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3+1 transfer programs: Evaluating community college student success metrics and best practices
No full textThe purpose of this study is to investigate appropriate means for measuring the efficacy of 3+1 transfer programs and propose best practices for the implementation and management of 3+1 pathways. In a 3+1 program, students complete 90 credits at the community college and are awarded a baccalaureate degree after completing their final 30 credits at a four-year college or university. Community colleges continue to explore ways to improve the transfer process with the goal of increasing baccalaureate degree completion of community college graduates. Transfer programs which articulate 90 credits from a 3+1 program have been growing as a model for community college baccalaureate completion.
This research involved interviews with eight institutions: four community colleges with active 3+1 programs and their four-year partner institutions. The framework for collective impact is evaluated as are possible mechanisms for establishing and maintaining successful 3+1 pathways. A conceptual model was developed to illustrate this possibility.
The results of this research showed that 3+1 programs are not clearly defined and vary in implementation. While evidence seems to suggest that these programs are effective, little definitive data exists. Successful programs require strong collaboration between the partner institutions. The study concludes that clear metrics need to be established to measure efficacy of these programs. The findings of this dissertation research inform institutions of best practices for 3+1 programs and proposes metrics to measure success.Abstract Title of Dissertation: 3+1 Transfer Programs: Evaluating Community College Student Success Metrics and Best Practices
Elsie Lisa LaVigna
Doctor of Management in Community College Policy and Administration, 2018
Dissertation Directed By: Dr. Charlene Nunley, Professor
Community College Policy and Administration
Doctor of Management Programs
University of Maryland University College
Dr. Susan McMaster, Professor
Community College Policy and Administration
Doctor of Management Programs
University of Maryland University College
The purpose of this study is to investigate appropriate means for measuring the efficacy of 3+1 transfer programs and propose best practices for the implementation and management of 3+1 pathways. In a 3+1 program, students complete 90 credits at the community college and are awarded a baccalaureate degree after completing their final 30 credits at a four-year college or university. Community colleges continue to explore ways to improve the transfer process with the goal of increasing baccalaureate degree completion of community college graduates. Transfer programs which articulate 90 credits from a 3+1 program have been growing as a model for community college baccalaureate completion. This research involved interviews with eight institutions: four community colleges with active 3+1 programs and their four-year partner institutions. The framework for collective impact is evaluated as are possible mechanisms for establishing and maintaining successful 3+1 pathways. A conceptual model was developed to illustrate this possibility. The results of this research showed that 3+1 programs are not clearly defined and vary in implementation. While evidence seems to suggest that these programs are effective, little definitive data exists. Successful programs require strong collaboration between the partner institutions. The study concludes that clear metrics need to be established to measure efficacy of these programs. The findings of this dissertation research inform institutions of best practices for 3+1 programs and proposes metrics to measure success. Keywords: transfer, 3+1, 90+30, three plus one, three+one, baccalaureate completion, community college, framework for collective impact
Dissertation Title: 3+1 Transfer Programs: Evaluating Community College Student Success Metrics and Best Practices
Elsie Lisa LaVigna
A Thesis
Submitted to
the Graduate Faculty of University of Maryland University College
in Partial Fulfillment of
The Requirements for
the Degree of Doctor of Management
Dissertation Committee
Dr. Charlene R. Nunley
Dr. Susan McMaster
August 30, 2018 3+1 Transfer Programs i
Dedication
This dissertation is dedicated to my family and friends, without whom this dissertation would not be possible. To my parents, who shared their love of learning. To my children, Joe and Nikki, for whom I have tried to set a good example and whose love motivates me. To my husband, who is my best friend.
The dissertation is also dedicated to my colleagues at Excelsior College, especially our former President John Ebersole, who invited me into the world of higher education and who pushed me into this doctoral program.
Finally, this dissertation is dedicated to all those who work in higher education with the underrepresented and post-traditional students who need us the most. We are changing lives!
3+1 Transfer Programs ii
Acknowledgements
I want to thank everyone who helped me on my dissertation journey. My family was amazingly supportive. Special thanks to my husband and mother. My husband cooked many meals and plied me with cocktails while I did my discussion posts and worked on this dissertation. My mom spent many weekends with me at our camp in the Adirondacks giving me space to write and study. Special thanks also to my daughter Nikki and good friend Rachel who proofread this dissertation numerous times. And thanks to my girl posse, who kept me sane. I am grateful for the support you all gave me.
Thank you to all my colleagues at Excelsior who assisted and encouraged me on this path, and especially our college leadership for the generous tuition reimbursement program that made it possible for me to pursue this degree. I am blessed to work with my colleagues in this unique institution.
Finally, this dissertation would not have been possible without the excellent faculty and my cohort at UMUC. My cohort was blessed to learn from inspirational leaders in higher education such as Dr. Keir, Dr. Glickman, and Dr. Head as well as our fantastic dissertation advisors Dr. Nunley and Dr. McMaster. Dr. Nunley and Dr. McMaster spent hours helping me improve this dissertation. I also want to acknowledge the behind the scenes team at UMUC – especially Monica Graham and Cynthia Thomes for their assistance. Thank you all.
3+1 Transfer Programs iii
Table of Contents
Chapter One: Introduction .......................................................................................................... 1
Background and Context ............................................................................................................. 1
Need for an Educated Workforce ............................................................................................ 1
Education as a Solution to Societal Issues............................................................................... 4
Changing Demographics ......................................................................................................... 6
Problem Statement ...................................................................................................................... 8
Significance of Problem ............................................................................................................ 11
Purpose ..................................................................................................................................... 14
Research Questions ................................................................................................................... 14
Theoretical Framework ............................................................................................................. 15
Definitions of Terms ................................................................................................................. 16
Summary .................................................................................................................................. 22
Chapter Two: Methodology ....................................................................................................... 23
Introduction ............................................................................................................................... 23
Key Search Terms and Inclusion/Exclusion Criteria ................................................................ 24
Key Sources for the Literature Review ..................................................................................... 30
Primary Research Methodology ................................................................................................ 48
Research Sites ........................................................................................................................ 51
Research Participants ............................................................................................................. 51
Data Collection ...................................................................................................................... 52
Results .................................................................................................................................. 54
Expert Panel Selection .............................................................................................................. 55
Conclusion ................................................................................................................................ 58
Chapter Three: Literature Review............................................................................................ 59
Introduction ............................................................................................................................... 59
Background on Baccalaureate Completion Initiatives .............................................................. 62
Appeal of Community Colleges as Stepping Stone to Baccalaureate Degrees ..................... 64
Pathways from Community College to the Baccalaureate .................................................... 65
Articulation of Credit and the Transfer Process .................................................................... 67
Problems with College Transfer ............................................................................................ 68
Impact of Number of Credit Hours on Transfer Rates .......................................................... 70 3+1 Transfer Programs iv
Importance of Completing Associate’s Degrees ................................................................... 72
Transfer Credit and Completion ............................................................................................ 74
Importance of Transfer Guides/Articulation Agreements ..................................................... 77
Co-enrollment Programs........................................................................................................ 80
Measuring Effectiveness: Data and Definitions ........................................................................ 84
Best Practices in Transfer .......................................................................................................... 87
Strong Communication between Two- and Four-year Partners ............................................ 87
Recognition that Transfer is a Priority .................................................................................. 88
Importance of Transfer Pathways .......................................................................................... 90
Prevention of Credit Loss ...................................................................................................... 90
Advising Process ................................................................................................................... 91
Culture of Performance and Data-Driven Decision Making ................................................. 92
Additional Best Practices....................................................................................................... 92
Theoretical Framework ............................................................................................................. 93
Common Agenda ................................................................................................................... 95
Shared Measurement ............................................................................................................. 97
Mutually Reinforcing Activities ............................................................................................ 98
Continuous Communication .................................................................................................. 98
Backbone Support Organizations .......................................................................................... 99
Conceptual Model ................................................................................................................... 102
Summary ................................................................................................................................ 105
Chapter Four: Analysis and Findings ..................................................................................... 107
Introduction ............................................................................................................................. 107
Expert Panel Feedback ............................................................................................................ 107
Credentials of Expert Panelists ............................................................................................ 108
Feedback of Expert Panelists ............................................................................................... 109
General Comments by Each Expert..................................................................................... 114
Comments Not Adopted ...................................................................................................... 114
Summary .............................................................................................................................. 115
Primary Research Findings ..................................................................................................... 115
Background on 3+1 Institutions Interviewed ...................................................................... 118
Interview Findings ............................................................................................................... 122 3+1 Transfer Programs v
Two-year Institution Success Metrics ................................................................................. 124
Four-year Institution Success Metrics ................................................................................. 129
Suggested Metrics................................................................................................................ 132
Recognition by Leadership That Transfer Is a Priority ....................................................... 135
Importance of Transfer Guides/Pathways ........................................................................... 136
Quality Advising, Marketing, and Financial Aid Processes ................................................ 137
Policy Changes .................................................................................................................... 139
Establishing a 3+1 ............................................................................................................... 140
Ranking Best Practices ........................................................................................................ 141
Common Agenda ................................................................................................................. 145
Common Progress Measures ............................................................................................... 145
Mutually Reinforcing Activities .......................................................................................... 147
Continuous Communication ................................................................................................ 147
Backbone Support................................................................................................................ 148
Discussion of Research Findings ......................................................................................... 149
Unanticipated Findings ........................................................................................................... 151
Limitations .............................................................................................................................. 152
Summary ................................................................................................................................ 153
Chapter Five: Conclusion and Implementation for Practitioners ....................................... 155
Summary of Research Findings .............................................................................................. 157
Implications for Practitioners .................................................................................................. 161
Measuring Efficacy of 3+1 Programs .................................................................................. 161
Best Practices for Establishing and Maintaining 3+1 Programs ......................................... 165
Implications for Community Colleges .................................................................................... 171
Recommendations for Future Research .................................................................................. 172
Conclusion ............................................................................................................................... 174
References .................................................................................................................................. 175
Appendix A: List of 3+1 Programs Discovered During Dissertation Research Process ............ 204
Appendix B: Request for Interview Letter.................................................................................. 207
Appendix C: Expert Panelist Feedback Form ............................................................................. 209
Appendix D: Samples of Enrollment Reports Exchanged Between 3+1 Partner Institutions .... 212
3+1 Transfer Programs vi
List of Tables
Table 2.1 Keywords ...................................................................................................................... 25
Table 2.2 Initial Search Terms and Results. ................................................................................. 26
Table 2.3 Expanded Search Terms and Results ............................................................................ 27
Table 2.4 Key Sources Related to Background and Significance of How College Credits Transfer from Two-year to Four-year Institutions ...................................................................................... 32
Table 2.5 Key Sources for Best Practices for Articulation/Transfer of Credit. ............................ 41
Table 2.6 Key Sources on the Framework of Collective Impact, Especially in Relation to Higher Education Partnerships ................................................................................................................ 44
Table 2.7 Interview Questions for Institutional Staff and Related Research Questions ............... 53
Table 4.1 Overview of Institutions Interviewed ......................................................................... 117
Table 4.2 Sample of Pair 2 Four-year Institution’s Monthly Enrollment Status Report ........... 126
Table 4.3 Ranking Best Practices for Establishing 3+1 Programs by Two-year Institutions in Order of Importance (1 is most important, 5 is least important)................................................ 141
Table 4.4 Ranking Best Practices for 3+1 Programs by Four-year Institutions in Order of Importance ................................................................................................................................. 153
3+1 Transfer Programs vii
List of Figures
Figure 1.1: By 2020, estimated jobs available per level of education ............................................ 3
Figure 1.2: Unemployment rates and earnings by educational attainment, 2016. .......................... 6
Figure 3.1: Example of 3+1 description from Franklin University website, 2018. ...................... 60
Figure 3.2: Example of 3+1 description from Excelsior College, n.d. ......................................... 60
Figure 3.3: Five key conditions of collective impact .................................................................... 94
Figure 3.4: Conceptual model ..................................................................................................... 103
3+1 Transfer Programs 1
Chapter One: Introduction
Background and Context
Need for an Educated Workforce
In order to compete in the world economy, the United States needs an educated workforce (American Association of Community Colleges, 2012; Bowen, Chingos, & McPherson, 2009; Goldin & Katz, 2008; Soares, 2013; The White House, 2018). In 2017, the Organisation [sic] for Economic Co-operation and Development (OECD) reported that while the United States previously led the world in college degree completion, it now ranked 10th in college completion (OECD, 2017). The Race between Education and Technology makes the case that “a greater level of education results in higher labor productivity. Moreover, a greater level of education in the entire nation tends to foster a higher rate of aggregate gro
Leader emotional intelligence as a response to creative destruction: Exploring factors impacting organizational effectiveness
No full textUsing a replicable research method to advance knowledge about creative destruction (CD) and organizational effectiveness (OE), this dissertation examines the use of CD and its impact on OE. To better understand the factors influencing the use of CD, the emotional intelligence (EI) and communication theories are applied. The theories assist in understanding what types of leader behaviors are associated with the way CD is used. Forty-five studies that measured CD, EI, and OE met the inclusion criteria. During the quality appraisal, thirteen studies were eliminated for low quality. The conclusions presented in Chapter 5 are informed by findings from research about CD in local and global markets, leader EI, and OE as it relates to people, leadership, and commitment. The results indicate that there is a link between the CD and leader EI and that the use of CD impacts OE. The review of studies confirmed that the leader EI influences the use of CD in two ways. First, leader-follower communication, as a subset of EI, increases idea-sharing and employee contribution. Second, trust and motivation, as products of EI, improve organizational commitment.DOCTOR OF MANAGEMENT DEGREE
DISSERTATION APPROVAL FORM
DM candidate Bozena Berdej has completed all the necessary dissertation
requirements of University of Maryland University College’s Doctor of
Management Program.
APPROVED:
Committee Co-Chair:
jgelatt October 5, 2018
_______________________________ ________________________
James P. Gelatt Date:
Committee Co-Chair:
Wanda Scanlon Wagner October 10, 2018
_____________________________ __________________________
Wanda Scanlon Wagner Date:
Running head: LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
DESTRUCTION
ABSTRACT
Title of Dissertation: LEADER EMOTIONAL INTELLIGENCE AS
A RESPONSE TO CREATIVE
DESTRUCTION: EXPLORING FACTORS
IMPACTING ORGANIZATIONAL
EFFECTIVENESS
Bozena Berdej, Doctor of Management, 2018
Using a replicable research method to advance knowledge about creative destruction (CD) and
organizational effectiveness (OE), this dissertation examines the use of CD and its impact on OE.
