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Orphan care in context: Evidence-based management of care alternatives for orphans and separated children in Sub-Saharan Africa
No full textOver 385 million children around the world live under conditions of despair and vulnerability due to poverty, war, conflict, disease, migration, and natural disasters (SOS Children’s Villages; USG Children in Adversity, n.d.-a). The most vulnerable of all are orphans and children separated from their parents. The number of orphans has accelerated since the late 1990s due to the HIV/AIDS crisis, currently standing at about 140 million, of whom 52 million live in Sub-Saharan Africa (SSA) (UNICEF, n.d.). Although there has been much work done by the global development community to support vulnerable children in developing countries, much of donor funding, policy, and program direction has prioritized family-based care (such as foster care) and pushed to close down residential care (such as orphanages). However, tens of millions of orphans and separated children (OSC) in developing countries live outside family-based care, in residential care settings or on the streets, and significant gaps in data and services has rendered this population invisible (USG Children in Adversity, n.d.-d). This is a result of the imbalance between the demand for and supply of support services for OSC living outside family-based care. This dissertation challenges the current paradigm in the international development community and proposes an evidence-based management and decision-making process that takes into consideration a country’s economic, political, and socio-cultural context, relevant evidence, practitioner expertise, and stakeholder perspectives for considering and supporting appropriate OSC care alternatives in SSA. This study conducts a Systematic Review of relevant evidence to analyze the strengths, weaknesses, opportunities, and threats of residential care in SSA to inform decision making by child welfare stakeholders. The three main conclusions with implications for management are: 1) context matters and one size does not fit all when it comes to considering care alternatives for OSC; 2) a holistic child development approach is essential for care model assessment and programming; and 3) mitigating external threats and supporting residential care for OSC is vitally needed in SSA, including lifting international deinstitutionalization pressures. Specific recommendations are outlined, as well as limitations of the study and suggestions for future research.EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES
ABSTRACT
Title of Dissertation: ORPHAN CARE IN CONTEXT:
EVIDENCE-BASED MANAGEMENT OF
CARE ALTERNATIVES FOR ORPHANS
AND SEPARATED CHILDREN IN
SUB-SAHARAN AFRICA
Hiwot Tesfaye Mengesha,
Doctor of Management, 2021
Over 385 million children around the world live under conditions of despair and vulnerability
due to poverty, war, conflict, disease, migration, and natural disasters (SOS Children’s Villages;
USG Children in Adversity, n.d.-a). The most vulnerable of all are orphans and children
separated from their parents. The number of orphans has accelerated since the late 1990s due to
the HIV/AIDS crisis, currently standing at about 140 million, of whom 52 million live in Sub-
Saharan Africa (SSA) (UNICEF, n.d.). Although there has been much work done by the global
development community to support vulnerable children in developing countries, much of donor
funding, policy, and program direction has prioritized family-based care (such as foster care) and
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES
pushed to close down residential care (such as orphanages). However, tens of millions of orphans
and separated children (OSC) in developing countries live outside family-based care, in
residential care settings or on the streets, and significant gaps in data and services has rendered
this population invisible (USG Children in Adversity, n.d.-d). This is a result of the imbalance
between the demand for and supply of support services for OSC living outside family-based
care. This dissertation challenges the current paradigm in the international development
community and proposes an evidence-based management and decision-making process that takes
into consideration a country’s economic, political, and socio-cultural context, relevant evidence,
practitioner expertise, and stakeholder perspectives for considering and supporting appropriate
OSC care alternatives in SSA. This study conducts a Systematic Review of relevant evidence to
analyze the strengths, weaknesses, opportunities, and threats of residential care in SSA to inform
decision making by child welfare stakeholders. The three main conclusions with implications for
management are: 1) context matters and one size does not fit all when it comes to considering
care alternatives for OSC; 2) a holistic child development approach is essential for care model
assessment and programming; and 3) mitigating external threats and supporting residential care
for OSC is vitally needed in SSA, including lifting international deinstitutionalization pressures.
Specific recommendations are outlined, as well as limitations of the study and suggestions for
future research.
Keywords: OSC, OVC, care alternatives, child wellbeing, holistic development, Sub-Saharan
Africa.
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES
ORPHAN CARE IN CONTEXT: EVIDENCE-BASED MANAGEMENT OF CARE
ALTERNATIVES FOR ORPHANS AND SEPARATED CHILDREN IN
SUB-SAHARAN AFRICA
By
Hiwot Tesfaye Mengesha
Dissertation submitted to the Faculty of the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Management
2021
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES
© Copyright by
Hiwot Tesfaye Mengesha
2021
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 1
Dedication
To my beautiful children, Evania and Naathai Nikodimos. You are the love and lights of my life.
And
To all children in need of loving care and protection.
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 2
Acknowledgements
First of all and above all else, I would like to thank my almighty God for giving me much
needed fortitude and perseverance to accomplish this challenge. It was not easy, but I truly
believe knowledge and wisdom come from God. So, I worked hard and humbly prayed from the
heart each step of my way for God’s wisdom and direction, and He remained faithful to me. For
that and for His unconditional love, I am eternally grateful and blessed. May He bless the
knowledge I gained so I use it to fulfill the purpose He has for me in life, and may that be
pleasing to Him. So help me God!
Next, I would like to thank my primary faculty mentor and advisor Dr. Laura Witz.
Thank you for being genuinely invested in my learning, for your interest in my research, and for
intellectually challenging me each step of the way so I can deliver a quality product. Taking on
the demanding task of dissertation research on top of what 2020 had in store for us was not easy,
but because of your encouragement, support, mentorship, and guidance, I succeeded. Thank you
also to my faculty advisors Dr. Raymond Marbury and Dr. Deborah Wharff as well as our
program chair, Dr. Ravi Mittal, for your thoughtful feedback on my research. I am also thankful
to the entire Doctor of Management/Doctor of Business Administration faculty and the
incredible doctoral librarian Cynthia Thomes for sharing your wisdom and guidance throughout
the program. I would also like to thank my fellow colleagues in the program for your friendship,
encouragement, and support.
I am so grateful for many people who inspired, supported, and encouraged me before and
during my doctoral journey. As I get older, I find myself reflecting back on my roots and the
many sacrifices my ancestors made so I can be here today. I also recognize the many people I am
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 3
fortunate to be surrounded by, look up to, and rely on throughout my life, always lifting me up. I
sincerely hope that I can pay forward what you each have done for me.
● My late grandfather, Ababa Mengesha, for taking my father (your nephew) from a
very young age when his biological father died, and raising him as your own, hence
changing the trajectory of life for all of us that came after. I am so honored to be
called by your name.
● My grandmother, Ayneye, for planting in me the values of faith, resilience,
persistence, respect, humility, integrity, love, and care for others as proved by your
immense kindness.
● My parents, Tefu and Chuchu, for raising me with much love and care, instilling in
me high regards for education, hard work, and discipline, nurturing me so I can grow
up to be an ambitious and independent woman, and believing in me that I can do
anything I want.
● My children, Evania and Naathai, for giving me endless love and purpose. I am so
grateful for your patience while I studied on nights and weekends, and for all the
hugs, kisses, and candies! And to Niko for your support and keeping the kids fun-occupied
on the weekends.
● Special thank you to Mulu Chekol, Pat Daly, Rick Stoner, Dr. Robert Clay, and Dr.
Roger Whitaker for your mentorship over my entire professional career and your
review feedback on my research – your questions, comments, and suggestions made
this a much better product than it could have been, and I am forever grateful for your
support, encouragement, time, expertise, and insights.
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 4
● A huge thank you to my friend Faith Freeman for having faith in me – what you said
to me (“oh, you will get it done”) early in the program, when I was so stressed about
not having enough time for school, served as a ring tone in my head throughout this
journey and calmed me down in moments of stress more than you can ever imagine. I
am also immensely grateful for your time and help with copy-editing the full
dissertation!
● A lot of gratitude to Senu and Eshe for always taking care of me when I most needed
it as well as to Mahi, Emu, Yoni, Eli, Heri, Nunu, Moke, Elu, and Abu; and my
friends Andy, Angela, Camille, Carole, Johanna, John, Margot, Meley, Melekt,
Mihiret, Seung, Sumeet, and Yeva for believing in me, cheering and supporting me
along the way, and being my sounding board and sanity check.
● All my family, friends, and colleagues, too many to name, for your love, support,
encouragement, and patience – I can’t wait to catch up on social time!
With much appreciation and love to all of you.
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 5
Table of Contents
Dedication 1
Acknowledgements 2
Table of Contents 5
List of Tables 8
List of Figures 9
List of Abbreviations 10
Chapter 1: Introduction and Overview of the Management Problem 1
Background and Overview 6
Problem Statement and Significance of the Problem 19
The Study Purpose and Research Question 24
Organization of the Dissertation 29
Chapter 2: Scoping Literature Review and Theoretical Lens 30
Child Wellbeing 30
Multidimensional measurement of child wellbeing 33
Domain specific measurements of child wellbeing 36
Orphaned, Separated, and Vulnerable Children 41
Sub-Saharan Africa 45
Regional development indicators 45
Conflict 49
Migration and internal displacement 50
Population 51
Orphanhood crisis 53
Social protection systems 55
Culture 56
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 6
Care Models for OSC 59
Family-based care 59
Residential care 61
Care model policy and its evolution 65
Theoretical Lens 74
Theory of Psychosocial Development 74
Stakeholder Theory 85
Conceptual Framework 91
Chapter Summary 94
Chapter 3: Method 99
Systematic Review and the Evidence-Based Management 99
Engaging Subject Matter Experts 105
Stages of Systematic Review 110
SWOT Analysis Reporting Chart 126
Chapter Summary 128
Chapter 4: Analysis and Findings 130
Results of the Search Strategy and Quality Appraisal Process 130
Description of the Data Set 133
Results of Qualitative Analysis and Synthesis 137
Theme 1. Strengths of residential care for improving OSC wellbeing in SSA 143
Theme 2. Weaknesses of residential care to improve OSC wellbeing in SSA 155
Theme 3. Opportunities for residential care to improve OSC wellbeing in SSA 173
Theme 4. Threats facing residential care for OSC in SSA 186
SWOT Analysis of residential care for OSC in SSA 193
Results of Subject Matter Experts Collaboration 198
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 7
Chapter Summary 203
Chapter 5: Conclusions and Implications 205
Review of the Research 205
Answer to the Research Question 207
Management Implications and Recommendations 209
Implication 1. Context matters, and one size does not fit all. 210
Recommendation 1: Follow a decision tree for OSC care placement. 212
Implication 2: Holistic child development approach. 215
Recommendation 2: Use a holistic lens for care model assessments. 215
Recommendation 3: Design holistic programs supported by harmonized funding. 218
Implication 3: Mitigating external threats and supporting residential care. 220
Recommendation 4: Build and strengthen national child welfare systems. 221
Recommendation 5: Implement program activities to strengthen residential care. 222
Limitations of the Study 227
Areas for Future Research 228
Final Summary and Conclusion 230
References 233
Appendix A: List of Databases 267
Appendix B: Quality Assessment 270
Appendix C: Data Set 298
Appendix D: Coding and Synthesis 332
Appendix E: Robustness Check 341
Appendix F: Subject Matter Expert Feedback 351
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 8
List of Tables
Table 1. Chronology of Key Events Relevant for Alternative Care
Table 2. Definitions of Wellbeing
Table 3. 2019 HDI Ranking for SSA Countries
Table 4. SSA Total Population and Child Population Data
Table 5. Eight Stages of Psychosocial Development
Table 6. List of Subject Matter Experts
Table 7. List of Databases and Search Terms
Table 8. Combined Weight of Evidence and TAPUPAS Quality Assessment Framework
Table 9. Evidence Identification and Retention Process
Table 10 List of Journals in which Reviewed Articles were Published
Table 11. Number and Types of Study Participants in Reviewed Articles
Table 12. Codes, Code Groups, and Themes
Table 13. Number of Units of Information Extracted by Theme and Code Group
Table 14. Number of Studies Cited by Theme and Code Group
Table 15. Number of Studies Cited by Code Group Under the Strengths Theme
Table 16. Units of Information Extracted by Code & Code Groups under the Strengths Theme
Table 17. Number of Studies Cited by Code Group under the Weaknesses Theme
Table 18. Units of Information Extracted by Code & Code Group under the Weaknesses Theme
Table 19. Number of Studies Cited by Code Group Under the Opportunities Theme
Table 20. Units of Information Extracted by Code & Code Group under the Opportunities Theme
Table 21. Number of Studies Cited by Code Group Under the Threats Theme
Table 22. Units of Information Extracted by Code & Code Groups under the Threats Theme
Table 23. SWOT Analysis Chart of Residential Care for OSC in SSA
Table 24. Child Status Index
Table 25. Programmatic Activities for Improving Child Wellbeing in Residential Care in SSA
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 9
List of Figures
Figure 1. A Graphical Summary of the UNCRC
Figure 2. Lifespan Impact of Adverse Childhood Experiences
Figure 3. OSC Care Problem in Developing Countries: Invisible Children
Figure 4. Orphans, Separated, and Vulnerable Children
Figure 5. Human Development Index
Figure 6. Map of Sub-Saharan Africa and Key Development Statistics
Figure 7. Death Caused by Conflict in SSA since 2011
Figure 8. 2019 Total Population Estimates for SSA
Figure 9. Estimated Number of Orphans by Country in SSA in 2018
Figure 10. Estimated Number of Orphans in SSA by Year from 2000-2018
Figure 11. Estimated Number of Children in Residential Care by Region in 2015
Figure 12. Hofstede’s Culture Dimension: Collectivism – Individualism World Map
Figure 13. POFO Study – Child Wellbeing by Care Setting
Figure 14. Qualitative Classes of Stakeholders and Typology
Figure 15. Applied Mapping of Child Welfare Stakeholders in SSA
Figure 16. The Conceptual Framework of this Study
Figure 17. Hierarchy of Evidence
Figure 18. The Four Elements of Evidence-Based Management
Figure 19. Systematic Review Stages
Figure 20. Scopus Documents by Year for Keywords Residential Care, OSC, and SSA
Figure 21. The Systematic Review Process
Figure 22. PRISMA Flow Diagram
Figure 23. Number of Reviewed Articles by Year of Publication
Figure 24. Number of Reviewed Studies Conducted in SSA Countries
Figure 25. Breakdown of the Study Designs of Reviewed Articles
Figure 26. A Word Cloud of Unitized Information from Reviewed Articles
Figure 27. Atlas.ti Network Graphic Linking Codes, Code Groups, and Themes
Figure 28. Decision Tree for Determining OSC Care Placement and Follow-up Actions
Figure 29. The Global Fund for AIDS, Tuberculosis, and Malaria
Figure 30. Dissertation in Numbers
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 10
List of Abbreviations
ARVT Antiretroviral Therapy
BCN Better Care Network
BEIP Bucharest Early Intervention Project (study)
BIA Best Interests Assessment
BID Best Interests Determination
BIP Best Interests Procedure
BMI Body Mass Index
CBCL Child Behavior Checklist
CBO Community-Based Organizations
CCI Charitable Children’s Institution
CDI Children’s Depression Inventory
CEBMa Center for Evidence-Based Management
CHS Children’s Hope Scale
CIDA Canadian International Development Agency
CIMO Context, Intervention, Mechanisms, and Outcomes
CSEI The Coopersmith Self-Esteem Inventory
CSI Child Status Index
CVLT-C California Verbal Learning Test-Children’s Version
FCDO United Kingdom’s Foreign, Commonwealth, and Development Office
EBMgt Evidence-Based Management
ERA The English and Romanian Adoptees study
EU European Union
FBO Faith-Based Organizations
FFQ Food Frequency Questionnaire
FMQ Fine Motor Quotient
GDP Gross National Product
GMQ Gross Motor Quotient
GNI Gross National Income
HDI Human Development Index
HIV/AIDS Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 11
IDMC Internal Displacement Monitoring Centre (of the Norwegian Refugee Council)
ILO International Labor Organization
IQ Intelligence Quotient
KABC Kaufman Assessment Battery for Children
LEC Life Events Checklist
LMIC Least- and Middle-Income Countries
MINI Kid The Minnesota International Neuropsychiatric Interview Kid
NGO Non-Governmental Organizations
NICHD Eunice Kennedy Shriver National Institutes of Child Health and Human
Development (under the United States National Institutes of Health)
OECD Organization for Economic Cooperation and Development
OSC Orphans and Separated Children
OSCAR Orphaned and Separated Children’s Assessments Related to their Health and
Well-being project
OVC Orphans and Vulnerable Children
PDMS Peabody Development Motor Scale
PEPFAR United States President’s Emergency Plan for AIDS Relief
POFO Positive Outcomes for Orphans study
PPP Purchasing Power Parity
PRISMA Preferred Reporting Items for Systematic Reviews and Meta-Analysis
PTE Potentially Traumatic Experiences
PTSD Post-traumatic Stress Disorder
RELAF Red Latinoamericana de Acogimiento Familiar (Network of Latin-American
Fostering Families)
SDQ Strengths and Difficulties Questionnaire
SIDA Sweden’s International Development Cooperation Agency
SME Subject Matter Expert
SR Systematic Review
SSA Sub-Saharan Africa
SWOT Strengths, Weaknesses, Opportunities, and Threats
TAPUPAS Transparency, Accuracy, Purposivity, Utility, Propriety, Accessibility, Specificity
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 12
TMQ Total Motor Quotient
UCLA University of California at Los Angeles
UMGC University of Maryland Global Campus
UN United Nations
UNAIDS United Nations Programme on HIV/AIDS
UNCRC United Nations Convention on the Rights of the Child
UNDP United Nations Development Program
UNESCO United Nations Educational, Scientific and Cultural Organization
UNFAO United Nations Food and Agriculture Organization
UNGACC United Nations Guidelines on the Alternative Care of Children
UNHCR United Nations High Commissioner for Refugees
UNICEF United Nations Children’s Fund (formerly, the United Nations International
Children’s Emergency Fund)
USAID United States Agency for International Development
USD United States Dollar
USG United States Government
WHO World Health Organization
WHOQOL World Health Organization Quality of Life
WOE Weight of Evidence
YSR Youth Self Report
EVIDENCE-BASED MANAGEMENT OF CARE ALTERNATIVES 1
Chapter 1: Introduction and Overview of the Management Problem
Over 385 million children around the world live under conditions of despair and
vulnerability due to poverty, war, conflict, disease, migration, and natural disasters (SOS
Children’s Villages, n.d.-a; USG Children in Adversity, n.d.-a). The most vulnerable of all are
orphans and separated children (OSC) who live outside family-based care (i.e. care by a
surviving parent, extended family, or foster care). In response to these challenges, particularly in
developing countries with significant resource constraints, various child welfare stakeholders at
the international, national, and community levels have been responding with policies, resources,
and programs to better serve the needs of orphans and vulnerable children (OVC).
