and committed to the common purpose and goals
 Enthusiastic
 Optimistic
 Creative, flexible and open minded Proactive
 Good team players: Those who,
 Work effectively as a member of a team
 Respect the values, beliefs and opinions of others
 Relate to and interact effectively with individuals and groups
 Are willing to cooperate to reach common goals
 Are well respected among peers and other leaders
 Are willing to devote time to the initiative.
2.4.3 Team Development Phases

A team is a living and dynamic entity. It could progress from an early to a mature phase, independent of
the nature of the team or the task it must perform.
Typical phases in team development:
Forming: This is the initial orientation period. The team is unsure about what it is supposed to do;
members do not know each other well or are not yet familiar with the way the team leader and the
other members function. This stage is complete when the members begin to see themselves as a part of
the group.
Storming: This is a sorting out period where members begin to find their place as team members. The
team members now feel more comfortable giving their opinion and challenging the team leader's
authority and recommendations. Some members may become dissatisfied and challenge not only the
tasks of the team and how these will be carried out, but also the leader's role and style of
leadership. This is the start of intra-group conflicts.
Norming: Team members begin to use their past experiences to solve their problems and pull
together as a cohesive group. This process should result in the team establishing procedures for
handling conflicts, decisions, and methods to accomplish the team projects.
Performing: In this phase the team has achieved harmony, defined its tasks, worked out its
relationships, and has started producing results. Leadership is provided by the team members’
best suited for the task at hand. Members have learned how to work together, manage conflict and
contribute their resources to meet the team's purposes.
Dissolving or reorienting: The team dissolves when the team has completed the project. It may be
reoriented to continue on a next phase of the project.
2.4.4 Team Building

There are three main components in any team's work:
1. Goal: Result-oriented tasks or content aspect (e.g. team goals and objectives).
These are usually developed through interaction with team members;
2. Methodology: Process aspect, which includes the team's interactions and how members work
together (e.g. leadership, team roles, etc.) Teams, especially technical teams, frequently
struggle more with process issues than with task issues;

3. Resources: Time, budget, computer facility, educational tools and administrative

support.
Useful questions for team building:

 Who are the team members, team leaders and team liaison members?
 What is the reason this team exists? What is the common vision, what are
the goals and targets?
 What are the norms that will guide how the team will work together?
 What results are expected for this team? What are the outputs expected from the team and by
when? To whom should they be given?
 What is their agreed-upon strategy?
 What are the steps to be followed by this team?
 What are the team roles and who will play them?
 Who is the responsible for these roles?
 What are the norms and methodologies about?
 Decision- making
 Problem-solving process
 Conflict resolution
 Communication, cooperation and responsibility
 Task management
 Meetings
 Rewards
 What are the resources available to support the teamwork?
 Who will support the team if needed?
Responsibilities of team leader

 Assign clear tasks to each member.
 Regularly review and monitor progress of work Ensure that the team meets deadlines
 Discuss and agree on the timetable for major activities with the team Motivate team
members
 Resolve conflicts
 Give guidance when needed
 Helps members to overcome barriers
 Regularly assess team performance using a checklist
2.4.4.1 Team Norms

Norms are acceptable standards of behaviors within a group that are shared by group’s members.
They tell members what they should or should not do depending on the circumstances. In the
work environment the most important norms deal with performance-related process. All
members should become familiar with these norms and are expected to follow them. It is a good
idea to agree on the norms and include them in the team charter.
2.4.4.2 Team Charter

A team charter is a written document that defines the team's mission, objectives, scope of operation,
time frame, and consequences.

 The purpose statement: explain why the team is being formed. The
purpose statement should align with and support the organization's vision
and mission statements.
 The objectives: what the team is expected to achieve, stated in
measurable terms.
 The scope of the team's charter is to define organizational or operational
boundaries within which the team is expected and allowed to operate. It
includes information about the resources available to the team to
accomplish its objectives. It also speaks about the time commitment
expected of team members giving due attention to support required in
their place of work in performing their day-to-day responsibilities during
this assignment.
 A section describing top management's support and commitment to the
team.
2.4.4.3 Sustaining Team Effectiveness

Team effectiveness means the degree to which the team achieves the expected end result(s) of the
teamwork in the available time period. The following aspects are the most relevant to maintain short
and long term team effectiveness:
 Clearly stated and commonly held vision and goals: team goals are developed through a
group process of team interaction and agreement in which each team member is willing to
work towards achieving these goals.
 Role clarity, particularly at the beginning.
 Leadership is distributed and shared among team members and individuals willingly to
contribute their resources as needed.
 Team norms are defined
 Workload sharing during the team’s lifespan to facilitate the accomplishment of tasks
and feelings of group togetherness.
 Team decision making involves a process that encourages active
participation by all members during the team’s lifespan. It helps to build
commitment.
 Problem-solving, discussing team issues, and assessing team
effectiveness are encouraged by all team members.
 Team leader has good interpersonal skills and is committed to team
approach. Each team member is willing to contribute.
 Performance monitoring: the team members need to monitor each other's task execution and
give feedback during task execution. Feedback is freely given as a way of evaluating the
team's performance and clarifying both feelings and interests of the team members.
 When feedback is given it is done with a desire to help the other person.
 Team self-correction is the process in which members engage in evaluating their
performance and in determining their strategies after task execution. When the group is not
working well together it devotes time to find out why and makes the necessary adjustments.
 The social environment is open and supportive with a focus on learning.
Conflict is not suppressed. Team members are allowed to express negative feelings and
confrontation within the team which is managed and dealt with by team members. Dealing
with and managing conflict is seen as a way to improve team performance.

 Team member resources (e.g. talents, skills, knowledge) and experiences

are fully identified, recognized, and used whenever appropriate. Risk
taking and creativity are encouraged. When mistakes are made, they are
treated as a source of learning rather than reasons for punishment. Clear
understanding of the team’s relationship to the greater organization is
maintained. An underlying feeling that the team will be successful in
accomplishing the goals they have set is an essential part of the social
surrounding. Team members develop a mutual trust and know how to
examine team and individual errors without personal attacks.
 A variety of educational tools, including experts in the field should be readily available to
assist the team in problem solving.
 Reward is given in a manner that promotes team cohesiveness. If given in
the correct manner, it can increase potency or may encourage the team to
perform effectively in the future (for instance in cancer control, rewards
may be in the form of the certificate of appreciation, or public recognition
of their work).
2.4.4.4 Some Causes of Team Failure

Some teams fail from the beginning and some deteriorate over time. Given below are the most
relevant external and internal barriers to team success. These may help to identify the development
and support needs of members that may impact on the success of teams.
External barriers to teamwork

 Work load: members are often required to work on their team assignments in addition to a full
workload or are given more work than they are capable of handling
 Team does not model the norms of behaviors that support teams in being successful
 Inadequate recognition for individual team members
 Team leaders do not control or release the team members adequately
 Teams are not given adequate resources
 Frequent changes in team membership
 Team members resist taking responsibility for tasks expected of them
 Team’s charter is not well written
Internal barriers to teamwork

 Inadequate support from key external stakeholders
 Team members don’t set appropriate goals for the team and do not implement a plan for
reaching them.
 Team members don’t spend enough time planning how they will work together
 Team members don’t resolve interpersonal conflict
 Team’s members don’t conduct efficient meetings
 Team members don’t have compatible levels of problem-solving, analytic, or project
management skills
 Team members don’t know how to influence the work of other members
 Lack of consistent or clear team leadership
 Inability to make decision effectively as a group

Groupthink
Some teams are at risk of becoming dysfunctional as a result of
groupthink. It is a process by which a group can make bad or irrational
decisions. In a groupthink situation, each member of the group attempts to conform his or her
opinions to what they believe to be the consensus of the group.
The seven symptoms of decision affected by groupthink are:
 Incomplete survey of alternatives

 Incomplete survey of objectives
 Failure to examine risks of preferred choice
 Failure to re-appraise initially rejected alternatives
 Poor information search
 Selective bias in processing information at hand (see also confirmation bias)
 Failure to work out contingency plans
Groupthink can happen in any team in their day-to-day work. It emerges

when views of one or two individuals (minority) dominate the discussion.
The team leader should be aware of this and avoid it. This phenomenon
has a potential to affect the group’s ability to objectively appraise the
issues being discussed hence bias the group decisions and conclusions.
How the groupthink can be avoided or minimized?

 The facilitator should make sure that the following are taken care of during their team
discussions and decision making process:
 Keep the group size small (6 - 10).
 Politely and diplomatically discourage domination by a few individuals who
may be more vocal and articulate in the group.
 Every one gets an opportunity to express his or her views independently
and freely without intimidation or hesitation.
 Encourage participants to challenge the views of the others in the group.
 Bring the discussion to conclusion only towards end of the discussion on
a particular issue, only after every one in the group has expressed his/her
opinion.

