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Introduction:
We’re betting that you already have a lot of experience with organizations, teams, and leadership.
You’ve been through schools, in clubs, participated in social or religious groups, competed in sports or
games, or taken on full- or part-time jobs. Some of your experience was probably pretty positive, but
you were also likely wondering sometimes, “Isn’t there a better way to do this?”
After participating in this course, we hope that you find the answer to be “Yes!” While management is
both art and science, with our help you can identify and develop the skills essential to better managing
your and others’ behaviors where organizations are concerned.
Before getting ahead of ourselves, just what is management, let alone principles of management? A
manager’s primary challenge is to solve problems creatively, and you should view managements “the art
of getting things done through the efforts of other people.” The principles of management, then, are the
means by which you actually manage, that is, get things done through others—individually, in groups, or
in organizations. Formally defined, the principles of management are the activities that “plan, organize,
and control the operations of the basic elements of [people], materials, machines, methods, money and
markets, providing direction and coordination, and giving leadership to human efforts, so as to achieve
the sought objectives of the enterprise.” For this reason, principles of management are often discussed
or learned using a framework called P-O-L-C, which stands for planning, organizing, leading, and
controlling.
Managers are required in all the activities of organizations: budgeting, designing, selling, creating,
financing, accounting, and artistic presentation; the larger the organization, the more managers are
needed. Everyone employed in an organization is affected by management principles, processes,
policies, and practices as they are either a manager or a subordinate to a manager, and usually they are
both.
Managers do not spend all their time managing. When choreographers are dancing a part, they are not
managing, nor are office managers managing when they personally check out a customer’s credit. Some
employees perform only part of the functions described as managerial—and to that extent, they are
mostly managers in limited areas. For example, those who are assigned the preparation of plans in an
advisory capacity to a manager, to that extent, are making management decisions by deciding which of
several alternatives to present to the management. However, they have no participation in the functions
of organizing, staffing, and supervising and no control over the implementation of the plan selected
from those recommended. Even independent consultants are managers, since they get most things
done through others—those others just happen to be their clients! Of course, if advisers or consultants
have their own staff of subordinates, they become a manager in the fullest sense of the definition. They
must develop business plans; hire, train, organize, and motivate their staff members; establish internal
policies that will facilitate the work and direct it; and represent the group and its work to those outside
of the firm.
Concept of organization
Before going through the concept of organization theory, let us first understand the concept of theory
itself. The word theory and its meaning is derived from Greek word Qewpix, meaning theoria, that is,
looking at, viewing, or contemplating. Based on this theme, Rudner has defined theory as a
"systematically related set of statements, including some law-like generalization that is empirically
testable." Organization theory contains various concepts and propositions related to: how organization
function, how they are affected by their environment. Thus, organization theory has the following
characteristics.
1. Organization theory has various concepts and propositions; some of them are theoretic other are not-
theoretic. A theoretic proposition is one that is observational or experimental, implying that it can be
verified through examination and various examinations should yield same result. A non-theoretic
proposition is one which is not experimental but logically true. Since non-theoretic proposition is logical,
it's validity remains confined to the situation in which the same logic holds true.
2. Organization theory explains how organizations function, that is, how they are designed internally to
convert inputs in to outputs, how various organizational processes are completed, and how output are
given outside.
Fayol developed theory of management. According to him managerial excellence is a technically ability
and can be acquired. He developed theories and principles of management which are universally
accepted and make him universalistic. He was pioneer of the formal education in management. Fayol's
principles of management meet the requirements of modern management.
Henry Fayol, a French industrialist, offered fourteen principles of management for the first time in 1916.
During the period of 1920-40 in the U.S. many authors did hard work in developing and testing various
principles of management. Today, there is a very lengthily list of management principles and it is not
possible to give an exhaustive lot of these management principles. Here, we are giving some important
principles of management.
Following are the fourteen principles of management developed by the Henry Fayol:
Division of Work
According to Henry Fayol under division of work, "The worker always on the same post, the manager
always concerned with the same matters, acquire an ability, sureness and accuracy which increases their
output. In other words, division of work means specialization. According to this principle, a person is not
capable of doing all types of work. Each job and work should be assigned to the specialist of his job.