Much of international donor funding, policy, and program direction for OVC care in
developing countries has placed significant emphasis on family-based care as opposed to
residential care settings, also referred to as institutions, children’s homes, group homes, and
orphanages. However, while the focus on supporting family-based care advanced and a global
call for the deinstitutionalization of residential care ensued since the early 2000s, a significant
challenge remained in properly identifying and caring for OSC living outside
The role of risk management plays in reducing cybersecurity riskes in the Federal Government
No full textTechnology continues to play a vital role in our lives. The creation of the Internet has
changed the way we communicate, work, and live our daily lives. Technology has brought great
advancements but it is not without its risks. The federal government uses technology daily to
provide necessary resources to Americans and operate efficiently. The federal government
continues to be a target of attacks looking to compromise, steal or disrupt agency operations. The
federal government is under constant attack from internal cyber threats such as hackers and
script-kiddies, to nation-state actors such as advanced persistent threats (APTs). The purpose of
this systematic review was to examine the role risk-management plays in reducing cybersecurity
threats to the federal government in order to make recommendations to assist federal agencies in
addressing the growing cybersecurity risks.
The literature review examined the various threat actors including internal and external
threats that are facing organizations and the federal government. The various risk-management
approaches that could be used to handle risks were also examined.
The systematic review examined 45 articles related to the topic of cybersecurity risk, risk
management and the federal government. Through the examination of the articles selected, four
themes were discovered among the 45 articles and examined. The final chapter looked at
answering the proposed research question and looked at providing appropriate strategy and
recommendations to answer the research question.
The systematic review identified four themes throughout the 45 articles reviewed. The
four themes discovered were, cybersecurity risks pose a threat to the Federal Government,
Advanced Persistent Threats (APTs) will grow as a cybersecurity risk facing the Federal
Government, The critical infrastructure will continue to be targets of increased cybersecurity
threats, and lastly, cybersecurity mitigation strategy is not keeping pace with current
cybersecurity risks.
The final chapter looked at providing the four recommendations to address the findings
discovered throughout the literature. The first recommendation looked at establishing a tailored
risk management model (TRMM). The second recommendation looked the expansion of
advanced persistent threat (APTs) information sharing between agencies. The third
recommendation looked at increasing public/private critical infrastructure collaboration. Lastly,
the final recommendation looked at the increased collaboration of the Federal Government and
public industry to develop new risk mitigation strategies.CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT i
Abstract
Title of Dissertation: THE ROLE RISK MANAGEMNT PLAYS IN REDUCING CYBERSECUIRTY RISKS IN THE FEDERAL GOVERNMENT
Dissertation Author: Alexander Gregory Stone Doctor of Business Administration University of Maryland Global Campus, 2021
Dissertation Advisors: James Gelatt, Ph.D. and John Sherlock, Ed.D.
Technology continues to play a vital role in our lives. The creation of the Internet has changed the way we communicate, work, and live our daily lives. Technology has brought great advancements but it is not without its risks. The federal government uses technology daily to provide necessary resources to Americans and operate efficiently. The federal government continues to be a target of attacks looking to compromise, steal or disrupt agency operations. The federal government is under constant attack from internal cyber threats such as hackers and script-kiddies, to nation-state actors such as advanced persistent threats (APTs). The purpose of this systematic review was to examine the role risk-management plays in reducing cybersecurity threats to the federal government in order to make recommendations to assist federal agencies in addressing the growing cybersecurity risks. CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT ii
The literature review examined the various threat actors including internal and external threats that are facing organizations and the federal government. The various risk-management approaches that could be used to handle risks were also examined. The systematic review examined 45 articles related to the topic of cybersecurity risk, risk management and the federal government. Through the examination of the articles selected, four themes were discovered among the 45 articles and examined. The final chapter looked at answering the proposed research question and looked at providing appropriate strategy and recommendations to answer the research question.
The systematic review identified four themes throughout the 45 articles reviewed. The four themes discovered were, cybersecurity risks pose a threat to the Federal Government, Advanced Persistent Threats (APTs) will grow as a cybersecurity risk facing the Federal Government, The critical infrastructure will continue to be targets of increased cybersecurity threats, and lastly, cybersecurity mitigation strategy is not keeping pace with current cybersecurity risks.
The final chapter looked at providing the four recommendations to address the findings discovered throughout the literature. The first recommendation looked at establishing a tailored risk management model (TRMM). The second recommendation looked the expansion of advanced persistent threat (APTs) information sharing between agencies. The third recommendation looked at increasing public/private critical infrastructure collaboration. Lastly, the final recommendation looked at the increased collaboration of the Federal Government and public industry to develop new risk mitigation strategies.
Keywords: Cybersecurity, Risk-Management, Systemic Review, Government, Threats CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT iii
THE ROLE RISK-MANAGEMENET PLAYS IN REDUCING CYBERSECUIRTY RISKS IN THE FEDERAL GOVERNMENT
By
Alexander Gregory Stone
Dissertation submitted to the Graduate School of Business,
University of Maryland Global Campus
in partial fulfillment of the requirements for the degree of
Doctor of Business Administration 2021
CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT iv
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© Copyright by
Alexander Gregory Stone 2021 All Rights Reserved CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT v
Dedication
This dissertation is dedicated to the woman who has always believed and supported me through every step of this journey called life. My mother has been the guiding light in my darkest time and allowed me to shine my brightest through with her love and support. She has always valued the power of education and the doors it opens. Although she is not here to celebrate or watch me walk across the stage, I know she is always looking down on me. I love you mom!
CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT vi
Acknowledgements
When I first began my undergraduate degree in 2011, never did I imagine I would one day be completing my doctorate. I would like to first extend my gratitude and admiration to my dissertation committee. Dr. Gelatt, and Dr. Sherlock were instrumental in not only believing in me, but also pushing me past my own boundaries allowing me to push myself further then I could ever imagine. I would not be here today publishing this dissertation without their guidance and mentorship. I would also like to thank the other committee members for their guidance throughout the defense process.
I would also like to thank the Professors and Advisors who have taught me so much through the years here at University of Maryland Global Campus. I began my journey at UMGC in 2013 as a rising junior and continued through two masters and my doctorate. I would like to acknowledge the incredible education I have received here at UMGC thanks to the excellent faculty and staff.
If it were not for Montgomery College and the excellent foundation I was given, I would not have been able to pursue my doctorate today. I would like to acknowledge all my Professors and Advisors who have guided me throughout my journey at MC. I would especially like to thank Dr. Stempel, Professor Adler and Professor Baker for their guidance throughout my time at MC.
The countless friends I have made throughout my educational journey will not be forgotten. I would like to acknowledge all my classmates who have pushed me to reach higher than I could have ever imagined. CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT vii
Lastly, I could not have accomplished this degree without the love and support of my wife Sarah and my family. Thank you to my wife for putting up with the late nights and long weekends over the past few years and thank you to my family for always being there supporting me every step of the way.
CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT viii
Table of Contents
Abstract ........................................................................................................................................................ i
THE ROLE RISK-MANAGEMENET PLAYS IN REDUCING CYBERSECUIRTY RISKS IN THE FEDERAL GOVERNMENT........................................................................................................... iii
Dedication ................................................................................................................................................... v
Acknowledgements ................................................................................................................................... vi
Table of Contents .................................................................................................................................... viii
List of Figures ............................................................................................................................................ xi
List of Tables ............................................................................................................................................ xii
CHAPTER ONE: INTRODUCTION AND OVERVIEW ...................................................................... 1
Background and Overview ......................................................................................................................... 1
Problem Statement and Significance of the Problem for Management and Scholarship .................... 2
Research Question ..................................................................................................................................... 4
Rationale for the Study ............................................................................................................................... 5
Definitions and Terminology ..................................................................................................................... 7
Organization of the Dissertation ................................................................................................................ 9
Chapter Summary ................................................................................................................................... 10
CHAPTER TWO: THEORETICAL FRAMEWORK AND LITERATURE REVIEW ................... 12
Theoretical Framework ............................................................................................................................ 13
Literature Review .................................................................................................................................... 14
Threat Overview ...................................................................................................................................... 15
External Threats .................................................................................................................................. 16
Domestic Threats ............................................................................................................................... 17
Foreign Threats ................................................................................................................................. 18
Natural Threats ................................................................................................................................. 19
Internal Threats ................................................................................................................................... 21
Malicious Insider ............................................................................................................................... 22
Accidental Insider .............................................................................................................................. 23
Masquerader Insider .......................................................................................................................... 23
Types of Risk-Management.................................................................................................................. 24
Risk Acceptance ................................................................................................................................ 25
Risk Avoidance .................................................................................................................................. 25
Risk Transfer ..................................................................................................................................... 26 CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT ix
Conceptual Framework ............................................................................................................................ 27
Chapter Summary ................................................................................................................................... 28
CHAPTER THREE: METHOD.............................................................................................................. 29
The Evidence-Based Research Framework ............................................................................................ 29
Systematic Review Process ................................................................................................................... 31
Research Question ................................................................................................................................... 32
Organization of search strategy ............................................................................................................... 33
Inclusion and Exclusion Criteria ......................................................................................................... 34
Critical Evaluation ............................................................................................................................... 37
Coding Procedure ................................................................................................................................ 41
Synthesis of findings ............................................................................................................................. 42
Summary ................................................................................................................................................... 46
CHAPTER FOUR: RESULTS ................................................................................................................ 48
Review of Research Question ................................................................................................................... 48
Overview of search criteria ...................................................................................................................... 48
Coding Analysis ........................................................................................................................................ 50
First Round ........................................................................................................................................... 50
Second Round ....................................................................................................................................... 54
Thematic Development ............................................................................................................................. 59
Theme 1: Cybersecurity risks pose threat to Federal Government ..................................................... 59
Theme 2: APT’s will grow as a cybersecurity risk ................................................................................. 62
Theme 3: Critical infrastructure targets increasing .............................................................................. 64
Theme 4: Cybersecurity mitigation strategy lack pace with risk ......................................................... 65
Summary ................................................................................................................................................... 66
CHAPTER FIVE: IMPLICATIONS AND RECOMMENDATIONS ................................................. 67
Summary of Findings ............................................................................................................................... 67
Implications for Management .................................................................................................................. 68
Recommendations .................................................................................................................................... 69
Recommendation 1: Tailored Risk Management Model (TRMM) .................................................. 69
Recommendation 2: Expand APT information sharing .................................................................... 71
Recommendation 3: Increase public/private critical infrastructure collaboration ....................... 72
Recommendation 4: Collaborate with industry to develop new risk mitigation strategies ............ 73 CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT x
Limitations ................................................................................................................................................ 74
Future Research ....................................................................................................................................... 74
Conclusion ................................................................................................................................................ 75
Summary ................................................................................................................................................... 76
References ................................................................................................................................................. 77
Appendix A Threat Types and Vectors .................................................................................................... 87
Appendix B Article Overviews ............................................................................................................... 114
Appendix C Executive Order 13626 ....................................................................................................... 129
Appendix D Treasury Advisory on Ransomware Payments ................................................................... 138
CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT xi
List of Figures
Figure 1 Contingency Management Theory Framework ......................................................................... 14
Figure 2 Conceptual Framework ............................................................................................................... 28
Figure 3 Systematic Review Process ....................................................................................................... 32
Figure 4 Search Strings using Boolean Logic .......................................................................................... 34
Figure 5 Inclusion and Exclusion Criteria ............................................................................................... 35
Figure 6 Diagram of PRISMA Model .................................................................................................... 36
Figure 7 Weight of Evidence (WoE) Criteria ........................................................................................... 38
Figure 8 CERQual Criteria ....................................................................................................................... 42
Figure 9 Articles Selected by Publication Year ....................................................................................... 49
Figure 10 Articles Average WoE Score ................................................................................................... 50
Figure 11 1st Round of Codes Identified ................................................................................................. 51
Figure 12 2nd Round of Coding............................................................................................................... 54
Figure 13 Thematic Development ............................................................................................................ 59
Figure 14 Average Cost Per Individual Data Type .................................................................................. 61
Figure 15 Johari Window of Cybersecurity Vulnerabilities .................................................................... 64
Figure 16 Tailored Risk Management Model (TRMM) .......................................................................... 70
CYBER RISK REDUCTION IN THE FEDERAL GOVERNMENT xii
List of Tables
Table 1 Weight of Evidence Analysis ..........................................................................................