Part III LEADERSHIP

3.1 Introduction
Leadership is the art or process of influencing people so that they will strive
willingly and enthusiastically toward the achievement of group goals. The source
of this influence may be formal or informal. Not all leaders are managers, nor, are
all managers leaders. Warren Bennis - the renowned authority on leadership
said, "Managers are people who do things right and leaders are people who do
the right thing"
Leadership skill seems to be a compound of at least four major ingredients:

1) the ability to use power effectively and in a responsible manner,
2) the ability to comprehend that human beings have different motivation forces at different
times and in different situations,
3) the ability to inspire, and
4) the ability to act in a manner that will develop a climate conducive to responding to and
arousing motivations.
Managing involves carrying out the managerial functions effectively and

efficiently. One of these functions relates to leading in general and to leadership in particular. A
distinction can be made between transactional and transformational leaders.

Transactional leaders identify what subordinates need to do to achieve objectives, clarify

organizational roles and tasks, set up an organization structure, reward performance and are
considerate for the social needs of its followers. Such leaders work hard and try to run the
organization effectively and efficiently. Transformational leaders articulate a vision and inspire
followers. They also have the capacity to motivate, shape the organizational culture, and create a
climate favorable for organizational change.
3.2 Leadership Skills

Increase Your Leadership Impact: The ability to command the attention of others is necessary for
effective leadership. If you suspect that your impact is low, there are several things you can do.
Consider this:
 When you meet individuals and groups, stand up quickly and introduce yourself, if necessary.
 With employees, be firm and direct when stating expectations or confronting poor
performance.
 Pay attention to your vocal qualities when giving direction or feedback to others.
Improving Leadership through Feedback: Most managers do not have clear perceptions of their
leadership style and their impact on others. Some feedback can be gained through observing others’
reactions and through the feedback others provide in formal and informal settings. In-depth feedback
is often helpful, yet others may be hesitant to provide it unless you actively solicit it. Ways to
obtain this feedback are outlined in the following guidelines:
 Ask individuals you trust and respect to give you feedback on your style of
leadership.
 Use a formal instrument (questionnaire or rating scale) to obtain ratings of
your performance in a number of areas.
 Attend seminars or assessment centers designed to provide personal
feedback on leadership behavior.
 Informally and periodically ask your people for feedbacks while showing
openness and listening carefully.
Becoming More Assertive: People who lack assertiveness skills are often overlooked, and thus
have trouble getting their ideas accepted. The ability to present your point of view without
offending others, even if you believe that others will disagree, is critical if you want to have an
impact on your staff and on the organization. Consider the following:
 State the fact first rather than your opinion. Facts are objective, cannot be
argued, and help the other person understand what you are saying.
 Use assertive non-verbal communication to deliver an effective assertive
message (steady eye contact, serious expression, firm voice, moderate
rate of speech).
 Practice putting together assertive messages before delivering them to
others.
 Clarify with yourself and others when you are being assertive versus when
you are being aggressive.
Giving Compelling Reasons for Ideas: People are persuaded by different things. Some people are
impressed by a strong, logical argument, while others are swayed by a forceful, impassioned
explanation. To be most compelling, adapt your persuasive style to suit your audience.

Winning Support from Others: Gaining support form others is a skill that takes time and practice to
hone. Good ideas are often not enough to get others to accept you point of view. Consider these:
 Ask someone about your ability to be persuasive.
 Learn from a person in your organization who seems particularly skilled at
gaining agreement from others.
 Before presenting you idea to a group, explain it to a few trusted
colleagues.
 Be aware that your speaking style directly affects how convincing you can
be.
Negotiating Persuasively: Effective negotiation depends on a number of factors: preparation,
knowledge of the other person’s position and needs, and creativity in coming up with alternative
solutions. One key to becoming a persuasive negotiator is to clearly specify how your objectives
will benefit the other party or parties involved. The following techniques may help:
 Study your opponent’s position and needs.
 Determine what you yourself want ( what is absolutely necessary, what is
ideal, and what are you willing to give up).
 Go in with the perspective that the other side is your ally rather than your
enemy.
 While negotiating, try to identify the other party’s needs in order to
generate alternatives from which you can both benefit.
Getting Others to Take Action: There are many ways to compel others to take action, but the most
effective strategies result in people willingly and eagerly acting on your initiatives. Consider the
following:
 Clarify and communicate your vision.
 Show your enthusiasm. The more excited and energetic you are about
meeting your goals, the ore committed others are likely to be in supporting
you.
 State positive expectations. Conveying positive expectations about what
others can achieve can lead to better performance than when negative
expectations are communicated.
 Provide rewards. People are typically more willing to cooperate when they
perceive that they will benefit from the effort they put in.
Influencing the Decisions of Upper Management: One of the most important areas in which to focus
your influencing efforts is upper management. Getting the attention of your manager and his or her
peers and other higher-level managers is a critical skill. Follow these guidelines:
 When you propose an action to upper management, be clear about how it
will benefit the organization.
 Periodically meet with your manager to let him or her know what you are
doing and to hear about the issues which concern upper management.
 Carefully watch what is important to upper management. Look for ways to
spot opportunities important to the company. Strategize with your boss.
 Be willing to make concessions in your area when appropriate. People’ trust in you is
enhanced when your motives appear directed at benefiting the entire organization.

3.3 Qualities of Effective Leaders

1. Competence or Professional Mastery
Competence or professional mastery is a measure of the leader's understanding
and experience in the area of activity. Understanding is critical to the leader's
ability to recognize problems and define solutions, as it is important for
recognizing what others’ aims may be. Experience is critical as it provides a
leader with prior examples of problems and solutions with may be encountered.
A leader with much experience but poor understanding will not cope with new problems not
encountered before. A leader with good understanding but little experience will repeat the mistakes
of others.
2. Integrity.
Persons with integrity usually have these qualities:
 They always keep their word
 They are always truthful
 They are usually humble
 They never ignore problems or inconvenient issues
 They always admit mistakes and aim to correct them
 They choose to do things properly even if this is difficult
 They understand the limitations of themselves and others
3. Values.
A good leader will understand the values of the organization or group he is leading within.
 A good leader will internalize these values and “live” them.
 A good leader will test the performance of himself/ herself and others against these values.
A good leader will test the organization's values against wider community values.
 Values are important as they represent a shared point of view between the
leader and his or her followers.
 Personnel confronted with decisions can test their choices against the
organization's values to determine whether the choice is appropriate.
4. Commitment
A leader must be committed to his or her task, and be seen to be committed by those being led. The
leader always sets an example. People will seldom follow a leader who has a visible lack of
commitment.
 A committed leader will actively motivate personnel through his or her
own enthusiasm and interest.
 A committed leader must be 'energetic' and confront problems
aggressively.
 A committed leader must be seen to have the stamina and
perseverance to maintain a course of action.
5. Decisiveness.
Decisiveness is the ability to make sound decisions quickly, and exploit
opportunities. Making decisions usually involves some risk, and a good leader
has the ability to identify risks and payoffs for a range of choices, and then make
the best choice. Courage is an important aspect of decisiveness, since taking

risks requires it. Leaders who lack courage will often avoid making choices until
the developing situation leaves only one choice, which is the one they take. Lack
of decisiveness is one of the most common features of poor leaders.
6. Effectiveness - Goals vs Process

Effectiveness is a measure of a leader's ability to focus on objectives, rather than the processes of how
to achieve those objectives.
Good leaders will maintain a focus on the goal and adapt the techniques used to get to that goal as
quickly required, with minimal resources. Poor leaders lose sight of the goal and become
preoccupied with the processes to be followed in getting to the goal. Since processes are usually
devised to deal with past problems, leaders who are preoccupied with process usually fail when
confronted with new types of problem.
7. Understanding People
A good leader must understand human behavior, especially what motivates or causes anxiety in the
personnel being led.
 A good leader has the ability to listen to those he follows and understand
their concerns.
 A good leader respects the abilities and opinions of those being led.
 A good leader cares about the successes and failures of those being led.
 A good leader encourages those being led to achieve their full potential.
 A feature of bad leadership is “disconnection” from the concerns, opinions, interests and
individual successes / failures of those being led.
8. Ability to Build Teams

For a leader to achieve effect, he or she must have the ability to form teams.
In practical terms, this is more than the ability to organize and structure groups of personnel to
perform tasks.
9. Self Confidence
 A confident leader has the ability to face up to unpleasant realities.
 A confident leader is always certain of his or her abilities.
 A confident leader understands his or her limitations and is comfortable
with them.
 A confident leader has a good sense of their own worth in the organization
and broader community.
 Leaders cannot be confident if they present themselves to others as being
more capable than they really are.
 A lack of self confidence in a leader usually impacts decisiveness, and will
cause anxiety in those being led.
10. Ability to Learn and Adapt