Division of work promotes efficiency because it permits an organizational member to work in a limited
area reducing the scope of his responsibility. Fayol wanted the division of work not only at factory but
at management levels also.
Authority and Responsibility
Authority and responsibility go together or co-existing. Both authority and responsible are the two sides
of a coin. In this way, if anybody is made responsible for any job, he should also have the concerned
authority. Fayol's principle of management in this regard is that an efficient manager makes best
possible use of his authority and does not escape from the responsibility. In other awards when the
authority is exercised the responsibility. In other awards when the authority is exercised the
responsibility is automatically generated.
Discipline
According to Henry Fayol discipline means sincerity about the work and enterprise, carrying out orders
and instructions of superiors and to have faith in the policies and programmes of the business
enterprise, in other sense, discipline in terms of obedience, application, energy and respect to superior.
However, Fayol does not advocate warming, fines, suspension and dismissals of worker for maintaining
discipline. These punishments are rarely awarded. A well disciplined working force is essential for
improving the quality and quantity of the production.
Unity of Command
A subordinate should take order from only one boss and he should be responsible and accountable to
him. Further he claimed that if the unit of command is violated, authority is undermined, disciplined in
danger, order disturbed and stability threatened. The violation of this principle will face some serious
consequences. In this way, the principle of unity of command provides the enterprise disciplined stable
and orderly existence. It creates harmonious relationship between officers and subordinates,
congenial atmosphere of work. It is one of the Fayol's important essential principles of management.
Unity of direction
Fayol advocates "One head and one plan" which means that group efforts on a particular plan be led
and directed by a single person. This enables effective co-ordination of individual efforts and energy.
This fulfils the principles of unity of command and brings uniformity in the work of same nature. In this
way the principle of direction create dedication to purpose and loyalty. It emphasizes the attainment of
common goal under one head.
According to Fayol wage-rates and method of their payment should be fair, proper and satisfactory.
Both employees and ex-employers should agree to it. Logical and appropriate wage-rate and methods of
their payment reduces tension and differences between workers and management, create harmonious
relationship and a pleasing atmosphere of work. Further Fayol recommends that residential facilities be
provided including arrangement of electricity, water and facilities.
Centralization and Decentralization
There should be one central point in the organization which exercises overall direction and control of all
the parts. But the degree of centralization of authority should vary according to the needs of situation.
According to Fayol there should be centralization in small units and proper decentralization in big
organization. Further, Fayol does not favor centralization or decentralization of authorities but suggests
that these should be proper and effective adjustment between centralization and decentralization in
order to achieve maximum objectives of the business. The choice between centralization and
decentralization is made after taking into consideration the nature of work and the
efficiency, experience and decision-making capacity of the executives.
Scalar chain
The scalar chain is a chain of supervisors from the highest to the lowest rank. It should be short-
circuited. An employee should feel the necessity to contact his superior through the scalar chain. The
authority and responsibility is communicated through this scalar chain. Fayol defines scalar chain as "the
chain of superiors ranging from the ultimate authority to the lowest rank." The flow of information
between management and workers is a must. Business opportunities must be immediately avoided of.
So we must make direct contact with the concerned employee. Business problems need immediate
solution, so we cannot always depend on the established scalar chain. It requires that direct contact
should be established.
Order:
According to Fayol there should be proper, systematic and orderly arrangement of physical and social
factors, such as land, raw materials, tools and equipments and employees respectively. As per view,
there should be safe, appropriate and specific place for every article and every place to be used
effectively for a particular activity and commodity. In other words, principles that every piece of land
and every article should be used properly, economically and in the best possible way. Selection and
appointment of the most suitable person to every job. There should be specific place for every one and
every one should have specific place. This principle also stresses scientific selection and appointment
of employees on every job.