E-leadership: Facilitating positive work outcomes in teleworkers through effective leadership
No full textLeadership is complex, and it is requisite that e-leaders seek the appropriate remote leadership techniques, styles, and skills for effectiveness. The information age has changed the way leaders interact with their followers creating a new leadership technique or e-leadership. E-leadership is not the same as traditional leadership and requires that leaders modify how they do things. Telework has proven valuable in a crisis as many businesses were able to keep employees working during the COVID-19 pandemic beginning in 2020. The purpose of this research is to identify the best leadership styles for producing positive work outcomes. The question guiding this research is: What are the most effective leadership styles for e-leaders to facilitate positive work outcomes in telework employees? A relationship-based approach based on Contingency Theory, Leader-Member Exchange Theory, and Social Exchange Theory created the theoretical framework used to produce a systematic literature review. This study began with 356 articles. Of those articles, 37 articles were identified using established search criteria, inclusion/exclusion criteria, and appraisal process. A coding process that utilized structured and in vivo coding was implemented. Transformational leadership techniques were identified as the most valuable, and recommendations for e-leadership are provided. Finally, an e-leadership checklist and a new conceptual model for telework and e-leadership were generated from the research.1
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
ABSTRACT
Leadership is complex, and it is requisite that e-leaders seek the appropriate remote leadership techniques, styles, and skills for effectiveness. The information age has changed the way leaders interact with their followers creating a new leadership technique or e-leadership. E-leadership is not the same as traditional leadership and requires that leaders modify how they do things. Telework has proven valuable in a crisis as many businesses were able to keep employees working during the COVID-19 pandemic beginning in 2020. The purpose of this research is to identify the best leadership styles for producing positive work outcomes. The question guiding this research is: What are the most effective leadership styles for e-leaders to facilitate positive work outcomes in telework employees? A relationship-based approach based on Contingency Theory, Leader-Member Exchange Theory, and Social Exchange Theory created the theoretical framework used to produce a systematic literature review. This study began with 356 articles. Of those articles, 37 articles were identified using established search criteria, inclusion/exclusion criteria, and appraisal process. A coding process that utilized structured and in vivo coding was implemented. Transformational leadership techniques were identified as the most valuable, and
Title of Dissertation:
E-LEADERSHIP: FACILITATING POSITIVE WORK OUTCOMES IN TELEWORKERS THROUGH EFFECTIVE LEADERSHIP
Angela Marie Even,
Doctor of Business Administration, 2021 2
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
recommendations for e-leadership are provided. Finally, an e-leadership checklist and a new conceptual model for telework and e-leadership were generated from the research.
Keywords: e-leadership, Leader-Member Exchange Theory, remote work, Social Exchange Theory, telework, Transformational leadership.
3
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
E-leadership: Facilitating Positive Work Outcomes in Teleworkers Through Effective Leadership
by
Angela Marie Even
Dissertation submitted to the Faculty of the Graduate School of the
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
2021
4
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
© Copyright by
[Angela Marie Even]
2021
5
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
Table of Contents
ABSTRACT .................................................................................................................................. 1
List of Tables ................................................................................................................................ 8
List of Figures ............................................................................................................................... 9
Chapter 1: Introduction and Overview of Management Problem ......................................... 10 Telework: An Introduction ..................................................................................................... 10 Telework Accessibility ............................................................................................................. 13 Work Outcomes ....................................................................................................................... 15 Leadership Explained.............................................................................................................. 19 E-Leadership Defined.............................................................................................................. 21 Problem Statement .................................................................................................................. 22 Significance of the Problem .................................................................................................... 22 The Research Question ........................................................................................................... 25
CIMO ..................................................................................................................................... 25 Concepts and Themes .............................................................................................................. 26 Concepts and Terminology ..................................................................................................... 26 Chapter Summary and Organization of Dissertation .......................................................... 28
Chapter 1 Summary ................................................................................................................ 28
Organization of Dissertation .................................................................................................. 28
Chapter 2: Theoretical Framework and Scoping Literature Review .................................... 29 Theoretical Framework .......................................................................................................... 29 Contingency Theory ................................................................................................................ 29
Contingency Theory of Leadership ........................................................................................ 31
Leader Member Exchange ..................................................................................................... 31
Social Exchange Theory ......................................................................................................... 34 Theoretical Framework Discussion ....................................................................................... 36 Conceptual Model Discussion ................................................................................................. 37 Scoping Literature Review ..................................................................................................... 38
Evolution and Outcomes of Telework .................................................................................... 38
Leadership Styles.................................................................................................................... 45
Leading Teleworkers .............................................................................................................. 46
Telework Challenges .............................................................................................................. 51 6
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
Chapter 2 Summary ................................................................................................................ 57 Review Design and Methodology ........................................................................................... 59
The Evidence-Based Research Framework............................................................................ 59
Systematic Literature Review ................................................................................................. 63
Systematic Review Process..................................................................................................... 65 Search Strategy ........................................................................................................................ 66 Search Process and Terms ...................................................................................................... 67 Inclusion and Exclusion Criteria............................................................................................ 67 Document Retrieval and Management .................................................................................. 68 Search String ............................................................................................................................ 68 Method of Quality Appraisal of the Included Studies .......................................................... 70
Data Extraction ...................................................................................................................... 70
Coding of Data ....................................................................................................................... 71 Subject Matter Experts ........................................................................................................... 72 Chapter 3 Summary ................................................................................................................ 73
Chapter 4: Analysis and Findings ............................................................................................. 73 Review of the Research Question ........................................................................................... 73 Description of the Data Set ..................................................................................................... 74 Results of the Quality Appraisal of the Data Set .................................................................. 75 Data Extraction ........................................................................................................................ 77 Coding Process ......................................................................................................................... 77 Synthesis Process ..................................................................................................................... 80 Findings of Evidence ............................................................................................................... 81
Leadership Findings ............................................................................................................... 82
Behaviors and Skills Findings ................................................................................................ 87
Work Outcomes Findings ....................................................................................................... 96 Summary of Findings .............................................................................................................. 98 Revised Conceptual Model ................................................................................................... 100 Chapter 4 Summary .............................................................................................................. 101
Chapter 5: Conclusions and Implications .............................................................................. 101 Review of the Research ......................................................................................................... 102 Answer to the Research Question ........................................................................................ 103 Leadership Implications........................................................................................................ 103 7
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
Technology Implications ...................................................................................................... 104
Self-Leadership Implications................................................................................................ 105
Systematic Training of Leaders Implications ....................................................................... 105
Diversity Management Implications .................................................................................... 105
Trust Implications ................................................................................................................ 106
Communication Implications ............................................................................................... 107
Transformational Leadership Implications .......................................................................... 108 Recommendations for E-leadership ..................................................................................... 110
Technology Recommendations ............................................................................................. 110
Self-leadership Recommendations ....................................................................................... 111
Systematic Training of Leaders Recommendations ............................................................. 111
Diversity Management Recommendations ........................................................................... 111
Trust Recommendations ....................................................................................................... 112
Transformational Leadership Recommendations ................................................................ 113 Limitations ............................................................................................................................. 115 Areas for Future Research .................................................................................................... 115 Final Summary and Conclusion ........................................................................................... 116
Appendix A ............................................................................................................................... 135
Appendix B ............................................................................................................................... 137
Appendix C ............................................................................................................................... 140
Appendix D ............................................................................................................................... 141
8
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
List of Tables
Table 1 Benefits of Telework 13
Table 2 Problematic Issues Identified with E-leadership and ICTs 48
Table 3 Seven Steps of the Systematic Review 66
Table 4 Keywords for Search Terms 67
Table 5 Inclusion and Exclusion Criteria 68
Table 6 Structured Codes 72
Table 7 MMAT Scores Per Article 76
Table 8 Quality Assessment Levels and Results 77
Table 9 Structured Code Count 79
Table 10 Axial Coding 80
Table 11 Number of Studies Supporting Each Implication 109
Table 12 E-leadership Plan 114
Table 13 E-leadership Effectiveness Checklist 115
9
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
List of Figures
Figure 1 Original Conceptual Model 38
Figure 2 The Three O Model of Leadership 46
Figure 3 The Remote Leadership Model 52
Figure 4 PRISMA diagram 69
Figure 5 Data Extraction 71
Figure 6 Article Publication Dates 74
Figure 7 Study Methodology 75
Figure 8 Study Method and Design 75
Figure 9 Code Connection 99
Figure 10 Conceptual Model of Telework and E-Leadership 100
Figure 11 The E-leader 110 10
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
Chapter 1: Introduction and Overview of Management Problem Publilus Syrus is quoted as saying, “Anyone can hold the helm when the sea is calm” (Daskal, 2015). The quote resonates with so many who were lucky enough to live through the year 2020. The seas were nothing close to calm, and not all leaders were prepared to hold the helm. A successful leader under ideal conditions is not as valuable as a leader who excels during change and crisis. It is easier to get things under control when everything is in order. A great leader can work effectively during times of uncertainty and must use the most effective style to fit their unique situation. Treating each employee individually and inspiring a future vision requires a skilled leader committed to evidence-based best practices.
Telework: An Introduction
Remote work (telework) is a unique and relatively new work situation. It requires an e-leader that can be flexible, comfortable with changes, and willing to learn. The primary communication medium is the computer, and interactions are mediated by and influenced by technology. Technology allows for immediate communication between e-leaders and their employees. Communicating and working effectively with teleworkers can be complicated for leaders accustomed to a more traditional face-to-face communication method in person (Dasgupta, 2011). Aside from the potential challenges, the telework arrangement is growing and increasing in popularity. The arrangement provides environmental, employee, and employer benefits. Telework has recently proven valuable in a crisis as many businesses were able to keep employees working during the COVID-19 pandemic beginning in 2020.
Telework is an arrangement that allows individuals to work at an alternative location rather than the physical location of their employer (Telework.gov, n.d.). The non-reliance on 11
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
where employees work is accomplished via technology and requires a new set of skills for all involved (Eikenberry, 2020; Fisher and Fisher, 2001; Watkins, 2014). Mello (2007) found that telework increased employee morale, improves employee retention, decreases real estate costs, and reduces operating costs. Mello (2007) also posits that employers benefit when employees can relocate and still maintain the ability to continue working. They can also work during an event that might otherwise shut down business operations, and the ability to continue working benefits employers by avoiding business interruption. Mauer (2020) further notes the importance of telework for employers, with firms continuing to operate during the coronavirus pandemic that began in 2020 while state-mandated stay-at-home orders were in place.
There are many benefits to the employer, including a much larger pool of employees to choose from when hiring (Dasgupta, 2011). The employer is not limited by geography and proximity. Employers can choose their employees and hire the best candidate regardless of where they live and not require them to relocate to the company’s location. Telework can also improve organizational response to a crisis by having employees dispersed in various locations (Pyoria, 2011). For example, a significant snow or ice storm on the East Coast that interrupts the power, internet service, and commuting will not affect the West Coast. Therefore, some employees are still working. Employers are not the only ones that benefit. Many employees can keep their job and avoid unemployment. Besides avoiding unemployment, many other benefits for employees have been identified. Telework is an operational strategy that many organizations are increasingly implementing. Tietze and Nadin (2001) add that telework increases commitment, lowers home life stress, and improves employee and employer relationships.
Weisburg and Porell (2011) found that telework can be performed anywhere and increases flexibility and performance. In addition, Tietze and Nadin (2001) added that telework 12
E-LEADERSHIP: FACILITATING POSITIVE OUTCOMES IN TELEWORKERS
increases commitment, lowers home life stress, and improves the psychological contract between employers and employees. Mello (2007) explained that there were benefits of telework for employees with disabilities. The telework arrangement can allow individuals with disabilities the ability to work. These benefits are valuable to employees afforded the arrangement. Telework benefits not only the employee but also the environment.
Pyöriä (2011) states that there are additional benefits to the environment. For example, there is less commuting traffic and air travel. Telework also puts less stress on public transportation. Telework eliminates the need to commute; less commuting removes countless vehicles from the road, decreasing emissions and pollution. An additional benefit includes a reduced need for traditional brick and mortar offices; thus, reducing the need for real estate development and building products. According to Bur (2020), 900,000 Federal employees are eligible for telework. If all of them could telework half of the time, office space reduction would save 1.75 billion dollars in real estate and 11 billion dollars in total cost (Bur, 2020).
According to NASA (2020), the decreased air travel has improved air quality. NASA also posits that if countries try to contain the coronavirus spread by shutting down, greenhouse gas emissions have fallen. The decreased commuting and dec
The chief diversity officer in a global environment: A systematic review
No full textThe business problem addressed in this dissertation is that chief diversity officers (CDOs) are responsible for changing the organizational culture and strategically increasing diversity, equity, and inclusion (DE&I) as a sole individual, when successful change begins with organizational leadership and individual employees as key contributors for change in a global environment.To this end, how CDOs can foster an organizational culture that adheres to inclusive excellence is an emerging strategic priority globally. There is a growing body of literature that addresses the role of the CDO; however, there is a need to understand how this role can strategically introduce an organizational DE&Iimplementation plan in a global environment. This qualitative systematic review explored peer-reviewed research from severalresearch databases and grey literature identified through a snowballing method in order to develop an understanding of how CDOs can use diversity-themed strategic priorities to create an organizational implementation plan. The research process led to 491 articles published from 2015–2020 being identified. Sixty three articles were included in this study upon a quality appraisal technique being applied. Systems theory, theory of organizational commitment, and transformational leadership theory were combined as adecisional framework to evaluate the research question and guide the research process. Seven themes emerged in this study, using thematic analysis and deductive coding as an analytical strategy that can provide CDOs with guidance on developing and implementing a strategic organizational DE&I plan. Implications for future research are assessed.THE CHIEF DIVERSITY OFFICER i
ABSTRACT
Title of Dissertation: THE CHIEF DIVERSITY OFFICER IN A
GLOBAL ENVIRONMENT: A
SYSTEMATIC REVIEW
Don Patrick Trahan, Jr.,
Doctor of Business Administration, 2021
The business problem addressed in this dissertation is that chief diversity officers (CDOs) are
responsible for changing the organizational culture and strategically increasing diversity, equity,
and inclusion (DE&I) as a sole individual, when successful change begins with organizational
leadership and individual employees as key contributors for change in a global environment. To
this end, how CDOs can foster an organizational culture that adheres to inclusive excellence is an
emerging strategic priority globally. There is a growing body of literature that addresses the role
of the CDO; however, there is a need to understand how this role can strategically introduce an
organizational DE&I implementation plan in a global environment. This qualitative systematic
review explored peer-reviewed research from several research databases and grey literature
ii
THE CHIEF DIVERSITY OFFICER
identified through a snowballing method in order to develop an understanding of how CDOs can
use diversity-themed strategic priorities to create an organizational implementation plan. The
research process led to 491 articles published from 2015–2020 being identified. Sixty three
articles were included in this study upon a quality appraisal technique being applied. Systems
theory, theory of organizational commitment, and transformational leadership theory were
combined as a decisional framework to evaluate the research question and guide the research
process. Seven themes emerged in this study, using thematic analysis and deductive coding as an
analytical strategy that can provide CDOs with guidance on developing and implementing a
strategic organizational DE&I plan. Implications for future research are assessed.
Keywords: diversity, equity, inclusion, workforce diversity, workplace diversity,
organizational culture, business case, chief diversity officer, strategic diversity leadership
iii
THE CHIEF DIVERSITY OFFICER
THE CHIEF DIVERSITY OFFICER IN A GLOBAL ENVIRONMENT: A
SYSTEMATIC REVIEW
By
Don Patrick Trahan, Jr.
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
2021
iv
THE CHIEF DIVERSITY OFFICER
v
THE CHIEF DIVERSITY OFFICER
© Copyright by
Don Patrick Trahan, Jr.