To better understand the factors influencing the use of CD, the emotional intelligence (EI) and
communication theories are applied. The theories assist in understanding what types of leader
behaviors are associated with the way CD is used. Forty-five studies that measured CD, EI, and
OE met the inclusion criteria. During the quality appraisal, thirteen studies were eliminated for
low quality. The conclusions presented in Chapter 5 are informed by findings from research
about CD in local and global markets, leader EI, and OE as it relates to people, leadership, and
commitment. The results indicate that there is a link between the CD and leader EI and that the
use of CD impacts OE. The review of studies confirmed that the leader EI influences the use of
CD in two ways. First, leader-follower communication, as a subset of EI, increases idea-sharing
and employee contribution. Second, trust and motivation, as products of EI, improve
organizational commitment.
Keywords: creative destruction, emotional intelligence, organizational
effectiveness
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
DESTRUCTION
BREAK
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
DESTRUCTION
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
DESTRUCTION: EXPLORING FACTORS IMPACTING ORGANIZATIONAL
EFFECTIVENESS
By
Bozena Berdej
Dissertation submitted to the Faculty of the Graduate School of the
University of Maryland University College, in partial fulfillment
of the requirements for the degree of
Doctor of Management
2018
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
DESTRUCTION
© Copyright by
Bozena Berdej
2018
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
DESTRUCTION
i
Dedication
This experience, above all, taught me humbleness. The program was challenging. It
tested my levels of perseverance, patience, and energy. It is because of these challenges and
ability to grow that I can confidently say that I am a stronger person today than I was at the
beginning of the journey. My father always said, “Stay humble, and if you are going to do
something, do it right, otherwise do not do it at all.” My mom once told me, “Pain is only
temporary, it will pass. We are created with sufficient strength to go through it. Do not give up.”
This journey was humbling and painful at times, but the bumps in the road were not going to
stop me. The inner strength my parents imprinted in me was sufficient to take on any challenge.
From the beginning, my mind was set on the final academic achievement. As in life, we go
through hard times by focusing on the desired result. Someone once said, “A good dissertation is
a finished dissertation.” My desired result was not only to finish the dissertation but to deliver a
meaningful and robust investigation that hopefully will make a difference in the 21st century
leadership, which is facing ethical and moral challenges.
Therefore, I would like to dedicate this dissertation to my parents. Mom and Dad, thank
you for instilling in me the strength and perseverance this journey required. Thank you for
always believing in me. Thank you for never doubting I have what it takes to finish the program.
Thank you for seeing a doctor in me when life challenges seemed to overshadow my vision.
Thank you for your support and enthusiasm that kept my motivation strong. Thank you for
teaching me the right principles and values that translate into my work, family, and education.
Thank you for shaping my character. I would not be here today if it weren’t for your love and
belief in me. I love you!
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
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ii
Acknowledgements
This dissertation is a result of many highly intelligent individuals who supported me
throughout this journey with their experience, knowledge, and wise counsel. It would be
disingenuous of me to take credit alone for this work. I am grateful to all the people who
supported me directly and indirectly and have made this dissertation possible. Thanks to all these
people, my doctoral journey has been one that I will cherish forever.
My special gratitude goes to my advisers, Dr. James Gelatt and Dr. Wanda Wagner. I was
blessed to have them on my support team. Their patience and wise counsel encouraged me at
times when I needed it the most. Both Dr. Gelatt and Dr. Wagner taught me to question my
understanding of evidence, my thoughts, and move beyond bias in my scholarly pursuits. They
have provided me with extensive professional guidance. They taught me how to be patient with
myself. They showed me how to be a good scholar-practitioner. Over time, they have become
my colleagues and friends. I will cherish this friendship. Their continuous support helped me to
find the right balance between my school, work, and personal life. I hope that one day we will
work on a research paper together.
In addition I would like to acknowledge my cohort, my professors, and staff including
Dr. Leslie Dinauer, Marina Caminis, and Cynthia Thomes. It was a great privilege to work with
them. They provided support with the process and new challenges. Each of them brought a
different and distinct perspective on this journey. I was lucky to have learned from them.
I also would like to acknowledge the two leaders who made this journey possible: Mrs.
Maryellen K. Lukac and Peter J. Burke. My doctoral pursuit started with them. Mr. Burke was
the first leader I talked to about my educational dreams. His immediate support and enthusiasm
demonstrated that he was more than just a boss, he cared. Mrs. Lukac was the second leader I
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
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iii
talked to regarding pursuing a doctor’s degree. She offered her support, guidance, and
encouragement ever since. I am grateful for having them as my leaders. I hope that I will be
given an opportunity to repay for their support, guidance, and great leadership.
I would like to acknowledge my Subject Matter Experts: Mr. John Figueroa-Mercado,
Mrs. Rosemary McGovern, and Mr. Steve Rovell. Their guidance was critical to the success of
this dissertation. Our face-to-face discussions and written feedback helped to discover further
facts of great prospective importance that shaped this dissertation’s path. Mr. Figueroa-Mercado
offered significant guidance regarding targeting industry sectors concerning creative destruction
and organizational effectiveness. His abundant knowledge about emotional intelligence led me to
discover additional variables for investigation. Mrs. McGovern shed light on the existing
leadership issues and the need for future research exploring these issues. Mr. Rovell offered
words of wisdom about the leader-follower relationship and its effects on creative destruction
and organizational effectiveness. Thank you to all of you for contributing your time, experience,
and knowledge. Thank you for taking the time to be a part of my journey.
Finally, I would like to acknowledge my husband Dariusz and my children, Claudia and
Darius. This journey took many weekends and evenings away from them. Their understanding
and patience meant the world to me. I am grateful for having you. Life would not be the same
without you. We are the only rock I know that stays steady. Our family is not just an important
thing; it is everything!
“Where there is no guidance the people fall, but in abundance of counselors there is victory”
(Pr. 11:14)
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
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Table of Contents
Dedication………………………………………………………………………………………….i
Acknowledgements…………………………………………………………..……………………ii
Table of Contents...………………………………….………………………………………...….iv
List of Tables ……………………………………….……………………………………..….….ix
List of igures……………………………………………………………………………………..xx
List of Abbreviations…………………………………………………………………………..…xi
CHAPTER 1: INTRODUCTION AND OVERVIEW ....................................................................1
Introduction ....................................................................................................................................1
Background …………………………………………………………………………………….…5
Destruction as a Form of Creation……………………………………………………..….5
The Fall of U.S. Companies…………………………………………………………….…7
Eliminating Valuable Assets….…………………………………………………….……..9
Ineffective Leadership and a False Image of Innovation………….……………..………10
Losing Motivation and Commitment…………………………………………………….11
Problem Statement ………………………………………………………………………………12
Purpose and Scope of the Study………………………………………………………….………15
Significance of Study to Management Practice and Scholarship ..................................................16
Research Questions………………...…………………………………………………….………18
Definitions and Terminology…………………………………………………….………21
Chapter Summary and Organization of Dissertation .........................................................21
CHAPTER 2: LITERATURE REVIEW……………………………………………………..….23
Introduction to Chapter and Review of Study Background……………………………...………23
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Theoretical Framework and Literature Review……………………………………………...…..24
Emotional Intelligence…………………………………………………...………………25
Communication is idea-sharing………………………………………………...…….30
EI impacts decision making, communication, problem-solving……………………...33
Leader EI affects working relationships…………………………………….………..34
Creative Destruction……………………………………………………………………..35
Creative destruction can be devastating………………………………………………36
The elimination of human capital is a product of creative destruction……………….37
The cult of innovation has no consideration for markets, industry, and companies,…39
Organizational Effectiveness…………………………………………………………….40
Effective decision making and communication encompass emotions……………..…40
Motivation impacts organizational performance………………………………..……42
Committed to belong – the critical element of OE…………………………..……….45
Propositions………………………………………………………………………….…..47
Conceptual Framework and Narrative…………………………………………………….……..46
Chapter Summary………………………………………………………………………………..48
CHAPTER 3: METHODOLOGY……………………………………………………………….49
Introduction to the Chapter………………………………………………………………………49
EBR/SLR for Management………………………………………………………………………49
Systematic Review (SR)…………………………………………………………………52
Reproduction of Results………………………………………………………………….54
Realist Approach and Configurative CIMO Logic………………………………………56
Discussion of Search Strategies………………………………………………………………….58
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
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Search Terms .....................................................................................................................59
Additional Databases…………………………………………………………………….60
Modified and Final Search………………………………………..…………………..61
Proximity search ...........................................................................................................62
Setting the time limits………………………………………………….……………..63
Inclusion Criteria ...............................................................................................................64
Quality Appraisal of Literature……………………………………….………………………….66
Synthesis Methodology…………………………………………………………………………..69
First Cycle Coding……………………………………………………………………….70
Second Cycle Coding…………………………………………………………………….71
Expert Panel Review……………………………………………………………………..74
Chapter Summary ..........................................................................................................................76
CHAPTER 4: FINDINGS: ANALYSIS AND DISCUSSION .....................................................78
Results of Systematic Review: Evidence for Research Questions and Propositions .....................78
Findings and Discussion Based on Synthesis and Analysis…………………………..…………80
Finding 1……………………………………………………………………..…………..80
Improving CD: dialogic communication and good decision making ...........................80
Ineffective management is negatively impacting CD and OE…………………..……82
Destructive leadership - an indicator of the devastating CD component that negatively
impacts OE ...................................................................................................................83
Adding value to the existing value – successful CD implementation ..........................84
Effective leadership: communication and good decision making ................................85
Organizational values and good relationships shape CD process………………….…85
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
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Recognizing employees as critical to CD and OE……………………………………86
Finding 2…………………………………………………………...…………………….87
The success of CD and OE depends on high leader EI……………………………….88
Focusing on leader-employee relationship through effective leadership.………… ....89
Leader self-improvement as the driver in effective communication and decision
making……………………………………………………………………………….90
Conceptual Model and Narrative………………………………………………………...………92
What Works and When? ....................................................................................................92
Alternative Perspectives……………………………………………………...…………………..94
Chapter Summary ..........................................................................................................................96
CHAPTER 5: CONCLUSIONS AND EMERGING TRENDS……………………………...…97
Introduction to the Chapter……………………………………………………………….……...97
Overall Conclusions…………………………………………………………….………………..97
The Right Leader for the Right Job – Effective Leadership………………..…….…….100
Saying “No” to the Elegance of Leadership ....................................................................103
Doing What Is Right at the Right Time…………………………….…..........................105
Implications / Recommendations for Management……………….................................107
Limitations…………………………………………………………...........................................107
The Limits of the Articles……………………………………………………………....108
The Limits of the Methodology………………………………………………….……..108
Future Research and Emerging Trends………………………………………………………....109
Emerging Trends………………………………………………………………….…….110
Chapter Summary ........................................................................................................................112
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
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References……………………………………………………………………………………....113
Appendix A 45 References Selected for Quality Appraisal ........................................................133
Appendix B Quality Appraisal………………………………………………………….………140
Appendix C Coding .....................................................................................................................145
Appendix D Evidence…………………………………………………………………..………207
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
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List of Tables
Table 1. Interventions and Mechanisms Impacting Outcomes in the Context of OE……………19 Table 2. Presentation of Three EI Models .....................................................................................27
Table 3. Initial Search Strings – UMUC Library OneSearch……………………………………59
Table 4. Search Sources………………………………………………………………………….61
Table 5. Modified Search Results………………………………………………………………..62
Table 6. WoE - Four Dimensions………………………………………………………………..67
Table 7. TAPUPAS - Seven Generic Standards…………………………………………………67
Table 8. Strength of Support Appraisal 1………………………………………………………..68
Table 9. Strength of Support Appraisal 2………………………………………………………..68
Table 10. Quality Appraisal Results - Final Count WoE………………………………………..69
Table 11. Quality Appraisal Results - Final Count TAPUPAS………………………………….69
Table 12. Coding Results Shown by Coding Categories and Subcategories…………………….72
Table 13. Expert Panel Review Questions……………………………………………………….75
Table 14. Coding Results – Identified Categories and Subcategories…………………………...79
Table 15. High Level EI – Applying the Realist Approach……………………………………...93
Table 16. Low Level EI – Applying the Realist Approach ...........................................................94
Table 17. A list of CD demands and factors affecting its impact on OE....……………………...99
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List of Figures
Figure 1. CIMO Model…………………………………………………………………………..19
Figure 2. Theoretical Framework………………………………………………………………. 29
Figure 3. Conceptual Framework………………………………………………………………..47
Figure 4. Systematic Literature Review Flowchart……………………………………………...53
Figure 5. PRISMA Diagram……………………………………………………………………..65
Figure 6. Review Process………………………………………………………………………...70
Figure 7. Coding Results Shown by Coding Cycle and Categories ..............................................71
Figure 8. Code-subcode Model, EI ................................................................................................73
Figure 9. Code-subcode Model, CD ..............................................................................................73
Figure 10. Code-subcode Model, OE……………………………………………………………74
Figure 11. CD and OE Themes…………………………………………………………………..87
Figure 12. CD, OE, EI Themes…………………………………………………………………..92
Figure 13. Model of EI as a Response to CD………………………………………………..…100
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List of Abbreviations
CD – Creative Destruction
CIMO – Context, Intervention, Mechanisms, Outcomes
EBMgt – Evidence-based Management
EBR – Evidence-based Research
EI – Emotional Intelligence
OE – Organizational Effectiveness
P1, P2, P3 - Propositions
PRISMA - Preferred Reporting Items for Systematic Reviews and Meta-Analyses
RQ – Research Question
S&P – Standard and Poor
SLR – Systematic Literature Review
SME – Subject Matter Expert
SR – Systematic Review
WoE - Weight of Evidence
UMUC – University of Maryland University College
TAPUPAS - Transparency, Accuracy, Purposivity, Utility, Propriety, Accessibility, Specificity
LEADER EMOTIONAL INTELLIGENCE AS A RESPONSE TO CREATIVE
DESTRUCTION
1
Chapter 1: Introduction and Overview
Introduction
Over the years, creative destruction has transformed the landscape of business. Chapter 1
encompasses a general overview of creative destruction and its effects on organizational
effectiveness (OE). A brief description of the emotional intelligence (EI) theory is presented here
to introduce the reader to the lens applied in this dissertation. The Background section presents
contextual information that is essential to understand the main body of this dissertation. This
information includes the existing management issues linked to CD and conflicting studies that
led to the statement of the problem. It establishes the foundation for all the following chapters.