Equity
The principle of equality should be followed and applicable at every level of management. There should
not be any discrimination as regards caste, sex and religion. An effective management always accords
sympathetic and human treatment. The management should be kind, honest and impartial with
the employees. In other words, kindness and justice should be exercised by management in dealing with
their subordinates. This will create loyalty and devotion among the employees. Thus, workers should be
treated at par at every level.
Stability of use of personnel
Principle of stability is linked with long tenure of personnel in the organization. This means production
being a team work, an efficient management always builds a team of good workers. If the members of
the team go on changing the entire process of production will be disturbed. It is always in the interest of
the enterprise that its trusted, experienced and trained employees do not leave the organization.
Stability of job creates a sense of belongingness among workers who with this feeling are encouraged to
improve the quality and quantity of work.
Initiative
Under this principle, the successful management provides an opportunity to its employees to suggest
their new ideas, experiences and more convenient methods of work. The employees, who has been
working on the specific job since long discover now, better alternative approach and technique of work.
It will be more useful, if initiative to do so is provided to employees. In simple, to ensure success, plans
should be well formulated before they are implemented.
Spirit of Co-operation (Spirit de crops)
In order to achieve the best possible results, individual and group effort is to be effectively integrated
and coordinated. Production is a team work for which the whole-hearted support and co-operation of
the members at all levels is required. Everyone should sacrifice his personal interest and contribute his
best energies to achieve the best results. it refers to the spirit of loyalty, faithfulness on the part of the
members of the group which can be achieved by strong motivating recognition and importance of the
members for their valuable contribution, effective coordination, informal mutual social relationship
between members of the group and positive and constructive approach of the management towards
workers' welfare.
Awareness and understanding of important historical developments are also important to contemporary
managers. The history of management theories helps managers by organizing information and providing
a systematic framework for action.
The concept of management is not new; its has been practiced for thousands of years, although terms
such as management principles or management theory may not have been used. The Sumerians, the
Babylonians, or the Romans have provided numerous illustrations of effective management. In terms of
longevity, "the most effective formal organization in the history of Western civilization has been the
Roman Catholic Church" (Harold Koontz and Cyril O'Donnell). However, management gained in
importance, as mankind progressed and moved into the Industrial Revolution era.
Today's concept of management is the product of a long and complicated evolutionary process.
Essentially, four major forces affect management are economic, social, political-legal, and technological.
Over the years, disagreement on exactly how many different approaches to management exist and what
each approach entails has been common. Some count as few as three approaches, others as many as
seven. In order to present the essence of the management movements, I have chosen to discuss three
schools; based on the approach of Donnelly, Gibson, and Ivancevich. They offered these three well-
established approaches to management the thought: the classical approach, the behavioral approach,
and the management approach. Each complements and supports the others.
Although not recognized as a separate school, the contingency and the systems approach are also
discussed in this section, which attempt to integrate the three schools.
II Planning
In the weeks prior to an important milestone, computer consultants give up on automated scheduling
and resort to an old fashioned plan board to agree on who does what when. Such impromptu gatherings
promote creativity and exchange of information that works positively towards an on-time result.
Automated scheduling works well for the bigger picture, but often the detailed tasks must be discussed
live with the whole team.
The term is also used for describing the formal procedures used in such an endeavor, such as the
creation of documents, diagrams, or meetings to discuss the important issues to be addressed, the
objectives to be met, and the strategy to be followed. Beyond this, planning has a different meaning
depending on the political or economic context in which it is used.
Two attitudes to planning need to be held in tension: on the one hand we need to be prepared for what
may lie ahead, which may mean contingencies and flexible processes. On the other hand, our future is
shaped by consequences of our own planning and actions.
Overview
Planning is a process for accomplishing purposes. It is a blue print of business growth and a road map of
development. It helps in deciding objectives both in quantitative and qualitative terms. It is setting of
goals on the basis of objectives and keeping in the resources.
A plan should be a realistic view of the expectations. Depending upon the activities, a plan can be long
range, intermediate range or short range. It is the framework within which it must operate. For
management seeking external support, the plan is the most important document and key to growth.