2021
vi
THE CHIEF DIVERSITY OFFICER
Preface
In the 21st century, the chief diversity officer (CDO) is a critical and essential role in the
structure of an organization’s executive leadership. Under the aegis of the CDO, organizations
can adopt strategic diversity initiatives as a priority in order to maximize their bottom line (i.e.,
make money, save money, and reach organizational goals). The scope and bandwidth of the role
varies drastically from organization to organization. As such, while there are agreed upon
standards and competencies outlined for CDOs, there is not a one size fits all framework that has
been adopted globally. The organizational accountability, infrastructure, incentives, and
resources committed to this role are inconsistent, impacting the manner in which a CDO can use
strategic diversity leadership to guide the organizational change process. To address this concern,
in this dissertation, I assessed the landscape of literature with a specific focus on how CDOs can
use diversity, equity, and inclusion strategies in order to develop and implement an
organizational strategic diversity approach in a global environment. This study will assist CDOs
and executive leaders with identifying strategies that can be prioritized in order to drive strategic
diversity change.
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Dedication
This dissertation is dedicated in loving memory of Drs. Ronald Howard and Mark T.
Worthy. Dr. Ron, I would not be Dr. Don without you. When I defended my dissertation, I could
hear your voice in my head and your spirit right next to me. It hit me one hour before my defense
that I was defending on the eve of the one-year anniversary of your death. Your support and
mentorship were invaluable and made me the businessman I am today. I will forever be grateful
and blessed because of you! Dr. Worthy, you are directly responsible for how I assess that which
I am confronted with, no matter what the situation may be, and it has changed my life.
Everything you taught me has come to pass and because of your guidance, I have navigated each
situation with ease.
I thank you both for guiding me and preparing me for what to expect throughout my
academic journey as a young Black scholar. You both believed in me even when I sometimes
doubted myself and helped keep my feet grounded with only forward movement in sight. While
you are no longer here, your hard work, dedication, and mentorship will live on as I, and the
many others you impacted, are committed to paying it forward. Thank you!
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Acknowledgements
I would like to thank everyone who has supported me along this journey. BUT GOD! I
am so thankful that I have had the love and support of so many individuals who prayed for me
and wanted to see me succeed as I navigated this process for the second time. I am truly honored
to be an example of what can be accomplished if you put your mind to something and see it
through. Being a Black man with two terminal degrees is an honor and one that I do not take for
granted. I look forward to being a beacon of support for those who will follow in my footsteps as
I stand on the shoulders of giants and I commit to paying it forward.
I would like to thank my dissertation committee for your support throughout this process.
Dr. Marbury, your patience and encouragement was invaluable and provided me with the space I
needed to see this dissertation project to the end. I will forever be thankful for you guiding me
along this journey. Dr. Witz, I thank you for challenging me and providing different perspectives
that I could take into consideration as I continue to advance diversity, equity, and inclusion in a
global environment.
Last but not least, I would like to thank all the members of my cohort for your support.
We did it! The University of Maryland Global Campus will forever have a special place in my
heart as I continue to chart my unique path personally and professionally. I thank each of you for
playing a role in my development as a business scholar-practitioner.
To all the scholars still navigating their doctoral journey, see this process through because
there is light at the end of the tunnel. No matter what, don’t give up; don’t give in; don’t give
out. God bless!
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THE CHIEF DIVERSITY OFFICER
Table of Contents
ABSTRACT i
THE CHIEF DIVERSITY OFFICER IN A GLOBAL ENVIRONMENT: A
SYSTEMATIC REVIEW iii
Preface vi
Dedication vii
Table of Contents ix
List of Tables xii
List of Figures xiii
List of Abbreviations xiv
Chapter 1: Introduction and Overview of the Business Problem 1
Historical Context, Background and Overview 1
American Politics 3
Diversity in the 21st Century 3
The Impact of Globalization 5
Technology 6
Generational Dynamics 6
The Emergence of the Chief Diversity Officer 7
The New Workplace 8
Managing Diversity 11
Employee Retention 11
The Complexity of Managing Diversity 12
Cultural Dynamics 14
Problem Statement and Significance of the Problem 14
Rationale for the Study 15
The Research Question 16
Definitions 16
Organization of the Dissertation 18
Chapter 2: Scoping Literature Review and Theoretical Frame 19
Diversity Management 19
Legal Sanctions in the Evolution of Diversity 20
Racial Segregation in America 21
Diversity Management Challenges 21
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THE CHIEF DIVERSITY OFFICER
Moving Beyond Race and Gender 24
Diversity in the 21st Century 25
Diversification of the Organizational Staff 25
Multinational Management 26
Organizational Culture 27
Organizational Climate 28
Elements of the Organizational Culture 29
Strategic Diversity Leadership 39
The Chief Diversity Officer 41
Strategic Implementation Plan 52
Corporate Social Responsibility 53
Theoretical Framework 54
Systems Theory 54
Theory of Organizational Commitment 55
Transformational Leadership Theory 56
Conceptual Model 57
Chapter Summary 58
Chapter 3: Method 60
Research 61
Qualitative Research 62
Evidence Based Research Framework 63
Search Strategy 68
Search Process 69
Inclusion and Exclusion Criteria 70
Limitations of the Search Strategy 71
Study Selection and Data Extraction 72
Quality Appraisal 72
TAPUPAS 73
Analysis and Synthesis Methodology 74
Method of Synthesis 74
Software for Coding 76
Subject Matter Experts 76
Chapter Summary 78
Chapter 4: Analysis and Findings 79
Review of the Research Question 79
Description of the Data Set 79
Results of the Quality Appraisal of the Data Set 81
Themes 82
Theme 1: The Business Case for Diversity, Equity, and Inclusion in a Global Market 83
Theme 2: Build Diversity, Equity, and Inclusion into Organizational
Strategic Priorities 85
Theme 3: Chief Executive Officer as a Champion for Diversity, Equity,
and Inclusion 89
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THE CHIEF DIVERSITY OFFICER
Theme 4: Board Accountability for Diversity, Equity, and Inclusion 92
Theme 5: Organizational Learning, Education, and Assessment 93
Theme 6: Recruitment and Retention of Diverse Talent 96
Theme 7: Organizational Staff Participation in Diversity, Equity, and
Inclusion Processes 97
Chapter Summary 99
Chapter 5: Conclusions and Implications 101
Review of the Research 101
Answer to the Research Question 102
Business Implications 108
Limitations of the Study 110
Areas for Future Research 111
Final Summary and Conclusion 113
References 116
Appendix A: Databases Used 137
Appendix B: Codes Used 138
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THE CHIEF DIVERSITY OFFICER
List of Tables
Table 1. CIMO Framework 68
Table 2. Key Search Terms 70
Table 3. Inclusion/ Exclusion 71
Table 4. Themes and Descriptions 83
xiii
THE CHIEF DIVERSITY OFFICER
List of Figures
Figure 1. Conceptual Model Displaying the Interconnection between DE&I as an
Organization Strategic Priority and the Change Process 58
Figure 2. PRISMA Diagram Outlines the Search Strategy 81
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THE CHIEF DIVERSITY OFFICER
List of Abbreviations
CDO: Chief Diversity Officer
CEO: Chief Executive Officer
CFO: Chief Financial Officer
CHRO: Chief Human Resources Officer
CIMO: Context, intervention, mechanism, outcome
COO: Chief Operating Officer
CSR: Corporate social responsibility
DE&I: Diversity, equity, and inclusion
EVP: Executive Vice President
PRISMA: Preferred reporting items for systematic reviews and meta-analyses
SME: Subject matter experts
SR: Systematic review
TAPUPAS: Transparency, accuracy, purposivity, utility, propriety, accessibility, and
specificity
VP: Vice President
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THE CHIEF DIVERSITY OFFICER
Chapter 1: Introduction and Overview of the Business Problem
Historical Context, Background and Overview
Identifying ways to maximize the benefits of workforce and workplace diversity, equity,
and inclusion (DE&I) is a significant business problem (Ali et al., 2015; Kim, 2006; Stevenson,
2014; Williams, 2013; Williams & Wade-Golden, 2013). To understand the significance and
complexity of DE&I in businesses in the 21st century, one needs to evaluate the historical
context that has shaped the organizational culture in many organizations. Race and/or race
relations are one of the most critical cultural factors to assess (Rothstein, 2017; Thomas, 1992).
The racialization of people, defined as a system that creates hierarchy based on an individual’s
racial background, has had a profound influence on the experiences of historically marginalized
individuals, particularly in the United States (Barnett & Felten, 2016; Hays, 2016; Rothstein,
2017; Thomas, 1992; Williams, 2013). When the historical context (e.g., colonization) is taken
into consideration globally, many individuals from marginalized backgrounds are still
experiencing discrimination and forms of prejudice based on their race, ethnic heritage, or other
cultural factors (e.g., gender, sexual orientation, religious/spiritual beliefs). The perceived
discrimination creates a dynamic wherein individuals present with vastly different lived
experiences in the workplace.
One might be inclined to argue that the 21st century is well beyond previous periods of
time once marked by racial and gender discrimination as significant shifts have been witnessed
(e.g., the election of the first Black President and Vice President). However, history matters, and
there are consequences for the actions that have taken place in the past (Rothstein, 2017;
Sarpong, 2017; Smith, 2018; Walters, 2012). For example, following the 13th Amendment
passed in 1865 in the United States, enslaved African people were legally freed and slavery nor
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THE CHIEF DIVERSITY OFFICER
involuntary servitude was permitted to exist in the United States or any place subject to its
jurisdiction (Rothstein, 2017; Thomas, 1992). While this was a significant milestone in
American history, it also presented a new level of uncertainty, cultural dynamics, and
expectations for individuals from such backgrounds.
Newly freed descendants of enslaved Africans were expected to navigate in an
environment where their ancestors were treated as property, and they were systematically and
strategically disenfranchised for approximately 400 years (Rothstein, 2017; Smith, 2018;
Walters, 2012). “After the Civil War, liberated slaves dispersed throughout the United States,
seeking work and to escape the violence of the post-war South” (Rothstein, 2017, p. 39). Such
systemic barriers did not end following this period in American history. For approximately an
additional 100 years, the United States witnessed a multitude of racial inequities governed
through policy and legal ramifications such as Jim Crow, Redlining, Brown v. Board of
Education, and the Civil Rights Movement.
According to Rothstein (2017), de facto segregation was and is directly connected to
suppressed incomes driven by the workplace culture. African Americans and other marginalized
communities were forced to isolate themselves because they could not afford to live in
communities that were predominately Caucasian. This was directly related to their low incomes
dictated by access to opportunities in organizations across the United States (Smith, 2018;
Walters, 2012). Fast forward to present day, institutional racism and systemic barriers still exist,
which has led to the contemporary Black Lives Matter movement. Rothstein (2017) argued that
racial segregation will persist (e.g., educationally and financially) until equity is prioritized in
organizations and the economy at-large.
3
THE CHIEF DIVERSITY OFFICER
American Politics
For many, the presidency of Barack Obama may has been viewed as the first example of
a true post racial society in the United States due to President Obama being the first Black man
to serve in that office. One of the premises of President Obama’s campaign was “hope”, which
spoke to many Americans in a different way as it appeared that change would finally occur in a
nation with a dark history of race relations (Zelizer, 2018). However, the election and presidency
of Donald Trump unveiled a mask that many Americans still wear and has been marked by overt
racial tensions both domestically and internationally (Clayton et al., 2019). Make America Great
Again created a movement that saw a surge in groups that believed that America would return to
a period of time wherein they felt empowered (Blumenthal, 2021; Exec. Order 13985, 2021;
Lerer, 2020).
On January 6, 2021, this desire was elevated to a level that received global recognition.
Domestic terrorists and supporters of Donald Trump stormed the United States Capitol in protest
of the results of the Electoral College being certified by the 117 members of the United States
Congress, thereby officially electing Joe Biden as the 46th President of the United States. This
day was marked with historical racial imagery and epithets being chanted by those who gathered
during what is now defined as an insurrection. This day was a reminder that the United States is
far from a post racial society and remains divided (NPR, 2021; Proceedings of the United States
Senate in the Impeachment Trial of Donald John Trump, 117 Cong., 2021). This means that the
workforce and workplace will continue to be impacted accordingly.
Diversity in the 21st Century
Organizations are challenged on how to foster an organizational culture that is inclusive,
while respecting the historical and current racial and cultural barriers that exist in the workplace
4
THE CHIEF DIVERSITY OFFICER
(Adler, 2018; Daniels, 2020; Williams, 2013). A common misconception that must be
demystified is that racial inequities and workplace discrimination is limited to Black Americans
and Caucasians (Barnett & Felten, 2016; Plummer, 2018; Thomas, 1992). Yes, Black Americans
and Caucasians have an adverse history, but such dynamics are not limited to these communities.
There are various cultural factors that have the potential to create a workplace environment that
is not inclusive or divided based on lived experiences.
For example, Indigenous communities experience elevated levels of anxiety, depression,
and generational trauma when they reflect upon the fact that their land was stolen, thereby
evoking elements of intergenerational trauma on this community (Chavez & Longerbeam, 2016;
Hays, 2016; O’Nell et al., 2010). Moreover, many members of the lesbian, gay, bisexual, and
transgender (LGBT) communities present with fear of being outed or navigating in an
environment that is not support (Boerties, 2012; Hollis & McCalla, 2013; Sengar et al., 2020).
Simultaneously, this historical context can create extreme discomfort, denial, and defensiveness
among Caucasian people when they are confronted with elements of racial inequality and
injustice, referred to as White fragility (DiAngelo, 2020). While the examples mentioned do not
capture the grim history of race relations in the United States at-large, and racial dynamics are
not limited to these communities, this presents an understanding of the manner in which many
communities may enter the work environment.
Over the last several decades, organizations have implemented a number of DE&I
initiatives in order to meet the needs of a challenging, complex, and ever-changing diverse
workforce. While initial initiatives (e.g., affirmative action and equal employment opportunity)
were directly connected to race and/or race relations as a result of the historical context
aforementioned, in contemporary society, organizations have seen a shift in the composition of
5
THE CHIEF DIVERSITY OFFICER
the lenses of the workforce (e.g., gender, generational differences, race, sexuality, geographical
location, and national origin). For example, generational dynamics have reshaped the
composition of the workforce and workplace environment.
According to Hershatter and Epstein (2010), college graduates from the millennial
generation entered the workforce in the summer of 2004. This generation has surpassed the baby
boomers, becoming the largest generation in the workforce (Hershatter & Epstein, 2010). This is
significant as millennials had access to opportunities that previous generations (e.g.,
traditionalist, baby boomers, and generation X) did not have access to, namely technology. This
means that the manner in which work is assessed and approached varies more than that of
previous workforces. For some, millennials are viewed as a generation that is armed with tools to
reimagine how to address problems that emerge globally (e.g., economic and geopolitical).
However, others view this generation as “young people who have been so over-indulged and
protected that they are incapable of handling the most mundane task without guidance or
handholding” (Hershatter & Epstein, 2010, p. 211). Regardless of the outlook, the composition
of the workforce has shifted as a result of there being five generations working together with
vastly different lived experi
Bringing Accounting Education Into the 21st Century: A Systematic Review
No full textPedagogical strategies which higher education instructors can develop to improve the next generation of accounting practitioners
Advancing community health response to global warming: Guiding principles to promote corporate community involvement alliance success
No full textThis systematic review contributes to the literature by: (1) applying general systems theory (GST) to the
concept of a multi-firm, multi-nonprofit cross-sector corporate community involvement (CCI) alliance
formed to address the adverse health effects of global warming on socially vulnerable populations in the
District of Columbia, Maryland, and Virginia (DMV) region; and (2) identifying guiding principles to
promote the success of such an alliance. The complexities in communicating the adverse health effects
of global warming and the politicization of global warming create challenges for implementing
sustainable interventions and solutions. A cross-sector CCI alliance may provide a reliable alternative to
unreliable federal government initiatives. GST fosters a holistic analysis and assessment of the problem.
