WEGL 3202 VALUES ETHICS AND INTEGRITY IN GOVERNANCE BY: GITAU G.K. BY GITAU G.K. FOR JKUAT WESTLANDS,

WEGL 3202 VALUES ETHICS AND INTEGRITY IN GOVERNANCE BY: GITAU G.K. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 1

Learning Objectives The purpose of this course is to build on one’s understanding of ethics, its importance in leadership and the relationship with related concepts such as morals, values, virtues, norms, standards, principles and integrity. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 2

Key definitions: Ethics Ethos, old Greek: Ethos, old Greek: ◦meaning: “ character ”, “ habit ”, “ custom ” ◦In Greek rhetoric, “ethos” is one of three artistic proofs, AKA modes of persuasion; the others being logos and pathos. Discussed by Aristotle in his Rhetoric: Speakers must establish ethos from the start Ethicos, old Greek: Ethicos, old Greek: ◦Adjective, derived from ethos; meaning: “ moral ”, or “ of moral character ” Ethics, as used today: Ethics, as used today: ◦A rational, voluntary, and moral code of conduct intended to maximize the good for people and minimize harm. Principles are based on facts and reasonable, acceptable values BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 3

Leadership Ethics Description Ethics ◦Is a derivative of the Greek word ethos, meaning customs, conduct, or character ◦Is concerned with the kinds of values and morals an individual or society ascribes as desirable or appropriate ◦Focuses on the virtuousness of individuals and their motives The system of rules that governs the ordering of values. Addresses such questions as: ◦What are the meanings of the ethical concepts of good and right? ◦How can a person reach a conclusion about an ethical dilemma (Hypothetical situations in which no choice is clearly and indisputably right)? Ethical Theory ◦Provides a system of rules or principles as a guide in making decisions about what is right/wrong and good/bad in a specific situation ◦Provides a basis for understanding what it means to be a morally decent human being BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 4

Theories on Ethics Ethics theories provide a framework for moral decision-making within the current law, intended to be acceptable to all members of some society Applied consistently to determine whether an action is right or wrong Right or wrong must be interpreted legally and morally Allow a person to present a persuasive, logical argument as to why certain actions should or should not be allowed Allow an executive branch to enforce conduct, i.e. to penalize persons for actions that are not allowed BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 5

Ethical Theories Two Broad Domains: Theories about leaders’ conduct and about leaders’ character BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 6

Ethical Theories BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 7

Ethical Theories Teleological Theories: focus on consequences of leaders’ actions, results Three different approaches to making decisions regarding moral conduct - ◦Ethical egoism (create greatest good for the leader) ◦Closely related to transactional leadership theories ◦Example: leader takes a political stand on an issue for no other reason than to get re-elected BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 8 CONDUCT

Ethical Theories Teleological Theories, cont’d. Three different approaches to making decisions regarding moral conduct - ◦Utilitarianism (create greatest good for greatest number) ◦Example: leader distributes scarce resources so as to maximize benefit to everyone, while hurting the fewest; preventive healthcare vs. catastrophic illnesses ◦Altruism (show concern for best interests of others) ◦Authentic transformational leadership is based on altruistic principles ◦Example: the work of Mother Theresa, who gave her entire life to help the poor BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 9 CONDUCT

Consequences for whom? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 10 Just for meEgoism My groupGroup Conse For whom?Name of Position Just for meEgoism (thinks too highly of one self) Just for my group Family Country Religion Group consequentialism For everyone All human beings All sentient beings Utilitarianism

What yardstick do we use for measuring consequences? Pleasure/pain ◦ (Bentham) Happiness ◦ (John Stuart Mill) Ideals ◦ (G. E. Moore) Preference satisfaction ◦ (Kenneth Arrow) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 11 What yardstick or standard of utility do we use when we measure consequences?

Ethical Theories Deontological Theories: duty driven, for example, relates not only to consequences but also to whether action itself is good ◦Focuses on the actions of the leader and his/her moral obligation and responsibilities to do the right thing ◦Example: telling the truth, keeping promises, being fair BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 12 CONDUCT

Ethical Theories Virtue-based Theories: about leader’s character ◦Focus on who people are as people ◦Rather than tell people what to do, tell people what to be ◦Help people become more virtuous through training and development ◦Virtues present within person’s disposition, and practice makes good values habitual ◦Examples: courage, honesty, fairness, justice, integrity, humility BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 13 CHARACTER

Religion and Ethical Theories Religious Rule-oriented Approaches ◦10 Commandments ◦Islamic Sharia Religious Consequentialism ◦Possible consequences to maximize ◦Increase chances of salvation ◦Maximize influence of church ◦Karmic consequentialism Character-based traditions ◦Central to most religious traditions: the formation of character BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 14

Ethics: Universalism versus Utilitarianism Universalism – States that individuals should uphold certain values, like honesty, regardless of the results. The important values are the ones society needs to function. (Rule based or deontological, an inherent ‘right’ apart from any consequences.) Utilitarianism – States that the greatest good for society should be the overriding concern of decision makers. (Consequential, or teleological) emphasizes the results of behavior.) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 15

Ethics and Justice Theories Justice Theories – State moral standards are based upon the primacy of a single value, which is justice. Everyone should act to ensure a more equitable distribution of benefits, for this promotes self-respect, essential for social cooperation. The Four Way Test 1. Is it the TRUTH? 2. Is if FAIR to all concerned? 3. Will it build GOODWILL and better friendships? 4. Will it be BENEFICIAL to all concerned? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 16

Theories on Ethics Theories covered in book: Some will be discussed further in class, others will be dropped: 1.Subjective Relativism 2.Cultural Relativism 3.Divine Command Theory 4.Ethical Egoism 5.Kantianism 6.Act Utilitarianism 7.Rule Utilitarianism 8.Social Contract BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 17

1 Subjective Relativism Definition: Definition: ◦Subjective Relativism postulates that there are no universal moral norms for Right & Wrong for an individual ◦In Subjective Relativism a person decides Right & Wrong Case For: Case For: ◦Intelligent people can have opposite opinions about moral issues, and live [sometimes] happily together ◦Ethical debates are inherently disagreeable and pointless anyway! So: Why bother? ◦Morality is relative, so you don ’ t have to reconcile opposing views BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 18

1 Subjective Relativism Case Against: What is right and what you do, are not always clearly drawn People are good at rationalizing wrong behaviour E.g. taking home the pencil and paper at work No moral distinction between actions of different people Crossing streets in the middle by others; others cross only at designated cross-walks; both right? Stopping your car in the middle of traffic; you have a sudden need Telling a lie for a good cause Subjective relativism and tolerance are quite different Nothing is really bad in Subjective Relativism Decision: We shall not give legitimacy in this class to an ethical theory that fails to be based on reason Hence we drop Subjective Relativism from detailed coverage BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 19

2 Cultural Relativism Definition: Definition: ◦Relativism postulates there are no universal moral norms for Right & Wrong for society and hence its members ◦In Cultural Relativism Right & Wrong rest with a society ’ s actual moral guidelines ◦Guidelines for Right & Wrong vary from place to place, and from time to time; e.g. slavery is OK in one and not OK in another society, or at another time ◦In Cultural Relativism we can believe that today slavery would be wrong in the US, but 150 years ago it was right Case For: Case For: ◦Different social contexts demand different moral guidelines ◦It would be arrogant for one society to judge another! And we do not want to be arrogant ◦Is judging inherently arrogant? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 20

2 Cultural Relativism Case Against: Case Against: ◦Does not explain how an individual discovers moral guidelines ◦Does poor job of explaining how moral guidelines evolve ◦Provides no logical framework for reconciliation between cultures in conflict ◦Both societies appear right in their views, yet conflict with one another ◦E.g. death penalty is right response of society for certain crimes; vs. death penalty is a crime of society ◦Denies existence of universal guidelines ◦Only societies have them, each sharing core values among its members ◦Denies á -priory existence of good and bad ◦E.g. killing people is relative: Khmer Rouge killed ~2 million, Soviet Union ~25 million, Nazis ~6 million, Mao China many millions; this is not necessarily a bad thing in Cultural Relativism; may have been required to further a particular goal Decision: Decision: ◦Cultural Relativism is not based on reason, not a generally applicable tool to formulate ethical evaluation ◦Hence we drop Cultural Relativism from detailed coverage BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 21

3 Divine Command Theory Definition: Definition: ◦Good actions are those aligned with the will of God! ◦Bad actions are contrary to the will of God! ◦Several major religious traditions originated in the Middle East ◦Judaism ~3500 years ago ◦Christianity ~2000 years ago ◦Islam ~1400 years ago ◦Others in Far East: Taoism, Buddhism, Confucionism, Caodaism Case For: Case For: ◦Owing “ obedience to our Creator ” makes things simple and clear ◦Knowing the will of God (through prophets) enables us to live in peace and certainty ◦God is all-good, all-knowing and the ultimate authority ◦Many people are religious and submit to God ’ s law ◦Society can create rules that align with God ’ s will BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 22

3 Divine Command Theory Case Against: Case Against: ◦There are many holy books, but some disagree, a few strongly ◦Unrealistic to assume a multi-cultural society can agree on any religion-based morality ◦Some moral problems are not addressed directly in Scripture ◦Example: What can the bible tell us about Internet conflicts? ◦Usually draws conclusion based on analogy ◦How can I trust that prophets really know God’s will? ◦Based on obedience, not reason ◦Not a powerful weapon for ethical debate in a secular society Decision: Decision: ◦Devine Command Theory is not a rational tool to formulate ethical evaluations ◦Hence we drop Divine Command Theory BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 23

4 Ethical Egoism Definition: Definition: ◦Each person should focus exclusively on one ’ s self-interest ◦Man is a heroic maverick with happiness as the moral purpose of ethiclife ◦Help and include others, but only if it also helps you! Case For: Case For: ◦Acknowledges focus on our own well-being ◦Compared to other theories that focus on the good of others ◦Community can benefit ◦Entrepreneur looking out for herself brings jobs to community ◦Moral principles rooted in idea of self-interest ◦Lying and cheating is not in your long-term self-interest; therefore reject as acceptable behaviour; but the reason for rejection is not that lying and cheating are inherently bad!! BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 24

4 Ethical Egoism Case Against: Case Against: ◦Injustice can occur when powerful individuals put their own interests first ◦Slavery is great for those who aren ’ t slaves! ◦Other moral principles seem superior ◦Is the principle of preserving an individual ’ s life or a society ’ s survival greater than my own self- interest? ◦Form of bigotry ◦Puts you and your interests above others ◦How do I know that I am more important, valuable, precious than others? Decision: Decision: ◦Ethical Egoism is not a rational tool to formulate ethical evaluations ◦Hence we drop Ethical Egoism from detailed coverage BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 25

5 Kantianism Definition: Definition: ◦A method of reasoning to determine universal morals, based on Categorical Imperative, CI, i.e. the bona-fide will behind actions ◦Postulated by Immanuel Kant (1724-1804)‏ ◦Generally aligned with principles expressed in the Bible, but derived via reasoning, not faith! I.e. an atheist can perfectly adhere to CI Some Background: Some Background: ◦What is acceptably good for all people, good without qualification? ◦Intelligence, courage may be good, but applied to rob a bank is not good ◦Good will, e.g. “ noble intentions ” may be good, but Stalin in his actions had good intentions for the USSR, yet tens of millions of Russians were murdered to implement his good intentions! ◦Kant argues for dutifulness ◦Doing what we ought to do be based on moral rule, vs. what we want to do ◦But how do we know if an action is grounded in a moral rule? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 26

5 Kantianism Formulation of Kant ’ s Categorical Imperative (CI): Formulation of Kant ’ s Categorical Imperative (CI): ◦Literally: “ Handle so, daß die Maxime deines Willens jederzeit zugleich als Prinzip einer allgemeinen Gesetzgebung gelten könne! ” ◦English Translation: “ Act in a way that the motivation behind your will can simultaneously be applied to the principles of general legislation! ” ◦Note that there exist mildly differing variations of the CI in German –not just in translations ◦Good English translations may also create competing formulations with slightly different meanings or varying emphases ◦Pointed out just to be own “ devil ’ s advocate ” ◦Will not detract from essential message of CI BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 27

5 Kantianism Example: Chip plant manager embarks on hiring new employees to finish a major project Manager knows the plant will close within a year Some of the best candidates are from out-of-state, and will have to move their household to start work Should manager inform the candidates of the pending closure? No disclosure: you treat candidates as a means to an end With disclosure: you treat them as the ends in themselves From Categorical Imperative, the answer is to disclose! Manager has option to offer future relocation after plant closure, or financial incentives BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 28

5 Kantianism Case For: Categorical Imperative yields a rational principle Logical reasoning can explain solutions to ethical problems Offers universal moral guidelines Clear moral judgments can result from accepting CI Can be acceptable in all cultures: universal Can be accepted at all times: universal Counter-example: sacrificing living humans to appease the gods would be viewed as wrong in the CI Culture-neutral Can work as a moral foundation for a capitalist or a communist, republican and democrat, today and tomorrow, in Europe and South Africa All persons are treated as moral equals BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 29

5 Kantianism Case Against: Case Against: ◦No single rule fully characterizes all actions ◦Stealing food to feed starving children? ◦Saving the lives of innocent people by lying? ◦No way to resolve all conflicts between rules ◦Perfect duties: rules you unequivocally obey ◦Imperfect duties: rules you fulfil in general, but not in every instance ◦Not stealing as a perfect duty that overrules helping others ◦No exceptions to perfect duties ◦White lies? Do I look good? Decision: Decision: ◦Kantianism is a rational –though not perfect– tool, thus we include it in further detailed coverage BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 30

Kantianism Discussion in Class In 75 BC Julius Caesar was kidnapped by (now) Turkish pirates for a fat ransom Caesar protested jokingly that the ransom was still too low, and suggested: the pirates should double their demands and that he would come back and punish them, should he be freed Pirates did increase the ransom and got the money demanded Caesar was freed, later returned with an armada of ships Caesar caught and killed every one of the pirates Did Caesar act unethically? Did pirates act unethically? After all, pirates kept their word: they restored his freedom Pirates thought he was joking, when he threatened them to return with great military force and then kill them all Would you have done the same as Caesar, assuming same power? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 31

6 Act Utilitarianism Definition: Definition: ◦An action is right or wrong to the extent that it increases or decreases the total happiness of affected members of society ◦Bentham (1748-1832) and Mill (1806-1873)‏ ◦Based on the principle of utility, AKA greatest happiness principle ◦Focus is on consequences, i.e. it is a consequentialist theory‏ ◦Motive is irrelevant (note by contrast the “ will ” focus in Kantianism) ◦Yet agreeing on affected parties can become a tough issue‏ ◦A rational ethical theory for determining right or wrong, based on resulting net benefit; assess the overall benefit to make a decision Case For: Case For: ◦Focuses on happiness for measuring moral behavior ◦Down-to-earth and easily applied, assuming due diligence ◦Example in text: Prison location ◦Comprehensive ◦Takes into account all elements of a particular situation (e.g. white lies)‏ BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 32

6 Act Utilitarianism Case Against: Case Against: ◦Hard to define boundaries to draw the line ◦Who is included? How far into the future consider the consequences? ◦A new highway cutting through an old neighborhood ◦Not all consequences are measurable (measured in units of: dollars, sadness, anger, joy, divorce rate, added suicide occurrence, etc.) ◦Not practical to calculate for every moral decision ◦ “ Rule of thumb ” to mitigate ◦Ignores our innate sense of duty (e.g. good will)‏ ◦Breaking a promise to A costs 1000 units of badness (measured in some objective unit), but gives B 1001 units of goodness: So it is OK to break a promise! ◦Cannot always accurately predict consequences to measure utilities ◦Susceptible to moral luck ◦Unforeseen negative consequences can judge your actions to be bad! ◦Is sending someone flowers good or bad? Decision: Decision: ◦Act Utilitarianism is a rational theory, though not perfect; hence we include it in detailed coverage BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 33

7 Rule Utilitarianism Definition: Definition: ◦Adopt moral rules which, if followed by everyone, will lead to the greatest total happiness of society ◦Principle of utility applied to moral rules, not individual actions ◦A workable theory for evaluating moral problems Case For: Case For: ◦Not every moral decision requires a utility calculation; rule can be used ◦Exceptional situations do not overthrow moral rules ◦ “ A ” must keep promise of repaying B 1000 $, even if it would be of 1001 $ advantage to A to break it; keeping promises is a rule with high utility ◦Solves the problem of moral luck ◦Interested in typical results of actions ◦Avoids problem of egocentrism ◦Personal view influences utility analysis in Act Utilitarianism; not in Rule Utilitarianism ◦Appeals to a wide cross-section of society ◦Many people exist, who claim no moral theory will fit BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 34