With the advent of globalism, organizations have focused on standardization,
routinization, and meeting the increased competition demands (Thesmar & Thoenig, 2000). This
innovative approach affected human capital (Komlos, 2016), organizational cultures (Foster &
Kaplan, 2001), traditional standards and knowledge (Aghion & Howitt, 1996; Holgersen, 2015;
Liss, 2013), and even leadership and organizational effectiveness (Foster & Kaplan, 2001; Smart,
1999). At the same time, some associated creative destruction with organizational survival and
growth. The process of destroying the old seemed particularly appealing because it allowed for a
quick technology advance and market share gain. Despite claims that creative destruction is
beneficial, modern scholars took notice of its negative trends in organizations (Bostaph, 2013;
Kirzner, 1963; Mises, 1962).
Schumpeter positioned entrepreneurs in the center of creative destruction calling them the
agents of creative destruction (1942). A modern scholar, Samuel Bostaph, observed that these
Design thinking: Exploring the effect of appropriability and capabilities on innovation performance in knowledge-intensive business services
No full textDesign thinking has recently gained in popularity with organizations seeking to increase innovation effectiveness. Design thinking provides organizations with an iterative framework that supports problem-solving, using a human-centered approach to support innovation (Brown, 2009; Chasanidou, Gasparini, & Lee, 2015). This study aimed to investigate the effects of appropriability and capabilities on design thinking implementation and innovation performance in a knowledge-intensive business service firm. The study’s methodology is a systematic review that provides an analysis of the relevant literature evidence-based research approach. Using thematic synthesis, this dissertation analyzed and aggregated relevant literature on organizational appropriability, innovation capabilities, and design thinking according to results from 48 studies. This dissertation found the level of appropriability strategy both inhibits and facilitates the development of a collaborative partnership to support innovation. Collaboration with clients and strategic partners goes hand-in-hand with the importance of a formal appropriability mechanism (Miozzo, Desyllas, Lee, & Miles, 2016). Also, knowledge-intensive business service capabilities contribute to the development of competencies for the implementation of design thinking processes. Findings indicate that firms which measure and dynamically utilize different appropriability strategies efficiently attain improved performance than organizations that do not. Therefore, organizations seeking to implement design thinking to support innovation performance need both leadership and resource support to adopt a dynamic appropriability strategy, build capabilities, encourage resources, and legitimize the viability of the design thinking process in the organization.Running head: DESIGN THINKING IN KIBS
Design Thinking: Exploring the Effect of Appropriability and Capabilities on Innovation
Performance in Knowledge-Intensive Business Services
Gregory Tyson Williams
A Dissertation Submitted to the Graduate Faculty
of
University of Maryland University College
In Partial Fulfillment of the Requirements for the Degree of
Doctor of Management
December 2017
Dissertation Committee Chairs:
Dr. Kriesta Watson (Primary)
Dr. Richard Milter (Secondary)
DESIGN THINKING IN KIBS
i
Abstract
Design thinking has recently gained in popularity with organizations seeking to
increase innovation effectiveness. Design thinking provides organizations with an iterative
framework that supports problem-solving, using a human-centered approach to support
innovation (Brown, 2009; Chasanidou, Gasparini, & Lee, 2015). This study aimed to
investigate the effects of appropriability and capabilities on design thinking implementation
and innovation performance in a knowledge-intensive business service firm. The study’s
methodology is a systematic review that provides an analysis of the relevant literature
evidence-based research approach. Using thematic synthesis, this dissertation analyzed and
aggregated relevant literature on organizational appropriability, innovation capabilities, and
design thinking according to results from 48 studies. This dissertation found the level of
appropriability strategy both inhibits and facilitates the development of a collaborative
partnership to support innovation. Collaboration with clients and strategic partners goes
hand-in-hand with the importance of a formal appropriability mechanism (Miozzo, Desyllas,
Lee, & Miles, 2016). Also, knowledge-intensive business service capabilities contribute to
the development of competencies for the implementation of design thinking processes.
Findings indicate that firms which measure and dynamically utilize different appropriability
strategies efficiently attain improved performance than organizations that do not. Therefore,
organizations seeking to implement design thinking to support innovation performance need
both leadership and resource support to adopt a dynamic appropriability strategy, build
capabilities, encourage resources, and legitimize the viability of the design thinking process
in the organization.
Keywords: appropriability regime, innovation capabilities, design thinking, firm
performance, innovation management, knowledge-intensive business services
DESIGN THINKING IN KIBS
ii
Acknowledgement
“Don’t lower your expectations to meet your performance. Raise your level of
performance to meet your expectations. Expect the best of yourself, and then do what is
necessary to make it a reality” (Marston, 2017).
I would like to acknowledge my dissertation committee chairs and advisors who
guided me on this journey throughout the entire dissertation process. Dr. Watson, you
encouraged me to drill down into the research, taught me to look beyond the literature,
and critically appraise research. You helped me simplify my writing without simplifying
the content. Your prompting questions made me a better researcher, consumer of
research, and strategic thinker. You helped me dig deeper into the scholarship and
continuously encouraged me. Your patience calmed me immensely. You encouraged me
when I spoke about how to apply my research in practice and for future research. You
were my supporter throughout this process. Dr. Milter, you supported and encouraged my
writing. Your views on innovation management and human-centered design increased my
understanding of design thinking. Dr. Gelatt, you supported and fostered my learning
spirit. Thank you. I was truly blessed to have all of your guidance. God bless.
To all of my faculty, scholars and UMUC staff, I would like to acknowledge all
your unwavering support. You supported and inspired me to move forward. I am a
different person because of your influence and support. Thank you, Dr. Wagner, Dr.
Dinauer, Dr. Watts, Dr. Kelley, Dr. Vernon, Dr. Mierzwa, Dr. Muguira, Dr. Padmore,
Ms. Caminis, Ms. Graham, Ms. Howard. You taught me to look forward and not to look
backward for very long. Walt Disney mentioned, “we keep moving forward, opening up
new doors and doing new things, because we're curious and curiosity keeps leading us
DESIGN THINKING IN KIBS
iii
down new paths” (Disney, 2017). From this perspective, I see the doctorate as a leverage
point, with new doors opening, allowing me to accomplish new things, and with an
abundance of curiosity – lead practitioners down new paths. There is no way to go back
now. Therefore, I am going forward as a scholar-advocate and innovation architect.
In addition to my faculty, I would like to acknowledge my cohort members.
Throughout every course, they challenged and supported me with discussions on
scholarship. They helped me expand my understanding of their experiences and lenses. In
particular, I would like to recognize five doctoral students from my cohort that have been
a consistent source of support. Thank you, Robin Butler, Charles Perry, Robyn Garner,
Param Randhawa, Haroon Baqai and Robert Obeng. You continuously challenged,
elevated my thinking, and made me a better consumer of research, scholar, and
practitioner.
I would like to acknowledge the subject matter experts that reviewed my early
drafts of Chapters 1, 2, and 3. They provided critical industry guidance and support for
my learning. Thank you, Ms. Weaverling, Ms. Graham, Ms. Spratt-Williams, Ms. Rae,
and Mr. Krawiec. Also, I would like to thank the authors and scholars whose research
triggered my thinking. Thanks, Mr. Tim Brown, Dr. Verganti, Dr. Rylander, Dr.
Carlgren, Dr. Elmquist, and Dr. Rauth. Your research triggered my thoughts, sparked my
curiosity and opened new pathways for learning.
Lastly, I would like to thank everyone else who helped me on my journey to
complete this dissertation, including Diacorda Amosapa for your expert editing, Mr.
Hom, and the reviewers who provided feedback along the way. Thank you very much for
your counsel and kind words of encouragement. God bless.
DESIGN THINKING IN KIBS
iv
Dedication
Thank you, Lord, for your mercy and grace, giving me strength and allowing me
to complete this wonderful life changing journey. I pray that my dissertation sets a
precedence with my daughter and the generations that follow in her path. That is, it does
not matter where you start in life or what your situation is, what matters is courage,
commitment, education, and most important your faith. In the Bible, it says “be anxious
for nothing, but in everything by prayer and supplication with thanksgiving let your
requests be made known to God” (Philippians 4:6, The New King James Version).
Therefore, I pray the dedication of my dissertation, sets a precedence in my family’s life
and mine, and shines a light for others to find their way.
First, I dedicate my dissertation to my daughter, Samiyah Williams, who
reminded me on a daily basis that I need to work on my dissertation and school work.
Although the dissertation process was very difficult with my disconnectedness and
variable writing schedules, you understood my goal and made me proud that I was
pursuing this endeavor. Your constant hugs and encouragement let me know that I am
truly blessed to have such a wonderful daughter. Thank you.
Second, I was not alone during this process. I dedicate my dissertation to my wife,
Sharese Williams, who supported me through this endeavor and always had faith that I
could complete this study. You provided endless and unconditional support. You
encouraged me to enroll in the program and you were my strongest supporter throughout.
You never hesitated to lift me up when I was down. You understood I needed time to
work through all of the literature I was reviewing and to process the learning necessary to
write effectively. Without hesitation, you supported the household, faithfully took our
DESIGN THINKING IN KIBS
v
daughter from one afterschool event to another often times without my realizing your
commitment. You patiently supported and worked with me during sleepless nights and
fanatic weekends reviewing sessions where you proofread my dissertation. You are my
rock and my biggest cheerleader. Thank you, my love.
Third, I dedicate my dissertation to my parents Phyllis Williams from St.
Andrews Jamaica and Asley Williams from St. Catherine Jamaica. An immigrants’
journey is never easy, I appreciate all of the sacrifices and obstacles you had to
overcome. My father is an entrepreneur and carpenter who created a successful carpentry
and painting business. He taught me the true meaning of grit and dedication needed to
accomplish your goals. My mother, is a nursing practitioner, evangelist, and missionary.
She taught me that prayer, faith, and courage can take you far in life. She never gave up
on me when I struggled in school after I migrated from Jamaica. She taught me to
embrace my passions, channel my rebel spirit, and use this to fuel my quest for learning.
They instilled in me an entrepreneurial spirit, grit, hunger, and unbreakable faith in God
and for continuous learning. Thank you, Phyllis and Asley.
Lastly, I dedicate my dissertation to my brothers and sister who encouraged and
supported me through this process. Andy Williams, Jerome Williams, Junior Williams,
Renico Williams, and Althea Williams thank you for your endless and unconditional
support. I am truly blessed to have all of your prayers and wonderful words of
encouragement. Thank you.
DESIGN THINKING IN KIBS
vi
Table of Contents
Abstract ............................................................................................................................... i
Acknowledgement .............................................................................................................. ii
Dedication .......................................................................................................................... iv
Table of Contents ............................................................................................................... vi
List of Tables ..................................................................................................................... xi
List of Figures .................................................................................................................. xiii
CHAPTER 1: INTRODUCTION AND THE MANAGEMENT PROBLEM ....................1
Background on Design Thinking .............................................................................4
Problem Statement ...............................................................................................................7
Significance of the Study ...................................................................................................11
Purpose of the Study ..........................................................................................................13
Importance to Management ...............................................................................................13
Research Question .............................................................................................................14
Propositions .......................................................................................................................15
Definitions ..........................................................................................................................16
Design Thinking .....................................................................................................16
Appropriability .......................................................................................................16
Appropriability Mechanism ...................................................................................17
Appropriability Regime .........................................................................................17
Capabilities ............................................................................................................17
Collaboration ..........................................................................................................17
Knowledge-Intensive Business Services ...............................................................18
DESIGN THINKING IN KIBS
vii
Organization of Dissertation Chapters ...............................................................................18
CHAPTER 2: SYSTEMATIC REVIEW OF LITERATURE ...........................................20
Discussion of Theoretical Lenses ......................................................................................20
Theoretical Lens 1: Dynamic Capabilities Theory ................................................20
Theoretical Lens 2: Knowledge-based Theory of the Firm ...................................23
Summary of Theoretical Lenses ............................................................................25
Review of the Literature ....................................................................................................26
Knowledge-Intensive Business Services ...............................................................26
KIBS Knowledge Categorization and Types. ............................................28
Design Thinking as an Innovation Approach ........................................................30
Design Thinking Practices and Principles. ................................................35
Design Thinking in Practice. ......................................................................38
Collaborative Innovation .......................................................................................39
Collaboration in Design Thinking. ........................................................................41
Appropriability Regime of the Firm ......................................................................42
Value Capture and Protecting Knowledge Assets. ....................................43
Appropriability Regime. ............................................................................48
Appropriability Mechanism Limitation and Strength. ...............................50
Appropriability as Facilitator for Collaboration. .......................................52
Innovation Capabilities and Performance ..............................................................54
Summary ............................................................................................................................55
CHAPTER 3: METHODOLOGY .....................................................................................57
Evidence-Based Research Design and Methodology ........................................................57
DESIGN THINKING IN KIBS
viii
Evidence-Based Management ................................................................................58
Rationale Evidence-based Management Research and Systematic Review ..........62
Systematic Review. ....................................................................................65
Systematic Review Rationale. ...................................................................68
Realist Approach to Evidence-based Management ...............................................69
Thematic Synthesis ................................................................................................70
Discussion of Research and Evidence Tools .....................................................................73
Search Strategy and Eligibility Preferred Reporting Items for Systematic
Reviews ............................................................................................................73
Search Strategy and Eligibility ..............................................................................75
Inclusion of Grey Literature. ......................................................................76
Chain Sampling. .........................................................................................77
Inclusion and Exclusion Criteria ............................................................................78
Data Collection ......................................................................................................79
Quality and Relevance Appraisal ...........................................................................80
Publication Bias .....................................................................................................84
Computer Aided Coding – NVivo Software Program ...........................................84
Coding ....................................................................................................................85
Descriptive Themes ...............................................................................................87
Analytical Themes .................................................................................................88
Consideration and Discussion of Expert Panel Review .....................................................89
Expert Panel Members ...........................................................................................90
Expert Panel Feedback ...........................................................................................92
DESIGN THINKING IN KIBS
ix
Summary ............................................................................................................................93
CHAPTER 4: FINDINGS .................................................................................................94
Presentation of Findings ....................................................................................................94
Findings on KIBS Appropriability ....................................................................................95
KIBS Appropriability Regime ...............................................................................96
Strong Appropriability. ............................................................................102
Weak Appropriability. .............................................................................104
Appropriability in Innovation Collaboration .......................................................106
Appropriability as Inhibitor to Innovation Collaboration. .......................108
Appropriability as Facilitator of Innovation Collaboration. ....................109
Findings on KIBS Capabilities ........................................................................................111
Design Management Capabilities ........................................................................112
Firm Capabilities. .....................................................................................112
External Partners. .....................................................................................115
Findings on KIBS Design Legitimacy and Performance .................................................116
Analysis of Findings ........................................................................................................119
Proposition P1 Findings .......................................................................................119
Proposition P2A Findings ....................................................................................120
Proposition P2B Findings ....................................................................................121
Summary of Findings ...........................................................................................123
Conceptual Graphic .........................................................................................................124
Summary ..........................................................................................................................125
CHAPTER 5: DISCUSSION, CONCLUSION, AND IMPLICATIONS .......................126
DESIGN THINKING IN KIBS
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Restatement of the Problem and Purpose ........................................................................127
Discussion ..........