This systematic review synthesized evidence from 60 peer-reviewed articles published since 2000. Fit
for purpose quality appraisal of the evidence included assessments of internal and external validity.
Thematic analysis leveraged a two-pass deductive-inductive protocol to generate cross-case themes,
which informed the resultant findings and guiding principles. This systematic review identified seven
guiding principles for an alliance: (1) engage and empower the community, (2) build the right team, (3)
orchestrate with a reputable convenor, (4) commit to transparency, (5) choose an appropriate time
horizon, (6) measure with purpose, and (7) beware of the unintended and disingenuous. Final steps in the synthesis included an assessment of the confidence in the findings using the Confidence in the
Evidence from Reviews of Qualitative Research (CERQual) methodology. Each principle received a
moderate-to-low confidence rating (i.e., likely-to-possible that the finding is reasonable) primarily since
they were derived from indirect and partial evidence. The entirety of the guiding principles encompasses
the core tenet of GST – to achieve more collectively than is possible singularly. The management
implications of these principles are for an alliance to proactively identify and engage target communities
within DMV, possibly starting with a small number of strategic pilot projects; empower communities
through transparent participatory governance; monitor, evaluate, and improve alliance and program
effectiveness; and manage the risk of unintended consequences.Running Head: CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
i
ABSTRACT
Title of Dissertation:
ADVANCING COMMUNITY HEALTH RESPONSE TO GLOBAL WARMING: GUIDING PRINCIPLES TO PROMOTE CORPORATE COMMUNITY INVOLVEMENT ALLIANCE SUCCESS
Ty C. Mullen
Doctor of Management, 2021
This systematic review contributes to the literature by: (1) applying general systems theory (GST) to the concept of a multi-firm, multi-nonprofit cross-sector corporate community involvement (CCI) alliance formed to address the adverse health effects of global warming on socially vulnerable populations in the District of Columbia, Maryland, and Virginia (DMV) region; and (2) identifying guiding principles to promote the success of such an alliance. The complexities in communicating the adverse health effects of global warming and the politicization of global warming create challenges for implementing sustainable interventions and solutions. A cross-sector CCI alliance may provide a reliable alternative to unreliable federal government initiatives. GST fosters a holistic analysis and assessment of the problem. This systematic review synthesized evidence from 60 peer-reviewed articles published since 2000. Fit for purpose quality appraisal of the evidence included assessments of internal and external validity. Thematic analysis leveraged a two-pass deductive-inductive protocol to generate cross-case themes, which informed the resultant findings and guiding principles. This systematic review identified seven guiding principles for an alliance: (1) engage and empower the community, (2) build the right team, (3) orchestrate with a reputable convenor, (4) commit to transparency, (5) choose an appropriate time horizon, (6) measure with purpose, and (7) beware of the unintended and disingenuous. Final steps in CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
ii
the synthesis included an assessment of the confidence in the findings using the Confidence in the Evidence from Reviews of Qualitative Research (CERQual) methodology. Each principle received a moderate-to-low confidence rating (i.e., likely-to-possible that the finding is reasonable) primarily since they were derived from indirect and partial evidence. The entirety of the guiding principles encompasses the core tenet of GST – to achieve more collectively than is possible singularly. The management implications of these principles are for an alliance to proactively identify and engage target communities within DMV, possibly starting with a small number of strategic pilot projects; empower communities through transparent participatory governance; monitor, evaluate, and improve alliance and program effectiveness; and manage the risk of unintended consequences.
Keywords: corporate community involvement, corporate social responsibility, global warming, health, socially vulnerable populations, cross-sector partnership, alliance
CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
iii
ADVANCING COMMUNITY HEALTH RESPONSE TO GLOBAL WARMING: GUIDING PRINCIPLES TO PROMOTE CORPORATE COMMUNITY INVOLVEMENT ALLIANCE SUCCESS
By
Ty C. Mullen
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Management
2021
CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
iv
© Copyright by
Ty C. Mullen
2021
CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
v
Dedication
This dissertation is dedicated to my wife and daughter, Patty and Lyndsey; to my parents, Barb and Chuck; and to my brother, Ken. Patty and Lyndsey were super supportive and understanding, providing encouragement, and being sounding boards for my ideas and frustrations throughout this journey. My parents have always been my biggest fans in whatever I attempt to do. They instilled within me a love for learning at an early age that has continued to blossom. Ken has always been my best man and I’m glad to have him as my brother. My love and thanks to all of you. CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
vi
Acknowledgements
Completing a dissertation is often referred to as a once-in-a-lifetime achievement. I would not have made it without the help, support, guidance from others. Thanks go first and foremost to my wife and best friend, Patty, for engaging with me in discussions on potential topics and taking a genuine interest in my ideas, struggles, and success.
Next, I want to acknowledge my professional colleagues, Dr. Liz Canzone, Dr. David Tanenbaum, Linda Fischetti, and Dr. Mark Kramer. Liz has been a constant support throughout this program providing positive encouragement. David, Linda, and Mark first sparked my interest in climate change and health and helped me understand the need for proactive response to the global warming crisis.
Finally, I want to thank my dissertation mentors – Dr. John Sherlock and Dr. James (Jim) Gelatt – and my entire class cohort. John and Jim’s guidance has been wonderful throughout this final year of the program. The doctorate class has remained largely intact throughout the program, and I have appreciated the support, camaraderie, and friendships that we have developed along the way.
CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
vii
Table of Contents
ABSTRACT ...................................................................................................................................................... i
ADVANCING COMMUNITY HEALTH RESPONSE TO GLOBAL WARMING: GUIDING PRINCIPLES TO PROMOTE CORPORATE COMMUNITY INVOLVEMENT ALLIANCE SUCCESS ................................................ iii
Dedication .................................................................................................................................................... v
Acknowledgements ..................................................................................................................................... vi
Table of Contents ....................................................................................................................................... vii
List of Tables ............................................................................................................................................... ix
List of Figures ............................................................................................................................................... x
List of Abbreviations ................................................................................................................................... xi
Chapter 1: Introduction and Overview of the Management Problem ....................................................... 12
Background ............................................................................................................................................ 12
Problem Statement and Significance of the Problem .............................................................................. 14
Purpose of the Study and The Research Question .................................................................................. 14
Rationale for the Study ............................................................................................................................ 16
Definitions and Terminology ................................................................................................................... 19
Chapter Summary................................................................................................................................... 20
Organization of the Dissertation ............................................................................................................. 20
Chapter 2: Theoretical Frame and Scoping Literature Review ................................................................... 21
Theoretical Framework ........................................................................................................................... 21
General Systems Theory ..................................................................................................................... 21
The Literature Landscape ........................................................................................................................ 23
Adverse Health Effects of Global Warming......................................................................................... 23
An Opportunity for Corporate Action ................................................................................................. 46
Conceptual Framework ........................................................................................................................... 57
Chapter Summary................................................................................................................................... 58
Chapter 3: Method ..................................................................................................................................... 59
The Evidence-Based Research Framework .............................................................................................. 59
Review Initiation ..................................................................................................................................... 59
Evidence Search Strategy ........................................................................................................................ 60
Quality Appraisal Approach ..................................................................................................................... 61
Analysis and Synthesis Methodology ...................................................................................................... 62
Chapter Summary................................................................................................................................... 63
Chapter 4: Analysis and Findings ................................................................................................................ 64
Review of the Research Question............................................................................................................ 64
Description of the Data Set ..................................................................................................................... 64
Results of the Quality Appraisal of the Data Set ...................................................................................... 67
Results of the Synthesis of the Articles in the Data Set ........................................................................... 68
Principle 1: Engage and Empower the Community (CERQual Rating: Moderate to Low Confidence 69
Principle 2: Build the Right Team (CERQual Rating: Moderate to Low Confidence) .......................... 73 CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
viii
Principle 3: Orchestrate With a Reputable Convenor (CERQual Rating: Moderate to Low Confidence) ........................................................................................................................................................... 77
Principle 4: Commit to Transparency (CERQual Rating: Moderate to Low Confidence) .................... 79
Principle 5: Choose an Appropriate Time Horizon (CERQual Rating: Moderate to Low Confidence) 81
Principle 6: Measure With Purpose (CERQual Rating: Moderate to Low Confidence) ....................... 82
Principle 7: Beware of the Unintended and Disingenuous (CERQual Rating: Moderate to Low Confidence) ........................................................................................................................................ 84
Chapter Summary................................................................................................................................... 88
Chapter 5: Conclusions and Implications .................................................................................................... 89
Review of the Research ........................................................................................................................... 89
Answer to the Research Question ........................................................................................................... 90
Management Implications ....................................................................................................................... 91
Proactively Identify and Engage Target Communities Within DMV ................................................... 91
Empower Communities Through Transparent Participatory Governance ......................................... 93
Monitor, Evaluate, and Improve Alliance and Program Effectiveness ............................................... 95
Manage the Risk of Unintended Consequences ............................................................................... 100
Limitations of the Study and Areas for Future Research ....................................................................... 101
Limitations of the Study .................................................................................................................... 101
Areas for Future Research ................................................................................................................ 102
Final Summary and Conclusion ............................................................................................................. 103
Epilogue ................................................................................................................................................ 104
References ............................................................................................................................................... 105
Appendix of Tables ................................................................................................................................... 129
CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
ix
List of Tables
Table 1 Motives for CCI Initiatives 54
Table 2 Inclusion and Exclusion Criteria 60
Table 3 Summary Characteristics of Included Studies (n = 60) 66
Table 4 Summary of the Overall Value of the Articles (n = 60) 68
Table A1 Characteristics of the Studies Included in This Review 129
Table A2 Critical Appraisal of the Quality of the Studies Included in This Review 161
Table A3 Assessment of the Confidence in the Findings 166 CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
x
List of Figures
Figure 1 Impact of Climate Change on Human Health 13
Figure 2 General Systems Theory Theoretical Framework 22
Figure 3 Global Anthropogenic CO2 Emissions 24
Figure 4 Global Widespread Impacts Attributed to Global Warming 25
Figure 5 Global Warming Phenomena and Associated Emerging Health Threats 28
Figure 6 Sea Level Rise Inundation Scenarios 30
Figure 7 Hurricane Storm Surge 34
Figure 8 Coastal Flood Hazard Composite 35
Figure 9 County-level CDC SVI for the DMV Region 38
Figure 10 Census-tract-level CDC SVI for Baltimore 39
Figure 11 Census-tract-level CDC SVI for Washington, DC 39
Figure 12 Vulnerability Mapping Comparison for Washington, DC 40
Figure 13 Census-tract-level CDC SVI Themes for Hampton/Norfolk, VA 41
Figure 14 Corporate Social Performance Model 47
Figure 15 Three Spheres of Corporate Social Responsibility 48
Figure 16 CCI is a Subset of CSR 51
Figure 17 Framework for CCI Response and Action 55
Figure 18 CCI Alliance Conceptual Model 57
Figure 19 Flow of Information Discovery 65
Figure 20 Guiding Principles Overlaid on the Conceptual Framework 91
Figure 21 Participatory Decision-making in CCI Governance 94
Figure 22 Donabedian Framework for Evaluating the Quality of Health and Healthcare 97
Figure 23 Notional CCI Balanced Scorecard 99
CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
xi
List of Abbreviations
C2ES Center for Climate and Energy Solutions
CDC Centers for Disease Control and Prevention
CERQual Confidence in the Evidence from Reviews of Qualitative Research
CCI Corporate community involvement
CSR Corporate social responsibility
DC District of Columbia
DoD Department of Defense
DMV District of Columbia, Maryland, and Virginia
EBM Evidence-based management
EEE Eastern equine encephalitis virus
EPA Environmental Protection Agency
GST General systems theory
KPI Key performance indicator
IPCC Intergovernmental Panel on Climate Change
MD Maryland
MHHW Mean higher high water
NGO Nongovernmental organization
NOAA National Oceanic and Atmospheric Administration
PRISMA Preferred Reporting Items for Systematic Reviews and Meta-Analyses
SPICE Setting, perspective, intervention, comparison, evaluation
SVI Social Vulnerability Index
UMGC University of Maryland Global Campus
UNFCCC United Nations Framework Convention on Climate Change
US United States of America
USGCRP US Global Change Research Program
VA Virginia
WHO World Health Organization
CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
12
Chapter 1: Introduction and Overview of the Management Problem
This dissertation is on the management of the health impacts of global warming. Specifically, this is a systematic review that contributes to the literature by: (1) applying general systems theory (GST) to conceptually model a multi-firm, multi-nonprofit cross-sector corporate community involvement (CCI) alliance formed to address the adverse health effects of global warming on socially vulnerable populations in the District of Columbia, Maryland, and Virginia (DMV) region; and (2) identifying guiding principles to promote the success of such an alliance. Through the GST lens, the reader receives a holistic introduction to the health challenges presented by global warming on socially vulnerable populations in DMV. The author applied GST to create a conceptual framework, which supports the assimilation of a broad and diverse evidence set into guiding principles for a socially responsible cross-sector CCI alliance. Finally, the author leveraged GST once again in applying the guiding principles to DMV to develop region-specific management implications for practical application.
Background
The mention of health threats exacerbated by global warming conjures visions of the spread of vector-borne infectious diseases such as dengue fever, West Nile virus, zika virus, eastern equine encephalitis (EEE) virus, and Lyme disease among many others (Johns Hopkins University, n.d.). As the mean global temperature rises, the ranges of disease carrying vectors (for example, mosquitos and ticks) expands into new regions posing risks to new human populations. However, the spread of infectious diseases is not the only health threat worsened by global warming. Many climate change phenomena including extreme weather, rising sea levels, and deteriorating air, food, and water quality adversely influence the health of people within affected regions in ways other than through the spread of infectious disease. Some of the most common health threats are heat stroke, the health of at-risk populations, aggravated chronic conditions, mental health stressors, and physical trauma, all of which CORPORATE COMMUNITY INVOLVEMENT: ALLIANCE PRINCIPLES
13
may lead to reduced quality of life and premature death (Intergovernmental Panel on Climate Change [IPCC], 2014; United States Global Change Research Program [USGCRP], 2018).
The Centers for Disease Control and Prevention (CDC) is concerned with the health-related problems
Leading or misleading – The impact of leadership change on organizational culture
No full textLeaders have a powerful role in setting the tone of an organization and influencing the quality of
organizational culture. Leadership changes occur in every organization, creating a challenge for incoming
leaders to implement changes that improve the organization while maintaining existing processes that
are effective. The quality of the organizational culture has an emotional and physical impact on
employees, influences productivity, and contributes to overall profitability. This systematic review
identifies the actions that hiring officials and new leaders can take to maintain an existing strong
organizational culture or improve an existing weak organizational culture. A literature review relating to
leadership changes and organizational culture supported an unbiased analysis in identifying common
themes within the evidence. Using the reciprocal relationship defined in the person-environment fit
theoretical framework, four themes were identified that support the actions hiring officials, and new
leaders can take to maintain or improve organizational culture: selecting leaders, developing leaders,
coaching leaders, and maintaining leaders. The results of this review support using cultural fit as part of
the leader selection and development process to create the reciprocal relationship between the new
leader and the organization, resulting in an environment that benefits the organization and employees.LEADERSHIP CHANGE AND ORGANIZATIONAL CULTURE i
Abstract
Title of Dissertation: LEADING OR MISLEADING – THE IMPACT OF
LEADERSHIP CHANGE ON ORGANIZATIONAL
CULTURE
Deanna L. Ammons, CPA
Doctor of Business Administration, 2021
Leaders have a powerful role in setting the tone of an organization and influencing the quality of
organizational culture. Leadership changes occur in every organization, creating a challenge for incoming
leaders to implement changes that improve the organization while maintaining existing processes that
are effective. The quality of the organizational culture has an emotional and physical impact on
employees, influences productivity, and contributes to overall profitability. This systematic review
identifies the actions that hiring officials and new leaders can take to maintain an existing strong
organizational culture or improve an existing weak organizational culture. A literature review relating to
leadership changes and organizational culture supported an unbiased analysis in identifying common
themes within the evidence. Using the reciprocal relationship defined in the person-environment fit
theoretical framework, four themes were identified that support the actions hiring officials, and new
leaders can take to maintain or improve organizational culture: selecting leaders, developing leaders,
coaching leaders, and maintaining leaders. The results of this review support using cultural fit as part of
the leader selection and development process to create the reciprocal relationship between the new
leader and the organization, resulting in an environment that benefits the organization and employees.