7 Rule Utilitarianism Case Against: Case Against: ◦Ignores apparent unjust distribution of good consequences among wide spectrum of society members ◦US congress and president are exempt from US health care reform, but US population is required to adopt it; inconsistent distribution of goodness ◦Hyper-taxation of the rich to redistribute wealth? ◦Perhaps these rich people didn’t deserve their wealth in the first place? And who is to say? ◦Forces a single scale or measure to evaluate different kinds of consequences ◦Highway example: what if condemning 150 homes leads to 15 divorces? How does an easier, safer commute stack up against the impact of displacing families? ◦When fetus is aborted, does really no one get hurt? Decision: Decision: ◦Rule Utilitarianism is a rational theory; thus we include it in detailed coverage in class BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 35

8 Social Contract Definition: Definition: ◦Morality consists of rules how people treat one another, rules that rational people accept for mutual benefit, on the condition all others follow those rules ◦Hobbes (1603-1679) ◦General idea continued in Jean-Jacques Rousseau's 1762 treatise “le contrat social, ou principes du droit politique” ◦Requires two things: 1.Legislating moral rules to gain benefits of social living; as opposed to living in a “state of nature”, AKA chaos 2.Government must be capable of enforcing these rules ◦Arrangement of granting rights to rational people with defined obligations, AKA duties, is the “ social contract ” ◦Note: Rights and Duties! ◦Modified by Rawls’ “ Principles of Justice ” ◦Each person has basic rights and liberties, e.g. freedom of speech, association, safety, property‏ ◦Social and economic inequalities are accepted, but must satisfy two conditions; 1.That everyone had equal opportunity; some chose to abandon them 2.That overall affect provides greatest benefit to the least-advantaged members of society; e.g. graduated income tax BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 36

8 Social Contract Case For: Framed in the spirit and language of individual rights Benefits under capitalist freedom: When all members are allowed to act like vultures, but under guidance of social contract, all end up acting like doves Provides clear ethical boundaries and analysis of important issues between people and government Penalty for crime takes away some individual right »Must occur in order to enforce social contract »Will equally apply to everyone; e.g. government officials not exempted: police officer caught by another cop driving drunk should be treated like other drunk citizens Explains how civil disobedience can be moral »Segregation laws put greater burden on disadvantaged BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 37

8 Social Contract Case Against: Case Against: ◦None of us signed the contract ◦Some actions can be characterized in multiple ways ◦Does not address moral problems with conflicting rights ◦Mother's right to privacy vs. fetus ’ right to life ◦Can be unjust to those who are unable uphold their side of the contract ◦What to do for people who don ’ t understand the moral rule? ◦E.g. drug addicts, or mentally handicapped? Decision: Decision: ◦Social Contract Theory is a rational one; thus we include it in detailed coverage BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 38

Ethical Theories Kept Kantianism Act Utilitarianism Rule Utilitarianism Social Contract BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 39

Justify Why 4 Theories Kept To be usable, any of these 4 must be rational, or universally acceptable, or both 1.Kantianism: is rational and universally acceptable, since the will behind an act is measured; must be suitable as base of laws for overall society 2.Act Utilitarianism: is rational, since it computes overall benefit of an act, maximizes happiness of overall society 3.Rule Utilitarianism: is rational, since it computes overall benefit of rules used, maximizes society happiness --without utility calculation of each act 4.Social Contract: is rational and universal, due to agreement how rational people treat one another for mutual benefit, with defined rights and balanced duties BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 40

Morality and moral systems Rules of conduct Rules for individuals Rules for social policies Principles of evaluation BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 41

Justifying rules for moral systems Religion – teachings of religious leaders Philosophical ethics – appeals to reason Law – codes determined by constitutions and legislation Traditions, culture and norms BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 42

The Institutions that Teach Values & Morals Family School Church Media Do people recognize these influences on their choices? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 43

Discussion stoppers People disagree on solutions. ◦They also agree on many things. Who am I to judge? ◦Sometimes we have to make judgments. Ethics is a private matter. ◦Morality is essentially a public system. Morality is a matter for individual cultures. ◦Do in Rome as the Romans do. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 44

Two Morality Definitions Morality definition 1: Morality definition 1: ◦Set of guidelines for a society indicating what people are supposed to do in certain circumstances ◦Example: preserve other persons ’ lives. I.e. do not kill ◦Example: treat genders equal before the laws. E.g. do not favour an African American female over a Caucasian male, given all else being equal ◦Counterexample: Imprison someone who is Jewish. E.g. in Nazi Germany you were supposed to report a Jew hiding from the authorities/Gestapo ◦Counterexample: Buy slaves, if you need labour! I.e. holding slaves and trading of slaves like merchandise was legal in much of the world including the history of the US. Doing this was viewed as morally acceptable! Doing strange things to slaves was morally OK BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 45

Two Morality Definitions Morality definition 2: Morality definition 2: ◦Set of rules, governing how people should treat one another, acceptable to rational people; meant for their mutual benefit; provided all follow them ◦Example: I have my religion! No one may force me to adopt another religion ◦Postulating equality of right is a “ rational ” thought; yet the basis for holding any particular religion may be faith-based, not rational ◦There are pseudo-religions whose mission is to convert non-believers or else to tax them and even kill them; that is not a rational position ◦Example: I am an agnostic, and no one should be allowed to force me to become a moslem or a protestant ◦Counterexample: In early medieval Europe you had to be a member of the Catholic Church. Non-Catholics (i.e. heretics) were prosecuted, sometimes killed. It was sufficient to be deemed heretic if only some church rules were disputed by an individual BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 46

Morality Morality ◦Rules of right conduct describing how people should behave in various situations ◦Moral dilemma – When a person belongs to multiple societies with conflicting rules ◦A pacifist living by the rules of her religion may live in a country with a mandatory draft law‏ ◦What moral dilemmas have you encountered, students? Hopefully none! BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 47

Society Society ◦Association of people organized under one system of rules designed to advance the good of its members over time ◦Cooperation promotes the common good ◦People in society compete with each other to divide limited benefits among themselves BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 48

Morality Paradox Following the laws is moral --assuming the code of law was generated using rational, fair, widely acceptable principles Following the laws is moral --assuming the code of law was generated using rational, fair, widely acceptable principles Can there be multiple laws, such that some action causes one law to be kept yet the other broken? Regrettably yes! See Sophocles ’ Antigone: following God ’ s law, meant breaking the King ’ s law Can there be multiple laws, such that some action causes one law to be kept yet the other broken? Regrettably yes! See Sophocles ’ Antigone: following God ’ s law, meant breaking the King ’ s law Can there be actions that break the law, yet are moral? See the actions of Alabama black activists in the 1960, not leaving the Woolworth cafeteria counter when being denied service in the “ whites-only ” section! Can there be actions that break the law, yet are moral? See the actions of Alabama black activists in the 1960, not leaving the Woolworth cafeteria counter when being denied service in the “ whites-only ” section! Breaking the law can be moral. However, then this is strong evidence that the laws are flawed Breaking the law can be moral. However, then this is strong evidence that the laws are flawed Are any codes of law “ perfect ”, i.e. without flaw? Are any codes of law “ perfect ”, i.e. without flaw? If not, does this mean, we can break all laws, and still act morally at the same time? If not, does this mean, we can break all laws, and still act morally at the same time? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 49

Values Values - enduring beliefs that a specific mode of conduct or end state of existence is personally or socially preferable to an opposite or converse mode of conduct or end state of existence Types of values Instrumental - values that represent the acceptable behaviors to be used in achieving some end state Terminal - values that represent the goals to be achieved, or the end states of existence BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 50

Work Values Achievement (career advancement) Concern for others (compassionate behavior) Honesty (provision of accurate information) Fairness (impartiality) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 51

Cultural Differences in Values BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 52 Authority is a right of office and rank Group input is important. Decisions should be challenged. France The Netherlands

Handling Cultural Differences Learn about others’ values Avoid prejudging Operate legitimately within others ethical points of view Avoid rationalizing Refuse to violate fundamental values Be open and above board BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 53

Values, Ethics & Ethical Behavior Value Systems - systems of beliefs that affect what the individual defines as right, good, and fair Ethics - reflects the way values are acted out Ethical behavior -acting in ways consistent with one’s personal values and the commonly held values of the organization and society. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 54

Four views of ethical behavior. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 55

Qualities Required for Ethical Decision-making BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 56 The competence to identify ethical issues and evaluate the consequences of alternative courses of action The self-confidence to seek out different opinions about the issue and decide what is right in terms of a situation Tough-mindedness--the willingness to make decisions when all that needs to be known cannot be known and when the ethical issue has no established, unambiguous solution

Individual/Organizational Model of Ethical Behavior BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 57 Individual Influences Value systems Locus of control Machiavellianism Cognitive moral development Organizational Influences Codes of conduct Norms Modeling Rewards and punishments Ethical Behavior

Machiavellianism Machiavellianism - A personality characteristic indicating one’s willingness to do whatever it takes to get one’s own way BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 58

Cognitive Moral Development Cognitive Moral Development - The process of moving through stages of maturity in terms of making ethical decisions BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 59 Level l Premoral Level ll Conventional Level lll Principled

Cognitive Moral Developments and Moral Reasoning The thinking processes involved in judgments about questions of right and wrong. Kohlberg’s work (’63, ’75, ’81): Divided moral development into three levels Pre-conventional ◦Judgment based solely on a person’s own needs and perceptions Conventional ◦Expectations of society and law are taken into account Post-Conventional ◦Judgment based on abstract, personal principles not necessarily defined by society’s laws. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 60

Kohlberg’s Work Stage 1 (Pre conventional) ◦Punishment-obedience orientation ◦Fear of authority and avoidance of punishment are reasons for behaving morally. Stage 2 (Pre conventional) ◦Personal reward orientation ◦Satisfying personal needs determines moral choice. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 61

Kohlberg’s Work Stage 3 (Conventional) ◦Good boy-nice girl orientation ◦Maintaining the affection and approval of friends and relatives motivates good behavior Stage 4 (Conventional) ◦Law and order/authority orientation ◦A duty to uphold rules and laws for their own sake justifies moral conformity BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 62

Kohlberg’s Work Stage 5 (Post conventional) ◦Social contract orientation ◦We obey rules because they are necessary for social order, but rules can be changed if there were better alternatives Stage 6 (Post conventional) ◦Morality of individual principles and conscience ◦Behavior which conforms to internal principles (justice and equality) and may sometimes violate society’s rules. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 63

The Heinz Dilemma A man’s wife is dying. There is one drug that could save her life, but it is very expensive, and the druggist who invented it will not sell it at a price low enough for the man to buy it. Finally, the man becomes desperate and considers stealing the drug for his wife. What should he do and why? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 64

Gilligan’s Theory: Based on two observational studies. Study One: 25 college students and Study Two: 29 women considering abortion BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 65 “shift[s] the focus of attention from ways people reason about hypothetical dilemmas to ways people construct moral conflicts and choice in their lives...and [makes] it possible to see what experiences people define in moral terms, and to explore the relationship between the understanding of moral problems and the reasoning strategies used and the actions taken in attempting to solve them.” Gilligan, 1987, p.21

Carol Gilligan Theory BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 66 Moral reasoning is delimited by two moral perspectives that organize thinking in different ways. The are two perspectives with justice uncaring and caring unjust that provide a different method of organizing the basic elements of moral judgment into: self, others, and the relationship between them. (Gilligan, 1987, p.22) Men: define morality in terms of justice. (Males = typically a justice/rights orientation) Women: less in terms of rights and more in terms of standards of responsibility and care. (Females = care response orientation) Orientations arise form rational experiences of inequality and attachment Girls attached to and identify with mothers Boys attached to mothers and identify with fathers Response orientation is of a higher order than justice rights orientation

Gilligan Stage Sequence Moral Development BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 67 Three levels with transitional phases between each: Level One: Level One: Complete concern for self (Individual Survival). Transitional Phase: From self to care and concern for others.

Level Two BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 68 Level Two: Primary interest in the care of others (to gain their acceptance) (Self sacrifice and Social conformity). Transitional Phase: awareness of self relative to developing relationships with others: responsibility toward their care and needs.

Level Three BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 69 Level Three: Nonviolence and universal caring. “articulates an ethic of responsibility that focuses on the actual consequences of choice,,,the criterion of adequacy or moral principles changes from objective truth to ‘best fit’, and can only be established within the context of the dilemma itself.” Murphy and Gilligan, 1980, p.83

Good Points about Gilligan Theory The theory promotes:  Concept of care giving and nurturing  Relationship of self to others, responsibility  Empathy  Effect on environment BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 70

 Lose your wealth and you have lost nothing.  Lose your health and you have lost something.  Lose your integrity and you have lost everything. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 71 Integrity

BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 72 Is the inner voice that warns us Somebody is Looking

Integrity BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 73 Don’t compromise yourself It’s you all got have

Rather fail with honor BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 74 Than succeed by fraud

What you are BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 75 Is more important than what you say

Real integrity BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 76 Is more important that what you say Stays in place Whether the test is Adversity Or Prosperity

It is better… BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 77 Is more important that what you say To deserve Honors And not have them Than to have them And Not deserve them

Stand up for what is right BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 78 Is more important that what you say Even if you are standing alone

“Integrity is taking only ONE cookie when no one would know if you took TWO” DENNIS THE MENACE BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 79

“In public, as in private life, I am persuaded that HONESTY will forever be found to be the best policy” GEORGE WASHINGTON BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 80

People will forget what you said, People will forget what you did, But people will never forget How you made them feel. MAYA ANGELOU BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 81

7 Things People with integrity do BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 82

1: Doing What We Say We Will do A person of integrity keeps his/her word Example: You tell your friend, “Hey, I’ll meet you at Skate City tomorrow at 5:00.” You find out that your mom can’t give you a ride. What would a person of integrity do? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 83

“Abraham Lincoln Keeps His Promises” Abraham Lincoln, who became the sixteenth president of the United States, once traveled in a stagecoach with a military man, a colonel, from the state of Kentucky. “After riding a number of miles together, the colonel took a bottle of whiskey out of his pocket, and said, ‘Mr. Lincoln, won’t you take a drink with me?’ “Mr. Lincoln replied, ‘No, Colonel, thank you, I never drink whiskey.’ They rode along together for a number of miles more, visiting very pleasantly, when the gentleman from Kentucky reached into his pocket and brought out some cigars, saying, ‘Now, Mr. Lincoln, if you won’t take a drink with me, won’t you take a smoke with me? …’ “And Mr. Lincoln said, ‘Now Colonel, you are such a fine, agreeable man to travel with, maybe I ought to take a smoke with you. But before I do so, let me tell you a little story—an experience I had when a small boy.’ And this was the story: BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 84

“‘My mother called me to her bed one day when I was about nine years old. She was sick, very sick, and she said to me, “Abey, the doctor tells me I am not going to get well. I want you to promise me before I go that you will never use whiskey or tobacco as long as you live.” And I promised my mother I never would. And up to this hour, Colonel, I have kept that promise. Now would you advise me to break that promise to my dear mother, and take a smoke with you?’ … “‘No, Mr. Lincoln, I wouldn’t have you do it for the world. It was one of the best promises you ever made. And I would give a thousand dollars today if I had made my mother a promise like that, and kept it as you have done’” BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 85

2: Taking Responsibility A person of integrity is willing to be totally responsible for his/her actions. This means that a person of integrity does not blame other people for things Example: I drop my mom’s favorite glass, and my little brother is right next to me. What would a person of integrity do? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 86

George Washington and the Cherry Tree When George was about six years old, he was made the wealthy master of a hatchet of which, like most little boys, he was extremely fond. He went about chopping everything that came his way. One day, as he wandered about the garden amusing himself by hacking his mother's pea sticks, he found a beautiful, young English cherry tree, of which his father was most proud. He tried the edge of his hatchet on the trunk of the tree and barked it so that it died. Some time after this, his father discovered what had happened to his favorite tree. He came into the house in great anger, and demanded to know who the mischievous person was who had cut away the bark. Nobody could tell him anything about it. Just then George, with his little hatchet, came into the room. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 87

"George,'' said his father, "do you know who has killed my beautiful little cherry tree yonder in the garden? I would not have taken five guineas for it!'' This was a hard question to answer, and for a moment George was staggered by it, but quickly recovering himself he cried: "I cannot tell a lie, father, you know I cannot tell a lie! I did cut it with my little hatchet.'' The anger died out of his father's face, and taking the boy tenderly in his arms, he said: "My son, that you should not be afraid to tell the truth is more to me than a thousand trees! Yes - though they were blossomed with silver and had leaves of the purest gold!' BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 88

3: Taking care of ourselves A person of integrity can support him/herself, and doesn‘t depend on other people for everything. This includes taking care of your needs and stay physically fit and have enough money. Example: Mom has been giving me lunch money all my life, but now I have a job. What would a person of integrity do? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 89