The cliché 'the only constant is change' is more than often true, especially in technical
management where markets, technology, workforce and regulation are continuously evolving. A good
leader must have the ability to adapt to a rapidly evolving environment. Adaptation requires the

ability to learn, and acceptance that learning is a continuous process which cannot be avoided.
11. Loyalty
A good leader must be loyal to his own leadership and their goals. If a leader is not perceived to be
loyal, he or she may be denied full access to critical information like organizational objectives
and vision. A good leader must be loyal to his followers, and protect them from external attacks by
third parties, and superiors. Loyalty is a reciprocal relationship, insofar as it cannot be expected
unless it is offered in return.
3.4 Motivation
Motivation is one of the most frequently used words in psychology. It refers to the factors which move
or activate the organism. We infer the presence of motivation when we see that people work toward
certain goals.
All human behavior appears to arise in response to some form of internal physiological) or
external (environmental) stimulation. The behaviors, however, are not random. They often involve
some purpose or goal. It is often held that behaviors take place as a result of the arousal of
certain motives. Thus motivation can be defined as the process of activating, maintaining and
directing behavior towards a particular goal. The process is usually terminated once the desired goal
is attained by the person.
The process of initiating action is technically called ‘motivation’. Directing behavior towards
certain goal is the essence of motivation. Motivation is not always directly observable. It is inferred
and used to explain behavior. When we ask “What motivates a person to do a particular task?” We
usually mean why does s/he behave as s/he does. In other words, motivation, as popularly used,
refers to the cause or why of behavior.
The term ‘motive’ refers to goal directed behavior and energizing conditions within the organism
that drive behavior. It is generally used to refer to certain conditions which, besides arousing,
predispose a person to respond, or behave in a way appropriate to that motive. Motives direct the
activity of the individual towards person’s goals.
3.4.1 Intrinsic Motivation and Extrinsic Motivation
While thinking about motivation we often try to locate its source whether it is
internal to the person or external to him or her. Undertaking a given task may be
motivated by promise of a prize or some other kind of gain which is external to the task. Thus, the
task is instrumental in receiving or gaining access to the
external reward. In all such situations the locus of control is external to the
person who is asked to undertake the activity. Such situations characterize the
kind of motivation which is extrinsic. On the other hand, we have situations in
which the source of motivation lies inside the task. In such cases we work
because the task itself is interesting and does not require any external source of
motivation. Here, the task is not instrumental in obtaining any external reward.
The locus of control is inside the person. Person’s involvement in the task is
spontaneous and the task itself acts as its own reward. This situation represents
intrinsic motivation such as a child’s play, reading an interesting novel, writing a
poem or a story.

Intrinsic motives are those activities for which there is no apparent reward but one gets enjoyment
and satisfaction in doing these activities. Competence is an intrinsic motivation. Self efficacy, life goals,
and values held by people also work as sources of motivation. Motivation are often blocked or
frustrated. The major sources of this frustration are environmental factors, personal factors and
conflict. An important responsibility of managers/leaders is to create a motivational climate.
The following are some of the basic measures one shall take to create motivational climate.
 Employees are likely to perform more effectively when they know what is expected of
them. Hence, setting clear objectives, defining performance standards, ensuring that
employees know their responsibilities, and clarifying expectations are paramount.
 Employees are likely to perform more effectively when they receive feedback on and
reinforcement of their performance.
 Managers shall identify any ‘dissatisfiers’, such as lack of recognition,
perceptions of inequity or unfairness, or dissatisfaction with the physical working conditions
and promptly address the issues.
 Managers shall convey the attitude that everyone’s work is important for the common
good through heightening the exposure of people performing ‘low visibility’
responsibilities. Conveying trust in employees’ competence to do their jobs while coaching
and mentoring them is an important factor in creating motivated work force.
 Managers shall create an environment of energy and enthusiasm by fostering
optimistic, positive attitudes about people and their work in the organization. In
order to inspire people to excel, managers shall make themselves a model of
excellence and enthusiasm in what they do. Openly recognizing attempts to
beyond what is expected serves as a motivator. When evaluating ideas,
managers shall spend as much time on the positive aspects of the ideas as they
do on the negative.
 Creating work environment where people enjoy what they do is critical to
maintaining an energized and creative work team. People are more motivated in situations
where they can combine hard work with fun.
 Job enrichment - changing jobs to make them more satisfying - is a technique that can lead
to higher quality work. This can be accomplished through:
 Adding new tasks to the job to widen the variety of skills used in
performing the job,
 Increasing employees’ authority and accountability,
 Increasing employees’ visibility through assigning additional responsibility
and increasing meaningfulness of tasks,
 Periodically assigning special projects to provide challenge and visibility.
 Providing consistently positive reinforcements for desirable behaviors tends to
bring productivity levels high. If, on the other hand, employees perceive that
unproductive behaviors are rewarded or - even worse - that productive behaviors are
punished, productivity will tend to be low.
 Individualizing approaches to motivation through - develop and implement a list of ways in
which the manager can provide the rewards that influence employees’ individual motivation
levels.

Part IV. ETHICS

“A man's ethical behavior should be based effectually on sympathy,
education, and social ties; no religious basis is necessary. Man would
indeed be in a poor way if he had to be restrained by fear of punishment and
hope of reward after death.” Albert Einstein
4.1 Introduction
Ethics is the theory of morality where morality is the quality of being in accord with what is right
and wrong. A moral person knows why decisions have been taken and can explain his actions.
Ethics, also known as moral philosophy, is a branch of philosophy that
addresses questions about morality — that is, concepts such as good and evil,
right and wrong, virtue and vice, justice and crime, etc. Ethics is the word that
refers to morals, values, and beliefs of the individuals, family or the society. It is the discipline within
philosophy concerned with right and wrong human actions.
The study on ethics helps to know the people’s beliefs, values, and morals, learn the good and bad of
them, and practice them to maximize their well-being and happiness. It involves the inquiry on the
existing situations, form judgments and resolve the issues. In addition, ethics tells us how to live, to
respond to issues, through the duties, rights, responsibilities, and obligations.
4.2 Key Words and Concepts
Morals
Morals are the welfare principles enunciated by the wise people, based on their
experience and wisdom. They were edited, changed or modified or evolved to
suit the geography of the region, rulers (dynasty), and in accordance with development of
knowledge in science and technology and with time.
Morality is concerned with principles and practices of morals such as: (a) what ought or ought not
to be done in a given situation? (b) What is right or wrong about the handling of a situation? and,
(c) What is good or bad about the people, policies, and ideals involved?
As against morals and ethics, laws are norms, formally approved by state, power or national or
international political bodies. Breaking the norms is called crime, and invites specific punishment.
Values
Values are our guidelines for our success—our paradigm about what is
acceptable.” Personal values are defined as: “Emotional beliefs in principles
regarded as particularly favorable or important for the individual.” Our values
associate emotions to our experiences and guide our choices, decisions and
actions.
“Values are the scales we use to weigh our choices for our actions, whether to move towards or
away from something.” Not all values have the same weight or priority. Some are more important
than others and must be satisfied before others can be addressed.

Integrity
Integrity is defined as the unity of thought, word and deed (honesty) and open
mindedness. It includes the capacity to communicate the factual information so
that others can make well-informed decisions. It yields the person’s ‘peace of
mind’, and hence adds strength and consistency in character, decisions, and
actions. This paves way to one’s success. It is one of the self-direction virtues. It
enthuse people not only to execute a job well but to achieve excellence in
performance. It helps them to own the responsibility and earn self-respect and
recognition.
Work Ethics
Work ethics is defined as a set of attitudes concerned with the value of work,
which forms the motivational orientation. The ‘work ethics’ is aimed at ensuring
the economy (get job, create wealth, earn salary), productivity (wealth, profit),
safety (in workplace), health and hygiene (working conditions), privacy (raise
family), security (permanence against contractual, pension, and retirement benefits), cultural and
social development (leisure, hobby, and happiness), welfare (social work), environment
(anti-pollution activities), and offer opportunities for all, according to their abilities, but without
discrimination.
Work lays a moral and meaningful foundation for life. That is why, work ethics affirms that, the
work per se is worthy, admirable and valuable at personal and social levels. It improves the quality of
life and makes life purposeful, successful, and happy.
Service learning
Service learning refers to learning the service policies, procedures, norms, and conditions, other than
‘the technical trade practices’. Service learning includes the characteristics of the work, basic
requirements, security of the job, and awareness of the procedures, while taking decisions and
actions. It helps the individuals to interact ethically with colleagues, to effectively coordinate with
other departments, to interact cordially with suppliers as well as the customers, and to maintain all
these friendly interactions.
Virtues
Virtues are positive and preferred values. Virtues are desirable attitudes or character traits,
motives and emotions that enable us to be successful and to act in ways that develop our highest
potential. They energize and enable us to pursue the ideals that we have adopted. Honesty,
courage, compassion, generosity, fidelity, integrity, fairness, transparency, self-control, and
prudence are all examples of virtues.
Respect for Others