Keywords: culture change, leadership change, organizational culture, leader behaviors,
systematic review
LEADERSHIP CHANGE AND ORGANIZATIONAL CULTURE ii
LEADING OR MISLEADING – THE IMPACT OF LEADERSHIP
CHANGE ON ORGANIZATIONAL CULTURE
By
Deanna L. Ammons, CPA
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
2021
LEADERSHIP CHANGE AND ORGANIZATIONAL CULTURE iii
© Copyright by
[Deanna L. Ammons]
2021
LEADERSHIP CHANGE AND ORGANIZATIONAL CULTURE iv
Preface
I consider myself a person that is always looking for answers to topics or situations that I do not
understand. In my 30 years long-professional career, this quest for answers resulted in obtaining my
license as a Certified Public Accountant, a Master of Business Administration, and a 20 year career of
teaching accounting to college students and members of the Federal workforce. This dissertation is the
result of a quest for information to understand a business problem.
During my career as an accountant for a $32 billion cabinet-level department of the United
States Government, I have witnessed many leaders come and go. For most of my career, I had the honor
of working for leaders that respected me and valued my knowledge, contributions, opinions, and ideas.
This type of leadership encouraged teamwork, collaboration and fostered an environment of employees
with positive attitudes, creating an enjoyable place to work. I have also experienced leaders that did not
value the knowledge of others or their contributions, opinions, and ideas. I watched this type of
leadership eliminate an organizational culture that had created and sustained a positive and healthy
working environment for years. The negative impact of this type of leadership goes far beyond personal
employee dissatisfaction; it destroys creativity, productivity, and efficiency and creates extensive
turnover of valuable employees.
I understood enough about the social sciences to identify a relationship between leadership
change and organizational culture. What I did not understand, is how a leader creates a working
environment that is efficient and productive versus one of inefficiency and unproductivity where
employees feel devalued and unimportant? This dissertation answers that question.
LEADERSHIP CHANGE AND ORGANIZATIONAL CULTURE v
Dedication
I believe in dreams, and I believe in making them come true; I believe in practicality with the
conviction that nothing is impossible to achieve if I am passionate enough and work hard for it. I also
firmly believe that this achievement is not mine alone. First, I would like to show my gratitude to my
former supervisor and mentor, Rick Loyd, who for twenty years displayed the positive leadership skills
identified in this research.
I am grateful to my husband Roger for being supportive and encouraging throughout this
process and giving me the space and time that I needed to complete my research. Sharing your
experiences as a leader expanded my thoughts and raised my work to a more advanced level.
I am thankful to my children Taylor and Garrett for their encouraging suggestions during my
learnings. During this journey all three of us were enrolled in college and it was an enjoyable experience
to work on our educational goals together.
I would also like to offer my love and gratitude to my parents, Sandy and Shirley Ruppenthal, for
supporting and encouraging my desire to learn from a very young age, and throughout my life.
LEADERSHIP CHANGE AND ORGANIZATIONAL CULTURE vi
Table of Contents
Abstract .......................................................................................................................................... i
Preface ......................................................................................................................................... iv
Dedication……………………………………………………………………………………………………………………………………………… v
Table of Contents ......................................................................................................................... vii
List of Tables ............................................................................................................................... viiii
List of Figures ............................................................................................................................... ix
Chapter 1: Introduction and Overview of the Management Problem ........................................... 1
Background and Overview ............................................................................................................................... 3
Problem Statement and Significance of the Problem ...................................................................................... 4
The Research Question .................................................................................................................................... 7
Rationale for the Study or Significance of the Study ........................................................................................ 8
Definitions and Terminology ............................................................................................................................. 9
Chapter Summary .......................................................................................................................................... 11
Chapter 2: Scoping Literature Review and Theoretical Framework ............................................. 14
Frank Parson’s Trait Factor Theory ................................................................................................................. 17
Robert Yerkes and Louis Terman .................................................................................................................... 17
Walter Dill Scott ............................................................................................................................................. 17
Hugo Münsterberg ......................................................................................................................................... 18
Donald G. Paterson ........................................................................................................................................ 18
E. G. Williamson ............................................................................................................................................. 19
Donald Super and John Holland ..................................................................................................................... 20
Lawrence Pervin ............................................................................................................................................. 22
Theory of Work Adjustment ........................................................................................................................... 23
Attraction-Selection-Attrition Model ............................................................................................................. 24
Person-Organization Fit ................................................................................................................................. 25
Person Job Fit ................................................................................................................................................. 26
Person Group Fit ............................................................................................................................................ 26
Person Supervisor Fit ..................................................................................................................................... 27
Scoping Literature Review .............................................................................................................................. 29
Hiring Decisions for Executives ....................................................................................................................... 29
Hiring Internally .............................................................................................................................................. 30
Hiring Externally ............................................................................................................................................. 31
Leadership Development Programs ............................................................................................................... 32
Problems Caused by Bad Leadership Change ................................................................................................ 33
Benefits of Good Leadership Change ............................................................................................................. 35
Lessons Learned from Leaders ....................................................................................................................... 35
Conceptual Framework .................................................................................................................................. 38
Chapter Summary .......................................................................................................................................... 40
Chapter 3: Method ....................................................................................................................... 42
LEADERSHIP CHANGE AND ORGANIZATIONAL CULTURE vii
Review Design and Methodology ................................................................................................................... 42
The Evidence-Based Research Framework .................................................................................................... 42
Systematic Reviews ........................................................................................................................................ 44
Systematic Review Process ............................................................................................................................. 45
Search Strategy .............................................................................................................................................. 45
PRISMA diagram ............................................................................................................................................. 50
Analysis and Synthesis Methodology ............................................................................................................. 51
Method of Synthesis ...................................................................................................................................... 51
Subject Matter Experts .................................................................................................................................. 55
Chapter Summary .......................................................................................................................................... 59
Chapter 4: Analysis and Findings .................................................................................................. 60
Review of the Research Question ................................................................................................................... 60
Description of the Data Set ............................................................................................................................. 60
Results of the Quality Appraisal of the Data Set ............................................................................................ 60
Results of Coding ............................................................................................................................................ 61
Themes and Discussion .................................................................................................................................. 62
Theme 1 – Selecting Leaders .......................................................................................................................... 64
Theme 2 – Developing Leaders ...................................................................................................................... 69
Theme 3 – Coaching Leaders .......................................................................................................................... 80
Theme 4 - Maintaining Leaders ...................................................................................................................... 85
Revised Conceptual Framework ..................................................................................................................... 90
Chapter Summary .......................................................................................................................................... 92
Chapter 5: Conclusions and Implications ..................................................................................... 93
Recommendation Theme 1 – Selecting Leaders ............................................................................................ 93
Recommendation Theme 2 – Developing Leaders ........................................................................................ 96
Recommendation Theme 3 – Coaching Leaders ............................................................................................ 97
Recommendation Theme 4 – Maintaining Leaders ....................................................................................... 98
Limitations of the Study and Areas for Future Research ............................................................................. 100
Limitations of the Study ............................................................................................................................... 100
Areas for Future Research ............................................................................................................................ 101
Final Summary and Conclusion ..................................................................................................................... 101
References ................................................................................................................................ 103
Appendix A ................................................................................................................................ 119
Appendix B ................................................................................................................................ 122
Appendix C ................................................................................................................................ 123
Appendix D ................................................................................................................................ 126
Appendix E ................................................................................................................................ 128
Appendix F ................................................................................................................................ 129
LEADERSHIP CHANGE AND ORGANIZATIONAL CULTURE viii
List of Tables
Table 1 Search Strings and Applicability to the Research Question ............................................. 47
Table 2 Number of Articles Returned by Database ...................................................................... 48
Table 3 Weight of Evidence .......................................................................................................... 53
Table 4 Summary of Article Quality .............................................................................................. 53
Table 5 Weight of Evidence Results .............................................................................................. 54
Table 6 Questions for Subject Matter Experts .............................................................................. 56
Table 7 Weight of Evidence Summary for Selecting Leaders ........................................................ 64
Table 8 Weight of Evidence Summary for Developing Leaders .................................................... 70
Table 9 Self-Reported Caring Behaviors of Leaders Out of 15 Respondents ................................ 78
Table 10 Weight of Evidence Summary for Coaching Leaders ..................................................... 81
Table 11 Weight of Evidence Summary for Maintaining Leaders ................................................ 86
Table 12 Positive Leader Behaviors .............................................................................................. 97
Table 13 Benefits from Improving Organizational Culture ........................................................... 99
LEADERSHIP CHANGE AND ORGANIZATIONAL CULTURE ix
List of Figures
Figure 1 P-E Fit Theoretical Framework ........................................................................................ 16
Figure 2 Historical Contributions of P-E Fit by Decade ................................................................. 28
Figure 3 Conceptual Framework of P-E Fit ................................................................................... 39
Figure 4 Articles by Publication Year ............................................................................................ 49
Figure 5 Articles by Type ............................................................................................................... 50
Figure 6 Summary of Findings ...................................................................................................... 61
Figure 7 Critical Evidence Alignment to Findings .......................................................................... 63
Figure 8 WoE Score for Each Category ......................................................................................... 64
Figure 9 Revised Conceptual Framework ..................................................................................... 91
LEADERSHIP CHANGE AND ORGANIZATIONAL CULTURE
1
Chapter 1: Introduction and Overview of the Management Problem
Every organization intends to achieve specific objectives leading to the accomplishment of a
goal. Some objectives are tangible, such as the production of inventory or services, and other objectives
are intangible such as employee and leadership behaviors and organizational culture. A leader’s
intangible ability to create, manage and understand organizational culture is crucial to accomplishing
goals. Schein (1985) noted that “leaders create organizational cultures, and one of the most decisive
functions of leadership may well be the creation, the management, and--if and when that may become
ne
Organizational knowledge sharing on enterprise social media: Leveraging the motivation factors
No full textKnowledge management (KM) is vital for the success and survival of organizations nowadays. However, at the heart of KM, knowledge sharing (KS) remains a significant challenge for organizations, as employees often resist sharing their knowledge for various reasons. Inefficient KS can cost an average organization several millions of U.S. dollars yearly. Organizations are increasingly trying to employ different technologies, such as enterprise social media (ESM), to enhance KS. In this context, this study aims to identify the various factors and motivations that influence KS on ESM to help organizations leverage them to foster and boost their KS. The study uses a conceptual model combining the self-determination theory with the sociotechnical systems theory to examine the individual, technical, social,and organizational factors holistically and consider their organizational implications. The systematic review methodology is applied inanalyzing53 scholarly peer-reviewed research papers published between 2010 and 2020 to study the evidence and extract the supported findings using thematic coding, analysis, and synthesis. The results are presented in 11 themes covering the individual, technical, social, and organizational dimensions. The key findings point to the positive influences of intrinsic and extrinsic motivations, trust, ESM's ease of use and perceived usefulness, social interactions and norms, as well as organizational culture and employee empowerment. The negative influence of the fear of losing is also noted. The study provides corresponding management implications and recommendations for organizations wishing to leverage those findings to improve their KS on ESM. The implications span the individual, technical, social, and organizational dimensions. They include recommendations onenabling certain ESM features, promoting social interactions, embracing a supportive organizational culture, adjusting job designs to favor employee autonomy, and investing in employee development and training to empower employees and boost their self-efficacy. Subject-matter experts are consulted on various aspects, such as further validation of the implications. A scorecard is also provided to help organizations assess their current KS measures and track the recommendations' implementation.ABSTRACT
Title of Dissertation:
ORGANIZATIONAL KNOWLEDGE SHARING ON ENTERPRISE SOCIAL MEDIA: LEVERAGING THE MOTIVATION FACTORS
Bernard Rizkallah, Doctor of Management, 2021
Knowledge management (KM) is vital for the success and survival of organizations nowadays. However, at the heart of KM, knowledge sharing (KS) remains a significant challenge for organizations, as employees often resist sharing their knowledge for various reasons. Inefficient KS can cost an average organization several millions of U.S. dollars yearly. Organizations are increasingly trying to employ different technologies, such as enterprise social media (ESM), to enhance KS. In this context, this study aims to identify the various factors and motivations that influence KS on ESM to help organizations leverage them to foster and boost their KS. The study uses a conceptual model combining the self-determination theory with the sociotechnical systems theory to examine the individual, technical, social, and organizational factors holistically and consider their organizational implications. The systematic review methodology is applied in analyzing 53 scholarly peer-reviewed research papers published between 2010 and 2020 to study the evidence and extract the supported findings using thematic coding, analysis, and synthesis. The results are presented in 11 themes covering the individual, technical, social, and organizational dimensions. The key findings point to the positive influences of intrinsic and extrinsic motivations, trust, ESM's ease of use and perceived usefulness, social interactions and norms, as well as organizational culture and employee empowerment. The negative influence of the fear of losing is also noted. The study provides corresponding management implications and recommendations for organizations wishing to leverage those findings to improve their KS on ESM. The implications span the individual, technical, social, and organizational dimensions. They include recommendations on enabling certain ESM features, promoting social interactions, embracing a supportive organizational culture, adjusting job designs to favor employee autonomy, and investing in employee development and training to empower employees and boost their self-efficacy. Subject-matter experts are consulted on various aspects, such as further validation of the implications. A scorecard is also provided to help organizations assess their current KS measures and track the recommendations' implementation.
Keywords: Knowledge management, knowledge sharing, enterprise social media, motivations, self-determination theory, sociotechnical systems theory.
ORGANIZATIONAL KNOWLEDGE SHARING ON ENTERPRISE SOCIAL MEDIA:
LEVERAGING THE MOTIVATION FACTORS
By
Bernard Rizkallah
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Management
2021
© Copyright by
Bernard E. Rizkallah
2021
ii
Dedication
I dedicate this dissertation to my father and mother, who strived long and hard to give us the quality education they believed in, even though it was beyond their means. I also dedicate it to all my teachers and mentors who instilled in me the curiosity to discover and the eagerness to keep learning, ever since my elementary school till my doctoral studies and beyond. Last but by no means least, I dedicate it to my wife, daughter, and son, for whom I strive to provide my best. iii
Acknowledgments
My warmest gratitude goes to all who have supported and encouraged me throughout this three-and-a-half-year journey to reach this point. I am deeply grateful to my mentor, Dr. Lisa Pearo, for her patient reviews, valuable advice, continuous support, encouragement, and guidance throughout this research and dissertation process. My deep appreciation and thanks also go to my second mentor, Dr. Mary Jo Anderson, for her equally valuable input, guidance, and valued advice. I am also grateful to all UMGC faculty, librarians, and administration whose combined efforts, knowledge, and expertise pioneered this top-quality doctoral program in evidence-based management education.
I was exceptionally fortunate to be part of two outstanding cohorts during this long doctoral journey. My cohort classmates' support, encouragement, constructive feedback, and being there for each other made this journey easier, enjoyable, and truly memorable. I also extend my thanks and appreciation to my two knowledgeable subject-matter experts for their time, reviews, input, and valuable advice.