The Grasshopper and the Ants In a field one summer's day a grasshopper was hopping about, chirping and singing to its heart's content. A group of ants walked by, grunting as they struggled to carry plump kernels of corn. "Where are you going with those heavy things?" asked the grasshopper. Without stopping, the first ant replied, "To our ant hill. This is the third kernel I've delivered today." "Why not come and sing with me," teased the grasshopper, "instead of working so hard?" "We are helping to store food for the winter," said the ant, "and think you should do the same." "Winter is far away and it is a glorious day to play," sang the grasshopper. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 90

But the ants went on their way and continued their hard work. The weather soon turned cold. All the food lying in the field was covered with a thick white blanket of snow that even the grasshopper could not dig through. Soon the grasshopper found itself dying of hunger. He staggered to the ants' hill and saw them handing out corn from the stores they had collected in the summer. He begged them for something to eat. "What!" cried the ants in surprise, "haven't you stored anything away for the winter? What in the world were you doing all last summer?" "I didn't have time to store any food," complained the grasshopper; "I was so busy playing music that before I knew it the summer was gone." The ants shook their heads in disgust, turned their backs on the grasshopper and went on with their work BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 91

4: Thinking of the big picture People of integrity think of how everyone else around them is doing. They often ask the question, “Is this good for everyone, or just me?” Example: Johnny is excited because he learned how to make fart noises with his mouth. He gets into class and everyone is writing. What would a person of integrity do? What philosopher said “The needs of the many outweigh the needs of the few? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 92

5: Respecting others A person of integrity will “think of other people as better than him/herself,” give other people honor, and expect to receive from other people. Example: A kid sits next to you whom you never talked to before. You saw him with another kid that has been mean to you before. What would a person of integrity do? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 93

Father Flanagan In 1917, Father Flanagan opened an orphanage in Omaha called boys town. He understood that mistreated or orphaned children were at a high risk of turning to delinquency and crime. Boys town rapidly filled up with the arrival of additional children some of which even wandered off the streets and through the home’s unlocked doors of their own accord. Father Flanagan believed that :there are no bad boys. There is only bad environment, bad training, bad example, and bad thinking.” By treating children kindly and with respect, boys town continues Flanagan’s work today by saving children and healing families today. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 94

6: Checking the mirror A person of integrity looks at themselves, and always wants to improve him/herself. Also, a person of integrity can admit when something is wrong with him/her. Example: Johnny’s friends tell him that he cusses to much. What would a person of integrity do? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 95

A Tortoise, lazily basking in the sun, complained to the sea-birds of her hard fate, that no one would teach her to fly. An Eagle, hovering near, heard her lamentation and asked what reward she would give him if he would take her aloft and float her in the air. “I will give you,” the Tortoise said, “all the riches of the Red Sea.” “I will teach you to fly then,” said the Eagle; and taking her up in his talons he carried the Tortoise almost to the clouds. Suddenly the Eagle let the Tortoise go, and she fell on a lofty mountain, dashing her shell to pieces. The Tortoise exclaimed just before she died: “I have deserved my present fate; why did I think I was meant for wings and clouds, when I have such difficulty moving about on the earth? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 96

7: Stand up for what is right and wrong A person of integrity will live the truth, what is right, no matter what other people do or say. A person of integrity will stand up and speak if something wrong is happening. Example: All of Johnny’s friends are smoking cigarettes behind the school. They want him to join in. What would a person of integrity do? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 97

The Dog and the Wolf A gaunt Wolf was almost dead with hunger when he happened to meet a House-dog who was passing by. "Ah, Cousin," said the Dog. "I knew how it would be; your irregular life will soon be the ruin of you. Why do you not work steadily as I do, and get your food regularly given to you?” "I would have no objection," said the Wolf, "if I could only get a place.” "I will easily arrange that for you," said the Dog; "come with me to my master and you shall share my work.” BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 98

So the Wolf and the Dog went towards the town together. On the way there the Wolf noticed that the hair on a certain part of the Dog's neck was very much worn away, so he asked him how that had come about. "Oh, it is nothing," said the Dog. "That is only the place where the collar is put on at night to keep me chained up; it chafes a bit, but one soon gets used to it.” "Is that all?" said the Wolf. "Then good-bye to you, Master Dog." Better starve free than be a fat slave. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 99

Leadership - what is it? “influencing people so that they will strive willingly towards the achievement of group goals” 1 1 Koontz, H. and C. O’Donnell. “Management: A System of Contingency Analysis of Managerial Functions”. McGraw-Hill, New York, 1976. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 100

Leadership Ethics Description Has to do with what leaders do and who leaders are It is concerned with the nature of the leaders’ behavior and their virtuousness In any decision-making situation, ethical issues are either implicitly or explicitly involved What choices leaders make and how they respond in a particular circumstance are informed and directed by their ethics BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 101 Ethics & Leadership

Centrality of Ethics to Leadership Influence dimension of leadership requires the leader to have an impact on the lives of followers Power and control differences create enormous ethical responsibility for leader’s Respect for persons – sensitive to followers’ own interests, and needs Leaders help to establish and reinforce organizational values – an ethical climate BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 102

Analysis of leadership effectiveness 1.Define and measure some criteria of organizational effectiveness 2.Assess leadership style of organization’s leaders 3.Attempt to correlate organizational performance with leadership styles BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 103

How important is a leader? In most cases, people will perform at about 60% of their potential with no leadership at all Thus, an additional 40% can be realized if effective leadership is available BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 104

40% 60% capability utilization Contribution due to leadership ability of manager Default contribution due to need for a job, peer pressure, etc. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 105

The 2 dimensions of management 1.Economic or productivity-based  “concern for production” 2.Employee condition and morale  “concern for people” BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 106

The 2 dimensions of management These can also be thought of as: 1.Initiating structure (get it done) 2.Consideration (human condition) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 107

Initiating structure Consideration X X XX Styles of leadership BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 108 X

Styles of leadership BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 109 concern for production  concern for people  Laissez-faire Leader (L) Benevolent Leader (Y) Autocratic Leader (X) Team Leader (Z) 9 1

Which style of leadership works best? Team Leader (Z) has proven to be the most effective in general (9,9) Requires a “balancing act” of getting things done and having a genuine concern for people Certain special situations may require other styles (i.e. making the atom bomb) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 110

Theory “L”: Laissez-faire leader Uninvolved - “leave them alone” Sees main role as passer of information Lets others make decisions Basically abdicates responsibility for team or unit BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 111

Theory “X”: Autocratic leader Lacks flexibility Controlling and demanding “carrot and stick” approach Focused solely on productivity BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 112

Theory “Y”: Benevolent leader Very people oriented; encouraging Organizes around people Can be paternalistic “country club” atmosphere: non-competitive BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 113

Theory “Z”: Team leader Balances production and people issues Builds a working team of employees Team approach: involves subordinates Organization is a vehicle for carrying out plans BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 114

Two Types of Leaders Transformational Leaders: ◦Getting the desired outcomes by encouraging personal change in the follower Transactional Leaders: ◦Getting desired outcomes by encouraging compliance using external resources as an exchange BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 115

Ethical Leadership Ethical Knowledge: Codes, rules, knowing right from wrong Ethical Courage: Execution in the midst of pressure Ethical Conduct: Behavior that aligns with knowledge BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 116

Results of leadership styles 1.Theory L: “missing management”  Very low productivity 2.Theory X: “my way or the highway”  Job stress; low satisfaction; unions form 3.Theory Y: “country club”  Low achievement; good people leave 4.Theory Z: “good manager”  High productivity, cooperation, low turnover, employee commitment BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 117

Origins of leadership ◦BOTH. Evidence that both inherent personality and environment are factors\ What kind of leader would you be? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 118 Are leaders born or made?

Diverse Perspectives of Leadership Emphasizes how leaders help followers to confront conflicting values & to effect change from conflict ◦Ethical perspective that speaks directly to – ◦Values of workers ◦Values of organizations and the communities in which they work ◦Leaders use authority to mobilize followers to ◦Get people focused on issues ◦Act as a reality test regarding information ◦Manage and frame issues ◦Orchestrate conflicting perspectives ◦ Facilitate the decision-making process BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 119 Heifetz’s Perspective

Diverse Perspectives of Leadership Emphasizes how, cont’d. ◦Leaders use authority to mobilize followers to ◦Get people focused on issues ◦Act as a reality test regarding information ◦Manage and frame issues ◦Orchestrate conflicting perspectives ◦ Facilitate the decision-making process ◦Leader provides a holding environment, a supportive context in which there is – ◦Trust, nurturance & empathy ◦Leaders duties – ◦Assist the follower in struggling with change and personal growth BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 120 Heifetz’s Perspective

Diverse Perspectives of Leadership Theory of Transformational Leadership ◦Strong emphasis on followers’ needs, values & morals ◦Leaders help followers in their personal struggles concerning conflicting values ◦Stressing values such as: ◦Liberty ◦Justice ◦Equality BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 121 Burn’s Perspective

Diverse Perspectives of Leadership Theory of Transformational Leadership, cont’d. ◦Connection between leader & follower ◦Raises level of morality of both ◦Leader’s Role ◦Assist followers in assessing their values & needs ◦Help followers to rise to a higher level of functioning BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 122 Burn’s Perspective

Diverse Perspectives of Leadership Servant Leadership – has strong altruistic ethical overtones Leaders – ◦focus on & attentive to needs of followers ◦empathize with followers ◦take care of and nurture followers BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 123 Greenleaf’s Perspective

Diverse Perspectives of Leadership Leader has a social responsibility to be concerned with “have-nots” in the organization and: ◦Remove inequalities & social injustices ◦Uses less institutional power ◦Uses less control ◦Shifts authority to followers BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 124 Greenleaf’s Perspective

Diverse Perspectives of Leadership Servant Leadership Values: ◦Involvement ◦Respect ◦Trust ◦Individual strength Follower Needs ◦Become more knowledgeable ◦More autonomous ◦Become more like servants BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 125 Greenleaf’s Perspective – Listening – Empathy – Unconditional acceptance

Diverse Perspectives of Leadership Includes wide range of concepts focused on: ◦Identifying attributes of service leadership ◦Examining conceptual frameworks of servant leadership ◦Developing instruments to measure servant leadership BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 126 Recent Research – 1999-2002

Ethical Leadership BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 127

Principles of Ethical Leadership BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 128  Ethics - is central to leadership because of: – The process of influence – The need to engage followers to accomplish mutual goals – The impact leaders have on establishing the organization’s values

Principles of Ethical Leadership Leader shall: ◦Treat other people’s values and decisions with respect ◦Allow others to be themselves with creative wants and desires ◦Approach others with a sense of unconditional worth and value individual differences BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 129 Respects Others  Leader behaviors: - Listens closely to subordinates - Is empathic - Is tolerant of opposing viewpoints Treating others as ends (their own goals) rather than as means (to leaders’ personal goals)

Principles of Ethical Leadership  Leader’s have - ◦A duty to help others pursue their own legitimate interests and goals ◦To be stewards of the organization’s vision; in serving others they: clarify, nurture, and integrate the vision with, not for, organization members ◦An ethical responsibility to make decisions that are beneficial to their followers’ welfare BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 130 Follower-centered - Based on the altruistic principle of placing followers foremost in the leader’s plans  Leader behaviors Mentoring behaviors Empowerment behaviors Team building behaviors Citizenship behaviors Serves Others

Principles of Ethical Leadership  Leader’s shall – ◦adhere to principles of distributive justice  Leader behaviors ◦All subordinates are treated in an equal manner ◦In special treatment/special consideration situations, grounds for differential treatment are clear, reasonable, and based on sound moral values BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 131 Ethical leaders are concerned with issues of fairness and justice; they place issues of fairness at the center of their decision making Shows Justice

Principles of Ethical Leadership BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 132

Principles of Ethical Leadership  Leaders: ◦Are not deceptive ◦Tell the truth with a balance of openness and candor while monitoring what is appropriate to disclose in a particular situation BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 133 Honest leaders are authentic but also sensitive to the feelings and attitudes of others  Leader behaviors – Don’t promise what you can’t deliver – Don’t suppress obligations – Don’t evade accountability – Don’t accept “survival of the fittest” pressures – Acknowledge and reward honest behavior in the organization Manifests Honesty

Principles of Ethical Leadership Concern for common good means leaders cannot impose their will on others; they search for goals that are compatible with everyone. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 134  Ethical Leaders & Followers  take into account purposes of everyone in the group, and  reach out beyond their own mutually defined goals to wider community  Leader behaviors – Takes into account purposes of everyone in the group – Is attentive to interests of the community and culture – Does not force others or ignore intentions of others BuildsCommunity

Perspectives in Global leadership The GLOBE’s universal definition of Leadership: ◦“the ability of an individual to influence, motivate, and enable others to contribute toward the effectiveness and success of the organizations of which they are members.” Effective multinational leadership is more challenging than being a good domestic leader. Widely different leadership styles may be equally effective in reaching goals in various cultures. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 135

Global Leadership: The New Breed The Global Leader must have the skills and abilities to interact with and manage people from diverse cultural backgrounds in their multinational organization. Characteristics of a global leader: ◦Cosmopolitan ◦Skilled at intercultural communication ◦Culturally sensitive ◦Capable of rapid acculturation BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 136

Global Leadership: Characteristics Characteristics of a global leader: (cont’d) ◦A facilitator of subordinates’ intercultural performance ◦A user of cultural synergy ◦A promoter and user of the growing world culture ◦Emotionally intelligent BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 137

The Functions of Leadership in Organization “Leadership is a process of social influence in which one person is able to enlist the aid and support of others in the accomplishment of a common task.” Key points: ◦Leadership is a group activity. ◦Leadership is based on social influence. ◦Leadership revolves around a common task. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 138

The Functions of Leadership in Organization The specification seems simple, but the reality of leadership is complex. ◦Intrapersonal factors (i.e., thoughts and emotions) interact with; ◦Interpersonal processes (i.e., attraction, communication, influence) to have effects on; ◦A dynamic external environment. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 139

Organizational Functions Groups and organizations are by nature inefficient. If one person could accomplish a job, the creation or assignment of a group would not be warranted. Groups require coordination of the efforts of their members. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 140

Organizational Functions The time and energy spent in that coordination are diverted from productive activity. Organizations, which are groups of groups, demand even greater resources applied to coordination. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 141

Organizational Functions But, most of the productive activities in society cannot be accomplished by individuals. Organizations are essential to the realization of the goals of productive endeavor, and leaders are essential to organizational coordination. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 142

Organizational Functions Internal maintenance. ◦The primary function that an organization must achieve is the regularization of activities to provide a stable base for productive operation ◦Reliability – recurrent events are responded to in the same way every time they occur. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 143

Organizational Functions Internal maintenance (contd.). ◦Predictability – members of the organization know what is likely to occur and when. ◦Accountability – reliability and predictability allows leaders to allocate responsibility for errors and identify methods of correction. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 144

Organizational Functions External adaptability. ◦Organizations must know what is going on around them and adapt to changes in the environment. ◦Sensitivity. ◦Flexibility. ◦Responsiveness. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 145

Organizational Functions Balancing contradictory demands. ◦Problem: procedures that ensure reliability and predictability reduce flexibility and responsiveness. ◦Organizational survival is a question of balance. ◦Organizations with stable environments will benefit from the efficiencies of regularized processes. ◦Organizations with competitive, unstable environments will need to sacrifice reliability to enhance responsiveness. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 146

The Organizational Functions of Leadership Leadership is a process of social influence through which one person is able to enlist the aid of others in reaching a goal. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 147

The Organizational Functions of Leadership In an orderly, structured, and well-understood environment, the primary responsibilities are guidance and motivation. ◦Assign people to tasks or responsibilities, to outline what is expected, and to facilitate and encourage goal attainment. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 148

The Organizational Functions of Leadership In a less orderly environment calling for external adaptability, the crucial functions are problem solving and innovation. ◦The leader must create the kind of atmosphere that encourages sensitivity, flexibility, and creativity. ◦The leader must be a change agent. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 149

Status Differentiation The concept of leadership implies a differentiation of authority and responsibilities between group members. This differentiation is known as status. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 150

The Functions of Status Bestowal Positive functions. ◦The elevation of competence. ◦The assignment of authority. ◦The distribution of rewards. ◦The modeling of normative expectancies. ◦The facilitation of innovation. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 151

The Functions of Status Bestowal Negative functions. ◦Means-end reversal (status for its own sake). ◦Distortion of communication. ◦Rigidification of the status structure. ◦Primogeniture. ◦Territoriality, cronyism, and petty competition. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 152

The Cultural Evolution of Effective Leadership The desirability of leadership characteristics will be influenced by social context. Every culture (whether religious, national, or organizational) prescribes which behaviors are normative in a social context. Culture is the way in which a social unit adapts to its environment over time. ◦The culture is first determined by external adaptability, then internal maintenance processes are brought into coherence. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 153

