Organizational Theory in Education

William Allan Kritsonis, PhD

Potential Questions

Question 1: Different theories have been used to describe how school and

school systems are organized and managed. These organizational theories

include bureaucratic, scientific management, human relations, and the open

systems approach. Compare and contrast two of these theories in the

following areas: organizational structure, basic philosophic perspective of

employees, duties and authority of administrators, and effective leadership

styles. Justify why one approach might be more effective for an educational

entity than the other.

Question 2: Education is a state rather than a federal responsibility. Briefly

compare and contrast the responsibilities and educational activities that are

associated with state and local level educational entities. Describe how

three values, equality, efficiency, and liberty have impacted the

establishment and implementation of educational policies at all levels

(federal, state, and local).

Organizational Theory in Education

Three theories have influenced school organization and management:

(1) classical (bureaucratic & scientific management), (2) human relation, and

(3) open systems.

Classical Theory of Organization

Bureaucratic Organizational Model - Max Weber

This formal model includes (1) a hierarchical arrangement with

separation of authority, (2) task specialization among employees (division of

labor), (3) hiring of professional personnel based on technical knowledge,

(4) separation of personal & organizational property and, (5) implicit rules

and regulations that govern official decisions and actions. The intent is to

maximize rational decision-making and facilitate increased efficiency. It is

based on rational-legal authority rather than power and persuasion. Rational

legal authority is a belief that laws can be enacted and changed by formally

correct procedures. This organizational model has drawn the following

criticisms: (1) hierarchical authority can perpetuate rigidity and adherence

to rules, (2) the impersonal focus can result in low morale and alienation, (3)

division of labor can stifle initiative and, (4) informal relationships and

individual needs are ignored.

Scientific Management - Frederick W. Taylor

This perspective focuses on increasing efficiency and maximizing human

productivity by identifying the "best" way to do a job. Scientific analysis

and time and motion studies were used to identify and help eliminate

muscular and physiological activities that lead to worker fatigue. In an

effort to optimize work performance, pay was linked to output. This theory

has been criticized because it embodies a mechanistic view of workers as

extensions of machines.

Human Relations Approach

The focus in this organizational theory is on the social and affective

needs of employees and emphasizes the importance of feelings, attitudes and

social climate of organizations. Although the basic organizational structure

may resemble a bureaucratic model, informal interactions that exist outside

bureaucratic norms or formal dimensions of an organization are identified.

Employees whose social and psychological needs have been fulfilled are

motivated to work more productively. The impact of human relations on

employee productivity has been demonstrated in two studies. The results are

known as the Hawthorne Effect. The first experiment investigated the effect

of increased light on productivity. The results showed that increased

productivity was due to subjects' responses to attention and novelty of the

experiment and not to an increase or decrease in light. The second

experiment (bank-wiring room), investigated the relationship between

increased financial incentives and productivity. Results showed that workers

establish informal standards that define a "satisfactory" day's work.

Production greater or less than standard was unacceptable to the group.

These two experiments showed that (1) group norms are equal to or greater

than managerial or administrative norms in importance in determining a

productivity level, (2) noneconomic rewards can increase productivity, and

(3) group satisfaction and commitment are enhanced through participatory

decision making.

The Hawthorne studies also showed that leadership style has an effect on

group performance. A "democratic" style was found to be more effective for

group performance than either a "laissez-faire" or "authoritarian" style.

Leaders who give equal attention to initiating structure (task performance)

and consideration (friendship, trust, respect, warmth, and concern) tend to be

more effective as measured by worker satisfaction and performance. Within

groups, there exists both formal and informal leaders. Formal appointed

leaders are concerned with task performance while informal leaders emerge

for the group and attend to the group's social and psychological needs.

Systems Approach

Systems can be viewed from three different perspectives: biological

(living organisms), mechanical (automobiles), and social (organizations).

Within each of these perspectives, there are two basic system types: closed

and open. Closed systems, like the bureaucratic and human relations models,

have impenetrable boundaries and derive few inputs from environment.

Although thought to be self-sufficient, these systems can experience entropy,

a movement to disorder, lack of resource transformation, and eventually

death. In contrast, open systems have permeable boundaries exchanging

resources with the environment. Homeostasis exists when the system is

stable and there is a balance or equilibrium between environmental resources

and the system. Disequilibrium results when the system is unable to use

resources as they are received from the environment or when its subsystems

are out of balance. One criticism of the systems approach is that it fails to

adequately account for change that results from interactions between people.