This achievement would not have been possible without the support and love of my family. My special thanks to my wife for bearing with me during those long years and to my daughter, son, and sister for their reviews, feedback, support, and encouragement!
iv
Table of Contents
Dedication .......................................................................................................................................ii
Acknowledgments.......................................................................................................................... iii
List of Tables ................................................................................................................................ viii
List of Figures ................................................................................................................................. ix
List of Abbreviations ........................................................................................................................ x
Chapter 1: Introduction and Overview of the Management Problem ........................................... 1
Background and Overview .......................................................................................................... 2
Enterprise Social Media as a Knowledge Management Platform .......................................... 3
Knowledge Management ........................................................................................................ 4
Knowledge Sharing and Knowledge Donating ........................................................................ 5
Motivation Factors .................................................................................................................. 5
Intrinsic Motivations. .......................................................................................................... 5
Extrinsic Motivations. ......................................................................................................... 6
Research Objectives ................................................................................................................ 6
Problem Statement and Significance of the Problem ................................................................ 7
Individual Level ....................................................................................................................... 8
Organizational Level ................................................................................................................ 8
Problem Significance and Implications ................................................................................... 9
The Research Question ............................................................................................................. 11
Dissection of the Research Question .................................................................................... 11
The Rationale for the Study ...................................................................................................... 12
Importance of Knowledge Management .............................................................................. 12
Knowledge Sharing and Donating: Importance and Challenges........................................... 13
Role of Enterprise Social Media ............................................................................................ 13
Individual Motivation ............................................................................................................ 14
Rationale Summary ............................................................................................................... 15
Organization of the Dissertation............................................................................................... 15
Chapter 1 ............................................................................................................................... 15
Chapter 2 ............................................................................................................................... 15
Chapter 3 ............................................................................................................................... 16
Chapter 4 ............................................................................................................................... 16
Chapter 5 ............................................................................................................................... 16
Chapter 2: Scoping Literature Review and Theoretical Frame ..................................................... 16
The Literature Landscape ......................................................................................................... 17
Knowledge ............................................................................................................................. 17
Knowledge Management ...................................................................................................... 21
Knowledge Sharing. .......................................................................................................... 24
Human Motivation ................................................................................................................ 28
Intrinsic Motivation. .......................................................................................................... 29
Extrinsic Motivation. ......................................................................................................... 30
The Role of Enterprise Social Media in Knowledge Management ....................................... 31 v
Theories Used with Knowledge Management in the Extant Literature ............................... 34
The Theoretical Framework of this Study ................................................................................. 38
The Self-Determination Theory ............................................................................................ 38
The Sociotechnical Systems Theory ...................................................................................... 40
The Conceptual Framework .................................................................................................. 41
Chapter Summary ..................................................................................................................... 43
Chapter Summary - The Literature Landscape ..................................................................... 43
Chapter Summary – The Theoretical Framework ................................................................. 45
Chapter 3: Method ........................................................................................................................ 46
The Evidence-Based Research Framework ............................................................................... 47
The Systematic Review Process ............................................................................................ 47
Synthesis Approaches ........................................................................................................... 51
Review Initiation ....................................................................................................................... 54
Engaging Stakeholders .......................................................................................................... 54
Research Question ................................................................................................................ 54
Methodology ......................................................................................................................... 55
Search Strategy ......................................................................................................................... 55
Search terms ......................................................................................................................... 55
Search process ...................................................................................................................... 56
Inclusion and exclusion criteria ............................................................................................. 57
Screening and selection ........................................................................................................ 58
Quality Appraisal ....................................................................................................................... 59
Method of Quality Appraisal of the Included Studies .......................................................... 59
Subject Matter Experts ............................................................................................................. 63
Analysis and Synthesis Methodology ....................................................................................... 64
Categorical Analysis Data Extraction .................................................................................... 64
Coding .................................................................................................................................. 65
Method of Synthesis ............................................................................................................. 65
Chapter Summary ..................................................................................................................... 66
Chapter 4: Analysis and Findings .................................................................................................. 66
Review of the Research Question ............................................................................................. 67
Description of the Data Set ....................................................................................................... 67
Results of the Quality Appraisal of the Data Set ...................................................................... 72
Results of the Synthesis of the Articles in the Data Set ............................................................ 74
Meta-theme 1: Individual Factors Affect Knowledge Sharing on ESM .................................... 82
Theme 1.1: Intrinsic Motivations Positively Influence Knowledge Sharing on ESM ............ 82
Self-efficacy. ...................................................................................................................... 83
Altruism. ............................................................................................................................ 83
Perceived Enjoyment. ....................................................................................................... 84
Relatedness. ...................................................................................................................... 85
Autonomy. ........................................................................................................................ 85
Theme 1.2: Extrinsic Motivations Positively Affect Knowledge Sharing on ESM ................. 86 vi
Reciprocity. ....................................................................................................................... 86
Rewards............................................................................................................................ 87
Performance Expectancy. ................................................................................................. 88
Reputation. ....................................................................................................................... 88
Theme 1.3: Trust Positively Influences Knowledge Sharing on ESM .................................... 89
Theme 1.4: The Fear of Losing Affects Knowledge Sharing on ESM Negatively .................. 89
Meta-theme 2: Technical Factors Affect Knowledge Sharing on ESM ..................................... 90
Theme 2.1: ESM’s Ease of Use Positively Influences Knowledge Sharing ............................ 90
Theme 2.2: The Perceived Usefulness of ESM Positively Influences Knowledge Sharing .... 92
Theme 2.3: The Perceived Enjoyment of ESM Positively Influences Knowledge Sharing .... 92
Visibility Enjoyment. ......................................................................................................... 93
Rewardability Enjoyment. ................................................................................................. 93
Gamification Enjoyment. .................................................................................................. 94
Competition Enjoyment. ................................................................................................... 94
Meta-theme 3: Social Factors Affect Knowledge Sharing on ESM ........................................... 94
Theme 3.1: Social Interactions Positively Influence Knowledge Sharing on ESM ................ 94
Social Interactions. ............................................................................................................ 95
Social Ties. ......................................................................................................................... 95
Theme 3.2: Social Influence and Norms Positively Affect Knowledge Sharing on ESM ....... 96
Social Presence and Awareness. ....................................................................................... 96
Social Influence and Social Norms. ................................................................................... 97
Meta-theme 4: Organizational Factors Affect Knowledge Sharing on ESM ............................. 97
Theme 4.1: Supportive Organizational Culture and Structure Positively Influence Knowledge Sharing on ESM .................................................................................................. 98
Supportive Culture. ........................................................................................................... 98
Management Support. ...................................................................................................... 98
Organic Organizational Structure. .................................................................................... 99
Theme 4.2: Employee Empowerment Positively Influences Knowledge Sharing on ESM ... 99
Training. ............................................................................................................................ 99
User Empowerment. ....................................................................................................... 100
Shared Goals. .................................................................................................................. 100
Job Significance. .............................................................................................................. 101
Chapter Summary ................................................................................................................... 101
Chapter 5: Conclusions and Implications ........................
Working alone together: Unanticipated virtual teams, best practices - For a pandemic
No full textThis research effort presents a systematic review of high-quality, scholarly research applicable to a new type of virtual team, Unanticipated Virtual Teams (UVT), that were triggered by the recent coronavirus pandemic and, as such, have not previously been the focus of scholarly research. These teams were co-located teams that were sent home to telework and social distance while using electronic methods to communicate and continue work. The systematic review—done in alignment with the methods presented D. Denyer and D. Tranfield (2009) (pp.671–689)—extends the research of Chatfield et al., (2014),Caya et al. (2013), and Purvanova and Kenda (2018). This review identifies best practices, as defined through a lens of paradox theory, within the research on ad hoc, hybrid, global, and other types of virtual teams and synthesizes those practices to assist practitioners struggling with UVTs while trying to produce high-quality products and services in a business environment. In addition, research on telecommuting and teleworking was explored for similar best practices. In total, 110 articlespublished in peer-reviewed scholarship since 2013 are synthesized. As a result, 70 best practices are identified and synthesized, mitigating or moderating the challenges of 17 paradoxes for the practitioner. In addition, two methods identify common elements of these best practices that are the foundation for anticipating additional paradoxes or virtual team challenges: First,five decision-makers and two common methods are identified because they mitigate the challenges of all 17 paradoxes.The second offersseven specific meta-practices that similarly mitigate the 17 paradoxes. In addition, this effort presents the first historical comparison of virtual and telework research against the development of information and communication technology (ICT) tools and presents a typology of 13 different types of virtual teams in scholarly literature.Practitioners are offered a wide range of solutions to the challenges facing UVTs. A paradox-focused research agenda is also offered.Running Head: WORKING ALONE TOGETHER: UNANTICIPATED VIRTUAL TEAMS
ABSTRACT
Title of Dissertation: WORKING ALONE TOGETHER:
UNANTICIPATED VIRTUAL TEAMS, BEST
PRACTICES – FOR A PANDEMIC
Francis Douglas, MA, PMP, CSM
Doctor of Business Administration, 2021
This research effort presents a systematic review of high-quality, scholarly research applicable to
a new type of virtual team, Unanticipated Virtual Teams (UVT), that were triggered by the recent
coronavirus pandemic and, as such, have not previously been the focus of scholarly research. These teams
were co-located teams that were sent home to telework and social distance while using electronic methods
to communicate and continue work. The systematic review—done in alignment with the methods
presented D. Denyer and D. Tranfield (2009) (pp. 671–689)—extends the research of Chatfield et al.,
(2014), Caya et al. (2013), and Purvanova and Kenda (2018). This review identifies best practices, as
defined through a lens of paradox theory, within the research on ad hoc, hybrid, global, and other types of
virtual teams and synthesizes those practices to assist practitioners struggling with UVTs while trying to
produce high-quality products and services in a business environment. In addition, research on
telecommuting and teleworking was explored for similar best practices. In total, 110 articles published in
peer-reviewed scholarship since 2013 are synthesized. As a result, 70 best practices are identified and
synthesized, mitigating or moderating the challenges of 17 paradoxes for the practitioner. In addition, two
methods identify common elements of these best practices that are the foundation for anticipating
additional paradoxes or virtual team challenges: First, five decision-makers and two common methods are
identified because they mitigate the challenges of all 17 paradoxes. The second offers seven specific
Working Alone Together: Unanticipated Virtual Teams
ii
meta-practices that similarly mitigate the 17 paradoxes. In addition, this effort presents the first historical
comparison of virtual and telework research against the development of information and communication
technology (ICT) tools and presents a typology of 13 different types of virtual teams in scholarly
literature. Practitioners are offered a wide range of solutions to the challenges facing UVTs. A paradox-focused
research agenda is also offered.
Keywords: pandemic, paradox theory, telecommute, telework, virtual team
Working Alone Together: Unanticipated Virtual Teams
iii
WORKING ALONE TOGETHER:
UNANTICIPATED VIRTUAL TEAMS, BEST PRACTICES – FOR A PANDEMIC
By
FRANCIS DOUGLAS, M.A, PMP, CSM
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
2021
Working Alone Together: Unanticipated Virtual Teams
iv
© Copyright by
Francis Douglas
2021
Working Alone Together: Unanticipated Virtual Teams
v
Dedication
For my family—my wife, parents, and son—who have held me together through many trying
times. Also, for my wife’s cats—Jane, named after Jane Austen, and Emma, named after Jane’s book.
Without the help of Jane and Emma, I could have finished six months earlier.
Emma (below) and Jane (above) attempt to
demonstrate the yin-yang symbol, which is
important to paradox theory (see Figure 3).
Working Alone Together: Unanticipated Virtual Teams
vi
Acknowledgments
I would like to acknowledge the efforts of Dr. Wanda Wagner and Dr. Kathleen Edwards, who
served as mentor and second reader respectively, as they worked to encourage me without driving me
beyond my capabilities and as together, we raced to produce scholarship important today before the day
passed to tomorrow.
I would also like to acknowledge Cynthia Thomes, a very special librarian and a very special
person.