Open innovation: Accelerating innovative products and services through the Department of Defense acquisition management system
No full textThe purpose of this dissertation was to explore the application of open innovation theory concepts and practices employed in private industry to the federal public sector, specifically the Department of Defense (DoD) Defense Acquisition Management System (DAMS). This study considered using open innovation to improve the DoD’s ability to move innovative products and services through the DAMS faster, at a lower cost, while continuing to meet performance requirements for the DoD’s end-users. The theoretical lens was focused around the core concept of open innovation: collaboration with external parties, principally customers, and the acquisition, integration, and application of knowledge from external parties to improve innovation performance. The study also considered improved performance from the perspective of what the DoD, as the primary customer in the ecosystem, could do to raise the capacity of its supporting industrial base. Furthermore, the study considered the importance, use, and alignment of several secondary enablers that are needed to improve the probability of successfully implementing open innovation, including leadership and governance, culture, intellectual property and legal issues, funding, and technology. The study examined four propositions identified in the literature review and used realist synthesis in combination with the context, intervention, mechanism, and outcomes model to determine their validity. In the synthesis, the study identified four major findings that served to validate each of the propositions, essentially supporting the overall proposition that, as the primary customer in the ecosystem, the DoD’s effective use of collaboration with industry throughout the process and its provision of the right type of information earlier in the process resulted in better innovation performance for everyone in the ecosystem.Running head: OPEN INNOVATION ACCELERATING INNOVATION TO
DEPARTMENT OF DEFENSE END-USERS
Open Innovation: Accelerating Innovative Products and Services Through the Department of Defense Acquisition Management System
David E. Lockhart, MBA, MS, CIA
A Dissertation
Submitted to the
Graduate Faculty
of
University of Maryland University College
in Partial Fulfillment of
The Requirements for the Degree
of
Doctor of Management
Advisory Committee
W. Christopher Cason, DM
J. Heather Welzant, Ph.D.
K. Candis Best, Ph.D.
OPEN INNOVATION ACCELERATING INNOVATION TO DEPARTMENT OF
DEFENSE END-USERS
ii
ABSTRACT
The purpose of this dissertation was to explore the application of open innovation theory concepts and practices employed in private industry to the federal public sector, specifically the Department of Defense (DoD) Defense Acquisition Management System (DAMS). This study considered using open innovation to improve the DoD’s ability to move innovative products and services through the DAMS faster, at a lower cost, while continuing to meet performance requirements for the DoD’s end-users. The theoretical lens was focused around the core concept of open innovation: collaboration with external parties, principally customers, and the acquisition, integration, and application of knowledge from external parties to improve innovation performance. The study also considered improved performance from the perspective of what the DoD, as the primary customer in the ecosystem, could do to raise the capacity of its supporting industrial base. Furthermore, the study considered the importance, use, and alignment of several secondary enablers that are needed to improve the probability of successfully implementing open innovation, including leadership and governance, culture, intellectual property and legal issues, funding, and technology. The study examined four propositions identified in the literature review and used realist synthesis in combination with the context, intervention, mechanism, and outcomes model to determine their validity. In the synthesis, the study identified four major findings that served to validate each of the propositions, essentially supporting the overall proposition that, as the primary customer in the ecosystem, the DoD’s effective use of collaboration with industry throughout the process and its provision of the right type of information earlier in the process resulted in better innovation performance for everyone in the ecosystem.
OPEN INNOVATION ACCELERATING INNOVATION TO DEPARTMENT OF
DEFENSE END-USERS
iii
Keywords: Open Innovation; Performance; Speed; Defense Acquisition; Cost
OPEN INNOVATION ACCELERATING INNOVATION TO DEPARTMENT OF
DEFENSE END-USERS
iv
TABLE OF CONTENTS
List of Tables .................................................................................................................... xii
List of Figures .................................................................................................................. xiii
List of Appendices ........................................................................................................... xiv
Chapter 1: Introduction ..................................................................................................... 17
Study Purpose ....................................................................................................... 17
Background and Problem Statement ..................................................................... 18
Research Question ................................................................................................ 21
Propositions........................................................................................................... 22
Significance of Study ............................................................................................ 23
Importance to Management .................................................................................. 25
Scope of Study ...................................................................................................... 26
Study Limitations .................................................................................................. 28
Discussion of Key Terms ...................................................................................... 29
Innovation. ................................................................................................ 29
Closed innovation ..................................................................................... 29
Open innovation ........................................................................................ 29
Department of Defense Acquisition Management System ....................... 30
Better Buying Power Initiative ................................................................. 30
Contracting function ................................................................................. 31
Defense industrial base ............................................................................. 31
End-users................................................................................................... 31
Acquisition community of interest............................................................ 32
Requirements community of interest ........................................................ 32
Science and technology community of interest ........................................ 32 OPEN INNOVATION ACCELERATING INNOVATION TO DEPARTMENT OF
DEFENSE END-USERS
v
Monopsony ............................................................................................... 33
Study Organization ............................................................................................... 34
Chapter 2: Literature Review ............................................................................................ 35
Introduction ........................................................................................................... 35
Importance of and Process of Innovation ............................................................. 35
Theoretical Foundation of Open Innovation ......................................................... 38
Chesbrough’s influence ............................................................................ 39
Contributions beyond Chesbrough ........................................................... 43
Benefits of open innovation ...................................................................... 49
Degree of openness and ope versus closed innovation ............................. 57
Primary enablers required to adopt open innovation successfully............ 60
Significance of collaboration .................................................................... 61
Significance of knowledge acquisition, integration, and application ....... 72
Supporting Enablers Required to Adopt Open Innovation Successfully .............. 84
Impact of leadership and governance on the implementation of open innovation ................................................................................................. 85
Impact of legal and intellectual property on the implementation of open innovation ......................................................................................... 90
Impact of culture on the implementation of open innovation ................... 94
Open Innovation Applications .............................................................................. 99
Department of Defense Efforts to Shape Its Environment ................................. 105
Department of Defense acquisition management framework ................. 107
Key Stakeholders ................................................................................................ 109
Congress .................................................................................................. 109
Defense acquisition leaders..................................................................... 109
Acquisition .............................................................................................. 110 OPEN INNOVATION ACCELERATING INNOVATION TO DEPARTMENT OF
DEFENSE END-USERS
vi
Requirements .......................................................................................... 110
Science and technology........................................................................... 110
Contracting .............................................................................................. 111
Budgeting ................................................................................................ 111
Defense Technical Information Center ................................................... 111
Interaction among key stakeholder communities ................................... 112
Barriers to Department of Defense innovation ....................................... 113
Department of Defense Innovation Management Initiatives .............................. 119
Importance of innovation ........................................................................ 119
Pre-better buying power initiatives ......................................................... 119
Post-better buying power initiatives ....................................................... 122
Conceptual Framework and Concept Narrative .................................................. 128
Chapter 2 Summary ............................................................................................ 132
Chapter 3: Methodological Approach ............................................................................. 134
Introduction ......................................................................................................... 134
Evidence-Based Management, Evidence-Based Research, and the Systematic Review ................................................................................................................ 135
Evidence-based management .................................................................. 135
Tenets of evidence-based research.......................................................... 136
Limitations of evidence-based research .................................................. 136
Systematic reviews.................................................................................. 137
Seven-stage review model ...................................................................... 138
Review Initiation ................................................................................................. 140
Stakeholders ............................................................................................ 140
Expected contribution of stakeholders .................................................... 140
Stakeholder participation ........................................................................ 141 OPEN INNOVATION ACCELERATING INNOVATION TO DEPARTMENT OF
DEFENSE END-USERS
vii
Collaboration versus consultation ........................................................... 141
Review Question and Methodology.................................................................... 141
Selection of review method .................................................................... 142
Aggregative approach ............................................................................. 142
Configurative approach ........................................................................... 143
Theoretical lens ....................................................................................... 144
Search Strategy ................................................................................................... 145
Search sources ......................................................................................... 145
Search strings .......................................................................................... 145
Inclusion and exclusion criteria .............................................................. 147
Quality and Relevance Assessment .................................................................... 149
Description of Study Characteristics .................................................................. 152
Data Description and Analysis............................................................................ 154
Coding methodology ............................................................................... 154
Synthesis ............................................................................................................. 155
Chapter 3 Summary ............................................................................................ 157
Chapter 4: Findings ......................................................................................................... 158
Introduction ......................................................................................................... 158
Evidence Synthesis Results................................................................................. 158
Context ................................................................................................................ 159
Industry perspective ................................................................................ 161
Governmental perspective ...................................................................... 162
Interventions ....................................................................................................... 163
Finding 1 ................................................................................................. 165
Knowledge acquisition, integration, and application .............................. 165 OPEN INNOVATION ACCELERATING INNOVATION TO DEPARTMENT OF
DEFENSE END-USERS
viii
Communication ....................................................................................... 165
Screening of ideas ................................................................................... 166
Integration and application ..................................................................... 167
Timing of knowledge flows .................................................................... 168
Type of knowledge flows........................................................................ 169
Access to knowledge flows ..................................................................... 170
Applicability to Defense Acquisition Management System ................... 171
Relationship to propositions ................................................................... 172
Finding 2 ................................................................................................. 172
Collaboration........................................................................................... 172
Shaping the environment ........................................................................ 173
Partnerships ............................................................................................. 174
Collaboration inhibitors .......................................................................... 175
Suppliers ................................................................................................. 176
Innovation networks and ecosystems...................................................... 176
Customers ............................................................................................... 177
Applicability to Defense Acquisition Management System ................... 179
Relationship to propositions ................................................................... 180
Mechanisms ........................................................................................................ 180
Finding 3 ................................................................................................. 181
Leadership and governance..................................................................... 181
Culture..................................................................................................... 182
Legal and intellectual property ............................................................... 183
Funding stability and funding policy ...................................................... 183
Technology ............................................................................................. 184 OPEN INNOVATION ACCELERATING INNOVATION TO DEPARTMENT OF
DEFENSE END-USERS
ix
Applicability to the Defense Acquisition Management System ............. 184
Relationship to propositions ................................................................... 185
Outcomes ............................................................................................................ 185
Finding 4 ................................................................................................. 187
Overall firm performance ....................................................................... 187
Revenue................................................................................................... 187
Cost ......................................................................................................... 188
Speed to market....................................................................................... 189
Knowledge creation ................................................................................ 189
New product development ...................................................................... 190
Applicability to Defense Acquisition Management System ................... 191
Relationship to propositions ................................................................... 191
Chapter 4 Summary ............................................................................................ 192
Chapter 5: Implications and Conclusion ......................................................................... 194
Introduction ......................................................................................................... 194
Using Systematic Review Findings .................................................................... 194
Interpret and communicate findings with stakeholder ............................ 194
Practitioner uses of the review ................................................................ 195
Policy advances that might come from the review ................................. 196
Implications for Management ............................................................................. 196
Summary of feedback received from reviewers ..................................... 196
Relevance of the study ............................................................................ 196
Adequacy of current efforts .................................................................... 196
Application of open innovation to Department of Defense .................... 197
Adequacy of current supporting enablers ............................................... 198 OPEN INNOVATION ACCELERATING INNOVATION TO DEPARTMENT OF
DEFENSE END-USERS
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Enterprise view to Department of Defense challenge............................. 198
General study comments ......................................................................... 199
Study impact on current practices ........................................................... 199
Contextually oriented implications ......................................................... 199
Monopsony advantage ............................................................................ 200
Ecosystem redefined ............................................................................... 200
Measurement and reporting .................................................................... 201
Intervention-oriented implications .......................................................... 201
Define and operationalize collaboration ................................................. 201
Sustained customer interaction ............................................................... 202
Identification and a
Factors that influence whether mid-level career women pursue senior IT roles
No full textWomen are vital members of the information technology (IT) sector and contribute significantly to innovation. Yet, globally, women continue to be under-represented and under-supported. Although the technology sector is steadily growing each year, the number of women that enter the IT sector is declining and the number of women that pursue an IT career is not reflective of the number of mid-level career women that are advancing to senior IT positions. Mid-career level women are leaving their IT careers and taking valuable talent and years of experience with them. Little research has been conducted providing insight into factors that impacted women’s decisions about career progression to senior IT roles. The purpose of this dissertation is to examine the factors that influence mid-level career women to pursue senior IT roles. The theoretical lens used to view the evidence was the individual differences theory of gender and IT. The role of women in IT sectors is examined to determine if there is a relationship between how women perceive themselves and their decisions to pursue senior IT positions. Evidence-based research using a systematic review process was conducted to examine 46 studies selected from scholarly, peer-reviewed articles and gray literature. Factors were identified through a thematic analysis and synthesis to answer the research question. The outcome of the research identified three factors that influenced whether mid-career level women pursued senior IT roles. By conducting a thematic synthesis, workplace, individual, and socio-cultural factors, such as gender bias, mentoring, glass ceiling, Queen Bee phenomenon, family acceptance, or self-efficacy, emerged that influenced women’s decisions on whether to pursue senior IT roles, exit the IT industry, or stay in a current position in either a primary or secondary support role.Running head: MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 1
Factors that Influence Whether Mid-level Career Women Pursue Senior IT Roles
By
Dianna L. Adams
A Dissertation Submitted to the Graduate Faculty
of
University of Maryland University College
In Partial Fulfillment of the Requirements for the Degree
of
Doctor of Management
Advisory Committee:
Dr. Eric B. Dent (Primary)
Dr. Deborah M. Wharff
August 30, 2017
MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 2
DEDICATION
I dedicate this dissertation to my dear and wonderful husband, Eric Adams. My eyes swell with tears of joy as I think about the many days and nights that you stood by me and supported me as I embarked on this journey to learn and grow. Eric, I am forever grateful for you taking on the role and responsibilities of our home life, so that I could be free to pursue my dream. I remember the day that we sat down to talk about my desire for higher learning and your immediate willingness to support me without hesitation. I will never forget your commitment, unconditional love, and devotion. You always knew how to take care of me whether it was to spill one of your funny jokes to get me to relax and crack a smile, especially when you saw that I was intense and overwhelmed with learning. You provided nourishment day in and day out, exercised with me, and sacrificed attending family events to support me. During our many walks together, you were loving and patient as I often shared many conversations about my research and evidence. You are the perfect man. I love you with all of my heart.