This is a basic requirement for nurturing friendship, team work, and for the
synergy it promotes and sustains. The principles enunciated in this regard are:
i. Recognize and accept the existence of other persons as human beings,
because they have a right to live, just as you have.
ii. Respect others’ ideas (decisions), words, and labor (actions). One need not
accept or approve or award them, but shall listen to them first. Appreciate

colleagues and subordinates on their positive actions. Criticize constructively

and encourage them, as they are bound to improve their performance, by
learning properly and by putting more efforts.
iii. Show ‘goodwill’ to others. Love others. Allow others to grow. Basically, the
goodwill reflects on the originator and multiplies itself on everybody. This will
facilitate collinearity, focus, coherence, and strength to achieve the goals.
Caring
Caring is feeling for others. It is a process which exhibits the interest in, and support for, the
welfare of others with fairness, impartiality and justice in all activities, among the employees, in the
context of professional ethics. It includes showing respect to the feelings of others, and also respecting
and preserving the interests of all others concerned.
Sharing
Primarily, caring influences ‘sharing’. Sharing is a process that describes the
transfer of knowledge (teaching, learning, and information), experience (training),
commodities (material possession) and facilities with others. The transfer should
be genuine, legal, positive, voluntary, and without any expectation in return.
Honesty
Honesty is a virtue, and it is exhibited in two aspects namely,
(a) Truthfulness and
(b) Trustworthiness.
Courage
Courage is the tendency to accept and face risks and difficult tasks in rational ways. Self-confidence
is the basic requirement to nurture courage. Courage is classified into three types, based on the types
of risks, namely:
a. Physical courage,
b. Social courage, and
c. Intellectual courage.
Valuing Time
Time is rare resource. Once it is spent, it is lost for ever. It can not be either stored or recovered.
Hence, time is the most perishable and most valuable resource too. This resource is continuously
spent, whether any decision or action is taken or not.
Cooperation
It is a team-spirit present with every individual engaged in engineering. Cooperation is activity
between two persons or sectors that aims at integration of operations (synergy), while not
sacrificing the autonomy of either party. Further, working together ensures, coherence, i.e., blending
of different skills required, towards common goals.
Commitment
Commitment means alignment to goals and adherence to ethical principles
during the activities. First of all, one must believe in one’s action performed and

the expected end results (confidence). It means one should have the conviction
without an iota of doubt that one will succeed. Holding sustained interest and
firmness, in whatever ethical means one follows, with the fervent attitude and
hope that one will achieve the goals, is commitment. It is the driving force to
realize success.
Empathy
Empathy is social radar. Sensing what others feel about, without their open talk,
is the essence of empathy. Empathy begins with showing concern, and then
obtaining and understanding the feelings of others, from others’ point of view. It is
also defined as the ability to put one’s self into the psychological frame or
reference or point of view of another, to know what the other person feels. It includes the imaginative
projection into other’s feelings and understanding of other’s background such as parentage,
physical and mental state, economic situation, and association. This is an essential ingredient for
good human relations and transactions.
Self-Confidence
Certainty in one’s own capabilities, values, and goals, is self-confidence. Self-
confident people are usually positive thinking, flexible and willing to change. They
respect others so much as they respect themselves. Self-confidence is positive
attitude, wherein the individual has some positive and realistic view of himself,
with respect to the situations in which one gets involved. People with self-
confidence exhibit courage to get into action and unshakable faith in their
abilities, whatever may be their positions. They are not influenced by threats or
challenges and are prepared to face them and the natural or unexpected
consequences.
4.3 Engineering Ethics
4.3.1 Definition
Engineering Ethics is the study of moral issues and decisions confronting individuals and organizations
engaged in engineering. Engineering ethics is the field of study that focuses on the ethical aspects of the
actions and decisions of engineers, both individually and collectively. A rather broad range of (ethical)
issues are discussed in engineering ethics: professional codes of conduct, whistle-blowing, dealing with
safety and risks, liability issues, conflicts of interests, multinational corporations, privacy etc The Study of
related questions about moral ideals, character, policies and relationship of people and corporations
involved in technological activity.
Engineering ethics course is not about preaching virtue rather, its objective is to increase your ability as
engineers to responsibly confront moral issues raised bytechnological activity.
Engineering Ethics is the activity and discipline aimed at:

a) Understanding the moral values that ought to guide engineering profession or practice,
b) Resolving moral issues in engineering, and
c) Justifying the moral judgments in engineering. It deals with set of moral problems and
issues connected with engineering.
Engineering ethics is defined by the codes and standards of conduct endorsed

by engineering (professional) societies with respect to the particular set of
beliefs, attitudes and habits displayed by the individual or group. Another
important goal of engineering ethics is the discovery of the set of justified moral
principles of obligation, rights and ideals that ought to be endorsed by the
engineers and apply them to concrete situations. Engineering is the largest profession and the
decisions and actions of engineers affect all of us in almost all areas of our lives, namely public safety,
health, and welfare.
4.3.2 Scope
The scope of engineering ethics is twofold:
1) Ethics of the workplace which involves the co-workers and employees in an organization.
2) Ethics related to the product or work which involves the transportation, warehousing, and
use, besides the safety of the end product and the environment beyond the immediate place
of work.
4.3.3 Senses of Engineering Ethics

There are two different senses (meanings) of engineering ethics, namely the Normative and the
Descriptive senses.
The normative sense includes:
a) Knowing moral values, finding accurate solutions to moral problems and justifying moral
judgments in engineering practices,
b) Study of decisions, policies, and values that are morally desirable in the engineering practice
and research, and
c) Using codes of ethics and standards and applying them in their transactions by engineers.
The descriptive sense refers to what specific individual or group of engineers believe and act,
without justifying their beliefs or actions.
4.3.4 Types of Inquiries

The three types of inquiries, in solving ethical problems are: normative inquiry, conceptual inquiry,
and factual or descriptive inquiry. These three types of inquiries are discussed below to illustrate
the differences and preference.
1. Normative Inquiry
It seeks to identify and justify the morally-desirable norms or standards that should guide
individuals and groups. It also has the theoretical goal of justifying particular moral judgments.
Normative questions are about what ought to be and what is good, based on moral values.
For example,
1) How far does the obligation of engineers to protect public safety extend
in any given situation?
2) When, if ever, should engineers be expected to blow whistle on
dangerous practices of their employers?
3) Whose values ought to be primary in making judgment about
acceptable risks in design for a public transport system or a nuclear
plant? Is it of management, senior engineers, government, engineers’
associations or all of them?

4) When and why is the government justified in interfering with the

organizations?
5) What are the reasons on which the engineers show their obligations to
their employees or clients or the public?
2. Conceptual Inquiry
It is directed to clarify the meaning of concepts or ideas or principles that
are expressed by words or by questions and statements. For example,
(a) What is meant by safety?
(b) How is it related to risk?
(c) What is a bribe?
(d) What is a profession?
When moral concepts are discussed, normative and conceptual issues are closely interconnected.
3. Factual or Descriptive Inquiry

It is aimed to obtain facts needed for understanding and resolving value
issues. Researchers conduct factual inquiries using mathematical or
statistical techniques. The inquiry provide important information on
business realities, engineering practice, and the effectiveness of
professional societies in fostering moral conduct, the procedures used in
risk assessment, and psychological profiles of engineers. The facts
provide not only the reasons for moral problems but also enable us to
develop alterative ways of resolving moral problems. For example,
1. How were the benefits assessed?
2. What are procedures followed in risk assessment?
3. What are short-term and long-term effects of building roads crossing an animal sanctuary?
4. Who conducted the tests on materials?
4.4 Moral Dilemma

4.4.1 Introduction
Dilemmas are situations in which moral reasons come into conflict, or in which
the application of moral values are problems, and one is not clear of the
immediate choice or solution of the problems. Moral reasons could be rights,
duties, goods or obligations. These situations do not mean that things had gone
wrong, but they only indicate the presence of moral complexity. This makes the
decision making complex. There are some difficulties in arriving at the solution to
the problems, in dilemma.
The three complex situations leading to moral
dilemmas are:
1. The problem of vagueness: One is unable to distinguish between good and bad (right or
wrong) principle. Good means an action that is obligatory. For example, code of ethics specifies
that one should obey the laws and follow standards. Refuse bribe or accept the gift, and maintain
confidentiality
2. The problem of conflicting reasons: One is unable to choose between two
good moral solutions. One has to fix priority, through knowledge or value system.

