Theory X and Theory Y

Theory X-Theory Y by Douglas McGregor describes how the traditional organization (e.g. schools) - with its centralized decision making, hierarchical pyramid, and external control of work - is based on certain assumptions about human nature and human motivation. These assumptions, called Theory X by McGregor, state that most people prefer to be directed, are not interested in assuming responsibility, and want safety above all. Accompanying this philosophy is the belief that people are motivated by money, fringe benefits, and the threat of punishment.

Teachers who accept Theory X assumptions attempt to structure, control, and closely supervise their students. These teachers feel that external control is clearly appropriate for dealing with unreliable and irresponsible children.

After describing Theory X, McGregor questioned whether this view of human nature is correct. Drawing heavily on Maslow's hierarchy of needs, McGregor concluded that Theory X assumptions about human nature, when universally applied, are often inaccurate and that motivational approaches based on it often fail to motivate many individuals.

McGregor felt that management needed practices based on a more accurate understanding of human nature and motivation. As a result, he developed an alternative theory of human behavior called Theory Y. This theory assumes that people are not, by nature, lazy and unreliable. It suggests that people can be basically self-directed and creative at work if properly motivated. Theory Y goes on to state that properly motivated people can achieve their own goals best by properly directing their own efforts toward accomplishing organizational goals.

This chart identifies key assumptions of Theory X - Theory Y:

Theory X

1. Work is inherently distasteful to most people.
2. Most people are not ambitious, have little desire for responsibility, and prefer to be directed.
3. Most people have little capacity for creativity in solving organizational problems.
4. Motivation occurs only at the physiological and security levels.
5. Most people must be closely controlled and often coerced to achieve organizational objectives.

Theory Y

1. Work is as natural as play, if the conditions are favorable.
2. Self-control is often indispensable in achieving organizational goals
3. The capacity for creativity in solving organizational problems is widely distributed in the population.
4. Motivation occurs at the social, esteem, and self-actualization levels, as well as at the physiological and security levels.
5. People can be self-directed and creative at work if properly motivated.

When showing this list to teachers in our training sessions, teachers almost universally state they support - and practice Theory Y. We have trained teachers to be repelled by Theory X, at least publicly. In the privacy of their own classrooms (or for that matter, many coaches on the athletic fields), many teachers engage in practices which would indicate a strong belief in the assumptions of Theory X.

There is no one right way to be all the time. We have all had students who fit Theory X, and other who fit Theory Y. Theory X and Theory Y are attitudes, or predispositions, toward people. Thus, although the "best" assumptions for a teacher to have may be Theory Y, it may not be appropriate to behave consistently with those assumptions all the time. Teachers and coaches may have Theory Y assumptions about human nature, but they may find it necessary to behave in a very directive, controlling manner (as if they had Theory X assumptions) with some people in the short run to help them "grow up" in a developmental sense, until they are truly Theory Y-acting people.

The key is to be purposeful, reflective, metacognitive . . . don't say you are being highly directive because the child "needs it," when in reality it is the teacher who finds it more comfortable to be that way. Always keep the goal in mind . . . do you want to control or help the child grow - and what is the best way to accomplish that goal.