My darling daughter, Alexis, I dedicate my dissertation to you. You are your mother’s angel. Each day that I looked into your inquisitive, beautiful eyes, I felt more encouraged to persevere, especially when I was exhausted from daily activities. Please know that throughout this journey, even when I withdrew to a corner so that I could immerse myself in my course work, you were always in the forefront of my mind and my love for you was never ending. Remember that education is important because it causes you to think beyond who you are.
I dedicate my dissertation to my father, James Miller and my other mother, Mama Jean Miller. I am grateful for your awesome encouragement and loving support. When you heard my voice, you became aware of the kind of day that I was having and offered just the right amount MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 3
of love that lifted and carried me when I needed it most. Because of you all, I was able to dream my biggest dreams and reach to new heights.
To the rest of my family and friends, I dedicate my dissertation to you for being there for me and letting me bend your ear about the wonderful experiences that I had on this journey. Thank you for your phone calls to check on me and for making sure that I was doing okay. You showed me how much you cared through your love and support. Sometimes, when I thought I was alone on this journey, you let me know that you were still there. I missed a lot of weekend activities and social gatherings. But, your understanding and support let me know that you were going to be with me through thick and thin. To those who became a distraction or were resentful towards me for having the nerve to dream of becoming a Doctor of Management, please know that I was determined in my ability to take possession of my dream and make it a reality.
MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 4
ACKNOWLEDGEMENT
“The function of education is to teach one to think intensively and to think critically. Intelligence plus character - that is the goal of true education.” Dr. Martin Luther King, Jr., 1947
I challenged myself to think intensively and critically as I entered the Doctor of Management program. There were many people along the way that encouraged me, supported me, laughed with me, and sometimes, laughed at me. Those that laughed at me thought that I was going to fail, but didn’t realize that I had the intestinal fortitude to persevere. This challenge led me to discover new strengths and weakness that I faced and I appreciate the love and support of those that were brave enough to walk with me as I embarked on this wonderful journey through the doctoral program.
To my advisors, Dr. Allen, Dr. SchWeber, Dr. Witz, Dr. de Jong, Dr. Sherlock, Dr. Collins, Dr. Bijlani, Dr. Kelley, and Dr. Wagner, your teachings were invaluable and made me wiser and more knowledgeable. Your kindness and patience with me, as I learned will always remain with me. Thank you for all of the great lessons and wonderful discussions. Cynthia, thank you for exposing me to the world of research skills. Because of your guidance, my understanding of research was made stronger. Marina, Michelle, and Monica, thank you for your patience as you provided answers to my many questions about the DM program and military education benefits and for keeping me on track with the many course requirements and deadlines.
To my cohorts, I truly enjoyed taking this journey with you. I feel like we are a family. I truly enjoyed our lively discussions and debates about our research. We had the courage to speak our minds and respect each other’s position. I will never forget the many laughs, tears, MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 5
and words of encouragement that were shared as we supported each other along this journey. I enjoyed learning with and from you all.
To my dissertation advisors, Dr. Dent, Dr. Wharff, and Dr. Andersen, thank you for creating a place for me to think beyond myself and guiding me as I immersed myself in the research. Dr. Dent, thank you for your thoughtful and patient approach that you used to encourage me to dig deeper into my critical thinking, and challenging me to engage in a more profound level of insight into my research, method, synthesis, and trends. Thank you for your kind, yet firm support.
I would like to thank my subject matter experts, Dr. Kung, Dr. Florance, Dr. Adams, and Dr. Lemoine, for your insight and recommendations into my draft versions of Chapter 1, 2, and 3. Your critical review expanded my knowledge and helped me to see my work from different perspectives.
I would like to thank the many scholars and practitioners who provided the evidence for my dissertation. Your research was thought-provoking and increased my awareness about the challenges ahead. Thank you for your devotion and commitment to making change happen.
What a journey this has been. I feel transformed and impassioned. Wow!
MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 6
Table of Contents
DEDICATION ............................................................................................................................... 2
ACKNOWLEDGEMENT .............................................................................................................. 4
Abstract ........................................................................................................................................ 11
Chapter 1: Introduction ................................................................................................................ 12
Purpose of Study ....................................................................................................................... 13
Background ............................................................................................................................... 14
Problem Statement .................................................................................................................... 16
Importance of Study to Management ........................................................................................ 17
Research Question ..................................................................................................................... 19
Discussion of Concepts ............................................................................................................. 19
Workplace and Socio-cultural Influences ................................................................................. 20
Chapter Summary and Organization of Dissertation ................................................................ 27
Chapter 2: Literature Review ....................................................................................................... 28
Theoretical Lens ........................................................................................................................ 29
Mid-Career Level Women ........................................................................................................ 30
Senior IT roles ........................................................................................................................... 33
Factors that influence women’s decision on whether to pursue senior IT roles ....................... 37
Chapter Summary ...................................................................................................................... 47
Chapter 3: Methodology .............................................................................................................. 48
Systematic Review .................................................................................................................... 49 MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 7
Configurative Approach ............................................................................................................ 49
Systematic Review Process ....................................................................................................... 49
Search Strategy .......................................................................................................................... 53
Quality Appraisal of Literature using CASP ............................................................................ 56
Data Analysis and Synthesis ..................................................................................................... 58
Subject Matter Expert Panel Review ........................................................................................ 67
Chapter Summary ...................................................................................................................... 68
Chapter 4: Analysis and Discussion ............................................................................................ 69
Analysis and Results ................................................................................................................. 69
Findings .................................................................................................................................... 71
Finding 1: Pursuit of senior IT roles ........................................................................................ 71
Finding 2: Exiting the IT Industry ........................................................................................... 79
Finding 3: Stay in current position ........................................................................................... 81
Post Conceptual Model and Narrative ...................................................................................... 83
Alternative Perspectives ............................................................................................................ 85
Chapter Summary ...................................................................................................................... 86
Chapter 5: Conclusion ................................................................................................................. 88
Implications for Managers ........................................................................................................ 88
Recommendations ..................................................................................................................... 90
Implications of Emerging Trends.............................................................................................. 94 MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 8
Implications for Future Research .............................................................................................. 97
Limitations ............................................................................................................................... 97
Chapter Summary ...................................................................................................................... 98
Conclusion................................................................................................................................ 98
References .................................................................................................................................. 100
Appendix A Blank PRISMA Checklist ...................................................................................... 111
Appendix B PRISMA 2009 Flow Diagram ................................................................................ 112
Appendix C Critical Appraisal Skills Programme (CASP) Qualitative Research Checklist ..... 113
Appendix D Table of Relevant Studies with CASP Rating ........................................................ 118
Appendix E Definitions and Terminology .................................................................................. 131
Appendix F Subject Matter Expert Biographies ......................................................................... 132
Appendix G Blank Subject Matter Expert Evaluation & Feedback Form ................................. 133
Appendix H Subject Matter Expert Feedback Summary ............................................................ 135
Appendix I Blank Individual Mid-Career Development Plan .................................................... 149
MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 9
List of Tables
Table 1 Inclusion and Exclusion Search Terms………………………………………………….53
Table 2 Translation of Criteria from Qualitative Research to Quantitative Studies………..........57
Table 3 Number of Studies and Associated CASP Rating……………………………………....58
Table 4 Frequency of Line-by-Line Short Phrases that were organized into Codes…………….60
Table 5 Example of Line-by-Line Coding……………………………………………………….61
Table 6 Line-by-Line Short Phrases that were translated into Final Codes…………….....….…62
Table 7 Table of Factors, CASP ratings, Description Themes, and Analytical Themes……..….64
MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 10
List of Figures
Figure 1 Outline of five chapters of the systematic review…………………………………..….14
Figure 2 Conceptual model of IT analytical framework…………………………………………46
Figure 3 A seven-stage systematic review process (Gough, Oliver, & Thomas, 2012)..………..50
Figure 4 Relationship between factors and analytical themes of female IT professionals……....65
Figure 5 Percentage of countries that were represented……………………………………...….70
Figure 6 Revised conceptual model of factors, mediating factor, and outcomes………………..84
Figure 7 Partial form of an individual mid-career development plan……………………………92
MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 11
Abstract
Women are vital members of the information technology (IT) sector and contribute significantly to innovation. Yet, globally, women continue to be under-represented and under-supported. Although the technology sector is steadily growing each year, the number of women that enter the IT sector is declining and the number of women that pursue an IT career is not reflective of the number of mid-level career women that are advancing to senior IT positions. Mid-career level women are leaving their IT careers and taking valuable talent and years of experience with them. Little research has been conducted providing insight into factors that impacted women’s decisions about career progression to senior IT roles. The purpose of this dissertation is to examine the factors that influence mid-level career women to pursue senior IT roles. The theoretical lens used to view the evidence was the individual differences theory of gender and IT. The role of women in IT sectors is examined to determine if there is a relationship between how women perceive themselves and their decisions to pursue senior IT positions. Evidence-based research using a systematic review process was conducted to examine 46 studies selected from scholarly, peer-reviewed articles and gray literature. Factors were identified through a thematic analysis and synthesis to answer the research question. The outcome of the research identified three factors that influenced whether mid-career level women pursued senior IT roles. By conducting a thematic synthesis, workplace, individual, and socio-cultural factors, such as gender bias, mentoring, glass ceiling, Queen Bee phenomenon, family acceptance, or self-efficacy, emerged that influenced women’s decisions on whether to pursue senior IT roles, exit the IT industry, or stay in a current position in either a primary or secondary support role.
Keywords: gender, individual differences theory of gender and IT, information technology, mid-career level, senior IT role, women MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 12
Factors that Influence Mid-level Career Women to Pursue Senior IT Careers
Chapter 1: Introduction
Growth and innovation are correlated with a gender-diverse information technology IT workforce. IT is primarily dominated by men, who make up 77% of the workforce with women representing 23% (U.S. Department of Labor, 2014, chart 2). Some women that entered the IT workforce have been guided towards less desirable positions in other occupations, such as administrative or local government positions (Ojokoh, Adeola, Isinkaye, & Abraham, 2014, p. 50). However, little research has been conducted that provides insight into factors that influence women into pursuing senior IT positions. Some women opt to change careers at the mid-career level and pursue opportunities outside of the IT field, thus taking an average of 15 years of experience with them, which results in organizations having to spend time and money recruiting replacement talent (Ashcraft & Blithe, 2009, p. 16). The focus of this research is to examine factors that influence women to pursue senior IT careers and offer recommendations for managers to develop initiatives that encourage more women to pursue senior IT careers.
Information Technology was born out of innovation and creativity and women contributed to this development as members of a collaborative team, which has resulted in better overall organizational performance (Bear & Woolley, 2010, p. 147). As a result of this collaborative effort with a gender-diverse team, organizations that include women in senior IT positions develop more successful outcomes and higher revenue. This systematic review examines factors that influence whether women pursue senior IT careers and provides value to management and scholars on approaches to take to support women in developing a career path to senior IT positions where they may have a strategic influence on an organization, as well as MID-LEVEL CAREER WOMEN AND SENIOR IT ROLES 13
make recommendations for scholars to conduct further research that focuses on exploring factors that influence women to pursue senior IT careers.
Later chapters will explain the conceptual framework, describe the methodology, analyze evidence, discuss findings, and conclude with recommendations to managers and scholars. Five chapters outline the process for conducting this systematic review as displayed in Figure 1.
Purpose of Study
The purpose of this study is to examine factors that influence whether women in the IT industry pursue senior leadership positions and how this can be improved at the organizational level with the support of management. The reason for targeting the IT industry is because of the influence of gender on IT innovation, despite there being a significant shortage of women in the labor force (Major, Morganson, & Bolen, 2013, p. 301). This study will explore
Organizational change readiness: Effects of organizational structure and leadership communication in organizational change
No full textSimilar to other financial organizations, life insurance institutions are dealing with changes caused by the aging of the American population and technological advances. In addition, they are dealing with changes in the cultural and economic environment. Since multiple organizational change processes have failed to achieve the desired result, the topic of organizational change readiness needs to be addressed. This dissertation looks into organizational change models to identify the factors within an organization that help it to embrace change–to be change ready. This dissertation discusses the models of organizational change preparedness and change readiness with a focus on organizational leaders’ reaction to external environmental changes. The study found that organizational structure redesign and effective communication throughout the organization are two factors that assist with organizational change readiness. Using a systematic review of relevant literature and applying evidence-based research methodology, this dissertation found evidence supporting the arguments that organizational structural changes and effective communication assist leaders in making the desired changes that deliver the results they are looking for. This study focuses on specific factors within organizational change literature such as organizational change preparedness, organizational change readiness, organizational structural change, and the influence of effective leadership communication on organizational change.i
Organizational Change Readiness: Effects of Organizational Structure and Leadership
Communication in Organizational Change
by
Rajesh R. Krishnan
May 2018
Presented to the
Graduate Faculty
University of Maryland University College
In Partial Fulfillment of
the Requirements for the Degree of
Doctor of Management
Dissertation Committee: Dr. Claudine SchWeber
Dr. Sharon Hadary
ii
Abstract
Similar to other financial organizations, life insurance institutions are dealing with
changes caused by the aging of the American population and technological advances. In
addition, they are dealing with changes in the cultural and economic environment. Since
multiple organizational change processes have failed to achieve the desired result, the
topic of organizational change readiness needs to be addressed. This dissertation looks
into organizational change models to identify the factors within an organization that help
it to embrace change–to be change ready. This dissertation discusses the models of
organizational change preparedness and change readiness with a focus on organizational
leaders’ reaction to external environmental changes. The study found that organizational
structure redesign and effective communication throughout the organization are two
factors that assist with organizational change readiness. Using a systematic review of
relevant literature and applying evidence-based research methodology, this dissertation
found evidence supporting the arguments that organizational structural changes and
effective communication assist leaders in making the desired changes that deliver the
results they are looking for. This study focuses on specific factors within organizational
change literature such as organizational change preparedness, organizational change
readiness, organizational structural change, and the influence of effective leadership
communication on organizational change.