3. The problem of disagreement: There may be two or more solutions and none of them mandatory.
These solutions may be better or worse in some respects but not in all aspects. One has to interpret,
apply different moral reasons, and analyze and rank the decisions.
4.4.2 Steps to Solve Dilemma
The logical steps in confronting moral dilemma are:
1. Identification of the moral factors and reasons. The clarity to identify the relevant moral
values from among duties, rights, goods and obligations is obtained (conceptual inquiry).
The most useful resource in identifying dilemmas in engineering is the professional codes
of ethics, as interpreted by the professional experience. Another resource is talking with
colleagues who can focus or narrow down the choice of values.
2. Collection of all information, data, and facts (factual inquiry) relevant to the situation.
3. Rank the moral options i.e., priority in application through value system, and also as
obligatory, all right, acceptable, not acceptable, damaging, and most damaging etc. For
example, in fulfilling responsibility, the codes give prime importance to public safety and
protection of the environment, as compared to the individuals or the employers (conceptual
inquiry).
4. Generate alternate courses of action to resolve the dilemma. Write down the main options and
sub-options as a matrix or decision tree to ensure that all options are included.
5. Discuss with colleagues and obtain their perspectives, priorities, and suggestions on
various alternatives.
6. Decide upon a final course of action, based on priority fixed or assumed. If

there is no ideal solution, we arrive at a partially satisfactory or ‘satisficing’ solution.
4.5 Models of Professional Roles

Promotion of public good is the primary concern of the professional engineers. There are several
role models to whom engineers are attracted. These models provoke their thinking, attitudes and
actions.
1. Savior
The engineer as a savior, save the society from poverty, illiteracy, wastage, inefficiency, ill health,
human (labor) dignity and lead it to prosperity, through technological development and social
planning.
2. Guardian
He guards the interests of the poor and general public. As one who is conversant with technology
development, is given the authority befitting his expertise to determine what is best suited to the
society.

3. Bureaucratic Servant
He serves the organization and the employers. The management of an enterprise fixes its
goals and assigns the job of problem solving to the engineer, who accepts the challenge and shapes
them into concrete achievements.
4. Social Servant
It is one who exhibits social responsibility. The engineer translates the interest and aspirations of
the society into a reality, remembering that his true master is the society at large.
5. Social Enabler and Catalyst

One who changes the society through technology. The engineer must assist the management and the
society to understand their needs and make informed decisions on the desirable technological
development and minimize the negative effects of technology on people and their living environment.
Thus, he shines as a social enabler and a catalyst for further growth.
6. Game Player
He is neither a servant nor master. An engineer is an assertive player, not a passive player who
may carry out his master’s voice. He plays a unique role successfully within the organization,
enjoying the excitement of the profession and having the satisfaction of surging ahead in a competitive
world.
4.6 Responsibility
There are different senses of responsibility, such as:
1) Characteristic Quality
Primarily responsibility implies duty with care and efforts.
2) Obligations
These are one’s moral responsibility i.e., duty to act right and in moral ways. The
obligations such as honesty, fairness, and decency are incumbent on every one.
In addition to this, we have role responsibilities assigned by taking up various
roles, such as parents, inspectors, and employees. For example, a Safety
Engineer has a responsibility to make regular inspections in a factory shops.
3) General Moral Capacity

One has the general capacity for moral agency, including the understanding and action on moral
reasons.
4) Liability and Accountability

Liability and accountability for actions. It means that one is liable (with a legal sense) to meet the
obligations in better ways. The person is likely to respond legally, if necessary. Accountable means
that one is willing to justify or defend the decisions, actions or means and outcomes. It could
include offering a reasonable excuse or accepting the shame for not having met the end results or
accepting the guilt for harming others. One is also answerable to the assessment by others on one’s
actions (means) or outcomes.

5) Praiseworthiness/Blameworthiness
When accountability for wrong actions or results is at issue, responsibility means blameworthy. When
the right conduct or successful result is at issue, responsible is synonymous with praiseworthy
4.7 Responsible Professionalism

The most comprehensive virtue of engineers is responsible professionalism. It can also be called
Professional Responsibility. This consists of five types of virtues, as follows:
1. Self-direction (Self-governance) virtues are fundamental and necessary in exercising moral

responsibility. On the basis of ‘understanding and cognition’, it
includes self-understanding, humility (proper assessment of one’s character), and good moral
judgment (termed as ‘practical wisdom’ by Aristotle). On the
basis of ‘commitment and action’, it covers courage, self-discipline,
perseverance, self-respect, and integrity. Honesty a virtue common to both bases
as it implies truthfulness in thoughts and words and trustworthiness in actions.
2. Public-spirited virtues focus on the good of the clients and the public. It
includes the respect for rights (to make decisions and face the risk), non-malfeasance (not
harming others intentionally). Engineering codes go a step further and prescribe beneficence that
includes preventing or removing harm to others and also promoting the public safety, health, and
welfare, generosity (helping the community by voluntarily giving their time, talent, and money
voluntary service to the professional society and community), and justice (unbiased) in all
decisions and actions.
3. Team-work virtues enable the professionals to work successfully with others. They include
collegiality, cooperativeness, communicative ability, and respect for legitimate authority. Responsible
exercise of authority and the ability to motivate other to achieve are also the relevant to team-work
virtues.
4. Proficiency virtues, which mean the mastery of technical skills (called as
Intellectual Virtue by Aristotle). It includes competence (having qualified,
licensed, and prepared to execute the job that is undertaken), diligence (alert to
dangers, careful attention, and avoidance of laziness or workaholic nature), and
creativity (learning to respond to the changing technological society), excellence
(perform at the highest level), and self-renewal through continuing education.
5. Cardinal (chief) virtues: Wisdom (prudence), courage (fortitude), temperance and justice. Some of
these may overlap other virtues. They are called ‘cardinal’ (Latin: cardo, hinge) because they are
hinges on which all virtues depend. These are also called moral (Latin: mores, fixed values) because
they govern our actions, regulate our passions, and guide our conduct according to faith and
reason. Wisdom is perception of truth and ability to distinguish between the right and wrong.
Courage means a firm and elevated mind. Temperance represents order in words and actions.
Justice is preserving humanity and observing the faith of contracts. Although these virtues ring
religious tones, they are very relevant to the engineering practice.
4.8 Social Responsibility

Corporate organizations have social responsibility to all of their ‘stakeholders’. This includes the
wellbeing of the employees and their unions, socially responsible investors, customers,

dealers, suppliers, local communities, governments, non-governmental organizations, the

environment, and the business owners and managers. Besides showing concern with employee
relations and other internal organizational matters, the organization is concerned
with:
a) How the product/project is marketed, used or misused, how it fails, and
how it is disposed or discarded. The ways in which the used battery
cells and computers are discarded have been debated in the
engineers’ forums.
b) Protecting the work environment during construction, manufacture, as
well as the external environment during transport or use
c) Training the disadvantaged or physically-challenged workers
d) Subcontracting and hiring practices, and
e) Contribution to local communities to enrich their cultural, social, and
civic life. It may be even compensatory against the harm to
environment (e.g., planting trees).
a) Accountability
The term Accountability means:
1. The capacity to understand and act on moral reasons
2. Willingness to submit one’s actions to moral scrutiny and be responsive to the assessment of
others. It includes being answerable for meeting specific obligations, i.e., liable to justify (or give
reasonable excuses) the decisions, actions or means, and outcomes (sometimes unexpected), when
required by the stakeholders or by law.
The tug-of-war between of causal influence by the employer and moral responsibility of the
employee is quite common in professions. In the engineering practice, the problems are:
a) The fragmentation of work in a project inevitably makes the final products
lie away from the immediate work place, and lessens the personal
responsibility of the employee.
b) Further the responsibilities diffuse into various hierarchies and to various
people. Nobody gets the real feel of personal responsibility.
c) Often projects are executed one after another. An employee is more
interested in adherence of tight schedules rather than giving personal care
for the current project.
d) More litigation is to be faced by the engineers (as in the case of medical
practitioners).
This makes them wary of showing moral concerns beyond what is prescribed by the institutions. In
spite of all these shortcomings, engineers are expected to face the risk and show up personal
responsibility as the profession demands.
b) Obligation
The safety and other obligations of professional engineers are justifiable based on the following
aspects.
1. Moral obligations through laws and enforced codes of conduct.
2. Through membership of professional society
3. Contractual agreement with the employers
4. By entry into career as engineer upon graduation from Engineering

institutions and
5. By special employment agreements or agreement with professional
societies. The paramount obligation means, giving importance to the
safety, health, and welfare of the public in performing the professional
duties.
c) Self-Control
It is a virtue of maintaining personal discipline. It means a strong will and motivation and
avoidance of fear, hatred, and lack of efforts, temptation, self deception, and emotional response. It
encompasses courage and good judgment also. Self-respect promotes self-control.
d) Self-Interest
Self-interest is being good and acceptable to oneself. It is pursuing what is good
for oneself. It is very ethical to possess self-interest. As per utilitarian theory, this
interest should provide for the respect of others also. Duty ethics recognizes this
aspect as duties to ourselves. Right ethicist stresses our rights to pursue our own
good. Virtue ethics also accepts the importance of self-respect as link to social
practices.
e) Self-Respect
It is defined as valuing oneself in morally suitable ways. Self-respect includes
a) Recognition, which means respect to others, their ideas, decisions,
ability, and rights and
b) Appraisal, which means properly valuing ourselves as to how well we
face moral standards and our personal commitments (aims). An intensive but balanced
feeling of self-respect is sense of honor. This includes intense agony and guilt for wrong
doings. Self-control is a virtue of maintaining personal discipline (self-regulation).
4.9 Codes of Ethics