The Cultural Evolution of Effective Leadership Examples: if climate or lack of arable land make hunting and gathering more feasible than agriculture, hunting and gathering will tend to be adopted as the primary means of subsistence. Hunting and gathering cultures must encourage cooperation while developing independent and resourceful members. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 154

The Cultural Evolution of Effective Leadership Democratic political structures (e.g., tribal councils) and egalitarian religious systems help to encourage the growth of self-sufficient and cooperative group members. An unpredictable supply of food makes creativity in resource use important and making sharing necessary to reduce the problems of temporary shortages. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 155

The Cultural Evolution of Effective Leadership A premium on cooperation and a penalty for competition. Leadership is situational (temporary roles for particular tasks) or generalized (roles determined by progress through the life cycle). BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 156

The Cultural Evolution of Effective Leadership The transition to horticulture increased the opportunities for the society to exploit its environment to generate surpluses. Created a type of semiegalitarian leadership called managerial leadership with power over redistribution of goods and services. ◦Primary skills are persuasion and negotiation. The redistributor model may lead to more autocratic structures. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 157

The Cultural Evolution of Effective Leadership Large scale agrarian societies tend to develop hierarchical power structures and restrict access to leadership roles. Agrarian economies place a primary premium not on resourcefulness but on reliability. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 158

The Cultural Evolution of Effective Leadership The most prized personality trait of the masses is obedience. Autocratic leadership style, high on direction and low on participation combined with “benevolent paternalism.” BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 159

The Cultural Evolution of Effective Leadership Many modern organizations reflect the experiences of the hunter-gatherer or agrarian cultures. Organizations with complex and unpredictable environments draw on hunter-gatherer leadership structures. Organizations with stable and predictable environments more closely reflect agrarian societies. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 160

Early Research on Leadership Exactly what should leaders do to be effective? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 161

Popular Conceptions of Ideal Leadership Throughout human history, social and political observers have recognized the importance of leadership and have contemplated the most appropriate form it should take. ◦Generally the beliefs of social philosophers, practitioners of leadership, or the followers who observe leadership. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 162

Popular Conceptions of Ideal Leadership Views reflect either an overarching philosophical position (Plato or Hobbes) or principles derived through the observation of exemplary leaders of the past (Macchiavelli or Confucius). The discussions usually reflect the influence of strong cultural assumptions about the bases of human nature (individualism in Europe; collectivism in Asia) and by contemporary political struggles or global economic trends. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 163

Popular Conceptions of Ideal Leadership Most discussions are normative (ought to) rather than descriptive (is). Best use may be in reflecting how societal values affect leadership patterns. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 164

Popular Conceptions of Ideal Leadership Modern organizational example: Bennis and Nanus (1985). ◦Unstructured interviews with purposive sample of 60 private and 30 public leaders with exemplary reputations. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 165

Popular Conceptions of Ideal Leadership Four strategies for effective leaders (Bennis and Nanus). ◦The articulation of a compelling vision. ◦Communication of the vision with a clarity and vibrancy that creates a “shared” meaning. ◦Leaders must be seen as trustworthy by adopting an unwavering commitment to the vision. ◦Successful leaders are able to make the fullest use of their personal resources of intelligence, energy, and commitment because they are confident about their capabilities and optimistic about the eventual success of their efforts. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 166

Popular Conceptions of Ideal Leadership Modern conception of a leader. ◦Inspiring goal or inspiring way of describing a goal. ◦Trustworthy, honest, and fair. ◦Confident, optimistic, and energetic. Most popular views of leadership are uniform across all situations. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 167

Early Research in Leadership The search for the leadership trait. ◦A common historical view of leadership has been that there is something about the leader as a person that provides unique qualifications for that person’s ascendancy. ◦Thomas Carlyle – “Great Man Theory” of leadership – great leaders are possessed of some special trait or characteristic that allowed them to rise to positions of prominence regardless of setting or situation. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 168

Early Research in Leadership The search for the leadership trait (contd.). ◦Early work on intelligence led to the analysis of individual traits in psychology. ◦From the early 1900s to the Second World War, trait investigations were the dominant research strategy in leadership. ◦Reputation, position, biography, case study. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 169

Early Research in Leadership The search for the leadership trait (contd.). ◦Stodgill’s survey of trait studies (1948). ◦All traits studied were related to leadership to some degree, but none was sufficiently or universally associated with leadership enough to explain leadership emergence or predict who might become a leader. ◦Weak support for traits associated with capacity or ability, achievement, responsibility, participation. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 170

Early Research in Leadership The search for the leadership trait (contd.). ◦Stodgill – “A person does not become a leader by virtue of the possession of some combination of traits, but the pattern of personal characteristics of the leader must bear some relevant relationship to the characteristics, activities, and goals of the followers. Thus, leadership must be conceived in terms of the interaction of variables which are in constant flux and change... the persistence of individual patterns of human behavior in the face of constant situational change appears to be the primary obstacle encountered not only in the practice of leadership, but in the selection and placement of leaders. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 171

The Search for Effective Leader Behaviors Leadership styles. ◦Kurt Lewin – democrat leadership styles generated greater satisfaction than autocratic or laissez faire styles. ◦Lippitt and White – Autocratic groups are more productive, but only when the leader is present. ◦Subsequent research – Related to characteristics of the followers. Employees high on authoritarianism and low on independence worked better with authoritarian leadership; while the opposite preferred democratic leadership styles. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 172

The Search for Effective Leader Behaviors Identifying leader behavior patterns. ◦Shartle (Ohio State); Kahn and Katz (University of Michigan); Bales and associates (Harvard University); Couch and Carter. ◦General conclusions – two distinctive styles of leadership behavior. ◦One pattern focused on accomplishing the assigned task by organizing and directing the work of others. ◦The other pattern attempted to maintain a positive emotional interpersonal atmosphere among the group members. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 173

The Search for Effective Leader Behaviors Relating leader behavior to organizational outcomes. ◦Leader behavior was generally related to both successful outcomes and satisfaction, but the relationships are inconsistent and noncontinuous. ◦Direction of causality not clear. Do behaviors cause outcomes or do outcomes influence behavior? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 174

Situational Factors in Leadership Not studied consistently, but some studies concluded that aspects of the context in which the leader functioned could have important effects on leadership emergence and subsequent behavior. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 175

Situational Factors in Leadership Hemphill argued that the motivation to attempt to assert influence in groups, that is, to lead, depends on: ◦The person must believe that the influence attempts will be accepted by other group members; ◦The potential leader must perceive a sufficiently high probability that they will be able to accomplish the task or achieve the goal. ◦The leader must feel that the rewards of goal attainment will be attractive and worthwhile. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 176

Situational Factors in Leadership Central location in the communication chain is critical. Influence attempts that receive the support of other group members. Previous leader’s behavior. The type of task to be performed. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 177

Conclusions Simple answers involving traits, behaviors, and styles are unlikely to explain the leadership dynamic. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 178

Conclusions Traits: stable personal dispositions have influence. Situation: leader’s position in the organization; The policies, procedures, and climate of the organization; Societal culture. ◦Variations in immediate situation. ◦Follower’s acceptance and support. ◦Nature of the group’s task. ◦Authority relationships. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 179

A Preview of the Integrative Model Effective leadership consists of three functions: ◦Image management. ◦Relationship development. ◦Resource utilization. Success is determined by the “match” principle. ◦Image matches templates. ◦Relationships matches needs and expectations. ◦Strategies match the demands of the environment. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 180

Different Views of Leadership BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 181

Management Versus Leadership BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 182

Summary on leadership Learn to identify style of your manager If possible, seek a Theory Z environment ◦More common in recent years Get management training Inherent leadership styles can be changed, but takes effort BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 183

Governance Governance consists of the traditions and institutions by which authority in a country is exercised, including: the process by which governments are selected, monitored and replaced; the capacity of the government to effectively formulate and implement sound policies; and the respect of citizens and the state for the institutions that govern economic and social interactions among them. Worldwide governance indicators for governments (World Bank): - Voice and Accountability - Political Stability and absence of violence - Government effectiveness - Quality of regulation - Rule of law and - Control of corruption BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 184

Corporate Governance Corporate governance is about the way in which boards oversee the running of a company by its managers, and how board members are in turn accountable to shareholders and the company, and this impacts on the company behavior towards employees, shareholders, customers, banks and other stakeholders. Corporate governance is concerned with processes, procedures, systems and practices (formal and informal rules) that govern institutions, the manner in which these rules and regulations are applied and followed and the relations they create in organisations. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 185

Good corporate governance G ood governance is founded upon the attitudes, ethics, practices and values of the society regarding: - Accountability (leadership that can account) - Efficiency and effectiveness (leadership results) - Probity and integrity (leadership that is honest, faithful and diligent) - Responsibility (leadership that is capable, representative, responsible and conscious of their obligations) - Transparent and open leadership with accurate and timely disclosure of information regarding the performance of the entire organisation. Good governance affects the entire organizational cycle of strategic planning, resource utilization, value creation, accountability, and assurance. It needs to be built in all aspects of the organisation. Governance is not just a compliance exercise but a driver to sustainable performance of an organisation. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 186

Post 2000 Environment: Weaknesses in Corporate Governance Risk management ◦ poor track record and how the information from the risk management process was used in the organisation/market. Boards should monitor management practices and make changes as needed. ◦ Monitoring of governance by boards includes continuous review of internal structures of the organisation to ensure clear lines of accountability throughout the organisation. ◦ More attention paid by boards to internal controls regarding financial reporting and not the broader context of enterprise risk management. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 187

◦ Shortcomings in the board oversight of risk management which requires good knowledge of the market and ability to foresee future prospects of the business, hence inability of the board to identify significant risks. ◦ Lack of or inadequate comprehensive and coordinated approach by management to assess firmwide risk exposure to the organisation. ◦ Transmission of risk information through effective channels in the organisation not effective. A survey by KPMG (2008) shows nearly 150 UK audit committee members and over 1,000 globally only 46% were satisfied their company had an effective process to identify potential significant risks affecting their organisation and only 38% were satisfied with the risk reports they receive from management. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 188

◦There are concerns over the culture, tone and incentives underlying the company’s risk environment. ◦There is need for board and audit committees to improve their effectiveness in addressing risks that may be driven by the company’s incentive compensation structures for instance executives remuneration closely followed with performance. ◦Shortcomings in the comprehensiveness of the approach to transmitting risk information especially where the silo approach to risk is used as opposed to ERM. ◦Risk management not being embedded in all aspects of the organisation. Risk management should be the responsibility of every manager and should form part of decision making at all levels in the organisation. It should be transparent and all inclusive involving all stakeholders and decision makers. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 189

◦Risk management information not always available or accurate to the board to enable their effective oversight of the organisation. Accurate, relevant and timely information is required. Some organisations have Chief Risk Officers (CRO) to link the risk management process and the board. ◦Quality of board members - competence of board members, skills mix etc to enable the boards exercise objective, independent judgment on corporate affairs. ◦Supervisory boards inability to respond to changing business models. Board members need to have appropriate skills at appointment and thereafter remain abreast with relevant laws, regulations and changing risks either through in house training or external courses. ◦Internal communication mechanisms should be established to communicate risk information. ◦ It is good practice for boards to develop and disclose a remuneration policy statement covering board and key executives. Such a policy specifies the relationship between remuneration and performance and should include measurable standards that emphasize the long term interests of the organisation and shareholders over short term considerations. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 190

Ethical behaviour shows that an organisation considers the moral dimensions of its activities and how it ought to be acting. Implications of businesses acting ethically: ◦adapting business behaviour; responding to ethical pressures; implementing ethical practices; ◦influence of stakeholders and pressure groups; impact on competitiveness; reputation; public image; ◦ethical trade; value-added; complying with relevant legislation and codes of practice BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 191 Business Ethics

Social implications of business ethics  Ethics in finance, e.g. bribery, executive pay, insider trading, lobbying;  ethics in human resource management, e.g. discrimination, worker surveillance;  ethics in production, e.g. animal testing, genetically modified (GM) foodstuffs, planned obsolescence;  ethics in sales and marketing, e.g. spamming, product placement, green washing  ethics in intellectual property e.g. software piracy, counterfeiting, peer-to-peer file sharing. Implications:  global, e.g. environment  corporate, e.g. legal and regulatory compliance, policies and practices  individual (employee, consumer) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 192

Ethical concerns in dealing with different communities ◦local; regional; national; global; pressure groups, e.g. Greenpeace, Friends of the Earth; ◦impact of overseeing bodies, e.g. Government, United Nations, European Union, World Trade Organization (WTO), World Health Organization (WHO) Issues ◦corporate social responsibility; globalisation; cultural imperialism; ecology; environment; fair trade; corruption; child labour; outsourcing; personal attitudes; whistle blowing, cross cultural management BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 193

CORPORATE GOVERNANCE Ethics Culture in organisations ◦ Disclosure of non-financial information is key to give the whole story of the business ◦ Promoting ethical values in the business through enforcement of the code of ethics and code of conduct ◦ Everybody in the organisation has a responsibility for promoting the ethics culture in the organisation ◦ Ethics needs to be incorporated in the processes and procedures ◦ Regulation for ethics should be standard across the entire organisation (global) rather than country specific in group company or multi location situations BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 194

Ethics Culture in organisations ◦ Application of the code of ethics ensures consistency in application of ethical behaviors and enhances ownership in the entire organisation ◦ More transparent enforcement of the code is required ◦ Implementation of the code requires support in the organisation through ethics training, ethics tools, ethics framework, ethics coaching ◦ More ethics education is required at the grassroots and the lower levels in the organisation ◦ The best way to promote ethics behavior is by ‘leading by example’ or ‘walk the talk’ ◦ Governance structures should promote the ethics culture BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 195

Lessons from the Global Crisis ◦ Need for a mechanism to address ethical issues in business (economic pressures can lead to unethical behavior) ◦ If an organisation practices ethical behavior those who deal with them embrace ethical behavior ◦ Managing people includes managing their ethics. Managing their ethics involves managing their behavior to enhance sustainable business ◦ Reporting ethics issues in the organisation should be encouraged ◦Reporting non-financial data /info enhances ethical culture e.g employees survey data, number of meetings, customer satisfaction data, hence a more integrated form of reporting BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 196

Ethics tools: Code of Ethics, Ethics Hotline, Ethics Checklist, Ethics helpline, Ethics Policy  Code of Ethics: (Organisation Code of Ethics, Code of Ethics for Professional Accountants, and Other Codes for other professionals like engineers, lawyers, architects etc., Code of Ethics for doing business in Kenya)  Ethics hotline to facilitate reporting ethical matters identified either by employees in the organisation or for professionals to raise ethical matters with their professional bodies  Ethics checklist to guide in identification of ethical issues  The ethics policy is required to guide employees behavior in the organisation and in the organisations’ dealings with other parties. There is need for the organisation to have a mechanism to protect whistleblowers. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 197

Lessons from the Global Crisis ◦Records should be maintained for ethical information – meetings, ethical dilemmas, survey data etc ◦Communication on ethics should be enhanced in organisations ◦Cases of business ethics have high costs to business in terms of reputation damage, public protest towards governance failure etc ◦ Analysis and acting on ethical information is crucial - resolving an ethical problem requires the analysis of particular circumstances and the study of specific facts. ◦Ethics architecture is required – ethics framework, ethics hotline, ethics code etc ◦Ethics needs support from the top leadership of the organisation BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 198

Code of ethics T he Code of Ethics shall apply to: ◦Directors and managers of the company including non-executive directors. ◦All employees of the company [including professionals and consultants]. ◦The owners and shareholders of the company [where they are different from the directors or managers]. ◦Suppliers and lenders of the company. ◦Other relevant stakeholders. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 199

Personal Conduct ◦Personal standards and integrity ◦Professional expectation and duty of care to render faithful service ◦Confidentiality and trust ◦Loyalty, fiduciary responsibility and transparency ◦Duty to community ◦Compliance with the law ◦Declaration of personal interest and conflict of interest. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 200

Corporate Behaviour ◦Compliance with the law ◦Quality standards and responsibility to customers. ◦Integrity of relationships. ◦Transparency and accountability of the corporation ◦Conflict of interest ◦Privacy of records and information ◦Insider information ◦Policy on corruption, bribes, gifts and entertainment ◦Social responsibility and accountability, etc. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 201

Relevant Legislation Leadership and Integrity Act 2012 Public Officer Ethics Act 2003 Anti corruption Anti money laundering Foreign corrupt practices Act (FCPA) for US companies BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 202

Corporate governance: What is it and why does it matter? Corporate governance represents the relationship among stakeholders that is used to determine and control the strategic direction and performance of organizations. Corporate governance has both strategic and ethical implications. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 203