Keywords: organizational change readiness, change preparedness, organizational
structure, organizational change models, leadership, communication, Contingency
Theory, Organizational change capacity, diffusion of innovation, Dynamic
Capabilities, life insurance
iii
Acknowledgments
First, I would like to thank my wife Carlean and my daughter Maya. Without their
support and understanding, the long-term process of completing a doctoral degree would
have been impossible. Next I would like to thank two individuals who have been my
inspiration in my quest to learn something new and to keep dreaming for something
better. My late mother-in-law, Linda O’Neill, you showed me through your life that the
steps to greatness are to never cease to learn and to always remain humble. Dr. Dennis
Winters, you are an inspiration to me and showed me that we should never stop learning.
You showed me that human brains are special and that the more we push them, the better
they get. None of this would have been possible without the unconditional love and
support of my parents; dear papa and mummy; I am nothing without you two.
I would like to acknowledge University of Maryland University College, its
graduate faculty, and support staff for creating such a marvelous program and making it
such a stupendous success. It is a hard journey for working professionals to go after the
terminal degree, and this program and the folks behind it make it all possible. My special
thanks to my dissertation committee–Dr. Claudine SchWeber and Dr. Sharon Hadary–for
being so supportive throughout this process. I would like to thank my cohorts; I have
learned a lot from every single one of you. Marina and Monica, thank you for always
figuring out a way to help me get through the day-to-day aspects of the UMUC process;
the program and the students are lucky to have you. I would also like to acknowledge a
dear friend and the editor of this dissertation, Dr. Lauren DiPaula for taking the time
away from your busy schedule to work with me.
iv
Table of Contents
List of Tables ..................................................................................................................... vi
List of Figures ................................................................................................................... vii
Chapter 1: Introduction ........................................................................................................1
Introduction ....................................................................................................................1
External Environmental Forces............................................................................... 5
Organizational Changes .......................................................................................... 7
Purpose of the Study ......................................................................................................9
Research Question .......................................................................................................10
Chapter 2: Literature Review .............................................................................................12
Introduction ..................................................................................................................12
Organizational Change.......................................................................................... 13
Organizational Change Models............................................................................. 19
Change Readiness ................................................................................................. 29
Research Question .......................................................................................................36
Arguments and Propositions ........................................................................................37
Conceptual Framework ................................................................................................40
Summary ......................................................................................................................42
Chapter 3: Methodology ....................................................................................................43
Methodology Overview ...............................................................................................43
Brief explanation of the dissertation and research question ................................. 45
Application to the current study ............................................................................ 48
v
The Systematic Review......................................................................................... 49
Refining the Evidence ........................................................................................... 61
Subject Matter Experts .......................................................................................... 63
Chapter Summary ................................................................................................. 65
Chapter 4: Analysis and Findings ......................................................................................67
Introduction ..................................................................................................................67
Research Findings and Overall Conclusions ........................................................ 68
Organizational Structure and Organizational Change .......................................... 72
Leadership and Communication ........................................................................... 79
Limitations of the Study...............................................................................................85
Conclusions ..................................................................................................................86
Chapter 5: Conclusions and Implications ..........................................................................89
Introduction ..................................................................................................................89
Implications for Management ......................................................................................90
Planning the Change Process ................................................................................ 92
Organizational Structure during Change .............................................................. 93
Leadership Communication during Change ......................................................... 96
Opportunities for Future Research .............................................................................102
Dissertation Summary ................................................................................................103
References ........................................................................................................................106
Appendix: Tables .............................................................................................................116
vi
List of Tables
Table 2.1. Organizational Change Models ....................................................................... 20
Table 3.1. Article selection – Organizational Change Preparedness .............................. 116
Table 3.2. Organizational Structure and Organizational Change ................................... 123
Table 3.3. Leadership Communication and Organizational Change .............................. 126
Table 3.4. Article Quality Evaluation ............................................................................. 131
Table 4.1. External Forces and Organizational Change ................................................. 134
Table 4.2. Organizational Structure and Organizational Change ................................... 136
Table 4.3. Communication and Organizational Change ................................................. 138
vii
List of Figures
Figure 2.1. The Six-Box Model ........................................................................................ 22
Figure 2.2. The Star Model ............................................................................................... 23
Figure 2.3. The Congruence Model .................................................................................. 25
Figure 2.4. The Causal Model........................................................................................... 27
Figure 2.5. The Change Readiness Model ........................................................................ 32
Figure 2.6. The Conceptual Framework ........................................................................... 41
Figure 3.1. Chart—Organizational Change Preparedness—Journals .............................. 51
Figure 3.2. Flow Diagram - Organizational Change Preparedness .................................. 54
Figure 3.3. Chart —Organizational Strategy and Change - Journals ............................... 56
Figure 3.4. Flow Diagram - Organizational Structure and Change .................................. 57
Figure 3.5. Chart - Communication and Change - Journals ............................................. 59
Figure 3.6. Flow Diagram - Communication and Change ................................................ 60
Figure 3.7. Flow Diagram - Quality Evaluations of Articles ............................................ 63
Figure 4.1. Change Readiness Framework - Original ....................................................... 86
Figure 4.2. Change Readiness Framework - Revised ....................................................... 88
BEING CHANGE READY 1
© 2018 Krishnan
Chapter 1: Introduction
Introduction
As of 2014, there were over 15.3 trillion. Surprisingly, the 35 million underinsured households that
BEING CHANGE READY 5
© 2018 Krishnan
already own life insurance have the largest life insurance gap—$9.3 trillion (Leary et al.,
2014, p. 38).
Life insurance organizations understand that there is a market out there, but the
changes in customer and sales force demographics bring in challenges they have not
faced before. Market conditions, specifically the low interest changes, are forcing
organizations to look into different products that are not as resource draining as the
current ones. Technological advances provide some new options to the organizations
while making it easier for competitors to enter the market. The next few sections of the
paper will look into these opportunities in a bit more detail.
External Environmental Forces
External environmental changes are forcing life insurance organizations to adapt
and continue to be viable. In the next few sections, some of the different external forces
will be explained.
Historically, life insurance companies made a profit by making prudent
investment decisions. Various regulatory organizations dictate the investment vehicles an
insurance organization could use as they want to ensure that insurance companies could
pay the customer as promised when they need the money. Due to stringent solvency
laws, life insurance companies are not allowed to heavily invest in risky investment
vehicles. In additi
Unpacking the black box: The underlying mechanics of culturally intelligent behavior
No full textTo say there is an increasingly global economy has become axiomatic. To ensure businesses can successfully manage in diverse multi-cultural environments, organizational leaders are adopting cultural intelligence (CI) as means of understanding how to operate successfully in these environments. The purpose of this paper was to conduct a systematic review using a combination of realist and thematic synthesis lensed through social exchange theory as a means of suggesting an initial framework of processes involved in behaving in a culturally intelligent manner. The primary findings of this research were that behaving culturally intelligent involves an iterative and cyclic process of weighted cultural offerings, aggregated value judgments made by the cultural actor or representative, and the outcomes of those aggregated judgments. Furthermore, the limitations of this study, implications for scholars, implications for practitioners, provisional findings as well as recommendations for further research were also discussed.Dissertation Title: UNPACKING THE BLACK BOX: THE UNDERLYING
MECHANICS OF CULTURALLY INTELLIGENT
BEHAVIOR
Joseph Scott Madison, Doctor of Management, 2018
Dissertation directed by: Professor W. Christopher Cason, Department of
Management
Abstract
To say there is an increasingly global economy has become axiomatic. To ensure
businesses can successfully manage in diverse multi-cultural environments, organizational
leaders are adopting cultural intelligence (CI) as means of understanding how to operate
successfully in these environments. The purpose of this paper was to conduct a systematic
review using a combination of realist and thematic synthesis lensed through social
exchange theory as a means of suggesting an initial framework of processes involved in
behaving in a culturally intelligent manner. The primary findings of this research were that
behaving culturally intelligent involves an iterative and cyclic process of weighted cultural
offerings, aggregated value judgments made by the cultural actor or representative, and the
outcomes of those aggregated judgments. Furthermore, the limitations of this study,
implications for scholars, implications for practitioners, provisional findings as well as
recommendations for further research were also discussed.
KEYWORDS: cultural intelligence, processes, behavior, realist synthesis, social exchange
UNPACKING THE BLACK BOX: THE UNDERLYING MECHANICS OF
CULTURALLY INTELLIGENT BEHAVIOR
by
Joseph Scott Madison
31 May, 2018
Dissertation submitted to the Faculty of the Graduate School of the University of
Maryland University College, College Park, in partial fulfillment of the requirements for
the
degree of Doctor of Management.
Approved by: ________________________________
W. Christopher Cason, D.M.
________________________________
J. Heather Welzant, Ph.D.
________________________________
K. Candice Best, Ph.D.
© Copyright by
Joseph Scott Madison
2018
Dedication i
I dedicate this to my wife, Elisha. Your unwavering belief, support, and
encouragement (not to mention insane house packing skills) made this journey not only
possible, but also bearable. I am so very fortunate to have you in my life, and I look forward
to supporting you along your own doctoral adventure and far, far beyond. I also dedicate
this to my children; Lyndsi, Kaleb, and Alexis. Few of life’s journeys (worth making) are
easy or short. But anything worth doing is made easier with the support of great family,
great mentors, and great friends. So be diligent, and always follow your dreams, as that is
where contentment lies.
ii
Acknowledgments
I would first like to acknowledge Dr. W. Christopher Cason, professor, committee
chair, and my primary advisor. Without his sharp observations and calming guidance, this
research could would have taken much longer to accomplish. Second, I would like to
thank the members of my cohort. Their motivation, determination, and diligence made
me up my own game, and whose invaluable insight, feedback, and pushback has made
me a better researcher and writer. I would like to thank Kathleen McQueen, without
whose support I would never have been able to take the first steps of what has turned out
to be a much longer and unexpectedly amazing journey. Finally, a sincere thank you to
Dr. Janet Leonard, who introduced me to the idea that this was possible. Thank you all so
very much.
iii
Table of Contents
Dedication ........................................................................................................................ i
Acknowledgments ........................................................................................................... ii
Table of Contents ........................................................................................................... iii
List of Figures ................................................................................................................. v
Chapter One: Introduction ............................................................................................... 1
Definitions ................................................................................................................ 4
Statement and Significance of the Problem ................................................................ 6
Importance to Management ....................................................................................... 8
Research Questions, Assumption, and Proposition..................................................... 9
Research Question ............................................................................................... 9
Proposition ........................................................................................................ 11
Assumption ....................................................................................................... 11
Scope and Limitations ............................................................................................. 12
Dissertation Layout ................................................................................................. 13
Chapter Two: Literature Review ................................................................................... 14
Foundational Theories of Cultural Intelligence ........................................................ 14
Four-Factor Model of Cultural Intelligence ............................................................. 20
Metacognitive Cultural Intelligence ......................................................................... 21
Cognitive Cultural Intelligence ................................................................................ 21
Motivational Cultural Intelligence ........................................................................... 22
Behavioral Cultural Intelligence .............................................................................. 23
Conceptual Framework ........................................................................................... 24
Chapter Three: Methodology ......................................................................................... 27
Evidence-Based Research ........................................................................................ 27
Systematic Review .................................................................................................. 28
Realist Synthesis ..................................................................................................... 31
Thematic Synthesis ................................................................................................. 37
Coding .................................................................................................................... 39
Theoretical Framework ........................................................................................... 40
Social Exchange Theory .......................................................................................... 41
Search Strings ......................................................................................................... 46
Inclusion/Exclusion Criteria .................................................................................... 47
Quality Assessment ................................................................................................. 48
Weight of Evidence ................................................................................................. 49
Chapter Four: Analysis.................................................................................................. 51
Themes.................................................................................................................... 52
Descriptive Themes ........................................................................................... 53
Analytical Themes ............................................................................................. 64
Organizational Actor .................................................................................... 64
Behavior as a Means to Promote Business ............................................. 65
Attempt to Gain Approval from Host Actor............................................ 66
Not All Behavior is Equally Important ................................................... 66
Correcting Behavior has Value ............................................................... 66
Cultural Host Actor ...................................................................................... 67
Determines Correctness of Presented Behavior ...................................... 67
iv
Results ......................................................................................................... 68
Results of Positive Encounter ................................................................. 68
Results of Negative Encounter ............................................................... 69
Rhythm ........................................................................................................ 69
Multiple Meetings .................................................................................. 69
Multiple CI Attempts per Meeting .......................................................... 70
Provisional ................................................................................................... 70
Both are Attempting CI .......................................................................... 71
More Than Just What is Said .................................................................. 71
Coding .................................................................................................................... 72
Organizational Actor ......................................................................................... 72
Cultural Host Actor ........................................................................................... 73
Results ............................................................................................................... 74
Rhythm.............................................................................................................. 74
Provisional ........................................................................................................ 75
Reciprocity .................................................................................................. 75
Apparent Intent ............................................................................................ 76
Coding Instances ..................................................................................................... 77
Findings .................................................................................................................. 78
Iterative and Cyclic ............................................................................................ 81
Offering ............................................................................................................. 83
Weighted ..................................................................................................... 88
Modifiable ................................................................................................... 89
Judgement ......................................................................................................... 89
Outcome ............................................................................................................ 92
Analysis Model ....................................................................................................... 97
Provisional Findings ................................................................................................ 98
Reciprocity ........................................................................................................ 98
Apparent Intent ................................................................................................ 100
Chapter Five: Conclusion ............................................................................................ 102
Limitations ............................................................................................................ 103
Implications for Practitioners ................................................................................. 105
Implications for Scholars ....................................................................................... 105
Opportunities for Future Research ......................................................................... 106
Offering ........................................................................................................... 106
Weighted ................................................................................................... 107
Modifiable ................................................................................................. 107
Judgement ............................................................................................................. 107
Apparent Intent ..................................................................................................... 108
Reciprocity ............................................................................................................ 108
Cultural Host Perspective ...................................................................................... 108
Supply and Demand .............................................................................................. 109
References .................................................................................................................. 110
Appendix A................................................................................................................. 125
Appendix B ................................................................................................................. 130
Appendix C ................................................................................................................. 131
v
List of Figures
Figure 1. Conceptual model........................................................................................... 24
Figure 2. Social exchange theory model ........................................................................ 45
Figure 3. Prisma diagram .............................................................................................. 47
Figure 4. Descriptive themes ......................................................................................... 53
Figure 5. Organizational actor analysis themes .............................................................. 65
Figure 6. Cultural host actor analysis themes ................................................................. 67
Figure 7. Results analysis themes .................................................................................. 68
Figure 8. Rhythm analysis themes ................................................................................. 69
Figure 9. Provisions section analysis themes ................................................................. 70
Figure 10. Organizational actor coding .......................................................................... 73
Figure 11. Cultural host actor coding ............................................................................. 73
Figure 12. Results section coding .................................................................................. 74
Figure 13. Rhythm coding ............................................................................................. 74
Figure 14. Provisional coding ........................................................................................ 75
Figure 15. Descriptive and analytical themes and coding ............................................... 76
Figure 16. Analysis model ............................................................................................. 97
1
Chapter One: Introduction
The workplace has become a global environment. Whether it is finding the best
partners to supply raw material, expanding operations overseas, or finding the best people
to do the job, organizations are crossing borders more than ever before (Alon & Higgins,
2005). Whether it be a multinational customer base or a corporation with a multinational
workforce, globalization means many cultures can be represented even in day-to-day
activities. Organizations are aware that every culture has at least a slightly different
method of conducting business, determining appropriate work behavior, and leadership
styles. Understanding cultural influences can have a significant modifying effect on the
outcome of cross-cultural endeavors. Thus, organizational leaders are making efforts to
improve their understanding of the cultural norms of their partners, host nations, and
culturally-diverse workforce. In other words, organizational leaders are developing
cultural intelligence or cultural intelligence quotient (CI).