The ‘codes of ethics’ exhibits rights, duties, and obligations of the members of a profession and a
professional society. Generally, the codes exhibit the following essential roles:
1. Inspiration and guidance. The codes express the collective commitment of
the profession to ethical conduct and public good and thus inspire the individuals. They
identify primary responsibilities and provide statements and guidelines on interpretations for
the professionals and the professional societies.
2. Support to engineers. The codes give positive support to professionals for taking stands on
moral issues. Further they serve as potential legal support to discharge professional obligations.
3. Deterrence (discourage to act immorally) and discipline (regulate to act
morally). The codes serve as the basis for investigating unethical actions.
The professional societies sometimes revoke membership or suspend/expel the members, when
proved to have acted unethical. Such sanctions along with loss of respect from the colleagues
and the society are bound to act as deterrent.
4. Education and mutual understanding. Codes are used to prompt discussion
and reflection on moral issues. They develop a shared understanding by the
professionals, public, and the government on the moral responsibilities of engineers. The Board
of Review of the professional societies encourages moral discussion for educational purposes.
5. Create good public image. The codes present positive image of the

committed profession to the public, help the engineers to serve the public
effectively. They promote more of self regulation and lessen the government regulations. This is
bound to raise the reputation of the profession and the organization, in establishing the trust of
the public.
6. Protect the status quo. They create minimum level of ethical conduct and
promote agreement within the profession. Primary obligation namely the
safety, health, and welfare of the public, declared by the codes serves and protects the public.
7. Promotes business interests. The codes offer inspiration to the
entrepreneurs, establish shared standards, healthy competition, and
maximize profit to investors, employees, and builds confidence of the general public.
Limitations: The codes are not remedy for all evils. They have many limitations, namely:
1. General and vague wordings: Many statements are general in nature and hence unable to solve
all problems.
2. Not applicable to all situations. Codes are not sacred, and need not be
accepted without criticism. Tolerance for criticisms of the codes
themselves should be allowed.
3. They can not be treated as final moral authority for professional conduct.
Codes have flaws by commission and omission. There are still some grey
areas undefined by codes. They can not be equated to laws. After all,
even laws have loopholes and they invoke creativity in the legal
practitioners.
4. Only a few enroll as members in professional society and non-members can not be compelled.
5. Even as members of the professional society, many are unaware of the codes.
6. Different societies may have different codes. The codes can not be uniform or same! But
attempts shall be made towards unified codes.
4.10 Confidentiality
Confidentiality means keeping the information on the employer and clients, as secrets. It is one of the
important aspects of team work.
Justification for Confidentiality

Confidentiality can be justified by various ethical theories. According to Rights-based theory, rights
of the stakeholders, right to the intellectual property of the company are protected by this practice.
Based on Duty theory, employees and employers have duty to keep up mutual trust. The Utilitarian
theory holds good, only when confidentiality produce most good to most people.
Further, the following moral principles also justify the concept of ‘confidentiality.
1. Respect for Autonomy

It means respecting the freedom and self-determination of individuals and organizations to identify
their legitimate control over the personal information of themselves. In the absence of this, they
can not keep their privacy and protect their self-interest.
2. Respect for Promises

This means giving respect for promises made between employers and employees. Employees shall
not disclose the promises given to the employers. But promises do not establish complete
obligations.
3. Respect for Public Welfare

This moral consideration is important in identifying relationships in professional transactions,
for the benefit of public welfare, e.g., when medical practitioners keep confidentiality on patients’
personal problems patient-practitioner trust and confidence will develop.
4.11 Conflict of Interests

4.11.1 Introduction
Conflict of interest occurs when an employee has more than one interest. A professional conflict of
interest is a situation where the professional has an interest that, if pursued, might prevent
the person form meeting his/her obligations to employers or clients, e.g., a Civil Engineer
working in a government bid committee may have a financial interest in a company bidding for some
contract in the same government office.
4. 11.2 Types of Conflicts of Interest

Several types of conflicts of interest exist depending on the ways and severity of outside interests. A
few common types are discussed here.
a) Actual Conflict of Interest

This refers to a situation where the objectivity is lost in decision making,
and the inability to discharge the duty to the employer. It is the result of
weaker judgment and service. A Civil Engineer working in the Public
Works Department has a financial interest in a contracting company,
which has submitted a bid for the construction of a bridge. There may be a
variety of interests. But the conflict arises when the outside interest
influences or threatens the professional judgment in serving the employer
or clients.
b) Apparent Conflict of Interest
This is explained in the following example. An Engineer is paid based on a percent of the the design and
there is no incentive for him to cut the costs. In this situation, it appears that the Engineer makes
the design more expensive in order to get larger commission for him/her self. Such a situation
leads to doubting the Engineer’s interest and ability for professional judgment.
c) Potential Conflict of Interest
There are situations where the interest of an employee extends beyond the current employer and
into the interest on one’s spouse, relative or friend. The interest changes into intimacy and
subsequent non-moral judgments against the interest of the employer and in favour of the
outsider or even potential competitor.
1) Favorable Contract
When an Engineer’s spouse is working for a contractor or vendor, to which the Engineer is to
give a subcontract to the contractor or purchase order, the conflict arises.
2) Bribe and Gift
The conflict arises when accepting large gifts from the suppliers. Bribe is different from a gift. The
following table shows a comparison of the nature of bribe and gift.

Table: How does bribe differ from gift
Codes of ethics do not encourage even gifts, but employees have set forth flexible policies. An
additional thumb rule is that the acceptance of gift should not influence one’s judgment on merit.
3) Moonlighting
It is a situation when a person is working as employee for two different companies in the spare time.
This is against the right to pursue one’s legitimate self-interest. It will lead to conflict of interests, if
the person works for competitors, suppliers or customers, while working under an employer.
Another effect of moonlighting is that it leaves the person exhausted and harms the job performance
in both places.
4) Insider Information
Another potential conflict of interest is when using ‘inside’ information to establish a business
venture or get an advantage for oneself or one’s family or friends. The information may be
either of the parent company or its clients or its business partners, e.g., engineers might
inform the decision on the company’s merger with another company or acquisition or an
innovative strategy adopted. In such cases, their friends get information on stock holding and
decide on trading their stocks to sell or buy quickly, so that they gain more or prevent a loss.
4.12 Occupational Crime

An occupational crime may be committed by (1) wrong actions of a person
through one’s lawful employment or (2) crime by an employee to promote ones
own or employer’s interest or (3) theft or pilferage by the employee or (4)
damage to the property of an employee of one’s organization. These are also
called white-collar crimes. Many of these crimes are examples of conflicts of
interest. These are motivated by the greed, corporate ambition, and misguided
loyalty. Even the crime to promote the interests of the employer, is an
occupational crime.

Some of the examples of occupational crimes are:

1) Price Fixing: Fixing the bidding rate by companies, in collusion with other
companies, especially for the contract/services, is called price fixing. This
is an occupational crime, that causes the public and governments incur
huge loss.
2) Industrial Espionage: It means simply spying for personal or company
benefits.
3) Bootlegging: Manufacturing, selling or transporting products (liquor and
narcotics) that are prohibited by law, is called bootlegging. In engineering
context, it refers to working on projects which are prohibited or not
properly authorized.
4) Endangering Lives (Occupational Hazards)
4.13 Professional Rights

Under professional rights, the following provisions are protected:
a) Right to form and express professional judgment: It is also called the right of professional
conscience. In pursuing professional responsibilities, this empowers one to form and
exercise the professional judgment. Both technical and moral judgments are included. This
right is bound by the responsibilities to employers and colleagues.
b) Right to refuse to participate in unethical activities: It is also called the right
of conscientious refusal. It is the right to refuse to engage in unethical
actions and to refuse to do so solely because one views that as unethical.
The employer can not force or threaten the employee to do something that
is considered by that employee as unethical or unacceptable. For
example, unethical and illegal activities that can be refused are: falsifying
data, forging documents, altering test results, lying, giving or taking bribe
etc. There may be situations, when there is a disagreement or no shared
agreement among reasonable people over whether an act is unethical.
Medical practitioners have a right not to participate in abortions. Similarly,
the engineers must have a right to refuse assignments that violate their
personal conscience, such as when there exists a threat to human life or
moral disagreement among reasonable people.
c) Right to fair recognition and to receive remuneration for professional
services: Engineers have a right to professional recognition for their work
and achievements. This includes fair monetary and non-monetary forms of
recognition. It is related to morality as well as self-interest. They motivate
them to concentrate their energy on jobs and to update their knowledge
and skills through continuing education. This will prevent the engineers
from diversion such as moonlighting or bother on money matters. Many
times, the engineers who have labored to get patents on the organizations
are not adequately remunerated. Based on the resources of the
organization and the bargaining power of the engineers, the reasonable
salary or remuneration for patent discovery can be worked out.