Study Question 1: What is ethical behavior in corporate environment? How international businesses can respect core or universal values: Respect for human dignity Create culture that values employees, customers, and suppliers. Keep a safe workplace. Produce safe products and services. Respect for basic rights Protect rights of employees, customers, and communities. Avoid anything that threatening safety, health, education, and living standards. Be good citizens Support social institutions, including economic and educational systems. Work with local government and institutions to protect environment. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 204

Study Question 2: How do ethical dilemmas complicate the workplace?  An ethical dilemma occurs when choices, although having potential for personal and/or organizational benefit, may be considered unethical.  Ethical dilemmas include: ◦ Discrimination ◦ Sexual harassment ◦ Conflicts of interest ◦ Customer confidence ◦ Organizational resources BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 205

Study Question 2: How do ethical dilemmas complicate the workplace?  Ethical behavior can be rationalized by convincing yourself that: ◦Behavior is not really illegal. ◦Behavior is really in everyone’s best interests. ◦Nobody will ever find out. ◦The organization will “protect” you. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 206

Study Question 2: How do ethical dilemmas complicate the workplace?  Factors influencing ethical behavior include: ◦ The person ◦ Family influences, religious values, personal standards, and personal needs. ◦ The organization ◦ Supervisory behavior, peer group norms and behavior, and policy statements and written rules. ◦ The environment ◦ Government laws and regulations, societal norms and values, and competitive climate in an industry. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 207

Figure 3.3 Factors influencing ethical managerial behavior—the person, organization, and environment. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 208

Study Question 3: How can high ethical standards be maintained? Checklist for dealing with ethical dilemmas Step 1. Recognize the ethical dilemma Step 2: Get the facts Step 3. Identify your options Step 4. Test each option: Is it legal? Is it right? Is it beneficial? Step 5. Decide which option to follow Step 6. Double-check decision by asking the “spotlight” questions: “How would I feel if my family found out about my decision?” “How would I feel about this if my decision were printed in the local newspaper?” Step 7. Take action. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 209

Study Question 3: How can high ethical standards be maintained?  Ethics training: ◦Structured programs that help participants to understand ethical aspects of decision making. ◦Helps people incorporate high ethical standards into daily life. ◦Helps people deal with ethical issues under pressure. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 210

Study Question 3: How can high ethical standards be maintained?  Whistleblowers ◦Expose misdeeds of others to: ◦Preserve ethical standards ◦Protect against wasteful, harmful, or illegal acts  Laws protecting whistleblowers vary BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 211

Study Question 3: How can high ethical standards be maintained?  Barriers to whistleblowing include: ◦Strict chain of command ◦Strong work group identities ◦Ambiguous priorities  Organizational methods for overcoming whistleblowing barriers: ◦ Ethics staff units who serve as ethics advocates ◦ Moral quality circles BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 212

Study Question 3: How can high ethical standards be maintained?  Ethical role models: ◦ Top managers serve as ethical role models. ◦ All managers can influence the ethical behavior of people who work for and with them. ◦ Excessive pressure can foster unethical behavior. ◦ Managers should be realistic in setting performance goals for others. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 213

Study Question 3: How can high ethical standards be maintained?  Codes of ethics: ◦Formal statement of an organization’s values and ethical principles regarding how to behave in situations susceptible to the creation of ethical dilemmas.  Areas often covered by codes of ethics: ◦Bribes and kickbacks ◦Political contributions ◦Honesty of books or records ◦Customer/supplier relationships ◦Confidentiality of corporate information BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 214

Standards of evaluating ethics in governance BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 215

Ethical Conflict Resolution? The Golden Rule Recognizing differences Recognizing human feelings Recognizing the sanctity of human life BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 216

Ethics, values and integrity for political leaders: An Ethical Crisis Misuse of funds Abuses of authority Winning at all costs Using people as a means to an end Making ourselves an exception Not recognizing an ethical trap BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 217

More Examples Political leaders Lawyers Law enforcement officers Clergy Medical doctors Others? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 218

The Integrity Image Role models? Commitment Trust Karma Do these things exist in law enforcement? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 219

Workplace Impact Decrease in morale Breakdown in chain of command Burn-out Grievances & lawsuits Loss of productivity Damage to image & reputation 220 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016

Perceptions The role of law enforcement. Crime control Due process Public opinion BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 221

Individual Impact Not efficient An organizational liability Not a team player Damage to career Damage to future Unfit role model BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 222

BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 223 Linkage between governance and ethics What is Corporate Governance? Building effective Board Governance The different roles related to the Board Some Concluding Thoughts!

Good Governance Good governance is a term used to describe how public institutions conduct public affairs and manage public resources in order to guarantee the realization of human rights and sustainable development. Governance describes "the process of decision-making, the process by which decisions are implemented (or not implemented) and the process by which power is exercised for the optimum utilization of economic and social resources for development“. The term governance can apply to corporate, international, national, local governance BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 224

What is Corporate Governance? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 225 boards and directors leadership Corporate Governance is a mechanism through which boards and directors are able to direct, monitor and supervise the conduct and operation of the corporation and its management in a manner that ensures appropriate levels of authority, accountability, stewardship, leadership, direction and control. “The importance of corporate governance lies in its contribution both to business prosperity and to accountability.” Paragraph 1.1, Committee on Corporate Governance: Final Report Hampel Committee “Corporate governance is concerned with holding the balance between economic and social goals and between individual and communal goals…… The aim is to align as nearly as possible the interests of individuals, corporations and society.” Sir Adrian Cadbury Corporate Governance Overview, 1999 [World Bank Report]

226 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 226 It’s about Leadership………! Leadership for efficiency…… ◦to compete in the global economy, create jobs Leadership for probity (honradez, rectitud)….. ◦because investors require confidence ◦to provide assurance of management's integrity Leadership with responsibility…. ◦to take account of broader stakeholder interests Leadership that is accountable and transparent ◦to build trust in companies and in the economy!!

227 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 227 Building Effective Board Governance Defining key board roles ◦ Board Chairman ◦ Chief Executive Officer ◦ Board Directors - executive and non-executive Putting in place board governance arrangements ◦ Board committees to support decision process ◦ Supporting functions to regulate processes ◦ Board procedures and rules, e.g. conflicts of interest ◦ Delegated authorities for management Ensuring proper oversight and supervision ◦ Management reporting and public disclosures ◦ Assurance processes and controls

The Board of Directors is Pivotal BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 228 “The board should exercise compelling and relentless leadership and should not underestimate the power of leading by example - evidenced by high levels of visibility and integrity, strong communications, and demanding expectations. This leadership should be clear to ALL within the organization, as well as shareholders (accionistas) and other stakeholders (grupos de interés).” Boardroom Behaviours A report prepared for Sir David Walker by the Institute of Chartered Secretaries and Administrators, UK June 2009

BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 229 Audit Committee Remuneration Committee Other Committees Board Committees Strategy Board of Directors Achievement of strategic objectives and value creation Fulfil responsibilities and duties in law and prescribed functions Board Operations Chairman Board Meetings Reporting & Disclosure Internal Controls & Assurance Executive Committee Internal AuditExternal Audit Other Assurance Providers Management Combined Assurance Model Governance System and Controls Corporate Policies & Procedures Board Governance Instruments Monitoring and Evaluation Key Areas of Responsibility CEO & Management Shareholders Information and Communication Corporate Secretary Source: KPMG Board Governance Framework

230 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 230 Chairman as Leader of the Board Primary role ◦ Provide overall leadership to the board Function ◦ Principal link between board and CEO/management team ◦ Responsible for board agenda and work plan ◦ Work with board committee chairmen ◦ Involved in selection and induction of new directors ◦ Counsel individual directors on their performance ◦ Participate in discussions with investors, key stakeholders

231 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 231 CEO as Leader of the Company Primary role ◦ Lead the management team, reporting to the board Function ◦ Work closely with board chairman ◦ Responsible for performance of management team ◦ Formulate corporate strategy, annual business plan and budget ◦ Responsible for corporate and financial objectives ◦ Formulate major corporate policies ◦ Ensure continuous improvement in services and products ◦ Manage relations with investors, major customers, regulators ◦ Responsible for company’s long-term sustainability

232 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 232 Board Structure and Composition Balancing executive and non-exec. participation Ensuring an effective selection process ◦ Key personal and professional attributes ◦ Skills aligned to strategy and business ◦ Also fill board committee requirements, where appropriate Some general guidelines ◦ Must have time to devote to responsibilities ◦ Must exercise judgment in best interests of company ◦ Must be informed about the business and its markets ◦ Must avoid interest conflicts between personal and business ◦ Must treat board information confidentially ◦ Should act objectively and be receptive to other perspectives ◦ Should prepare adequately for meetings, regular attendance

233 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 233 Common Legal Principles of Directorship  Exercise reasonable standard of care ◦ Special business acumen or expertise not necessarily required ◦ Not necessarily liable for errors of judgment ◦ Given events following financial crisis, will this change?  Duty to act in best interests of the company ◦ In other words, for ALL shareholders, not special interests “The legal framework and company charters should not permit practices (such as “pre-meetings” and instructions on how to vote by shareholders whose votes placed a director on the board) wherein shareholders may limit the ability of directors to exercise their duties to act in the best interest of the company and all shareholders.” Paragraph 90, OECD’s White Paper on Corporate Governance in Latin America

234 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 234 Benefits of Effective Board Committees Assist the board in its decision making ◦ Brings together non-executives and management ◦ Allows detailed discussion on management matters ◦ But, filters out operational issues that remain with management ◦ And, focuses on strategic decisions required of the board Supports board responsibilities in key areas ◦ Audit, internal controls and risk ◦ Executive compensation and management appointments ◦ Governance issues and corporate policies ◦ Nomination and selection of non-executive directors ◦ Others, e.g. health, safety, environment, etc. Defined terms of reference and limitations Generally, no executive powers

235 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 235 Instruments to Enhance Effectiveness Board Charter setting out procedural rules ◦ Clarifies leadership roles and core responsibilities ◦ Reserves matters specifically reserved to board ◦ Sets management delegations and reporting arrangements Comprehensive induction for new directors ◦ Legal and regulatory obligations ◦ Financial structure of business, budgets and KPIs ◦ Understanding of strategic priorities and current status ◦ Familiarize with business operations, e.g. site visits Annual board work plan ◦ Meetings and budget cycle, annual reporting Code of ethics or statement of business principles ◦ Defines corporate values and conduct of staff and directors

236 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 236 Role of Corporate Secretary Supervises and co-ordinates board papers & presentations Takes the minutes of board meetings Resolves organizational matters for board meetings Works closely with Chairman and CEO on board agenda Arranges the annual shareholders meeting and other special meetings Ensures compliance with the board procedures Oversees, conducts induction trainings for newly elected directors Explains the procedural requirements of laws, the charter, and by–laws of the company Key link between company and non-executive directors

237 Board Role in Financial Oversight  Duty to maintain proper accounting records  Periodic reporting of financial position, performance  Establishing, monitoring proper internal controls  Ensuring proper external controls and audit  Skills, knowledge required by directors BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 237

238 Board’s Role in Risk Management  The board should know about and evaluate the: ↳ Most significant risks facing the company ↳ Possible effects on shareowners ↳ Company’s management of a crisis ↳ Importance of stakeholder confidence in the organization ↳ Communications with the investment community  The board should ensure that: ↳ Sufficient time is devoted to discuss risk strategy ↳ Appropriate levels of awareness exist throughout the company ↳ Risk-management processes work effectively ↳ A clear risk-management policy is published BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 238

239 Not an easy task - Identified Risks  Strategic ↳ Unfocused strategy ↳ Strategy not aligned with capabilities ↳ Complacency arising from past success ↳ Unsuccessful acquisition/abortive bid ↳ Failure to manage major changes ↳ Reputational risk ↳ Loss of investors’ confidence ↳ Political/general economic risk  People ↳ Management leadership weak ↳ Inadequate succession planning ↳ Loss of key executives ↳ Poor employee motivation ↳ Internal communication weaknesses  Marketplace ↳ Failure to respond to market trends ↳ Missed opportunities – new tech., global markets ↳ Weak or obselete brands ↳ Over-reliance on a few customers ↳ Poor customer satisfaction – quality/timeliness  Ethical ↳ Failure to enact high standards of ethics ↳ Obtaining contracts unethically ↳ Stakeholder concerns on products/business probity – poor community relations  Suppliers/Outsourcers ↳ Over-dependence on suppliers/outsourcers ↳ Failure to manage cost/quality of outsourced service ↳ Supply chain problems ↳ Joint ventures, strategic alliances not working  Financial ↳ Cash flow/going concern problems ↳ Treasury operations risk ↳ Susceptibility to fraud/accounting irregularities  Legal/Compliance ↳ Failure to protect intellectual property ↳ Health, safety, environmental issues ↳ Litigation risk ↳ Breach of competition, corporate, employee, tax laws BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 239

240 “Boards must re-establish and enforce the standard that risks are to be undertaken for the benefit of their constituents, not for the personal gain of management.” George Vojta Chairman of the Advisory Board of the Yale School of Management Millstein Center for Corporate Governanance and Performance and Former Vice-Chairman, Bankers Trust Corp. Restoring Integrity and Trust BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 240

241 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 241 Six Critical Questions for Directors! Do I believe I have all the information? Have I the necessary skills to make this decision? Do I have any conflict in this matter? Objectively, is this a rational business decision? Can I explain this in a transparent manner? Is it a responsible discharge of my duties?

GUIDING PRINCIPLES Build Trust and Credibility! ↳ Respect for the Individual ↳ Create a Culture of Openness and Honesty ↳ Set the Tone at the Top Uphold the Law! ↳ Avoid Conflicts of Interest ↳ Set Metrics and Report Results Accurately Do the Right Thing! ↳ Promote Substance over Form ↳ Be Loyal to your Company, your Family, yourself ↳ Avoid over compensation at expense of other stakeholders ↳ Fighting corruption BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 242

Achieving the Trust Goal: 6 elements Research shows we need these elements to support integrity and maintain trustworthy behaviour: ◦Standards of integrity and conduct in place ◦Standards are promoted ◦Standards are integrated into our behaviour ◦Managers model the standards in their behaviour ◦Consequences for breaches are known ◦Decisive action is taken when breaches occur BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 243

Conduct of Conduct and Standards in Public Life: What does the code of conduct do? Sets out the minimum standards of integrity and conduct required by agencies and their staff Promotes a unifying sense of values Provides an opportunity to focus on integrity Incorporates enduring standards (including Statement of Government Expectations, and obligations in State Act, State Sector Act, previous Public Service Code of Conduct) Reflects consultation process, qualitative research on Nations expectations of the State Services values and standards BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 244

Why is the code important? What you do affects the level of public trust in your organisation and in the State Services as a whole The code sets out the standards of behaviour required so that Nationals can be confident that public officers are: ◦fair, impartial, responsible and trustworthy ◦acting with a spirit of service to the community BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 245

How was the code developed? Research and consultation with organisations, unions, professional bodies, staff and public ◦2005: comprehensive research with Crown entities and snapshot of Public Service ◦Qualitative research ◦focus groups with staff of organisations ◦focus groups with members of the public ◦online questionnaire ◦2006/2007: meetings with organisations, unions, union delegates, professional organisations and feedback via website BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 246

What did the research show? Staff perceptions: ◦65% are proud to work in the State Services because they have an opportunity to contribute to society/make a difference ◦diverse and satisfying range of work ◦safe, family-friendly, non-corrupt and fair Public perceptions: ◦high level of trust ◦responsiveness and transparent processes engender trust ◦expect State servants to behave to a high standard BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 247

What does the code require? We must : ◦comply with the standards ◦meet our employment, professional and other legal obligations Our organisations : ◦can develop additional or detailed standards consistent with the code ◦must maintain policies and procedures that give effect to the code BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 248

What are the standards? The standards are grouped under four headings. We must be ◦Fair ◦Impartial ◦Responsible ◦Trustworthy BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 249

Fair We must: treat everyone fairly and with respect be professional and responsive work to make government services accessible and effective strive to make a difference to the well-being of New Zealand and all its people BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 250

Impartial We must: maintain the political neutrality required to enable us to work with current and future governments carry out the functions of our organisation, unaffected by our personal beliefs support our agency to provide robust and unbiased advice respect the authority of the government of the day BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 251

Responsible We must: act lawfully and objectively use our organisation’s resources carefully and only for intended purposes treat information with care and use it only for proper purposes work to improve the performance and efficiency of our organisation BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 252

Trustworthy We must: be honest work to the best of our abilities ensure our actions are not affected by our personal interests or relationships never misuse our position for personal gain decline gifts or benefits that place us under any obligation or perceived influence avoid any activities, work or non-work, that may harm the reputation of our organisation or of the State Services BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 253