Preparation of a comprehensive plan will not guarantee success, but lack of a sound plan will almost
certainly ensure failure. Planning can be summarized in 3 easy steps:
1. Choosing a destination,
Purpose of a plan
Just as no two organizations are alike, so also their plans. It is therefore important to prepare a plan
keeping in view the necessities of the enterprise. A plan is an important aspect of business. It serves the
following three critical functions:
Helps management to clarify, focus, and research their businesses or project's development and
prospects.
Provides a considered and logical framework within which a business can develop and pursue
business strategies over the next three to five years.
Offers a benchmark against which actual performance can be measured and reviewed.
Importance of the planning process
A plan can play a vital role in helping to avoid mistakes or recognize hidden opportunities. Preparing a
satisfactory plan of the organization is essential. The planning knows the business and those they have
thought through its development in terms of products, management, finances, and most importantly,
markets and competition.
Planning helps in forecasting the future, makes the future visible to some extent. It bridges between
where we are and where we want to go. Planning is looking ahead.
Architectural planning
Business plan
Comprehensive planning
Economic planning
Enterprise Architecture Planning
Event Planning and Production
Family planning
Financial planning
Land use planning
Life planning
Marketing plan
Network resource planning
Strategic planning
Succession planning
Urban planning
Operational planning
Contingency planning
Objectives and policies
The objectives
The objectives are general parts of the planning process. They are the end-results towards which all
business activities are directed. They are needed in every aspect where performance and result directly
and vitally affect the survival and success of the firm. In other words, the objective of the firm justifies its
existence.
The policies
Policies are specific guidelines and constraints for managerial thinking on decision-making and action.
Policies provide the framework within which decision-makers are expected to operate while making
organizational decisions. They are the basic guides to be consistent in decision-making.
Planning basics
Essentials of planning
Planning is not done off hand. It is prepared after careful and extensive research. For a comprehensive
business plan, management has to: Clearly define the target/goal in writing. It should be set by a person
having authority. The goal should be realistic. It should be specific. Acceptability Easily measurable
Identify all the main issues which need to be addressed. Review past performance. Decide budgetary
requirement. Focus on matters of strategic importance. What are requirements and how will they be
met? What will be the likely length of the plan and its structure? Identify shortcomings in the concept
and gaps. Strategies for implementation. Review periodically. Define strategies and activities.
Applications
In organizations
Planning is also a management process, concerned with defining goals for future organizational
performance and deciding on the tasks and resources to be used in order to attain those goals. To meet
the goals, managers may develop plans such as a business plan or a marketing plan. Planning always has
a purpose. The purpose may be achievement of certain goals or targets. The planning helps to achieve
these goals or target by using the available time and resources. To minimize the timing and resources
also require proper planning. The concept of planning is to identify what the organization wants to do by
using the four questions which are "where are we today in terms of our business or strategy planning?
Where are we going? Where do we want to go? How are we going to get there?..." [3]
In public policy
Planning refers to the practice and the profession associated with the idea of planning an idea yourself
(land use planning, urban planning or spatial planning). In many countries, the operation of a town and
country planning system is often referred to as "planning" and the professionals which operate the
system are known as "planners".
It is a conscious as well as sub-conscious activity. It is "an anticipatory decision making process" that
helps in coping with complexities. It is deciding future course of action from amongst alternatives. It is a
process that involves making and evaluating each set of interrelated decisions. It is selection of missions,
objectives and "translation of knowledge into action." A planned performance brings better results
compared to an unplanned one. A manager's job is planning, monitoring and controlling. Planning and
goal setting are important traits of an organization. It is done at all levels of the organization. Planning
includes the plan, the thought process, action, and implementation. Planning gives more power over the
future. Planning is deciding in advance what to do, how to do it, when to do it, and who should do it.
This bridges the gap from where the organization is to where it wants to be. The planning function
involves establishing goals and arranging them in logical order.
Process of planning
Process planning is a key element in project management that focuses on selecting resources for use in
the execution and completion of a project. In a manufacturing setting, this aspect of planning also
includes establishing the general sequence of steps that begin with the acquisition of materials and end
with the creation of a finished product. Process planning is often closely associated with project
planning, although the specific functions of each tool are used differently in the overall strategic
planning.