Working Alone Together: Unanticipated Virtual Teams
vii
Table of Contents
ABSTRACT ................................................................................................................................................... i
Dedication .................................................................................................................................................... v
Acknowledgments ....................................................................................................................................... vi
Table of Contents ....................................................................................................................................... vii
List of Tables ................................................................................................................................................ x
List of Figures ............................................................................................................................................ xii
List of Abbreviations ................................................................................................................................ xiii
Chapter 1: Introduction and Overview of the Management Problem ........................................................ 1
Background and Overview ..................................................................................................................... 1
Advantages of Virtual Teams in General .............................................................................................. 3
Challenges of Virtual Teams in General ............................................................................................... 3
Types of Virtual Teams ......................................................................................................................... 4
Unanticipated Virtual Teams Defined ................................................................................................... 5
Problem Statement and Significance of the Problem ........................................................................... 6
Importance/Significance to Management Practitioners ......................................................................... 7
Management Problem in This Topic Area ............................................................................................ 7
Theory and Theories .............................................................................................................................. 8
Problem Statement and Significance of the Problem ........................................................................... 8
Purpose of the Study and the Research Questions ............................................................................... 9
Research Questions ............................................................................................................................... 9
CIMO Evaluation. ................................................................................................................................ 9
The Rationale for the Study .................................................................................................................. 11
Discussion of Concepts and Themes .................................................................................................... 12
Definitions and Terminology ................................................................................................................ 12
Chapter Summary ................................................................................................................................ 12
Organization of the Dissertation .......................................................................................................... 12
Chapter 2: Scoping Literature Review and Theoretical Frame ................................................................ 14
Scoping Literature Review .................................................................................................................... 14
A Historical Perspective of Virtual Team and Telework Research .................................................... 14
A Typology of Virtual Team Types .................................................................................................... 22
A Thematic Perspective of Virtual Team and Telework Challenges .................................................. 28
Virtual Teams Are Different from Face-to-Face Teams. ................................................................ 28
Leadership. ..................................................................................................................................... 28
Team Makeup. ................................................................................................................................ 28
Conflict Management. ..................................................................................................................... 29
Trust Maintenance. .......................................................................................................................... 29
Trust Development/Swift Trust. ...................................................................................................... 29
Social Loafing. ................................................................................................................................ 30
Tools. .............................................................................................................................................. 30
Systems and Processes. ................................................................................................................... 30
Working Alone Together: Unanticipated Virtual Teams
viii
Health/Stress/Work-Life Balance. ................................................................................................... 31
Theoretical Framework ......................................................................................................................... 32
Paradox Theory .................................................................................................................................. 32
Paradox Theory, a Historical Perspective. ....................................................................................... 32
Paradox Theory and Business Management. ................................................................................... 33
Paradox Theory and Virtual Teams. ................................................................................................ 34
Methods to Address Paradoxes. ....................................................................................................... 35
Conceptual Framework ........................................................................................................................ 36
Chapter Summary ................................................................................................................................ 39
Chapter 3: Method ..................................................................................................................................... 41
Review Design and Methodology ......................................................................................................... 42
The Evidence-Based Research Framework ......................................................................................... 42
Systematic Reviews ............................................................................................................................. 43
Step 1: Question Formulation .............................................................................................................. 45
Defining the Problem and Its Significance .......................................................................................... 45
Research Questions and Methodology for Identifying the Questions ................................................. 47
Step 2: Locating Studies ........................................................................................................................ 49
Search Strategy ................................................................................................................................... 50
Screening Methodology ....................................................................................................................... 51
Inclusion and Exclusion Criteria ......................................................................................................... 52
Step 3: Quality Appraisal and Study Selection ................................................................................... 53
Step 4: Analysis and Synthesis ............................................................................................................. 55
Step 5: Reporting and Using Results ................................................................................................... 56
Chapter Summary ................................................................................................................................ 56
Chapter 4: Analysis and Findings ............................................................................................................. 57
Results for Step 1: Review of the Research Question ......................................................................... 58
Results for Step 2: Identify Relevant Research .................................................................................. 58
Search Process and Terms ................................................................................................................... 58
First Pass Using Inclusion and Exclusion Criteria .............................................................................. 61
Second Pass with Inclusion and Exclusion Criteria ............................................................................ 62
Results for Step 3: Quality Appraisal and Study Selection ............................................................... 63
First Pass of the Quality Appraisal ...................................................................................................... 63
Second Pass of Quality Appraisal ....................................................................................................... 64
Description of the Data Set ................................................................................................................... 65
Results for Step 4: Analysis and Synthesis .......................................................................................... 67
Findings and Discussion for Research Question 1 .............................................................................. 68
Meta-Theme 1: Leadership/Management. ....................................................................................... 69
Paradox 1: My leadership style works when co-located; we are not co-located. ........................ 69
Paradox 2: I must lead the team; the team cannot see me. .......................................................... 72
Paradox 3: Management must conduct oversight; management sees little. ................................ 74
Meta-Theme 2: Health and Satisfaction. ......................................................................................... 77
Paradox 4: Virtuality lets us be healthy; virtuality harms our health. ......................................... 77
Paradox 5: Virtuality allows a flexible schedule; virtuality results in longer days. .................... 79
Working Alone Together: Unanticipated Virtual Teams
ix
Paradox 6: I feel satisfaction working virtually; I’m unhappy and lonely. ................................. 80
Paradox 7: Technology enables working from home; technology adds to my stress. ................. 81
Paradox 8: Technology provides data richness; technology leads to data overload. .................. 83
Meta-Theme 3: Team Makeup and Practices. ................................................................................. 84
Paradox 9: Family first at home; work first at home. .................................................................. 84
Paradox 10: We are geographically close; we cannot meet. ....................................................... 86
Paradox 11: I have fewer work-related distractions; I have fewer interactions. ......................... 87
Paradox 12: I’m part of a trusting, sharing, cohesive team; I work alone. .................................. 88
Meta-Theme 4: Organizational Support. ......................................................................................... 90
Paradox 13: I’m part of a large, supportive organization; I never see that organization. ............ 90
Meta-Theme 5: Technology. ........................................................................................................... 92
Paradox 14: Technology is the solution; technology often is the problem. ................................ 92
Paradox 15: Virtual teams need greater communication; virtuality hinders communication. .... 94
Paradox 16: I work on a computer all day; I am not good with electronics. ............................... 95
Meta-Theme 6: Systems/Processes/Policies. ................................................................................... 96
Paradox 17: Virtuality gives greater flexibility; virtuality demands greater team structure. ...... 97
Findings and Discussion for Research Question 2 ............................................................................ 100
Summary of Findings .......................................................................................................................... 106
Results for Step 5: Reporting and Using Results .............................................................................. 106
Revised Conceptual Model/Framework ............................................................................................ 107
Chapter Summary ............................................................................................................................... 110
Chapter 5: Conclusions and Implications ............................................................................................... 111
Review of the Research ....................................................................................................................... 111
Answers to the Research Questions ................................................................................................... 114
Management Implications (Recommendations) ............................................................................... 117
Result 1 from Chapter 4 .................................................................................................................... 117
Result 2 from Chapter 4 .................................................................................................................... 118
Result 3 from Chapter 4 .................................................................................................................... 118
Result 4 from Chapter 4 .................................................................................................................... 119
Limitations of the Study and Areas for Future Research ................................................................ 119
Limitations of the Study .................................................................................................................... 119
Areas for Future Research ................................................................................................................. 121
Final Summary and Conclusion ......................................................................................................... 123
References ........
The impact of the COVID-19 pandemic on innovation districts
No full textInnovation districts represent a new way of looking at an old economic development phenomenon where the synergy of people, resources, and place inspire new ideas that are brought to the marketplace. As an ecosystem, innovation districts bring value to local, regional, and national economies. However, the ecosystem works best when ideas, resources, and people are free to interact in a non-competitive, informal, and sometimes random environment free of restrictions. The COVID-19 pandemic disrupted this free interaction. This systematic review examines the impact of the pandemic on innovation districts through the lens of general system theory. The findings indicated that connectivity, specialized talent, as well as risk-takers, early adopters, and creators suffered significantly. While government experienced a greater utility.Running Head: COVID-19 AND INNOVATION DISTRICTS i
ABSTRACT
Title of Dissertation:
THE IMPACT OF THE COVID-19 PANDEMIC ON INNOVATION DISTRICTS
Shabaka E Gibson,
Doctor of Business Administration, 2021
Innovation districts represent a new way of looking at an old economic development phenomenon where the synergy of people, resources, and place inspire new ideas that are brought to the marketplace. As an ecosystem, innovation districts bring value to local, regional, and national economies. However, the ecosystem works best when ideas, resources, and people are free to interact in a non-competitive, informal, and sometimes random environment free of restrictions. The COVID-19 pandemic disrupted this free interaction. This systematic review examines the impact of the pandemic on innovation districts through the lens of general system theory. The findings indicated that connectivity, specialized talent, as well as risk-takers, early adopters, and creators suffered significantly. While government experienced a greater utility.
Keywords: Innovation, Ecosystem, COVID-19, Entrepreneurs, Crisis, Economic Development
BREAK
COVID-19 AND INNOVATION DISTRICTS
ii
THE IMPACT OF THE COVID-19 PANDEMIC ON INNOVATION DISTRICTS
By
Shabaka E Gibson
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
2021
COVID-19 AND INNOVATION DISTRICTS
iii
© Copyright by
[Shabaka E Gibson]
2021
COVID-19 AND INNOVATION DISTRICTS
iv
Dedication
This dissertation is dedicated to my son, Curtis.
This is why dad had so many stacks of paper surrounding his desk.
COVID-19 AND INNOVATION DISTRICTS
v
Table of Contents
ABSTRACT ...................................................................................................................................................... i
THE IMPACT OF THE COVID-19 PANDEMIC ON INNOVATION DISTRICTS ..................................................... ii
Dedication ................................................................................................................................................... iv
Table of Contents ......................................................................................................................................... v
Chapter 1: Introduction and Overview of the Management Problem ......................................................... 1
History of Innovation Districts ................................................................................................................... 1
Industrial Districts (Marshall) ................................................................................................................ 2
Industrial Districts (Post World War I) .................................................................................................. 4
Clusters and Ecosystems ........................................................................................................................... 5
Clusters................................................................................................................................................. 5
Ecosystems ........................................................................................................................................... 7
Innovation Districts .................................................................................................................................. 8
Marshall’s Industrial Districts - Today ................................................................................................... 8
Elements ............................................................................................................................................ 10
Impact of innovation districts on economies...................................................................................... 13
Problem Statement and Significance of the Problem .............................................................................. 15
Systematic Reviews ............................................................................................................................. 16
Purpose of the Study and The Research Question .................................................................................. 17
Purpose .............................................................................................................................................. 17
Research Question .............................................................................................................................. 18
Chapter Summary................................................................................................................................... 18
Organization of the Dissertation ............................................................................................................. 19
Chapter 2: Scoping Literature Review and Theoretical Frame ................................................................... 20
Literature Review ................................................................................................................................... 20
Timeline of the literature .................................................................................................................... 20
Key areas ............................................................................................................................................ 21
Theoretical Framework ........................................................................................................................... 23
Why A Theoretical Framework ........................................................................................................... 23
General System Theory ....................................................................................................................... 23
Why this model for innovation district? ............................................................................................. 24
Conceptual Framework ........................................................................................................................... 25
Chapter Summary................................................................................................................................... 29
Chapter 3: Method ..................................................................................................................................... 30
Evidence-Based Approach ....................................................................................................................... 30
Search Process / Literature Selection ...................................................................................................... 30
Inclusion/Exclusion Criteria ..................................................................................................................... 33
Quality Assessment of the Literature ...................................................................................................... 34
Data Extraction ....................................................................................................................................... 34
Coding, Categorization, and Themes ....................................................................................................... 35
Chapter 4: Analysis and Findings ................................................................................................................ 36
Review of the Research Question............................................................................................................ 36 COVID-19 AND INNOVATION DISTRICTS
vi
Description of the Data Set ..................................................................................................................... 36
PRISMA ............................................................................................................................................... 36
General Characteristics ....................................................................................................................... 37
Results of the Quality Appraisal of the Data Set ...................................................................................... 39
TAPUPAS ............................................................................................................................................ 39
Findings and Discussion ........................................................................................................................... 41
Social Networking ............................................................................................................................... 41
Open Research ................................................................................................................................... 42
General Education and Workforce Development ............................................................................... 43
Community/Place ............................................................................................................................... 43
Risk Takers, Early Adopters, and Creators .......................................................................................... 44
Government ....................................................................................................................................... 45
Anchor and Support Companies ......................................................................................................... 46
Specialized Talent ............................................................................................................................... 46
Financial Support ............................................................................................................................... 47
Connections ....................................................................................................................................... 47
Summary of Findings ........................................................................................................................... 48
Revised Conceptual Model/Framework .................................................................................................. 49
Chapter Summary................................................................................................................................... 52
Chapter 5: Conclusions and Implications .................................................................................................... 53
Discussion ............................................................................................................................................... 53
Subsystems ........................................................................................................................................ 53
Inputs ................................................................................................................................................. 56
Connections ....................................................................................................................................... 57
Management Implications ....................................................................................................................... 59
Recommendations ................................................................................................................................. 60
Limitations of the Study and Areas for Future Research ......................................................................... 61
Limitations of the Study ...................................................................................................................... 61
Areas for Future Research .................................................................................................................. 61
Final Summary and Conclusion ............................................................................................................... 62
References ................................................................................................................................................. 64
Appendix A ................................................................................................................................................. 81
Appendix B ................................................................................................................................................. 82
Appendix C ............................................................................................................................................... 104
Appendix D ............................................................................................................................................... 116
Appendix E ............................................................................................................................................... 136
Appendix F ............................................................................................................................................... 138
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Chapter 1: Introduction and Overview of the Management Problem
Innovation districts exist as unique geographic areas consisting of skilled artisans and entrepreneurs focused on participating within certain industry clusters (Glaeser et al., 2009). When co-located with anchor institutions, research institutions, and other contributing assets, these artisans and entrepreneurs can drive economic activity and growth through innovation (Glaeser et al., 2010). Katz and Wagner (2014), in their seminal work “The Rise of Innovation Districts,” describe innovation districts as a synergistic relationship between people, firms, and place (the physical geography and attributes of the district) that facilitates idea generation and accelerates commercialization. This, in turn, leads to firm growth, employment growth, and other economic benefits.
Innovation districts can help communities successfully focus local economies toward narrowly defined economic opportunities and goals. This focus can dictate the deployment of resources, the quality and type of local or regional talent, states and regions’ policy disposition, and other considerations. Additionally, it allows a region to gain and/or project identity. For management practitioners, understanding innovation districts, or at the very least, the elements of innovation districts and how they impact economic outcomes, can be a key to the stewardship of resources and policies. From that perspective, it is important that management practitioners understand innovation districts, their composition, and how the elements of that composition impact economic outcomes.
History of Innovation Districts
In both scholarly and practitioner circles, the term innovation district is often used interchangeably with several other terms including innovation ecosystem, innovation cluster, industrial cluster, entrepreneurial ecosystem, business development districts, innovation center, regional development district, and other similar nomenclatures. Each of these terms, although similar in general idea, can conjure different meanings. Those seemingly small differences in terms can impact the lens through which scholars and practitioners explore and actuate economic ideas, opportunities, resources, COVID-19 AND INNOVATION DISTRICTS
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and expectations. It is important to understand the origins and evolution of the concept to understand the term innovation district and the unique economic phenomenon it describes. That background will provide a more accurate lens from which observers and practitioners can view the topic.
Industrial Districts (Marshall)
It could be argued that innovation districts are an evolution of Alfred Marshall’s observations from 1860’s Sheffield, England, which he coined “industrial districts” (1890). According to Marshall (1890, p. 225), industrial districts start with industries choosing a locality. Once chosen, a locality would then provide the scene for industry-level enhancements and hereditary talent specializations that allow for growth and development within the industry. Marshall did not discuss how an industry chose its locality; however, he provides insight into what occurred after the choice was made.
Without using the term innovation, Marshall (1890, p. 225) argues that one person with an idea, in what he observed as an industrial district, can share and refine that idea with other like-minded industry professionals. From there, new ideas can be born. It is important to note that Marshall stops short of identifying that completely new products, concepts, or industries could be launched. Marshall’s focus was on the development of trades and increasing productivity within an industry.
Marshall (1890, p. 225) posits that trade mysteries are learned at a young age because of the abundance of activity within that trade area. Marshall also proposes that the greatest gains for an industry, provided by an industrial district, is through the localized market for special skills. Additionally, Marshall argues that this surplus of specialized and hereditarily enhanced labor allows other subsidiary trades to form. Marshall does not discuss how the original industry chose the locality. However, he does acknowledge that the growth of an industry within its industrial district through the specialization of labor can cause a demand for jobs and skills in supplementary industries that contribute to the industrial district (1890, p. 226). COVID-19 AND INNOVATION DISTRICTS
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It is also important to note that Marshall (1890, p. 227) suggests that industrial districts based on one industry are susceptible to extreme economic depression. This could be caused by a restriction of base material for production or a steep decline in the demand for the industrial district’s products. Thus, the supplementary industries within the district afford resiliency to the community supporting the primary industry. Marshall’s (1890, p.227) key attribute for industrial districts was the localization of specialized talent. Marshall further suggests the localization of shops (for consumers), improvements in communication, international trade for raw materials, and the reduction of cost for ordinary product types, among other things, are necessary for the evolution and growth of new industries.
It is clear from Marshall’s (1890) work that as the world industrialized, there were specializations that occurred in talent and locality. Essentially, certain industries demanded certain skills. The agglomeration of those skills within an area allowed for an increase in activity and development within the industries that most valued those skills. In turn, this caused greater development of those skills. This relationship of specialized skills for a specific industry allowed for the development of complementary skills and industries. This supplement to the market allowed for diversification of the local economy, providing resilience to economic shock and opportunities for locals who were not specialized in the flagship industry’s skills.
This assessment by Marshall (1890) was done before WWI. As a result, it could be argued that it was an observation of nascent industrial development. By 1890, when Marshall first published his work, the industrial revolution was just over 100 years old. Thus, there was ample material to study. However, trade and commerce were not as hyper-charged as they have been post-World War II. As such, an understanding of Marshall’s concept of industrial districts, post-World War I, can provide further insight into the development of innovation districts. COVID-19 AND INNOVATION DISTRICTS
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Industrial Districts (Post World War I)
As the industrial revolution progressed into and through World Wars I and II, industrial districts were being defined by scholars from a geo-spatial perspective. For example, in 1933, Mitchell and Jucius argued that industrial districts are organizations that own or control real estate suitable for planned industrial development (p. 140). The focus shifted from Marshall’s (1890) emphasis on the hyper-concentration of localized, hereditarily enhanced skills to the management of space for buildings and equipment. Additionally, there was a decoupling of industry and city centers.
After World War II, industrialization and the need for spatial considerations grew rapidly. In the 1950s, the United States saw a large growth in the number of planned–use land allocations for industrial purposes. A Barron’s article in 1955 estimated 150 industrial districts; in 1957, Stanford Research Institute suggested that there were 302; and by 1959, another publication by Dartmouth College referred to 800 such districts (Murphy & Baldwin