Questions / discussion points What standards will you need to be most mindful of in your day-to-day work? How do your organisation’s own policies and procedures reinforce these standards? Are there any gaps? What can you and your organisation do to promote the standards, raise awareness of the code and ensure an integrity-rich culture? What would you expect to be included in a process for reporting and acting on suspected breaches of the code? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 254

Framework for Accountability Relationships BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 255 Making Services Workable for the Poor (WDR 2004) Demand Side Approaches Supply Side Approaches

Governance & Key Elements Accountability can be defined as the obligation of power-holders to account for their actions and behavior Transparency, when used in a social context, implies openness, communication, and accountability Access to Information: Not piecemeal access to information, but deliberately and systematically integrating information in the debate on fundamental public issues to make the governance transparent BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 256

Why Social Accountability Citizens have the right to demand accountability and the State or the public actors have an obligation to be accountable to its citizens. Fundamental principle of democracy Contract between the state and its citizens Breach of contract and failure of existing mechanisms to ensure accountability, resulted in emergence of social accountability BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 257

What is SAc: Definition Social accountability is an approach towards building accountability that relies on civic engagement in which, ordinary citizens and/or civil society organizations participate directly or indirectly in exacting accountability SAc mechanisms refer to a broad range of actions (beyond voting) that citizens, communities and civil society organizations can use to hold government officials and bureaucrats accountable. SAc mechanisms can be initiated and supported by the state, citizens or both. But very often they are demand-driven and operate from the bottom up BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 258

Information & Transparency (Right to Information, Websites, Community Radio, information sharing) – Promote and create two-way-communication between government and citizens through access, disclosure, and dissemination of information and transparency norms Participation & Consultation (Participatory Budgeting) – Encourage and mediate opportunities to build multi-stakeholder coalitions that combine public and political will for policies, public spending and project planning Monitoring & Oversight (CRCs, CSC, PETS, Social Audits) – Empower and encourage citizens, civil society and the media to enact their rights to supervise and oversee policies, programs, projects, and services Capacity Building (WB, ANSA, CUTS) – Educate and enable civil society, authorities, and the media to effectively participate in a multi-stakeholder debate of policies, programs, projects, and services SAc Mechanisms-various aspects BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 259

Why is it important? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 260 Social Accountability Good Governance Citizen Empowerment Dev. Effectiveness

Change in Approaches BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 261

Public Expenditure Management Resources allocated fail to reach the intended beneficiaries Lack of Accountability: Inefficiency, ineffectiveness and lack of transparency in the process, resulting in week delivery and poor quality of services. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 262 Unlimited funding ???? Leakages/corruption/Absenteeism week delivery mechanism/ poor spending

BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 263 PARTICIPATORY PUBLIC EXPENDITURE MANAGEMENT 4 STAGE PROCESS  Budget Formulation How public resources are allocated  Budget Review Diagnosing the implications of the budget when formed  Expenditure Tracking Seeing where the money goes  Performance Monitoring After the money is spent, see how the output/service is performing Each of these stages can be carried out in a participatory manner. That is PPEM.

Governance & Corruption BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 264 264 State The manner in which the State acquires and exercises its authority to provide public goods and services public Using public office for private private gain Corruption is an outcome – a consequence of ‘break downs’ in the governance system Governance Corruption

Existing SAc tools? Budget Analysis Participatory Budgeting Social Audit Right to Information Public Expenditure Tracking Survey (PETS) Citizen's Charter Public Hearing Citizens’ Juries Citizens Report Card (CRC) Community Score Card (CSC) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 265

Integrating Social Accountability aspects in design of supply side institutions and service delivery approaches to institutionalize them with required budgetary support Providing Demand-side stimulus for accountability and good governance for involving users and local service providers in giving feedback and exacting accountability Critical mass of in-country demand side practitioners and networks Key Challenges BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 266

Improving Outcomes through Feedback BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 267 Education Service Provider District Administration/ Government State Government Feedback Accountability Services Redesign Programs Reallocate Resources Improved Quality of Service Delivery Feedback

SAc Approaches Outcomes BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 268 Citizen Report Cards Community Score Cards Public Expenditure Tracking Surveys Right to Information (RTI) Compliance Development Outcomes Improved Quality of Service Delivery Program Redesign and Resource Reallocation to Improve Program Effectiveness and Public Expenditure Efficiency Improved Governance through Demand Side Approaches in Governance Institutional Outcomes Institutionalization of continuous user feedback mechanisms Formation of community-Govt.-NGO partnerships for implementation of development programs Stronger linkages between local governments and civil society

Leader Behaviour and Social Change BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 269

What is Social Change? Social Change: Changes in the way society is organized, and the beliefs and practices of the people who believe in it All societies are involved in a process of social change, however this change may be so subtle and slow that society is hardly aware of it The opposite of social change is social continuity which means that there are structures within society which are built to resist change. Example - the Catholic Church BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 270

Examples of Social Change Question 1 – How has the development of housing in Baku changed? Question 2: How has public opinion shifted regarding social issues such as: -Smoking -Domestic Violence -Divorce -Abortion -Homosexuality BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 271

Social Change: An Introduction Change is a general phenomena that being occurred in society very much. In an another sense, society is always in changing process. Society can never stopped in a specific way. Changes are either in positive way or in negative way in society. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 272

Social Change Changes or mobilization in different institutions are both of backward mobility or in upward mobility. As changes occur, people of the earth are living in the so-called civilized world. Such as changes from primitive society to modern society to post modern society. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 273

Definition of Social Change Social change is a general term which refers: a) To change in the nature, the social institutions, the social behaviour or the social relations of a society, community of people, or other social structures. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 274

Causes of Social Change The causes of social change below affect or characterize every aspect of society across the world. On a macro scale: They shape all of our major social institutions such as economics, politics, religion, family, education, science/technology, military, legal system, and so on. On a micro scale: They shape values, attitudes, beliefs and behaviors of human being to all over the world. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 275

What are some of the sources of change in our society? Single dramatic event Cultural and technological innovations Shifting population size Environmental pressures Diffusion from other cultures Media Others? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 276

Major source of change: Technological advancement Technological change may be one of most accelerated Computers have become indispensable Convenience and access to information Negatives? Loss of privacy Blurring of traditional lines between work and home BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 277

Rising Expectations When conditions at their worst, many solely focused on survival People more likely to seek social change when living conditions have improved somewhat Chance for change seems possible BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 278

Major source of change: Social Movements Social movement Continuous, large-scale, organized collective action motivated by the desire to enact, stop, or reverse change in some area of society Types of movements ◦Alternative Movement ◦Redemptive Movement ◦Reformative Movement ◦Transformative Movement BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 279

Power of the Individual(s)? Sociologist Max Weber claimed that one of the most important components of social change was a LEADER with CHARISMA (large vision, magnetic style, strong popular support and extraordinary character). This leader places great demands on his or her followers, promises rewards for their support. Examples? Sociologist Samuel Eisenstadt claimed that in most societies, there exists one or more MODERNIZING ELITES, groups of people who create significant social change and influence the direction it goes Examples? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 280

Alienation of the People Sociologist Emile Durkheim coined the word ”anomie” to describe the conditions of the industrial workers who had no roots or norms as they struggled in their lives Sociologist Karl Marx took this term and applied it to working people or “proletariat”. He claimed the workers were exploited and controlled (employment, housing) and could never reach full potential This notion has been expanded it mean anyone who does not share the major values of society and feels like an outsider Effects? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 281

Conformity of the People Conformity is the act of maintaining a certain degree of similarity (in clothing, manners, behaviors, etc.) to those in your general social circles, to those in authority, or to the general status quo. Usually, conformity implies a tendency to submit to others in thought and behavior other than simply clothing choice Informational Influence: human desire to accept information that another, admired person tells us is valid (ie. Parent, teacher, coach) Normative Influence: pressure to conform to the positive expectations of others (ie. Follow in footsteps of parent’s career) Effects? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 282

Causes of Social Change 1.Technological and Economic Changes- a) Agricultural advancements: Examples include irrigation, plow system, cotton industry that develop the surplus food which lead to population growth and urbanization. People were able to work outside of the farm. b) Industrialization : The process of changing from a manual labor force to a technology driven labor force in which machines play a large role. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 283

Causes of Social Change Lead to changes in (by Industrialization ) : a. Work place, people work outside of the home/community which lead to changes in gender activities (value of child care, value of labor). b. Work became centered and organized around machines. Alienation from a particular group. c. Weapons production – guns, nuclear weapons. d. Informative Society, Information are available around us that also leads to the social change. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 284

Social Change & Characteristics of industrialized societies 1) Smaller percentage of people are doing their activities in agriculture, increased division of labor in production house, specialization of occupations, increase in education of workforce, Increase in economic organizations (businesses). BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 285

Social Change & Characteristics of industrialized societies The number of Population are increasing to a high rate day by day. Because (a)high birth rates and low death rates in some countries (greater population sizes) (b)high birth rate and high death rates in specially in African regions. And also (c)smaller birth rate and little death rates in European countries that equalizes their overall development. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 286

Social Change & Characteristics of industrialized societies ▶ People have fewer children as society industrialized because role of family changes and technological advancements allow control of reproduction. ▶ Families change from extended to nuclear families due to geographic and occupational mobility. Family is no longer mainly seen as an economic unit. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 287

Social Change 2. Modernization: The process of moving from an agrarian to industrial society. Characteristics of modern societies ▶ Larger role of government in society and bureaucracy to run governments, ▶ Large, formal organizations and division of labor based on specialization of skills and abilities into occupations. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 288

Social Change Forming of social institutions to regulate behavior. ▶ Laws and sanctions to regulate behavior. ▶ Control over and management of environmental resources: oil, water, land, animals, etc. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 289

Social Change 3. Urbanization: When large populations live in urban areas rather than rural areas known as urbanization. Usually results from economic opportunities: either people move to a city for jobs, or rural areas become the sites of large businesses which lead to population growth. 4. Bureaucratization: By which most formal organizations in a society (businesses, government, non-profits) run their organizations via the use of extreme rational and impersonal thinking, an extreme division of labor, and record keeping. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 290

Social Change 5. Conflict and Competition : These also play an important role to social change. For examples: War due to religion, ethnic tensions, competition for resources, gender and women’s movement like for equal payment and property. Race and Civil Rights Movement, collective political power, homosexuality becoming more available, but still denied civil and human rights. But Positive Outcomes are like solidarity, safety notions, positively social development, welfare activities are enhancing. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 291

Social Change 6. Political and Legal Power: a) Elected officials: Redistribution of wealth to the all the peoples by the elected persons and control over income and property taxes. They can charge over negative action, ability to sue insurance companies, increase minimum wage in labor (leads to change in unemployment, part-time employment, health insurance. b) Unelected officials: Such as the civil society,they can control over corporate power (jobs, goods and services and cost of culture, donations to political campaigns. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 292

Social Change 7. Ideology : a) Religious beliefs. Rise of capitalism in the world,due to religious beliefs Protestantism emerged and many other work ethics developed in the work place. Religious beliefs sometimes lead to revolution and civil wars which lead to new countries. Like in Iran, Islamic revolution occurred in 1979 and developed a Islamic republic. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 293

Social Change 8. Diffusion: Populations in the world are adopting new goods and services from anywhere he or she stays. Much of the materialist products are being applied to following the marketing policy.(celebrities campaigns in drinking milk, cold drinks), public health (birth control in less developed countries) etc. 9. Acculturation Examples: Asian Americans, American Indians are being eliminated through the dominancy of white American people. People can prevent social change by preventing acculturation, BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 294

Natural Forces of Social Change GEOGRAPHY This is when the natural lay of the land has affected the way societies have developed Natural disasters can also drastically change a society (floods, earthquakes, volcanoes) ENVIRONMENT Pollution, garbage, ozone, car emissions, smog, recycling national, provincial and local programs that address environmental problems Effects? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 295

External Events as Forces of Social Change External events are events that have occurred on a large scale affecting an entire nation or several nations These events have a large and immediate impact on social change Examples American Civil War – abolished slavery WWII – forced women into the workforce and they never returned home September 11/2001 – a change of thought regarding national threat and security BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 296

Poverty and Affluence Karl Marx was first to point sociology to study inequality in society Income inequalities: gap between earnings of the rich and poor Is social inequality an inherent part of human social structures? Does society have a responsibility in trying to deal with the effects of income inequality? Effects? - education, crime, housing BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 297

Values and Social Change: Pluralism Singularity- belief that everyone in society should act and think the same way Pluralism- widespread acceptance of differences in culture, religion, values and lifestyle Inclusiveness- all law abiding people, regardless of their particular background, should be able to play a constructive role in the life of the nation Examples: struggle for inclusiveness with women obtaining equal roles and status to traditionally ‘male’ roles BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 298

Technology Technology has strongly affected the way societies are designed and how they keep changing People receive their information more quickly now, can communicate in different ways Greatest invention of the millennium? Guesses? Impact… BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 299

Coping with Technological Change – Positive or Negative??? Over dependency Creation of ‘mass culture’ Changes in Gender roles Social Isolation Addiction Positive and Negative consequences? Luddites: People who oppose new technologies are often called “luddites” after a secret society whose goal it was to destroy new textile machines during the early years of the Industrial Revolution BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 300

“ A nation is a large-scale solidarity, constituted by the feeling of the sacrifices that one has made in the past and of those that one is prepared to make in the future. It presupposes a past; it is summarized, however, in the present by a tangible fact, namely, consent, the clearly expressed desire to continue a common life. A nation’s existence is, if you will pardon the metaphor, a daily plebiscite…” Ernest Renan Nationalism and State

Nation v. state State: political structure that is sovereign, defining the legal rights and obligations of citizens, and claiming a monopoly on the use of force Nation: a group of people united in some way States can contain more than one nation (UK?); one nation can exist in more than one state (Kurds) Nationalism is not patriotism BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 302

National identity Nations involves ‘national identity’, normally understood in ethnic and/or cultural terms. Members are born into and raised with a particular language, tradition, and culture. This creates a ‘national character’ and sense of unity. Aspects of individual character come from national character. National identity also connects to a geographical place and historical continuity. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 303

(A) 1. State, Nation and the Nation-State Nation (Anderson 1991; see also Poggi 2008): The social construction of a collective identity; An imagined political community [that is] imagined as both inherently limited and sovereign BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 304

(A) 1. State, Nation and the Nation-State Nation (Anderson 1991; see also Poggi 2008): 1.Imagined because members have mental image of their affinity 2.Limited, as nations have "finite, if elastic boundaries, beyond which lie other nations“ 3. sovereign insofar as no dynastic monarchy can claim authority over them BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 305

(A) 1. State, Nation and the Nation-State Nation (Anderson 1991; see also Poggi 2008): 4. Finally, a nation is an imagined community because "regardless of the actual inequality and exploitation that may prevail in each, the nation is always conceived as a deep, horizontal comradeship. Ultimately it is this fraternity that makes it possible, over the past two centuries, for so many millions of people, not so much to kill, as willingly to die for such limited imaginings. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 306

(A) 1. State, Nation and the Nation-State Creation Nation: possible because of "print-capitalism“ (Anderson 1991) Creation State: -Three main phases in Europe (Poggi 2008, pp. 96- 104) -Five paths in state formation (Daalder 1991, see Poggi 2008, p. 93) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 307

Understanding the Concept of Nation The nature of the concept of nation The nature of the concept of nation ◦Nation as an empirical-positivistic concept naturally existing fact with objective, definitive and empirical attributes ◦Nation as practical-interpretive concept lifeworld-artificial construction with subjective, arbitrary and contesting features BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 308

Understanding the Concept of Nation The semantic changes of the term  nation The semantic changes of the term  nation ◦The Latin origin of the term ◦nasci as a verb means to be born ◦nationem as a noun means breed or race BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 309

Understanding the Concept of Nation The semantic changes of the term  nation The semantic changes of the term  nation ◦The Latin origin of the term… ◦Greenfeld’s zigzagpattern of semantic change of the term ◦In Roman Empire, nation designate foreigners from the same geographic regions ◦In medieval universities, nation means a community of opinion ◦In Church council, nation means elite ◦In seventeenth century England, a sovereign people BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 310

In Search of a Definition of the Nation Anthony Smith’s definition of the nation Anthony Smith’s definition of the nation ◦Anthony Smith, a sociologist in London School of Economics, states that“The nation is a large, vertically integrated and territorially mobile group, featuring common citizenship rights and collective sentiment together with one (or more) common characteristic(s) which differentiates its members from those of similar groups with whom they stand in relations of alliance or conflict.” (1983, p.173) ◦Anthony Smith, a sociologist in London School of Economics, states that “The nation is a large, vertically integrated and territorially mobile group, featuring common citizenship rights and collective sentiment together with one (or more) common characteristic(s) which differentiates its members from those of similar groups with whom they stand in relations of alliance or conflict.” (1983, p.173) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 311