While both process planning and project planning are necessary to give form and focus to any project,
each procedure fulfills specific needs. Process planning helps to create the general process necessary to
reach an ultimate goal, such as the creation of a product or the development of a marketing campaign.
Project planning looks at each of the steps or processes identified in process planning and defines the
specific actions that must take place in order for each of the processes to be completed successfully. In a
sense, a process plan provides the framework for a procedure while a project plan provides the specifics
of how to complete each step or process necessary to achieve the desired outcome.
Process planning is not a new concept. The strategy has been utilized in business circles for centuries.
Private and non-profit organizations often use this same type of planning when structuring a new
project or directive. While the amount of detail involved will depend greatly on the scope of the project
and the culture of the business or entity conducting the project, the planning works in just about any
setting where a group of people wish to determine how to reach a specific goal.
In a manufacturing setting, process planning may also address concerns that are related to the steps
identified as necessary to create a product. For example, the plan may also address issues such as
designing the packaging or labeling for the final product, as well as the creation of user instructions that
accompany each unit that is sold.
Planning involves selecting organizational goals and finding ways to achieve them. It provides the
following benefits:
Direction: The plan sets the direction for the business by clearly identifying the objectives, e.g.,
to expand (Ryan air has announced plans to open up new routes and to buy new jets).
Coordination: The plan is used to coordinate the activities of the different departments, e.g., the
sales department must not take orders that the production department is unable to meet.
Control: Management can compare the actual results to the planned targets. Good performance
can be rewarded (bonuses) and failure to meet targets should be investigated.
Awareness: An organization that plans by consulting all relevant stakeholders becomes aware of
its Strengths, Weaknesses, Opportunities and Threats (SWOT) and is therefore more adaptable
to change.
1. Analyze the situation: This involves conducting a SWOT analysis and forecasting future events.
Accurate forecasting can lead to success. Bill Gates forecast a computer on every desk and
planned Microsoft's strategy to match. He failed to predict the importance of the Internet and
lost ground to Netscape but later changed his view and hence the Explore / Netscape "war".
2. Identify the goals: Goals should be Specific, Measurable, Achievable, Relevant and Timed
(SMART). To communicate the organizations most important goals to the stakeholders, a
mission statement is written.
3. Draft the plan: The plan should consist of a strategic (long term) plan, a tactical (operational)
plan and a contingency (for unseen events) plan.
4. Implement the plan: Plans are implemented by putting policies in place. The policies of the
organization detail how the objectives are to be achieved. Policies succeed best if they are
devised by consultation. Policies must be adaptable to outside forces such as competitors
or government legislation.
Types of Plans
Strategic Plan These are long term plans, these are more precise, e.g a method of
increasing profit over first 10 months of the year
Tactical plans Medium term, e.g. company launching a new product, Cadbury’s launching
new white chocolate flake
Operational Plans Short term plans which are designed to meet specific objectives. A firm
introducing a new internal telephone system
Single use Plans Short term plans used in case of a sudden emergency or problem
encountered by a firm, e,g flooding, fire on premises
Types of plans
Detailing Types of Plans
Plans commit individuals, departments, organizations, and the resources of each to specific actions
for the future. Effectively designed organizational goals fit into a hierarchy so that the achievement
of goals at low levels permits the attainment of high-level goals. This process is called a means-
ends chain because low-level goals lead to accomplishment of high-level goals.
Three major types of plans can help managers achieve their organization's goals:
strategic, tactical, and operational. Operational plans lead to the achievement of tactical plans,
which in turn lead to the attainment of strategic plans. In addition to these three types of plans,
managers should also develop a contingency plan in case their original plans fail.
Operational plans
The specific results expected from departments, work groups, and individuals are the operational
goals. These goals are precise and measurable. “Process 150 sales applications each week” or
“Publish 20 books this quarter” are examples of operational goals.
An operational plan is one that a manager uses to accomplish his or her job responsibilities.
Supervisors, team leaders, and facilitators develop operational plans to support tactical plans (see
the next section). Operational plans can be a single-use plan or an ongoing plan.