Open Systems Approach

The open systems approach to organizational theory emerged in the

1960s. Organizations were viewed as open systems that interact with the

environments in which they exist. The relationship of organizational parts

and the link between the organization and its larger environment was

stressed. The input-throughput-output model was used to describe this

approach. Organizations maintain themselves by processing inputs from

their environment and converting them into outputs.

Schools as a Selective Linkage System

The term, selective linkage system, is used to describe the organizational

structure of contemporary schools. In some respects, they resemble a closed

system and reflect many of the components of Weber's Hierarchical

Organizational Structure. They utilize a (1) hierarchical structure, (2) a

division of labor based on technical competence and specialization, and (3)

written rules and regulations (policies). On the other hand, they are open

systems with both tight and loose controls. Contemporary schools interact

socially and politically with community in which they exist through the

PTA, school advisory councils and a myriad of special interest groups.

Interaction with the community is important in determining school goals and

generating approval and support for programs.

Although the organizational structure may show a hierarchical format,

there are loose controls between authority levels. The superintendent has

authority over staff but must operate within the parameters of board policy

and contractual arrangements. Higher authority levels, such as principals and

district level administrators, do not exercise complete control over those at

lower levels. Teachers are still in control within their classrooms, and site-

based management has given more authority to lower organizational levels.

School organizations still command tight control over several areas.

These include requirements for teachers, promotion and graduation policies,

curriculum, and student placement.

Informal Dimensions of Organizational Structure

Groups formed by teachers have been shown to be a powerful force in

school organizations. Administrators who identify informal group leaders

and establish close working relationships with them are substantially

advantaged in accomplishing organizational goals. Group norms have been

shown to be an important determinant of group behavior. Informal groups

of teachers tend to reform after the summer break with little change and are

usually dominated by older and more experienced teachers.

Leadership and Types of Authority

Leaders attempt to influence others through personal and positional

powers such as authority. There are several types of authority that leaders

employ: traditional, charismatic, and rational-legal. In the purest form,

traditional authority is aligned with patriarchal authority. Charismatic

authority is based on personal devotion to the leader. It is thought to be an

unstable type of authority because it is linked to one specific person.

Rational-legal authority is based on the supremacy of the law and the

position that formally established social norms should direct a person's

actions in the rational pursuit of specified goals. This type of authority is

closely linked to Weber's bureaucracy model.

Types of Educational Organizations

Educational organizations can be classified into three types:

nonprofessional, professional, and semiprofessional organizations.

Bureaucrats (administrators) and professionals (teachers) assume different

roles in these organizations. In nonprofessional organization, the goal is to

make a profit. Administrative activities are coordinated so that profits can

be maximized and final authority resides in line officers (administrators)

who constitute the administrative chain of command. In these organizations,

professionals (teachers) are more likely to occupy specialized or staff

advisory positions outside the line of authority. The goal of professional

organizations, such as those associated with universities, research

organizations, and hospitals, is to produce, apply, preserve, or communicate

knowledge. Generally, 50% or more of the staff are professionals who have

primary control over the major goal activities with administrators providing

support. Final authority resides with the professionals. School and social

work agencies are classified as semiprofessional organizations. They are

similar to professional organizations but differ in the areas of professional

employee status and function. Less time is spent on training, and there is a

focus on communication of knowledge.

In educational organizations conflicts may arise between bureaucrats

(administrators) and professionals (teachers) in the area of decision making.

Classic bureaucrats (administrators) make decisions in the interest of the

organization, while idealized professionals (teachers) want decisions made

in the best interests of the students or norms of the profession.

Public School Systems

The 10th Amendment gave states control of activities that are not

specifically assigned to the federal government. This resulted in the states

being responsible for education. Except for Hawaii, all U.S. public

educational systems are state legislated and supported but locally operated.

Local school districts are classified as quasi-corporations: a political division

of the state to facilitate the administration of government.

This century has seen an increase in the power of local districts.

There has been a movement toward consolidation of school districts, hiring

of professional school managers, increased power of the superintendent, and

an interest in scientific management. There continues to be an increasing

chasm between mainstream partisan political activity and school

governance. School boards have secured the right as a separate taxing

authority.

The rise in local power has contributed to a decrease in the authority

of the State Board of Education. The general areas of responsibility for state

departments include finance (administration of federal and state monies),

teacher certification, curriculum (textbooks and standards), testing, data

collection and distribution, administration of Federal program, facilities and

transportation, and nonpublic schools.

Local school district adopt policies and practices to govern the operation

of the school system under their control. The policies and practices that are

adopted are a result of a dynamic equilibrium between three values -

equality, efficiency, and liberty.