Cultural intelligence is defined as the ability to operate successfully in a foreign
environment (Ang et al., 2007) and can be subdivided into a four-factor model that
includes metacognitive, cognitive, motivational, and behavioral categories.
Metacognition is the way one thinks about thinking. CI is an amalgamation of logic
processes and assumptions an individual uses to understand and assimilate knowledge.
The cognitive category is the actual process of thinking and reasoning. The third category
is motivation. Research suggests one’s level of motivation to learn and utilize new
cultural knowledge and processes will, at least in part, determine the level of success
achieved in becoming culturally intelligent (Earley & Ang, 2003). The fourth and final
category used to define cultural intelligence, and the focus of this research, is behavior.
2
It is not possible for an individual to self-identify as culturally intelligent. While
this may seem to counter many of the established assessment tools that rely on the
individual to report on cultural interactions with survey style assessment protocols
(Earley & Ang, 2003; Van Dyne et al., 2012), it does not. Instead, it points out that the
survey tools are more self-reporting instruments used so persons assessing levels of
cultural intelligence can delineate behaviors and outcomes. These self-reporting
assessments are used to communicate what happened, happens, or what would happen,
depending on how the instrument is used, when the self-reporting individual is faced with
a foreign cultural environment. This may seem a minor point, but it brings to the
foreground that cultural intelligence assessments are based on verbal and non-verbal
behaviors (Earley & Ang, 2003; Sawhney, 2008; Triandis, 2006), which are both sub-dimensions
of the behavioral factor of cultural intelligence (Van Dyne et al., 2012).
In their book, Earley and Ang (2003) related a story of an individual involved in a
high stress foreign cultural environment where the individual was able to use cultural
knowledge to behave in a way that brought success to the endeavor (p. 305). What was of
interest in this particular scenario, was the authors wrote they were unable to unilaterally
determine if the use of the cultural knowledge would constitute cultural intelligence
because they could not tell if the person would be able to generalize the data for use in
other situations. The assessment of the anecdote points out having knowledge of a thing
is insufficient to determine cultural intelligence. Instead, it is the ability to demonstrate
the use of knowledge in diverse settings, with demonstrate being the key word. What
comprises the actual diverse setting is less materially important in this instance other than
3
it being a foreign environment, the germane point being that a person would need to
demonstrate knowledge, that merely knowing something is insufficient.
It is also important to note cultural intelligence cannot be determined in a vacuum.
An organizational actor must be more than alone in a foreign environment; one must
interact successfully with the people indigenous to that environment for one’s cultural
acumen to be assessed (Rockstuhl, Seiler, Ang, Van Dyne, & Annen, 2011).
Up to this point, this chapter has discussed the need for an organizational actor to
interact with local nationals of a foreign environment for their cultural intelligence to be
assessed, but who is doing the assessing? Earley and Ang (2003) wrote it is, in fact, the
local nationals themselves who assess the cultural acumen of the organizational actor (p.
11). The authors additionally pointed out that if the behavior is deemed successful,
cultural intelligence has been achieved; conversely, if the behavior is deemed to be
unsuccessful, cultural intelligence is not achieved.
Alon, Boulanger, Meyers, and Taras (2016) defined cultural i
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Working smarter: The case for knowledge management in global health
No full textKnowledge is generally of very little value to an organization if it is not shared. The ability of the management of an organization to collect and integrate as well as to apply knowledge is key to an organization’s ability to meet its goals and to achieve better outcomes. The aim of this research was to answer the question, “Can knowledge management effectively address the health care delivery challenges faced by global health care service delivery organizations?” Health service delivery organizations can experience long wait times, ineffectiveness in the service delivery process, and difficulty with reaching those who require services. This study, which used an array of secondary research, was conducted with the aim of determining sustainable solutions to the challenges that confront global health service delivery organizations. Such research indicates that, in global health service delivery, the application of knowledge management strategies has not been actualized and that there is need to incorporate knowledge sharing methods (communities of practice and e-learning) to health service delivery outcomes. Further, a successful knowledge sharing platform, using communities of practice and e-learning, not only affords global health organizations ways of exchanging information but also creates a culture of learning, whereby learning is viewed and used as an accepted part of a health worker’s job.Running head: WORKING SMARTER
Working Smarter: The Case for Knowledge Management in Global Health
Heather Lynn Smith
A Dissertation
Submitted to the
Graduate Faculty
of
University of Maryland University College
In Partial Fulfillment, of
The Requirements for the Degree
of
Doctor of Management
Dissertation Committee:
Sharon Hadary, DM
Walter Cason, DMWORKING SMARTER
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Abstract
Knowledge is generally of very little value to an organization if it is not shared. The ability of the management of an organization to collect and integrate as well as to apply knowledge is key to an organization’s ability to meet its goals and to achieve better outcomes. The aim of this research was to answer the question, “Can knowledge management effectively address the health care delivery challenges faced by global health care service delivery organizations?” Health service delivery organizations can experience long wait times, ineffectiveness in the service delivery process, and difficulty with reaching those who require services. This study, which used an array of secondary research, was conducted with the aim of determining sustainable solutions to the challenges that confront global health service delivery organizations. Such research indicates that, in global health service delivery, the application of knowledge management strategies has not been actualized and that there is need to incorporate knowledge sharing methods (communities of practice and e-learning) to health service delivery outcomes. Further, a successful knowledge sharing platform, using communities of practice and e-learning, not only affords global health organizations ways of exchanging information but also creates a culture of learning, whereby learning is viewed and used as an accepted part of a health worker’s job.
Keywords: knowledge management, knowledge sharing, communities of practice, e-learning,
health care, and service delivery organizations
WORKING SMARTER
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Dedication
I dedicate this work to my beloved mother – Donna Lynn Smith – for always supporting me, because you have been the driving force in my life and my career. Without your love, none of this would matter. Throughout my life, you have actively supported me, listened to my frustrations, and gave me a shoulder to cry on during those stressful exams and the dissertation writing process. You have been a driver in helping me to find and realize my potential and to make this contribution to our world.
I also dedicate this dissertation to all my family and especially my late-Grandfather Clarence Dishman, Sr. and late-Grandmother Rosemary Dishman, who were not able to see me complete this journey. Thanks family for being there during this arduous journey. WORKING SMARTER
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Acknowledgements
To my committee, Dr. Sharon Hadary and Dr. Walter Cason, I am extremely grateful for your assistance and suggestions throughout my dissertation work. I am fully indebted to you both and Drs. Bryan Booth, Leslie Dineaur, and Laura Witz for your understanding, wisdom, patience, enthusiasm, and encouragement, and for pushing me further than I thought I could go.
To the staff in the UMUC DMGT program, thank you---especially Marina Caminis and Monica Graham, for always listening, giving words of encouragement, and answering my zillions of questions and requests for help.
Thank you to all my friends (especially Kevin, Mohamed K., Crystal, Diana and James, Renee, and Lee) for helping me survive all the stressful moments these last several years and not letting me give up. To my classmates and cohorts, who were more than just colleagues but became friends, I thank you for the advice, the fun times at residencies, and the listening ears-Wendy, Joe, Mohamed E., Rosette, Tom M., Tom S., and Felicia.
Also, I must acknowledge all the friends and colleagues I met at the U.S. Department of State and the U.S. President’s Emergency Plan for AIDS Relief (PEPFAR). Thanks for going easy on me at work, especially when I was clearly sleep deprived from working through the nights on my dissertation. Also, thanks to a wonderful editor, Sharon Lynn Bear, PhD., who kindly helped with technical APA formatting and questions.
WORKING SMARTER
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TABLE OF CONTENTS
CHAPTER 1. INTRODUCTION ...................................................................................................1
Background of the Problem .................................................................................................1
Statement and Significance of the Problem .........................................................................3
Importance to Management and Academics ........................................................................7
Research Question ...............................................................................................................8
Methodology ........................................................................................................................8
Theoretical Framework ........................................................................................................8
Organization of the Dissertation ........................................................................................10
CHAPTER 2. REVIEW OF THE LITERATURE ........................................................................12
Organizational Learning ....................................................................................................12
Concept of Organization Learning.........................................................................12
Organizational Learning in the Not-for-Profit Sector ............................................14
Types of Learning Processes .................................................................................15
Health Not-for-Profit Organizations: Characteristics and Learning Challenges ...18
Organizational Culture ...........................................................................................19
Knowledge Management ...................................................................................................21
Types of Knowledge ..............................................................................................22
Elements of Knowledge Management ...................................................................23
Knowledge Sharing Methods .............................................................................................26
Communities of Practice ....................................................................................................26
Concept of Communities of Practice .....................................................................26
Benefits ..................................................................................................................28 WORKING SMARTER
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E-learning ...........................................................................................................................30
E-learning Models ..................................................................................................31
Benefits of E-learning ............................................................................................32
Trends and Challenges in E-learning .....................................................................32
Organizational Performance ..............................................................................................33
Summary ............................................................................................................................35
CHAPTER 3. METHODOLOGY .................................................................................................36
Theory and Practice of Evidence-Based Research ............................................................36
Evidence-Based Research Framework ..............................................................................40
Scholarly Research Approach ............................................................................................40
Retrieving and Mapping Current Research........................................................................41
Search Strategy ......................................................................................................41
Inclusion and Exclusion Criteria ............................................................................42
Narrative Synthesis ................................................................................................45
Expert Panel ...........................................................................................................47
Summary ............................................................................................................................48
CHAPTER 4. ANALYSIS AND DISCUSSION ..........................................................................49
Introduction ........................................................................................................................49
Presentation and Summary of the Findings .......................................................................50
Organizational Environment ..................................................................................51
Knowledge Sharing Environment ..........................................................................51
Addressing the Research Question ....................................................................................52
Discussion of Findings .......................................................................................................52 WORKING SMARTER
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E-learning ...............................................................................................................54
Communities of Practice ........................................................................................56
Conclusions ........................................................................................................................57
Proposition 1: Operationalization of Communities of Practice .............................57
Proposition 2: Operationalization of E-learning ....................................................58
CHAPTER 5. CONCLUSIONS AND IMPLICATIONS .............................................................60
Conclusions ........................................................................................................................60
Implications for Management ............................................................................................61
Limitations and Areas for Future Research .......................................................................62
Summary ............................................................................................................................63
REFERENCES ..............................................................................................................................65
WORKING SMARTER
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LIST OF FIGURES
Figure 1. Components of evidence-based decision making ..........................................................37
Figure 2. Research protocol ...........................................................................................................44
Figure 3. Narrative syntheses process ............................................................................................47
Figure 4. Knowledge sharing conceptual framework for global health service delivery
organizations ...................................................................................................................52
WORKING SMARTER
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CHAPTER 1
INTRODUCTION This chapter presents an introduction to and overview of the dissertation. The chapter begins with the background, followed by the statement and significance of the problem and its importance to management and academics. The chapter continues with the research question, methodology, and theoretical framework and concludes with the organization of the dissertation. Background of the Problem
In developing countries, millions of individuals die prematurely from preventive illnesses despite emerging health interventions and research findings related to the reduction of the number or prevention of many of these deaths (Rowe, de Savigny, Lanata, &Victoria, 2005). The World Health Organization (WHO; 2017) reported that half of all preventable deaths in developing countries were the result of communicable diseases, maternal and child health-related matters, such as conditions that arise during pregnancy and childbirth, and lack of adequate nutrition as well as respiratory infections, which resulted in approximately 3.2 million deaths in 2015 alone (WHO, 2017). Other health challenges in developing countries included non-communicable diseases (NCDs) or chronic diseases. In 2015 alone, NCDs caused 37% of all deaths in the developing world (WHO, 2017). In 2015, 1.4 million individuals died from diarrhea-related diseases, 1.4 million from tuberculosis, and 1.1 million from HIV/AIDS (WHO, 2017).