Continuing or ongoing plans are usually made once and retain their value over a period of
years while undergoing periodic revisions and updates. The following are examples of ongoing
plans:
A rule is an explicit statement that tells an employee what he or she can and cannot
do. Rules are “do” and “don't” statements put into place to promote the safety of
employees and the uniform treatment and behavior of employees. For example, rules
about tardiness and absenteeism permit supervisors to make discipline decisions rapidly
and with a high degree of fairness.
Tactical plans
A tactical plan is concerned with what the lower level units within each division must do, how they
must do it, and who is in charge at each level. Tactics are the means needed to activate a strategy
and make it work.
Tactical plans are concerned with shorter time frames and narrower scopes than are strategic
plans. These plans usually span one year or less because they are considered short-term goals.
Long-term goals, on the other hand, can take several years or more to accomplish. Normally, it is
the middle manager's responsibility to take the broad strategic plan and identify specific tactical
actions.
Strategic plans
A strategic plan is an outline of steps designed with the goals of the entire organization as a whole
in mind, rather than with the goals of specific divisions or departments. Strategic planning begins
with an organization's mission.
Strategic plans look ahead over the next two, three, five, or even more years to move the
organization from where it currently is to where it wants to be. Requiring multilevel involvement,
these plans demand harmony among all levels of management within the organization. Top-level
management develops the directional objectives for the entire organization, while lower levels of
management develop compatible objectives and plans to achieve them. Top management's
strategic plan for the entire organization becomes the framework and sets dimensions for the
lower level planning.
Contingency plans
Intelligent and successful management depends upon a constant pursuit of adaptation, flexibility,
and mastery of changing conditions. Strong management requires a “keeping all options open”
approach at all times — that's where contingency planning comes in.
Keep in mind that events beyond a manager's control may cause even the most carefully prepared
alternative future scenarios to go awry. Unexpected problems and events frequently occur. When
they do, managers may need to change their plans. Anticipating change during the planning
process is best in case things don't go as expected. Management can then develop alternatives to
the existing plan and ready them for use when and if circumstances make these alternatives
appropriate.
Definition
Exercise aimed at formulating a long-term plan, to meet future needs estimated usually
by extrapolation of present or known needs. It begins with the current status and charts out a path to
the projected status, and generally includes short-term (operational or tactical plans) for achieving
interim goals.
Strategic planning process
IMPORTANCE OF PLANNING
There is broad agreement among nonprofit leaders and experts that planning is a critical
component of good management and governance. Planning helps assure that an organization remains
relevant and responsive to the needs of its community, and contributes to organizational stability and
growth. It provides a basis for monitoring progress, and for assessing results and impact. It facilitates
new program development. It enables an organization to look into the future in an orderly and
systematic way. From a governance perspective, it enables the Board to set policies and goals to guide
the organization, and provides a clear focus to the Executive Director and staff for program
implementation and agency management.
Most organizations understand the need for annual program objectives and a program-
focused work plan. Funders require them, and they provide a basis for setting priorities, organizing
work, and assessing progress. A growing number of Hispanic community-based organizations go beyond
funder requirements to develop annual objectives and operating plans which also include a systematic
plan for resource development, organizational development, and in some cases Board development.
Most groups find it practical to define objectives for a 12-month period, and to design strategies and
programs to meet them.
Longer-range planning – planning beyond the next year or two – often seems more difficult
and less rewarding. With the external environment changing so rapidly, Board members and senior staff
ask, how can we expect to develop plans that will remain relevant? With so little control over external
events, how can we hope to influence them in a way that benefits our community?
Prepared by Emily Gantz McKay. Based on materials originally prepared for use with SHATIL, the
technical assistance project of the New Israel Fund. Modified for the National Council of La Raza, and
further modified for MOSAICA, May 1994 and July 2001.
Environment, such as a poor economy or a hostile or unresponsive government, however; and it
is here that strategic or long-range planning can be most helpful. Planning is designed to help an
organization define its vision for the future and then determine systematically how it will get there,
understanding obstacles and figuring out ways to overcome them.