Equality means the equal access to educational services for all. Several

landmark cases have greatly influenced the organization and functioning of

educational systems in the United States. The most influential case was the

1954 Supreme Court Case, Brown vs. Board of Education, which disallowed

racially segregated schools. The "equal protection clause" of the 14th

Amendment provided equal access to educational opportunities for all

handicapped students. Federal funding is provided through the Education

for all Handicapped Children Act (1975). Bilingual students were

guaranteed effective instruction and equal access to education services as a

result of a landmark case; Lau vs. Nichols.

Equality also means equal distribution of financial resources. This

was addressed through the enactment of several programs and the passage of

several federal acts. The Elementary & Secondary Education Act (ESEA),

President Johnson's War on Poverty (1960's), and Compensatory Education

which focused on low income families were programs that addressed

financial resource allocation to elementary and secondary schools. The

needs of post secondary students were addressed through several financial

aid programs: (1) Serviceman's Readjustment Act (based on years of

service), (2) Guaranteed Student Loan Program (GSLP) which subsidized

lending organizations), and (3) Basic Education Opportunity Grants (BEOG)

which were based on financial need.

Unequal tax bases and disparate expenditures result in an unequal

distribution of resources among school districts. A variety of state level

finance reforms during the 1970’s and 1980’s have attempted to equalize

these discrepancies. A landmark case, Rodriguez v. San Antonio, found that

unequal systems are not in violation of the U.S. constitution.

For employees, equality means equal access to decision making.

Programs such as collective bargaining have increased employee

participation in decision making. The 1980's saw an increase in teacher

unionization (NEA, AFT).

The second value, efficiency, is concerned with the conserve of

resources so that "conserved" monies can be used for other endeavors such

as expanding school choice. By increasing efficiency, output is maximized

and options are expanded. During the 1970's state spending limits were

implemented. In a landmark case, Serrano v. Priest, the California

legislature imposed a spending ceiling on school districts.

To increase efficiency and contain or reduce costs, school district

adopted scientific management principles and patterned schools after

businesses. A variety of management strategies (technocracy) became

popular as a way to increase student performance while lowering costs and

increasing accountability. These included President Johnson's Program

Performance Budgeting System (PPBS), Zero Based Budgeting (ZBB),

Program Evaluation & Review Techniques (PERT), Management by

Objectives (MBO), and Competency Based Teacher Education (CBTE).

Comprehensive testing programs were implemented with the purpose of

using public scrutiny of test results to make teachers work harder.

Developed in 1964, the National Assessment of Education Progress (NAEP)

testing program compares student achievement between states.

The third value, liberty, refers to the freedom to choose among

alternatives. Reforms focused on helping public schools increase diversity,

be more responsive to their clients, and expand private offerings. A

parent’s right to select a private or a public school for their child was

guaranteed by a 1925 U.S. Supreme Court Case; Pierce v. Society of Sisters.

Tuition tax credits for both public and private school payments were found

to be constitutional in a 1983 Supreme Court Case; Mueller vs. Allen. The

1965 Elementary and Secondary Education Act made federal funds available

for nonpublic schools.

Liberty also involves increasing citizen participation and control of

education. This is achieved through the development of alternative schools,

administrative decentralization, school site management, and the formation

of Parent Advisory Councils which are required when receiving federal

programs and money such as ESEA, Title 1, and ESAA.

Structure of Organizations and Leadership

Because organizations are composed of groups and groups have

leaders, the topics of group dynamics and leadership are intertwined with

organizational theory. Blanchard defines leaderships as the "process of

influencing the activities of an individual or a group in efforts toward goal

achievement in a given situation.

Situational Leadership

Depending upon the situation, an effective leader must be able to select

and implement the style that will be most effective. This is known as

situational leadership and involves diagnosing which style to use, adapting

the style to meet the demands of the situation and communicating with those

involved. Situational leadership styles can be divided into four techniques:

S1 (telling), S2 (selling), S3 (participation), and S4 (delegating). S1 (telling)

and S4 (delegating) are effective at crisis interventions. S1 (telling) and S3

(participation) tend to see members of the organization as either "good

people" or "bad people". S2 (selling) and S3 (participation) work well with

average groups.

Situational leaders are flexible and can adapt to the needs and readiness

of the group. For employee groups at the R1 or low level of readiness, the

S1 or telling style is preferred. For R2 (low to moderate readiness) groups,

selling (S2) should be used. For R3 (moderate to high readiness) groups, a

participatory style (S3) of leaderships works the best. For groups at a high

level of readiness (R4), a delegating style (S4) should be implemented.