In Search of a Definition of the Nation Anthony Smith’s definition of the nation Anthony Smith’s definition of the nation ◦Definitive features of the nation: “As defined above, the nation was a group with seven features: ◦cultural differentiae (i.e. the ‘similarity-dissimilarity’ pattern, members are alike in the respects in which they differ from non-members) ◦territorial contiguity with free mobility throughout ◦a relatively large scale ( and population) ◦external political relations of conflict and alliance with similar group ◦considerable group sentiment and loyalty ◦direct membership with equal citizenship rights ◦vertical economic integration around a common system of labour.” (Smith, 1983, p. 186; original numbering) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 312

In Search of a Definition of the Nation David Miller’s definition of nation and nationality David Miller’s definition of nation and nationality ◦Miller, a philosopher in Uniersity of Oxford, defines the nation as “a community (1) constituted by shared belief and mutual commitment, (2) extended in history, (3) active in character, (4) connected to a particular territory, and (5) marked off from other communities by its distinct public culture.” (Miller, 1995, P.27) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 313

In Search of a Definition of the Nation David Miller’s definition of nation and nationality David Miller’s definition of nation and nationality ◦Nationality, accordingly, is an identity forged by members of a national community. Miller suggests that “nationality …comprises three interconnected propositions.” (Miller, 2000, P. 27) ◦A sense of belonging: “The first concerns personal identity, and claims that it may properly be part of someone’s identity that they belong to this or that national group.” (P. 27) ◦Bounded duties: The second proposition is ethical, and claims that nations are ethical community. The duties we owe to our fellow-nationals are different from, and more extensive than, the duties we owe to human being as such.” (P. 27) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 314

In Search of a Definition of the Nation David Miller’s definition of nation and nationality David Miller’s definition of nation and nationality ◦Nationality, accordingly, is an identity forged by members of a national community. Miller suggests that “nationality …comprises three interconnected propositions.” (Miller, 2000, P. 27) …. ◦Political self-determination: “The third proposition is political, and states that people who form a national community in a particular territory have a good claim to political self-determination; there ought to be put in place an institutional structure that enables them to decide collectively matters that concern primarily their own community. …Historically the sovereign state has been the main vehicle through which claims to national self- determination have been realized, and this is not just an accident. Nevertheless national self-determination can be realized in other ways,…. other than through a sovereign state.” (P. 27) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 315

In Search of a Definition of the Nation David Miller’s definition of nation and nationality David Miller’s definition of nation and nationality ◦More specifically, Miller has attributed two structural features to the community of a nation, namely ◦Nation is an ethical community, whose members are obliged to their fellow- nationals some particular duties. ◦Nation is a political community which strives to attain political self- determination. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 316

In Search of a Definition of the Nation Max Weber’s conception of the nation Max Weber’s conception of the nation ◦“If the concept of ‘nation’ can in any way be defined unambiguously, it certainly cannot be stated in terms of empirical qualities common to those who count as members of the nation. In the sense of those using the term at a given time, the concept undoubtedly means, above all, that one may exact from certain group of men a specific sentiment of solidarity in the face of other groups. Thus, the concept (of nation) belongs in the sphere of values. Yet, there is no agreement on how these groups should be delimited or about what concreted action should result from such solidarity.” (Weber, 1948, p.172) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 317

In Search of a Definition of the Nation Max Weber’s conception of the nation Max Weber’s conception of the nation ◦“In any case, the differences in national sentiment are both significant and fluid and…fundamentally different answers are given to the question: What conclusions are a group of people willing to draw from the ‘national sentiment’ found among them? No matter how empathetic and subjectively sincere a pathos may be formed among them, what sort of specific joint actions are they ready to develop?” (Weber, 1948, p. 175) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 318

BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 319

In Search of a Definition of the Nation Max Weber’s conception of the nation Max Weber’s conception of the nation ◦“In the face of these value concepts of the ‘idea of the nation’, which empirically are entirely ambiguous, a sociological typology would have to analyze all sorts of community sentiments of solidarity in their genetic conditions and in their consequence for the concerted action of the participant.” (Weber, 1948, P. 175-176) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 320

In Search of a Definition of the Nation Max Weber’s conception of the nation Max Weber’s conception of the nation ◦“We shall have to look a little closer into the fact that the idea of the nation for its advocates stands in the very intimate relation to ‘prestige’ interests.” (Weber, 1948, P. 176) (“Cultural and power prestige are closely associated. Every victorious war enhances the cultural prestige (Germany [1871], Japan [1905], etc.)” (Weber, 1978, 926) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 321

In Search of a Definition of the Nation Max Weber’s conception of the nation Max Weber’s conception of the nation ◦…(Sentiment of prestige)… ◦“The earliest and most energetic manifestations of the idea…have contained the legend of a providential ‘mission’. Those to whom the representatives of the idea zealously turned were expected to shoulder this mission.” (Weber, 1948, p. 176) ◦“In so far as there is at all a common object lying behind the obviously ambiguous term ‘nation,’ it is apparently located in the field of politics. One may well define the concept of nation in the following way: a nation is a community of sentiment which would adequately manifest itself in a state of its own; hence, a nation is a community which normally tends to produce a state of its own.” (Weber, 1948, P. 176) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 322

In Search of a Definition of the Nation Max Weber’s conception of the nation Max Weber’s conception of the nation ◦…(Sentiment of prestige)… ◦“It goes without saying that all those groups who hold the power to steer common conduct within a polity (i.e. the state) will most strongly instill themselves with this ideal fervor of power prestige. They remain the specific and most reliable bearers of the idea of the state as an imperialist power structure demanding unqualified devotion.” (Weber, 1948, o.172) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 323

In Search of a Definition of the Nation Max Weber’s conception of the nation Max Weber’s conception of the nation ◦…(Sentiment of prestige)… ◦“Another element of the early idea was the notion that this mission was facilitated solely through the very cultivation of the peculiarity of the group set off a nation. Therewith, in so far as its self-justification is sought in the value of its content, this mission can consistently be thought of only as a specific ‘culture’ mission. The significance of the ‘nation’ is usually anchored in the superiority…of the culture values that are to be preserved and developed only through the cultivation of the peculiarity of the group. It therefore goes without saying that the intellectuals …are to a specific degree predestinated to propagate the ‘national idea’ just as those who wield power in the polity provoke the idea of the state.” (Weber, 1948, p. 176) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 324

In Search of a Definition of the Nation Benedict Anderson’s definition of the nation Benedict Anderson’s definition of the nation “I propose the following definition of the nation: it is an imagined political community  and imagined as both inherently limited and sovereign.” (1991, Pp. 5-6) “I propose the following definition of the nation: it is an imagined political community  and imagined as both inherently limited and sovereign.” (1991, Pp. 5-6) ◦“It is imagined because the members of even the smallest nation will never know most of their fellow-members, meet them, or even hear them, yet in the minds of each lives the image of their communion.” (P. 6) ◦“It is limited because even the largest of them, encompassing perhaps a billion living human beings, has finite, if elastic boundaries, beyond which lie other nation.” (P. 7) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 325

In Search of a Definition of the Nation Benedict Anderson’s definition of the nation Benedict Anderson’s definition of the nation ….. ….. ◦“ “It is imagined as sovereign because the concept was born in an age in which Enlightenment and Revolution were destroying the legitimacy of the divinely-ordained, hierarchical dynastic realm.” In its replacement, there constitutes the sovereignty of the secular, modern, liberal state. ◦“It is imagined as a community, because... the nation is always conceived as a deep, horizontal comradeship. Ultimately, it is this fraternity that makes it possible.” (P. 7) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 326

In Search of a Definition of the Nation Partha Chatterjee’s “Whose imagined community?” Partha Chatterjee’s “Whose imagined community?” “I have one central objection to Anderson’s argument. If nationalisms in the rest of the world have to choose their imagined community from certain ‘modular’ forms already made available to them by Europe and the Americas, what do they have left to imagine? History, it would seem, has decreed that we in the postcolonial world shall only be perpetual consumers of modernity. Europe and Americas, the only true subjects of history, have thought out on our behalf not only the script of colonial enlightenment and exploitation, but also that of anti-colonial resistance and postcolonial misery. Even our imagination must remain forever colonized.” (1996, 216) “I have one central objection to Anderson’s argument. If nationalisms in the rest of the world have to choose their imagined community from certain ‘modular’ forms already made available to them by Europe and the Americas, what do they have left to imagine? History, it would seem, has decreed that we in the postcolonial world shall only be perpetual consumers of modernity. Europe and Americas, the only true subjects of history, have thought out on our behalf not only the script of colonial enlightenment and exploitation, but also that of anti-colonial resistance and postcolonial misery. Even our imagination must remain forever colonized.” (1996, 216) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 327

In Search of a Definition of the Nation T.K. Oommen’s historical-contextual understanding of the notion of nation T.K. Oommen’s historical-contextual understanding of the notion of nation Having reviewed the literature on the conceptualization of the term nation, T.K. Oomemen, an Indian sociologist, proposes the following point to help us to chat our way out from “this continuing malady.” (Oommen, 1997, p. 202) Having reviewed the literature on the conceptualization of the term nation, T.K. Oomemen, an Indian sociologist, proposes the following point to help us to chat our way out from “this continuing malady.” (Oommen, 1997, p. 202) ◦“The first firm requirement is to de-ideologize the task of state-building and to stop calling it nation-building.” (p. 202) If we conceptualize institutions of the state as constructs produced by the power-steering system of the state, and the institutions of the nation as part of the lifeworld growing spontaneously from of practical communications of indigenous natives in their ‘homeland’, the conceptualization of the nation will have to be separated analytically from that of the state. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 328

In Search of a Definition of the Nation T.K. Oommen’s historical-contextual understanding of the notion of nation T.K. Oommen’s historical-contextual understanding of the notion of nation ….. ….. ◦ “The second requirement is to recognize that nation is a tangible entity definable in terms of concrete objective characteristics such as a common homeland and a language.” (p. 202) ◦“All those belong to a common homeland – ancestral or adopted – should be recognized as constituting a common nation irrespective of their racial, religious or linguistic background, which is to say that the very idea of homogeneous nation-state ought to be abandoned, both of the empirical untenability and its ideological unstanability.” (Pp. 202-203) ◦The important of communication for developing a participative polity should be squarely endorsed as a prerequisite. In spite of this, multi-national polities should have several national language even if they limit the number of official languages to a workable minimum.” (P. 203) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 329

In Search of a Definition of the Nation Liah Greenfeld’s typology of nationalism Liah Greenfeld’s typology of nationalism ◦“The location of sovereignty within the people and the recognition of the fundamental equality among its various strata, which constitute the essence of the modern national idea, are at the same time the basic tenets of democracy. Democracy was born with the sense of nationality. The two are inherently linked, and neither can be fully understood apart from this connection. Nationalism was the form in which democracy appeared in the world, contained in the idea of nation as a butterfly in a cocoon.” (1992, p.11) ◦Typology of nationalism BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 330

In Search of a Definition of the Nation Liah Greenfeld’s typology of nationalism Liah Greenfeld’s typology of nationalism ◦…. ◦Typology of nationalism BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 331

In Search of a Definition of the Nation Jürgen Habermas’s definition of the nation as a “community of citizens” Jürgen Habermas’s definition of the nation as a “community of citizens” ◦“The meaning of the term ‘nation’ …changed from designating a pre-political entity to something that was supposed to play a constitutive role in defining the political identity of the citizens within a democratic polity. … The nation of citizens does not derive its identity from common ethnic and cultural properties but rather from the praxis of citizens who actively exercise their civil rights.” (1996, 22-23) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 332

In Search of a Definition of the Nation Jürgen Habermas’s definition of the nation as a “community of citizens” Jürgen Habermas’s definition of the nation as a “community of citizens” ◦Distinction of hereditary and acquired nationality ◦Component of hereditary nationality ◦Territorial and ethnic nationality ◦Geographic characteristic and landscape ◦Ethnic homogeneity and heterogeneity ◦Historical and cultural nationality ◦Linguistic and symbolic system ◦Historical experience and system of memory ◦Component of acquired nationality ◦Common and equal participation in economic activities ◦Citizenship and equal participation and political affairs ◦Common and equal participation in social and cultural activities BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 333

The Historical Trajectories of Nation Building The first generation of nation building in Western Europe and American The first generation of nation building in Western Europe and American ◦Nation-building through revolution and constitution of the republics ◦The case of the Republic of France ◦The French Declaration of Rights of Man and Citizen proclaims that “the source of all sovereignty resides essentially in the nation; no group, no individual may exercise authority not emanating expressly therefore.” (quoted in Oomen, 1997, p. 140) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 334

(A) 2. Globalization & Future of the Nation-State BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 335 concept of sovereign nation-states is increasingly being challenged by globalization Globalization is a contested concept. There are three positions in the debate (see Sorensen 2008, pp. 604-606; also for definitions): 1.Retreat of the state position: States are losing power and influence. 2.The state-centric position: States have even managed to expand their capacities for regulation and control. 3.Pragmatic position: Process of state transformation. States are “winning” and “losing” at the same time.

(A) 2. Globalization & Future of the Nation-State BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 336 Sorensen (2008) argues that modern states are based on: (1) National economy: Removal of local barriers to trade and the building of a nation-wide infrastructure (2) National government: A centralized system of democratic rules and strong political-administrative capacities within a precisely defined territory (3) Nation: People who build a community of sentiment and a community of citizens (4) Sovereignty: No final political authority outside or above the state.

(A) 2. Globalization & Future of the Nation-State BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 337 However, according to Sorensen (2008) these characteristics are transformed by globalization (1)The economy is increasingly embedded in cross-border networks. “Shallow and deep integration” (2)National government is replaced by multi-level governance

(A) 2. Globalization & Future of the Nation-State BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 338 (continued) (3) Nation: Globalization reinforces collective identities “above” and “below” the nation. There is evidence of an emerging “western civic identity” but also of “resistant identities”.

(A) 2. Globalization & Future of the Nation-State BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 339 (continued) (4)Sovereignty: the rule of non-intervention is challenged in a world of multi-level governance. But still consent of states needed! States in process of transformation: “post-modern” states.

Nations A nation is a people who 1.Share demographic and cultural similarities 2.Possess a feeling of community (mutually identify as a group distinct from other groups 3.Want to control themselves politically and be politically separate Exists because its members want it to exist. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 340

Nations: Demographic/Cultural Similarities Demographics: language, race, religion, SES Common culture Shared historical experience BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 341

Nations: Community Perception is critical Most members of a nation will never know others but feel a sense of community anyway “We-Group” – defined by similarity of members but also in terms of how the members differ from other groups or “They-Groups” BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 342

Nations: Desire to be Politically Separate The difference between an ethnic group and a nation is that a nation, unlike an ethnic group, desires to be self-governing, or at least autonomous. Line between ethnic groups and nations not always well-defined Ethnonational group: once the prevailing opinion of the ethnic group perceives it to be distinct politically as well as culturally BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 343

Nationalism Second aspect of the traditional political orientation 1.Establishes values about what is good vs. bad 2.Directs adherents on how to act (patriotism) 3.Links together those who adhere to the ideology 4.Distinguishes group from those who are not in group BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 344

Nationalism Connects people through 1.Sentimentality towards homeland 2.Sense of identity and self-esteem through national identification 3.Motivation to help country Nation is primary political identifier BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 345

Nation-States Third element in traditional way of defining and organizing world state politically Nation-state combines idea of a nation with that of a state Where a nation exists within the borders of a currently existing state BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 346

Rise of Nationalism Modern Idea Early Nationalism 1.Holy Roman Empire (religion/Latin) 2.Fragmentation after HRE 3.Growth of nationalism intertwined with growth of state and then nation-state 4.Conversion of Anglicanism in England helped spread nationalism to the masses BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 347

Modern Nationalism Emerged around 1700s Growth of emotional attachment to location Growth of Sovereignty—ex. American Revolution Ideas of nation implied equality (liberalism) Destroyer of empires BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 348

Patterns of Nation-State Formation Unification Nationalism: easiest form of state building when a strong sense of cultural and political identity exists among a people, and the formation of a nation precedes that of the state. Europe—examples where nations came first and later became states BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 349

Nation-State Formation Scenario Two: State is created first and then has to try to forge a sense of common national identity among the people and then with the people to the state. Example: African colonization BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 350

Evolution Nation building and state building not locked in a strict sequential interaction Example: United States BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 351

Nationalism in Practice Myth vs. Reality: Do Nation States really exist? Most states are not ethnically unified Many nations are split by more than one boundary BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 352

Patterns of Tension 1.Ideal model of One Nation, One State 2.One state, Multiple Nations 3.One nation, multiple States 4.One Nation, No Sate 5.Multiple Nations, Multiples States BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 353

One State, One Nation About 10% of all countries Example: The United States (about 99% live in actual US, no ethnonational groups fighting for autonomy) Proud to be an American BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 354