Planning that focuses on a period of three years or more requires an organized, serious effort which
takes time and energy. There may need to be a formal community needs assessment as input to
planning. This is extremely valuable, but also demanding. Moreover, planning is not a one-time effort;
any plan needs to be reviewed, monitored, and updated. The benefits to an organization can be
significant -- a clear focus, a sense of joint purpose and agreed-upon priorities, consensus on strategies,
and a basis for measuring progress and impact.
III. Problem solving and decision making
Much of what managers and supervisors do is solve problems and make decisions. New managers and
supervisors, in particular, often make solve problems and decisions by reacting to them. They are "under
the gun", stressed and very short for time. Consequently, when they encounter a new problem or
decision they must make, they react with a decision that seemed to work before. It's easy with this
approach to get stuck in a circle of solving the same problem over and over again. Therefore, as a new
manager or supervisor, get used to an organized approach to problem solving and decision making. Not
all problems can be solved and decisions made by the following, rather rational approach. However, the
following basic guidelines will get you started. Don't be intimidated by the length of the list of
guidelines. After you've practiced them a few times, they'll become second nature to you -- enough that
you can deepen and enrich them to suit your own needs and nature.
(Note that it might be more your nature to view a "problem" as an "opportunity". Therefore, you might
substitute "problem" for "opportunity" in the following guidelines.)
This is often where people struggle. They react to what they think the problem is. Instead, seek to
understand more about why you think there's a problem.
a. Your role in the problem can greatly influence how you perceive the role of others. For example, if
you're very stressed out, it'll probably look like others are, too, or, you may resort too quickly to blaming
and reprimanding others. Or, you are feeling very guilty about your role in the problem; you may ignore
the accountabilities of others.
a. It's amazing how much you don't know about what you don't know. Therefore, in this phase, it's
critical to get input from other people who notice the problem and who are effected by it.
b. It's often useful to collect input from other individuals one at a time (at least at first). Otherwise,
people tend to be inhibited about offering their impressions of the real causes of problems.
c. Write down what your opinions and what you've heard from others.
d. Regarding what you think might be performance problems associated with an employee, it's often
useful to seek advice from a peer or your supervisor in order to verify your impression of the problem.
e.Write down a description of the cause of the problem and in terms of what is happening, where,
when, how, with whom and why.
a. At this point, it's useful to keep others involved (unless you're facing a personal and/or employee
performance problem). Brainstorm for solutions to the problem. Very simply put, brainstorming is
collecting as many ideas as possible, and then screening them to find the best idea. It's critical when
collecting the ideas to not pass any judgment on the ideas -- just write them down as you hear them. (A
wonderful set of skills used to identify the underlying cause of issues is Systems Thinking.)
5. Plan the implementation of the best alternative (this is your action plan)
a. Carefully consider "What will the situation look like when the problem is solved?"
b. What steps should be taken to implement the best alternative to solving the problem? What
systems or processes should be changed in your organization, for example, a new policy or procedure?
Don't resort to solutions where someone is "just going to try harder".
c. How will you know if the steps are being followed or not? (These are your indicators of the success of
your plan)
d. What resources will you need in terms of people, money and facilities?
e. How much time will you need to implement the solution? Write a schedule that includes the start and
stop times, and when you expect to see certain indicators of success.
f. Who will primarily be responsible for ensuring implementation of the plan?
g. Write down the answers to the above questions and consider this as your action plan.
h. Communicate the plan to those who will involved in implementing it and, at least, to your immediate
supervisor.
(An important aspect of this step in the problem-solving process is continually observation and
feedback.)
One of the best ways to verify if a problem has been solved or not is to resume normal operations in the
organization. Still, you should consider:
What changes should be made to avoid this type of problem in the future? Consider changes to
policies and procedures, training, etc.
Lastly, consider "What did you learn from this problem solving?" Consider new knowledge,
understanding and/or skills.
Consider writing a brief memo that highlights the success of the problem solving effort, and
what you learned as a result. Share it with your supervisor, peers and subordinates.