d) Right to warn the public about dangers: It should be done without damaging the reputation of the
employer. The views can be expressed through the professional society to get a backing.
e) Right to talk publicly about the job: this should be done within the limits of decency,
confidentiality, and loyalty.
f) Right to engage in the activities of professional societies: Attending membership campaign
and seminars are typical activities to promote the professional society.
g) Right to Equal Opportunity—Non-discrimination: Discrimination because
of caste, sex, religion, creed, and language are regressive actions.
Discrimination which means a morally unjust treatment of people in the
workplace is damaging to the human dignity. For example, A senior
manager post is vacant. There is competent and proven candidate from
outside the state. A local engineer with lesser competence is promoted.
h) Right to Equal Opportunity—Sexual Harassment in the Workplace

The sexual harassment is a display of arrogance and misuse of power through sexual means.
It is against the moral autonomy i.e., freedom to decide on one’s own body. It is also an
assault on one’s human dignity and trust.
Sexual harassment may be defined as the unwanted compulsion or attack

on sexual requirements (gratification) in the context of unequal power. It
includes physical as well as psychological attack or coercion and indecent
gestures by men shown on women or by women on men. Two such forms
of harassment are found to exist. In one type called ‘exchange of favors’,
senior officers demand sexual favor as a condition for giving a job, or
granting a promotion or increment. It may be either in the form of a physical or verbal
threat or sexual offer. In another type called ‘hostile work environment’, it is the
sexually-oriented work environment that threatens the employee’s right to equal opportunity.
Undesirable sexual proposals, advances, lewd remarks, mailing obscene
photographs are some of the typical examples of this type of harassment.
A rights ethicist interprets this as a serious violation of human right to

pursue one’s job free from extraneous force, compulsion, punishment or
threat or insult. A duty ethicist would call it as a blatant violation of duty to
treat human being with dignity and individual freedom, and not to treat as
inanimate object for immoral gratifications. The utilitarian would expose
the effect on the happiness and the welfare of the victims, especially of
women.
i) Right to Equal Opportunity—Affirmative Action or Preferential Treatment

It means giving a preference or advantage to a person of a group that was
denied equal treatment in the past. Such treatments are given especially
to women and minorities all over the world. It is also called ‘reverse
preferential treatment’, because it reverses the historical preferences.

4.14 Whistle Blowing
4.14.1 Definition
Whistle blowing is defined as conveying information by an employee, on an important moral

problem to somebody in a position to take action on the problem. Further, this is done outside the
approved organizational channels. It refers to alerting relevant persons to some moral or legal
corruption, where “Relevant persons” are those in a position to act in response. No topic in Engineering
ethics is more controversial than whistle – blowing.
Aspects
There are four aspects of whistle blowing, namely:
1. Basis of disclosure: The basis for disclosure may be intentional, or under pressure from superiors
or others not to disclose.
2. Relevance of topic: The whistle blower believes that the information is about a significant problem
for the organization or its business ally. It can be a threat to the public or employees’ health, safety
and welfare or a criminal activity, or unethical policies or practices, or an injustice to the workers
within the organization.
3. Agent: The person disclosing the information may be a current or former employee or a person
having a close link to the organization.
4. Recipient: The person or organization, who receives the information, is
in a position to remedy the problem or alert the affected parties. Usually,
the recipients are not aware of the information fully or even partially.
Types
Based on the destination (recipient), whistle blowing is classified into types, as:
a. Internal: In this case, the information is conveyed to a person within the organization, but beyond
the approved channels.
b. External: This happens when the information is transmitted outside the organization. The
recipient may be a municipal chairman or member of legislature or minister. It becomes severe
if the information reaches the press and through them the public. The damage is maximum
and sometimes poses difficulty in remedying the situation.
Based on the origin or source (agent), this can be divided into three types, as follows:
i. Open: The originator reveals his identity as he conveys the information. This information
is reliable and true, but sometimes partially true.
ii. Anonymous: The identity is concealed. The information may or may not be true. But the
agent anticipates perhaps some repression or threat, if identity is revealed.
iii. Partly anonymous (or partly open): Such a situation exists when the individual reveals his
identity to the journalist, but insists that the name be withheld from others.

When to Justify?
Under the following situations, the whistle blowing may be justified:
1) When the potential harm existing is identified as serious, or anticipated to occur with a
high probability, in the near future.
2) When sufficient data on the harm had been gathered and adequately
documented. This condition may not be required if revealing the information would jeopardize
the national interests or help the competitors. A request to
the appropriate authority for external investigation or permission by a court to
release the information may be a solution.
3) The concerns have been reported earlier to the immediate superiors and no
satisfactory response was forthcoming from them, within a reasonable time.
4) When one’s supervisors are the main source of the problem or when urgency
demands that regular channels are expected to only add to the delay.
5) There is reasonable hope that the whistle blowing can prevent or remedy the
damage existing or anticipated. Engineers and other employees have to act
as watch dogs and provide necessary legal assistance to the blowers.
Whistle blowers should follow the following instructions:

 One should be familiarized with the rules for appealing within the
organization.
 Consult trusted colleagues for advice.
 Consult the ethics committee of one’s professional society.
4.15 Environmental Ethics

Environmental ethics is the study of (a) moral issues concerning the environment, and (b)
moral perspectives, beliefs, or attitudes concerning those issues. Engineers in the past are known for
their negligence of environment, in their activities. It has become important now that engineers
design eco-friendly tools, machines, sustainable products, processes, and projects. These are
essential now to (a) ensure protection (safety) of environment (b) prevent the degradation of
environment, and (c) slow down the exploitation of the natural resources, so that the future
generation can survive.
Engineers as experimenters have certain duties towards environmental ethics, namely:

1. Environmental impact assessment: One major but sure and unintended effect of technology is
wastage and the resulting pollution of land, water, air and even space. Study how the industry
and technology affects the environment.
2. Establish standards: Study tolerable levels.
3. Counter measures: Study what the protective or eliminating measures are available for
immediate implementation
4. Environmental awareness: Study on how to educate the people on environmental
practices, issues, and possible remedies.

4.16 Engineers as Managers
Characteristics
The characteristics of engineers as managers are:
1) Promote an ethical climate, through framing organization policies, responsibilities and
by personal attitudes and obligations.
2) Resolving conflicts, by evolving priority, developing mutual understanding, generating various

alternative solutions to problems.
3) Social responsibility to stakeholders, customers and employers. They act to

develop wealth as well as the welfare of the society. Ethicists project the view
that the manager’s responsibility is only to increase the profit of the organization,
and only the engineers have the responsibility to protect the safety, health, and
welfare of the public. But managers have the ethical responsibility to produce
safe and good products (or useful service), while showing respect for the human
beings who include the employees, customers and the public. Hence, the
objective for the managers and engineers is to produce valuable products that
are also profitable.
4.17 Consulting Engineers