Transformational Leadership

Organizations are not static, they go through change. Effective

leadership is particularly difficult when organizations are going through

transformational changes. Transformation is caused by external rather than

internal forces and involves substantial and discontinuous change to the

shape, structure, and nature of the organization. It is caused by external,

rather than internal forces. It is a deep, pervasive change that requires

significantly different actions by the members. Studies of successful and

unsuccessful organizational transformations have led to the identification of

the particular leadership style that can effectively manage transformational

change. This type of leadership, transformational, is also referred to as

visionary, strategic or charismatic leadership. These leaders have (1)

personal commitment to the transformation, (2) firmly and indisputably

communicate the impossibility of maintaining the status quo, (3)

communicate a clear and enthusiastic vision of what the organization could

become, (4) identify and secure the support of key players and power

holders, (5) acknowledge and effectively deal with resistance, (6) design and

put into action an organization that can implement the vision, and (7)

regularly communicate progress, setbacks, and achievements to all

stakeholders.

The leader must assess the organization's readiness for change.

Blanchard identifies appropriate transformational leadership strategies for

each level of organizational readiness. In an OR-1 organization that is

fixated, fragmented, and resistant, the leader should use an enforcing

strategy (S1) such as coercive power. An OR-2 organization is inept but co-

operative and concerned. The leader should use referent and reward power

along with enabling strategies (S2). An OR-3 organization is perceptive but

divided and ambivalent. Enlisting strategies (S3) and referent and reward

power should in used. In an OR-4 organization that is versatile, integrated,

and committed, an endorsing strategy (S4) and information power should be

used.

Definition of Terms

Authority - legitimate power. Based on perception about the obligations and

responsibilities associated with particular positions in an organization.

Bureaucracy - administration of a "government" chiefly through bureaus and

departments staffed with nonelected officials.

Equality - equal access to educational services and opportunities

Hierarchical Authority Structure - each higher office has control and

supervision of a lower office. Structure assumes the shape of a pyramid.

Human Relations - attention to the social and psychological needs of

workers.

Leadership - the process of influencing the activities of an individual or a

group in efforts toward goal achievement in a given situation.

Leadership style - behavior pattern that a person exhibits when attempting to

influence the activities of others.

Liberty - a public value. Freedom to choose from among alternatives

Organizational Theory - fundamental conceptualization of organizational

structure and operational arrangements of schools i.e., classical, human

relations, and open systems.

Rational-legal authority - assumes existence of a formally established body

of social norms designated to organize conduct for rational pursuit of

specified goals.

Scientific management - utilizing time and motion studies to enhance worker

productivity (Frederick Taylor)

Situational Leadership- selecting and implementing the most effective

leadership style based on specific characteristics of the situation, group, and

problem.

System - a group of interacting elements forming a complex whole.

Technocracy - theoretical system of government and management based on

principles devised and administered by scientists and professional

technicians.

Transformation - a vital organizational change caused by factors external to

the organization that involves substantial and discontinuous change to the

organization's shape, structure, and nature.

Related Web Sites

Equality and Education: School Choice:

http//www.equaleducation.com/School_Choice/

Hawthorne Studies

http//www.analytictech.com/mb021/taylor.htm/Hawthorne.html

Leadership

http//www.analytictech.com/mb021/taylor.htm/leadersh.htm

McGregor: Principles of Management:

http//sundial.net/˜russe/RussRP.htm

Open Systems Theory:

http//www.kwandong.ac.kr/˜choich/open_system.html

Organizational Theory: Center for Organizational Theory

http//garnet.berkeley.edu/˜iir/cot/cot.html

Organizational Theory and Behavior

http//www.utoledo.edu/˜DDavis/prinorg.htm

Situational Leadership:

http//www.triangle.org/leadership/sitlead.html

Situational Leadership: Overview (28 slides)

http//sun.vmi.edu/hall/as300/as303/SituationalLeadership/sld001.htm

Taylor's Scientific Management

http//www.analytictech.com/mb021/taylor.htm

Technocracy:

http//encarta.msn.com/index/conciseindex/56/056DC000.htm?

z=1&pg=2&br=1

Transformational Leadership: ERIC Digest, Number 72

http//www.ed.gov/databases/ERIC_Digests/ed347636.html

Transformational Leadership: A Prescription for Contemporary

Organizations

http//www.cnu.edu/hrracj/bobpaper.html

Transformational Leadership: Ethics, Character, and Authentic

Transformational Leadership

http//cls.binghamton.edu/BassSteid.html

Weber and Bureaucracy

http//www.analytictech.com/mb021/taylor.htm

Weber, Max

http//www.utoledo.edu/˜ddavis/weber.htm