One State, Multiple Nations 30% of all states have no nation that constitute a majority Example: Canada (French-Canadian, English-Canadian, etc) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 355

One Nation, Multiple States Departure from the nation-state ideal Occurs when a nation overlaps border of two or more states Many occurred during cold war (example: Korea, Viet Nam, Germany) Other examples exist: Serbia and Montenegro BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 356

One Nation, No State Stateless nation –another patter of misfit between state and nation When a nation is a minority in one or more states (aka, peripheral nationalism) Example: The Palestinians BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 357

Multiple Nations, Multiple States Misfit pattern When several states and nations overlap Failed state: a country so fragmented that it cannot be said to exist as a unified political or national entity (example: Afghanistan) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 358

Positive Nationalism In philosophical and historical beginning, positive (idealism) “Nationalism promotes democracy.” “Nationalism discourages imperialism.” “Nationalism allows for economic development.” “Nationalism allow for diversity and experimentation.” BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 359

Negative Nationalism Growth of militant nationalism Reluctance to help others Exclusionism Xenophobia: fear of others; “they-groups” Internal oppression External aggression BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 360

Self-Determination=Goal May end many of the abuses of ethnic oppression More problematic in practice Tribalism tendency BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 361

Negatives of Self- Determination Untangling groups Microstates: countries with tiny populations International instability Recognition of new countries? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 362

The Future of Nationalism Can be traced back to ancient times but many political scientists see it as particularly relevant in past 500 years. WWII showed examples of fascism and imperialism as a result of aggressive nationalism. Continued strength of nationalism unquestionable BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 363

Future of Nationalism Demise of nationalism possible but not imminent Will nationalism continue as source of main political identification? Answers Unclear BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 364

Outline 1.What is a nation? Classical definitions 2. Primordialist view 3. Modernist view 4. Intermediary position 5. Nations and ethnies 6. Nationalism 7. Conclusion

Primordialist view Key assumptions Nations are real process National sentiment is no construct It is rooted in a feeling of kinship Nations are eternal or at least go back to ancient times BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 366

“Nation as a natural, God-given way of classifying men, as an inherent … political destiny, are a myth; nationalism, which sometimes takes preexisting cultures and turns them into nations, sometimes invents them, and often obliterates preexisting cultures: that is a reality”. (Ernest Gellner) Modernist view BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 368

“Nations do not make states and nationalisms but the other way round”. (Eric Hobsbawm) BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 369

Nations accompany the transition from agrarian societies to modern industrial societies Nations are functional for modern industrial society. The most important tool in forming nations is the modern education system The replacement of “low” by “high” cultures marks industrial society and nation building. Nationalism imposes the new high culture on the population and uses material from old “low” cultures as raw material see also “The invention of tradition” (Eric Hobsbawm) Nations are necessary, every single nation is contingent Ernest Gellner, Nation and Nationalism Ernest Gellner BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 370

Modernist view Key assumptions Nations are a product of modernity Nations are constructed by elites Nationalists created nations BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 371

Critics of the modernist position “For the diffusion of national ideas could only occur in specific social settings. Nation-building was never a mere project of ambitious or narcissistic intellectuals… Intellectuals can “invent” national communities only if certain objective preconditions for the formation of a nation already exist.” Miroslav Hroch, From National Movement to the Fully-Formed Nation, p. 61 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 372

Ethno-Symbolism “ethnies are constituted, not by lines of physical descent, but by the sense of continuity, shared memory and collective destiny, i.e. by lines of cultural affinity embodied in myths, memories, symbols and values retained by a given cultural unit of population.” A.D. Smith, National Identity, p. 29 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 374

Ethno-Symbolism Modern nations and pre-modern ethnies are linked Ethnies are crucial for the formation of nations Myths, symbols, folk tales, histories, memories, cultural traditions play important roles in transforming ethnies in nations They are the basis for social cohesion BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 375

“The point at issue is how far the modern, mass public culture of the national state is a modern version of the premodern elite high culture of the dominant ethnie, or how far it simply uses ‘materials’ from that culture for its own quite different, and novel, purposes.” Anthony D. Smith, Nationalism and Modernism, p. 42 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 376

Intermediary position (Anthony D. Smith) Key assumptions Nations are a modern phenomenon, but have roots in premodern eras and cultures Modern nations are directly or indirectly related to older ethnies with their distinctive mythology, symbolism and culture Nations are expression of the “need for collective immortality through posterity” Nations are both construct and real process BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 377

“A nation can therefore be defined as a named human population sharing an historic territory, common myths and historical memories, a mass public culture, a common economy and common legal rights and duties for all members.“ Anthony D. Smith: National Identity. Reno, Las Vegas, London 1991, p. 14. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 379

Ethnic communities or ethnies (characteristics) 1.a common name; 2.a set of myths of common origins and descent; 3.some common historical memories of things experienced together; 4.a common “historic territory” or “homeland,” or an association with one; 5.one or more elements of common culture – language, customs, religion; 6.a sense of solidarity among most members of the community.“ Anthony D. Smith: The Origins of Nations, pp. 109-110 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 380

Ethnicity (Fredrik Barth) Ethnicity is a social product Importance of interaction Ascribed and self-ascribed Categorical ascription “To the extent actors use ethnic identities to categorise themselves and others for the purposes of interaction, they form ethnic groups in this organisational sense.” “The critical focus of investigation from this point of view becomes the ethnic boundary that defines the group, not the cultural stuff it encloses.” Fredrik Barth (ed.), Ethnic Groups and Boundaries (Boston, 1969), pp. 14-15 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 381

Lateral Ethnies Aristocratic type of ethnie Incorporation of different demotic vertical communities Bureaucratic incorporation: incorporation of other strata of the population Accommodation between the upper- class culture and the culture of lower strata and peripheral regions The state unified, standardized and culturally homogenized Importance of royal administration, taxation, mobilization – sense of corporate loyalty and identity Examples: England, France, Spain Vertical Ethnies Demotic ethnies - bases for nations Common myths, symbols Religious traditions can be extremely important Crucial role of the intelligentsia in the 19 th and 20 th centuries Discovery and realization of the community Politicization of the community Movement towards a “homeland” Economic unification Transformation of ethnic members into legal citizens Placing the people at the centre of moral and political concerns – Role of education Examples: Ukraine, Czechia, Latvia, Slovakia, Estonia BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 382 Anthony D. Smith: The Origins of Nations, pp. 109-123

BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 384 Nationalism Identical movement for attaining and maintaining the autonomy, unity and identity of an existing or potential “nation”. (Anthony D. Smith, The Origins of Nations, p. 108)

The term “nationalism” is generally used to describe two phenomena: (1)the attitude that the members of a nation have when they care about their national cultural identity and (2)the actions that the members of a nation take when seeking to achieve (or sustain) self-determination. It raises questions about the concept of a “nation” (or national identity), which is often defined in terms of common origin, ethnicity, or cultural ties (ETHNIC Nationalism like Quebec, the Tamils, Basques, Serbia)) or belief systems (CIVIC Nationalism, like the USA and its constitution and freedoms), and while an individual's membership in a nation is often regarded as involuntary, it is sometimes regarded as voluntary. (2) raises questions about whether self-determination must be understood as involving having full statehood with complete authority over domestic and international affairs, or whether something less is required (like current Quebec as a nation within Canada). BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 385

Nationalism A theory of political legitimacy “which requires that ethnic boundaries should not cut across political ones, and in particular, that ethnic boundaries within a given state … should not separate the power-holders from the rest.” Ernest Gellner, Nation and Nationalism, p. 1 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 386

Ernest Gellner “Nationalism is not the awakening of nations to self-consciousness: it invents nations where they do not exist.”

Mass, civic and democratic political nationalism Ethno-linguistic nationalism Nations claim self-determination as sovereign, independent states Secessionist and state building Large in territory and populationSmaller groups Top-down and elite basedFrom below and community based e.g. Germany, Italy, Hungary modelled after France and Britain e.g. Ukrainians, Czechs, Estonians, Serbs Two types of nationalism (Hobsbawm) Eric Hobsbawm, Nations and Nationalism since 1780 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 388

“A nationalist argument is a political doctrine built upon three basic assertions: a.There exists a nation with an explicit and peculiar character. b.The interests and values of this nation take priority over all other interests and values. c.The nation must be as independent as possible. This usually requires at least the attainment of political sovereignty.” John Breuilly, Nationalism and the State (Chicago, 1985), p. 3 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 389

Types of Nationalism (Michael Hechter) State-building nationalism: England, France Peripheral nationalism: Quebec, Scotland, Catalonia Irredentist nationalism: Sudeten Germans, Hungarians in Romania Unification nationalism: Germany, Italy Michael Hechter, Containing Nationalism (Oxford, New York, 2000), pp. 15-17 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 390

Problems and Questions The connection between early modern states, societies, cultures, ethnies and modern nations. The transition from cultures or ethnies to nations. Are nations really contingent (occur by chance)? Why do some “low cultures” succeed in transforming themselves into a high culture and why do some not? National mass education is only possible after having a nation state, it does not explain the nationalism before. Strength of nationalism and national movements in “backward” agrarian and agroliterate societies. Why do the elites of some ethnies choose assimilation to an existing “high culture” and why do some elites choose the path of differentiation? The emotional impact of nations and nationalism: Why did the identification with the nation have a greater impact on behaviour than religious, regional, class or gender identifications? BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 392

Deciding for Nation Building  Remember the saying “Think not only of what your nation can do for you but what you can do for your nation”  Why call barren, a land that produces plenty? This same country has produced the world’s best in diverse fields…  Every great nation is a product of deliberate efforts at Nation Building by all classes of people, no matter their age-group, sex or ideological group  Building the nation may not begin with an explosion, but with a silent revolution preceded by a personal resolution BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 393

The Historical Trajectories of Nation Building The first generation of nation building in Western Europe and American The first generation of nation building in Western Europe and American ◦Nation-building through the sentiment of imperial power and prestige of the Empire in Britain BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 394

The Historical Trajectories of Nation Building The first generation of nation building in Western Europe and American The first generation of nation building in Western Europe and American ◦Nation-building through the sentiment of imperial power and prestige of the Empire in Britain ◦Independent revolutions and constitution of republics among Creole in South American in the 18th century ◦Republic states of European migrants and Creole over weak nations of native Americans BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 395

The Historical Trajectories of Nation Building The second generation of nation building in Eastern Europe The second generation of nation building in Eastern Europe ◦Scattered national fragments in Eastern Europe (Balkan Peninsula) as the results of wars between the east and the west, and Christianity and Muslim ◦Nation-building project under the ruling of authoritarian socialist party-state in Yugoslavia from 1945 to 1989. ◦Dissolution and reunification of nations after the collapses of East-European socialist states in 1989 ◦Genocide among nations of former Yugoslavia socialist states ◦Balkanization BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 396

The Historical Trajectories of Nation Building The third generation of nation building in Asia and Africa The third generation of nation building in Asia and Africa ◦Independent movements in European colonies after WWII ◦Nation building took the form of ‘state-based territorialism’ (Smith, 1983) ◦Separatism and Unificationism in independent states of former colonies ◦The case of British India Empire ◦The case of South Africa BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 397

The Project of Nation Building in China From empire-based territorialism to hereditary nationalism From empire-based territorialism to hereditary nationalism ◦Imperialist invasion to the Ching Empire: The birth of national awareness in the 19th century ◦The nationalist revolution and the separatism of the warlords From hereditary nationalism to acquired nationalism From hereditary nationalism to acquired nationalism ◦The Japanese invasion and the united front of the Nationalist and Communist parties ◦The establishment of the People Republic of China in 1949 ◦The economic liberalization of PRC in 1978 ◦The Students movement in 1989 ◦Olympic game and ethnic disturbance in Tibet in 2008 ◦Ethnic disturbance in Xinjiang in July 2009 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 398

Education Policy and National Identity Formation National identity as public narrative identity: The politics of culture in national history curricula National identity as public narrative identity: The politics of culture in national history curricula ◦Cases of intra-national politics of national-history curriculum ◦Cases of inter-national politics of national-history curricula BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 399

Education Policy and National Identity Formation National identity as labor of representation and product of symbolic struggle National identity as labor of representation and product of symbolic struggle ◦National flag ◦National map ◦National figures ◦Nationally significant/historic events ◦National Monuments BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 400

Education Policy and National Identity Formation Reproduction in national-identity education: Applying Bourdieu’s theory of reproduction in education, the national- identity education may be construed as Reproduction in national-identity education: Applying Bourdieu’s theory of reproduction in education, the national- identity education may be construed as ◦Curricula of national-identity education can be understood as cultural arbitraries. And pedagogic actions of national identity can be discerned as “imposition of national cultural arbitrary through symbolic violence. For examples ◦Debate on National Curriculum in Education Reform Act 1988 in England; ◦Debate over the Sino-Japan War in the history curricula in PRC and Japan; ◦Desinification in the curriculum reform in the government of the Democratic Progressive Party in Taiwan, etc. BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 401

Education Policy and National Identity Formation Reproduction in national-identity education: Reproduction in national-identity education: ◦Educators of national curriculum, including scholars, curriculum designers, public examination evaluators, teachers, etc. have to legitimatized them as “pedagogic authorities” in carrying out the respective pedagogic action. ◦The pedagogic work of national identity by definition is acts of inculcation of “national habitus” a nation-state expected of its citizens. ◦National-identity education as an institution can be analyzed at three levels ◦Reproduction of the institutional elements of national identity education, ◦Reproduction of the national culture, ◦Reproduction of the legitimation bases of the ruling class and its regime BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 402

The Project of Nation Building in China From empire-based territorialism to hereditary nationalism From empire-based territorialism to hereditary nationalism ◦Imperialist invasion to the Ching Empire: The birth of national awareness ◦The nationalist revolution and the separatism of the warlords From hereditary nationalism to acquired nationalism From hereditary nationalism to acquired nationalism ◦The Japanese invasion and the united front of the Nationalist and Communist parties ◦The establishment of the People Republic of China in 1949 ◦The economic liberalization of PRC in 1978 ◦The Students movement in 1989 ◦Olympic game and ethnic disturbance in Tibet in 2008 ◦Ethnic disturbance in Xinjiang in July 2009 BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 403

What’s the Role of an Individual in Nationbuilding? What’s your role? ◦It depends ◦ For a week, for a summer, for a career? ◦Do what you can at work. Be aggressive. ◦But that’s the Hard side of nationbuilding ◦– there’s other influences too. ◦Get involved outside the office. ◦ With the internationals (argue for what you think is right) ◦ In the local culture…(taxi drivers, waiters, etc.)  The Soft side makes a difference too… BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 404

Richard P. Gildrie: (In: Kaufmann, Greg, 2008, P. 18). “the rule of law is an ethical and cultural concept as well as a judicial or political one” BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 405

Richard P. Gildrie: (In: Kaufmann, Greg, 2008, P. 18). “the rule of law is an ethical and cultural concept as well as a judicial or political one” BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 406

Article 1, Universal Declaration of Human Rights says: “All human beings are born free and equal in dignity and rights. They are endowed with reason and conscience and should act towards one another in a spirit of brotherhood.” BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 407

Working and Understanding the Social Dynamic The Internationals ◦International System ◦(UN/EU/OSCE/NATO) ◦Thousands of aid workers and troops What’s life like there? Good and Bad. ◦People escaping, people searching. ◦Transient lifestyles, No attachment ◦Generally highly qualified, hard working ◦Working dinners - always talking shop ◦Traveling, Fierce debates  good intentions BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 408

Shamoo: In September 14, 2005, in an article entitled: Looking for Peace in Iraq: “In every successful insurgency movement, you have to have a core group surrounded by multiple circles of support—much as an onion has layers upon layers over its center. At the core of the insurgency are the fighters. They are surrounded by layers of support that enable their function: people who provide or store weapons; others who provide financing and other needed supplies; and even those who allow the insurgents to hide. Outer layers of this support are still powerful. Some people provide information to the insurgency and many others provide the psychological support to the insurgents. And there are others who provide support through their acquiescence, silence, and indifference.” BY GITAU G.K. (GITAUGK.AC@GMAIL.COM) FOR JKUAT WESTLANDS, 2016 409

WEGL 3202 VALUES ETHICS AND INTEGRITY IN GOVERNANCE BY: GITAU G.K. BY GITAU G.K. FOR JKUAT WESTLANDS,

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WEGL 3202 VALUES ETHICS AND INTEGRITY IN GOVERNANCE BY: GITAU G.K. BY GITAU G.K. FOR JKUAT WESTLANDS,

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Presentation on theme: "WEGL 3202 VALUES ETHICS AND INTEGRITY IN GOVERNANCE BY: GITAU G.K. BY GITAU G.K. FOR JKUAT WESTLANDS,"— Presentation transcript:

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