The consulting engineers work in private. There is no salary from the employers. But they charge fees
from the sponsor and they have more freedom to decide on their projects. Still they have no absolute
freedom, because they need to earn for their living. The consulting engineers have ethical
responsibilities different from the salaried engineers, as follows:
1. Advertising
The consulting engineers are directly responsible for advertising their
services, even if they employ other consultants to assist them. But in
many organizations, this responsibility is with the advertising executives and the personnel
department. They are allowed to advertise but to avoid deceptive ones. Deceptive advertising such
as the following are prohibited:
(a) By white lies.
(b) Half-truth, e.g., a product has actually been tested as prototype, but it was claimed to have been
already introduced in the market. An architect shows the photograph of the completed building
with flowering trees around but actually the foundation of the building has been completed and
there is no real garden.
(c) Exaggerated claims. The consultant might have played a small role in a well-known project.
But they could claim to have played a major role.
(d) Making false suggestions. The reduction in cost might have been achieved along with the
reduction in strength, but the strength details are hidden.
(e) Through vague wordings or slogans.
2. Competitive Bidding
It means offering a price, and get something in return for the service offered. The organizations
have a pool of engineers. The expertise can be shared and the bidding is made more realistic.
But the individual consultants have to develop creative designs and build their reputation
steadily and carefully, over a period of time. The clients will have to choose between the reputed
organizations and proven qualifications of the company and the expertise of the consultants.
Although competent, the younger consultants are thus slightly at a disadvantage.
4.18 Engineers as Expert Witness
Frequently engineers are required to act as consultants and provide expert

opinion and views in many legal cases of the past events. They are required to
explain the causes of accidents, malfunctions and other technological behavior of structures, machines,
and instruments, e.g., personal injury while using an instrument, defective product, traffic
accident, structure or building collapse, and damage to the property, are some of the cases where
testimonies are needed. The focus is on the past. The engineers, who act as expert-witnesses, are
likely to abuse their positions in the following manners:
1. Hired Guns
Mostly lawyers hire engineers to serve the interest of their clients. Lawyers
are permitted and required to project the case in a way favorable to their
clients. But engineers have obligations to thoroughly examine the events
and demonstrate their professional integrity to testify only the truth in the
court. They do not serve the clients of the lawyers directly. The hired guns
forward white lies and distortions, as demanded by the lawyers. They
even withhold information or shade the fact, to favor their clients.
2. Money Bias
Consultants may be influenced or prejudiced for monitory considerations, gain reputation and make a
fortune.
3. Ego Bias
The assumption that the own side is innocent and the other side is guilty, is responsible for this
behavior. An inordinate desire to serve one’s client and get name and fame is another reason for this
bias.
4. Sympathy Bias
Sympathy for the victim on the opposite side may upset the testimony. The integrity of the
consultants will keep these biases away from the justice. The court also must obtain the balanced
view of both sides, by examining the expert witnesses of lawyers on both sides, to remove a
probable bias.
Duties
1. The expert-witness is required to exhibit the responsibility of confidentiality just as they do
in the consulting roles. They can not divulge the findings of the investigation to the opposite side,
unless it is required by the court of law.
2. More important is that as witness they are not required to volunteer evidence favorable to
the opponent. They must answer questions truthfully, need not elaborate, and remain neutral
until the details are asked for further.

3. They should be objective to discover the truth and communicate them honestly.
4. The stand of the experts depends on the shared understanding
created within the society. The legal system should be respected
and at the same time, they should act in conformance with the
professional standards as obtained from the code of ethics.
5. The experts should earnestly be impartial in identifying and

interpreting the observed data, recorded data, and the industrial
standards. They should not distort the truth, even under pressure.
Although they are hired by the lawyers, they do not serve the
lawyers or their clients. They serve the justice. Many a time, their
objective judgments will help the lawyer to put up the best defense
for their clients.
4.19 Engineers as Advisors

Engineers are required to give their view on the future such as in planning, policy-making, which
involves the technology. Various issues and requirements for engineers who act as advisors are:
1. Objectivity
Engineers should study the cost and benefits of all possible alternative means in objective
manner, within the specified conditions and assumptions.
2. Study All Aspects

They have to study the economic viability (effectiveness), technical
feasibility (efficiency), operational feasibility (skills) and social
acceptability, which include environmental and ethical aspects, before formulating the policy.
3. Values
Engineers have to posses qualities, such as (a) honesty, (b) competence (skills and expertise), (c)
Diligence (careful and alert) (d) loyalty in serving the interests of the clients and maintaining
confidentiality, and (e) public trust, and respect for the common good, rather than serving only
the interests of the clients, colleagues or political interests.
4. Technical Complexity
The arbitrary, unrealistic, and controversial assumptions made during the future planning that are
overlooked or not verified, will lead to moral complexity. The study on future is full of
uncertainties than the investigations on the past events.
5. National Security
The proposed options should be aimed to strengthen the economy and security of the nation, besides
safeguarding the natural resources and the environment from exploitation and degradation. The
quality of advisory services can be affected by the following roles or models professionals may
choose to follow:

1. Hired Gun
The prime obligation is shown to the clients. The data and facts favorable to the clients are
highlighted, and unfavorable aspects are hidden or treated as insignificant. The minimal level
of interest is shown for public welfare.
2. Value-neutral Analysts
This assumes an impartial engineer. They exhibit conscientious decisions, impartiality i.e.,
without bias, fear or favor, and absence of advocacy.
3. Value-guided Advocates
The consulting engineers remain honest (frank in stating all the relevant facts and
truthful in interpretation of the facts) and autonomous (independent) in judgment and
show paramount importance to the public (as different from the hired guns).
4.20 Moral Leadership

Engineers provide many types of leadership in the development and
implementation of technology, as managers, entrepreneurs, consultants,
academics and officials of the government. Moral leadership is not merely the
dominance by a group. It means adopting reasonable means to motivate the groups to achieve
morally desirable goals. This leadership presents engineers with many challenges to their moral
principles.
Moral leadership is essentially required of engineers, for the reasons listed as follows:
1. It is leading a group of people towards the achievement of global and objectives. The goals as
well as the means are to be moral.
2. The leadership shall direct and motivate the group to move through morally desirable ways.
3. They lead by thinking ahead in time, and morally creative towards new applications, extension
and putting values into practice. ‘Morally creative’ means the identification of the most
important values as applicable to the situation, bringing clarity within the groups through
proper communication, and putting those values into practice.
4. The moral leadership in engineering is manifested in leadership within the professional
societies. The professional societies provide a forum for communication, and canvassing for
change within and by groups.
5. Voluntarism: Another important avenue for providing moral leadership within communities,
by the engineers is to promote services without fee or at reduced fees (pro bono) to the needy
groups.
6. Community service: This is another platform for the engineers to exhibit
their moral leadership. The engineers can help in guiding, organizing, and
stimulating the community towards morally- and environmentally-desirable
goals. The corporate organizations have come forward to adopt villages
and execute many social welfare schemes, towards this objective.
The Codes of Ethics promote and sustain the ethical environment and assist in achieving the ethical
goals in the following manner:

1. It creates an environment in a profession, where ethical behavior is the basic criterion.
2. It guides and reminds the person as to how to act, in any given situation.
3. It provides support to the individual, who is being pressurized or tortured by a superior or

employer, to behave unethically.
4. Apart from professional societies, companies and universities have framed their own
codes of ethics, based on the individual circumstances and specific mission of the
organizations. These codes of conduct help in employees’ awareness of ethical issues,
establish, and nurture a strong corporate ethical culture.

REFERENCES
 Davis. L, et al, 1996, Successful Manager’s Handbook, Personnel Decisions Intl.

 Dobson A, 1995, Communication at work, How To Books Ltd,
 Indra-Gandhi National Open University, 2005, Organization Theory and Behavior,
 King A 1992: Effective Communication, Blackstone press limited,
 Koontz, 2004, Essentials of Management, Tata McGraw-Hill
 Levi D, 2001, Group Dynamics For Teams, Sage Publications,
 Naagarazan R.S, 2006, Professional Ethics and Human Values, New Age Intl Publishers
 Robbins. P, 2005, Essentials of Organizational Behavior, 8th ed., Prentice- Hall.
 Simons C and Blenda N. 1997 ,Effective Communication for Managers,
 The World - Wide - Web

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SOFT SKILLS FOR ENGINEERS Training Manual

ESSENTIAL SOFT SKILLS FOR ENGINEERS

Draft Training Manual by Ethiopian Road Authority,

Final and Revised Version by Civil Engineering Department,

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Part II: HUMAN RELATION SKILLS .................................................................................................................................... 63

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4.4.1 Introduction ................................................................................................................................................... 91

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Introduction: What are soft skills?

Definition of Soft Skills

Hard skills vs Soft skills

Table 1: Examples of soft skills

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Common Soft Skills

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1.3 Management: Definitions

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Management is getting things done through other people:

A comprehensive definition of Management:

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Management is the process of designing and maintaining an environment in which individuals,

i. As managers, people carry out the managerial functions of planning,

1.4.2 Managerial Job/Roles in an Organization

2. Informational roles involve receiving, collecting, and disseminating information. It pertains to

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Managerial Roles Continued: THE SEVENTEEN MANAGERIAL ROLES

Organizing and Staffing

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helps the organization. Specific activities to this end include

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1.4.3 Levels of Management

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directors whose function is to represent the interests of the stockholders.

Figure: Levels of management

1.4.4 Resources used by Managers

1.4.5 Mistakes managers make

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a) Insensitive to others: abrasive, intimidating, bullying style.

1.5 Necessity of management

Rewards and Challenges of Being a Manager

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1.6 Functions of Management

According to Louis A Allen: "Management planning involves the development of forecasts,

According to Koontz O’Donnell - "Planning is an intellectual process, the conscious determination of

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1.6.1.3 The Nature and Purpose of Planning

1.6.1.4 Types of Plans

that set out general guidelines.

1.6.1.5 Planning and Performance

1.6.1.6 Characteristics of planning

1.6.1.7 Importance of planning

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1.6.1.8 Limitations of planning