Children in developing countries are especially vulnerable to deaths from preventable diseases or illnesses. According to the WHO (2014), approximately 6.6 million children under the age of 5 die every year from preventable illnesses. Further, nearly one in ten babies are born preterm, i.e., before 37 weeks of pregnancy, and complications from preterm births alone result WORKING SMARTER
2
in more than one million deaths each year (WHO, 2014). Many of these deaths could be avoided if health workers had access to emerging health knowledge as well as to affordable interventions such as vaccines, medications, and clean water and sanitation (WHO, 2014). Due to limited or no access to knowledge or interventions, in their efforts to save lives, overworked and overwhelmed health professionals in developing nations often rely on their ingenuity and best judgment (Sombie, Meda, Ky-Zerbo, Dramaix-Wilmet, & Cousens, 2005).
Global health and service delivery in developing or resource-constrained countries involve a large network of actors, from the global, regional, and national levels down to the front lines, who work toward saving and improving people’s lives (Knowledge for Health Project [K4Health], 2016). For these actors to meet their goals and achieve the greatest health impact, they need access to up-to-date research and know-how related to the understanding of diseases and treatments (Bolarinwa, Salaudeen, & Akande, 2012; K4Health, 2016). Global service delivery organizations, however, experience challenges with how to best share new health care knowledge and interventions to improve health care service delivery and overall health outcomes (Bolarinwa et al., 2012).
According to Abidi (2008), the inability of health care workers to access and apply new health knowledge results in the delivery of subpar services to clients. It also can lead to medical errors and greater health costs for the providers and patients as well as result in an environment in which limited organizational learning or innovation occurs (Montani & Bellazzi, 2002). Thus, there is a growing need for global health service delivery organizations to integrate and communicate knowledge across their networks (Abidi, 2008; Bolarinwa et al., 2012).
In developing countries, where individuals are dying from HIV/AIDS, malaria, and tuberculosis, access to health knowledge is limited because the procedures for harnessing WORKING SMARTER
3
knowledge, and the technological systems to share knowledge, have not been instituted or learned locally (Bailey, 2003). Knowledge management, a process that helps organizations to harness, create, and share knowledge efficaciously (Albers, 2009; Hussain, Lucas, & Ali, 2004), can improve coordination and enhance learning and application of new knowledge (Bolarinwa et al., 2012; K4Health, 2016).
Global health service delivery organizations often operate in multiple countries and manage host-country health facilities and sub-organizations that help them to carry out their functions. It may prove difficult, however, to execute processes effectively and efficiently if there is no way to create, store, share, or transfer existing and new knowledge. Challenges stem from the health care professionals’ inability to explore and exploit relevant knowledge (MAQ, 2004). Many directors of health facilities struggle with keeping staff up to date on the latest developments in health service delivery approaches because they often do not have additional financial resources to access expensive medical journals (MAQ, 2004). Other challenges include the reluctance of health center directors to send staff with heavy caseloads to seminars in which health knowledge is shared and the inability of health professionals to share lessons learned across facilities or projects, especially when these innovative approaches are often not documented, or team members have moved on, which results in their taking invaluable knowledge with them (MAQ, 2004).
Statement and Significance of the Problem
Within the health care field, new data, research findings, best practices, and programmatic guidance are constantly emerging. Yet, among global service health delivery organizations that operate in distant, isolated, or resource-challenged posts, this new knowledge does not effectively flow up and down the health system, resulting in ineffectiveness and WORKING SMARTER
4
inefficiency in service delivery. When health care professionals are faced with challenges in accessing new knowledge, innovations in service delivery can go unnoticed or unused, depriving patients of the latest medical advances. Some of the barriers to sharing new knowledge within these organizations include a limited or lack of a formal and informal network through which to share, discuss, and create new knowledge and the absence of appropriate internal and external systems or processes to facilitate the sharing of new practices and information at all levels of the health service delivery stream.
Within global health organizations, knowledge and content are often stored in multiple locations and transferred via methods and processes that have not been streamlined. To address these challenges, global health service delivery organizations need to consider the implementation of innovative tools and techniques to help enrich service delivery and boost effectiveness (Karaszewski, 2008; Ohkubo, Harlan, Ahmed, & Salem, 2011). Bailey (2003) maintains that implementing knowledge management can create more efficient health systems because health outcomes are improved when health workers have the information needed to make decisions. Bailey also noted, in contrast, that several studies have shown that negative health outcomes are engendered by the lack of correct and readily available information. Bailey posits that, within global health organizations, there is a “failure to make the transition from information to action in the form, for example, of new treatment guidelines or government policy” (para. 4).
According to Smith and Lumba (2008), knowledge management involves the acquisition, sharing, application, and creation of knowledge throughout an organization. Implementing knowledge management demands that organizations are cognizant of where knowledge exists, so that it can be shared (Bordoloi, 2012). For example, knowledge may be stored within WORKING SMARTER
5
information or document management systems and held by technical experts, divisions, headquarters, in-country offices or facilities, and other means. Similarly, several forms of knowledge and/or information storage exist, including electronic materials, intranets, and research papers (Wang & Noe, 2010).
By implementing knowledge management approaches, and using evidence-based information, global health organizations can improve service delivery (Guah & Currie, 2004; Pawlowski & Bick, 2011). According to Pasteur, Pettit, and van Schagen (2006), organizations must know and fully understand the most strategic options for sharing or transferring knowledge or information with the appropriate individuals at the right time. These strategic options may include the use of training, communities of practice (CoPs), e-learning, and other knowledge sharing interventions. Finally, organizations need to agree on a middle ground between organizational knowledge and the organization’s need to be most effective in reaching its goal
Leader-Member Engagement and Employee Team Engagement: Systematic Review of the Linkage in International Nongovernmental Organizations
No full textThe purpose of this study is to investigate the relationship between leader-member engagement and employee team engagement in the context of international nongovernmental organizations (INGOs). Recent literature emphasizes a need for enhancing leader-member engagement in the INGO setting and improving employee team engagement in the same setting. Much of the leader’s job in this context consists of interacting with external stakeholders. The INGO mission, however, requires many employees also to engage in relations with external stakeholder. This study accordingly presents a theoretical rationale for building employee engagement with external stakeholders through the agency of employee team engagement. In turn, improvement in employee team engagement is an expected result of heightened leader engagement with employees. Toward this end, the present study undertakes a systematic review of available evidence that may clarify the linkage between leader-member engagement and employee team engagement.Running head: LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 1
Leader-Member Engagement and Employee Team Engagement: Systematic Review of the Linkage in International Nongovernmental Organizations
Robert Obeng
A Dissertation Submitted to the Graduate Faculty of the University of Maryland University College in Partial Fulfillment of the Requirement for the Degree of Doctor of Management
December 2017
Dissertation Committee Chairs:
Dr. Kriesta Watson (Primary)
Dr. James Gelatt (Secondary)LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 2
Abstract
The purpose of this study is to investigate the relationship between leader-member engagement and employee team engagement in the context of international nongovernmental organizations (INGOs). Recent literature emphasizes a need for enhancing leader-member engagement in the INGO setting and improving employee team engagement in the same setting. Much of the leader’s job in this context consists of interacting with external stakeholders. The INGO mission, however, requires many employees also to engage in relations with external stakeholder. This study accordingly presents a theoretical rationale for building employee engagement with external stakeholders through the agency of employee team engagement. In turn, improvement in employee team engagement is an expected result of heightened leader engagement with employees. Toward this end, the present study undertakes a systematic review of available evidence that may clarify the linkage between leader-member engagement and employee team engagement.
Keywords: Employee engagement, employee team engagement, fractal exchange quality, fractal vertical polarization, international nongovernmental organization, leader engagement, leader-member engagement, leader-member exchange, leadership engagement, team-member exchange.
LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 3
Dedication
I dedicate this dissertation first and foremost to my wife and kids, without whose unwavering support, years of sacrifice, devotion, and love this doctoral journey would not have been possible. I am eternally grateful. To my dissertation review panel, Dr. Bonnah Koomson, Dr. Bobi Barimah, Dr. John Johnson, and Mr. Matthew Boah – Many thanks for your indispensable guidance.
LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 4
Acknowledgements
The road to this accomplishment has been paved by mentors, friends, colleagues, and family members who all must be acknowledged. I thank them all for their faith and fellowship. Particularly, I would like acknowledge my parents and my siblings who all made tremendous contributions to my personal and educational life.
To all my teachers that I have had throughout my life, I say thank you for instilling in me the essence of education. Above all, I would like to extend my utmost gratitude to my dissertation committee, Dr. Kriesta Watson and Dr. James Gelatt. I thank you for being my mentors, for your intellectual and professional guidance, and for giving so generously your time during this dissertation process. Your insight and expertise opened my mind to the diverse situations in which this research could be of use and/or applicable
Last, but not least, I would like to thank all my cohorts – you made this journey delightful. All the best to you all as we forge ahead on this other journey called “life.” LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 5
Table of Contents
Page
Abstract ...........................................................................................................................................2
Dedication…………………………………………………………………………………………3
Acknowledgement………………………………………………………………………………...4
List of Tables ................................................................................................................................10
List of Figures ...............................................................................................................................11
Abbreviations and Specialized Terminology .................................................................................12
Chapter I: Introduction ...................................................................................................................13
Purpose of the Study ..........................................................................................................17
Statement of the Management Problem .............................................................................21
Significance of the Problem ...............................................................................................21
Research Aims and Questions ...........................................................................................23
Chapter Summary and Conclusion ....................................................................................26
Chapter II: Literature Review ........................................................................................................28
Leader-Member Engagement.............................................................................................28
Operationalizations ................................................................................................31
Leader-Member Exchange .........................................................................32
Transformational Leadership .....................................................................34
Charismatic Leadership .............................................................................35
Servant Leadership.....................................................................................36
Authentic Leadership .................................................................................37
Need for a Broad Construal ...................................................................................39 LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 6
Employee Team Engagement ............................................................................................40
Team Member Exchange .......................................................................................42
Linkage: Leader-Member Engagement and Employee Team Engagement ......................45
Fractal Exchange Quality ...................................................................................................47
Fractality ................................................................................................................48
Fractal Exchange Quality and LMX ......................................................................50
Role Theory .......................................................................................................................51
Propositions.......................................................................................................................54
Chapter Summary and Conclusion ....................................................................................56
Chapter III: Frameworks ................................................................................................................58
Theoretical Framework ......................................................................................................58
Multiple Theoretical Perspectives..........................................................................62
Theoretical Synthesis .........................................................................................................65
Conceptual Definitions ......................................................................................................67
Conceptual Models ............................................................................................................68
Chapter Summary and Conclusion ....................................................................................72
Chapter IV: Methodology ..............................................................................................................73
Methodological Approach .................................................................................................73
Protocol ..............................................................................................................................74
Inclusionary Criteria ..............................................................................................75
Exclusionary Criteria .............................................................................................77
Synthesis Approach and Framework .................................................................................79
Expert Panel Review ..........................................................................................................80 LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 7
Quality Appraisal of the Evidence .....................................................................................81
Quality Codes.........................................................................................................82
Study Type Codes ..................................................................................................85
Organization Type Codes ......................................................................................86
Operationalization Codes .......................................................................................87
Study Outcome Codes............................................................................................88
Temporal Effects ....................................................................................................89
Pool Acquisition and Reduction ........................................................................................90
Chapter Summary and Conclusion ....................................................................................92
Chapter V: Results .........................................................................................................................94
Analysis and Synthesis ......................................................................................................94
Quality Tier 1 .........................................................................................................95
Summary of Findings from the Tier 1 Studies...........................................99
Quality Tier 2 .......................................................................................................100
Summary of Findings from the Tier 2 Studies.........................................101
Quality Tier 3 .......................................................................................................101
Summary of Findings from the Tier 3 Studies.........................................102
Quality Tier 4 .......................................................................................................102
Summary of Findings from the Tier 4 Studies.........................................103
Consideration of the Residual Studies .....................................................103
Studies by Type, Organization, and Operationalization ......................................104
Studies by Outcome or Result Codes...................................................................105
Quality Score Correlations and Means ................................................................108 LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 8
Observed Relationships in the Data .................................................................................117
Proposition 1 ........................................................................................................117
Proposition 2 ........................................................................................................118
Proposition 3 ........................................................................................................119
Proposition 4 ........................................................................................................119
Proposition 5 ........................................................................................................121
Retrospective Review of Results .....................................................................................123
Chapter Summary and Conclusion ..................................................................................126
Chapter VI: Concluding Discussion ............................................................................................128
Review of the Research Questions ..................................................................................128
Ancillary Observations ....................................................................................................130
Revisiting the Theoretical Material .................................................................................131
Recommendations for Practice ........................................................................................132
Recommendations for Scholarship ..................................................................................132
Future Research ...............................................................................................................133
References ...................................................................................................................................134
Appendix A: Peer Subject Matter Expert Feedback ....................................................................165
Appendix B: Articles Selected in the Review, by Quality Tier ...................................................170
Appendix C: Study Quality Ratings of Sources, by Quality Tier ................................................173
Appendix D: Type of Study, Organization, and Operationalization ...........................................174
Appendix E: Study Outcomes and Results, by Quality Tier .......................................................175
Appendix F: Full Quality Assessment Chart Using WOE Criteria .............................................176
Appendix G: Publications Represented in the Selected Sources .................................................177 LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 9
Appendix H: Database Selection and Search Terms ...................................................................178
Appendix I: Sources by Theme, Author, and Publication Date ...................................................179 LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 10
List of Tables
Page
Table 1: Library Databases Included in This Study .......................................................................75
Table 2: Correlation Matrix of Quality Ratings and Publication Date ........................................109
Table 3: Quality Scores by Study Type .......................................................................................112
Table 4: Quality Scores by INGO Type ......................................................................................113
Table 5: Quality Scores by Sectoral Type ...................................................................................114
Table 6: Quality Scores by Leadership and Employee Engagement ...........................................115
Table 7: Quality Scores by Theoretical Relationship ..................................................................116
Table 8: Correlations between Theoretical Relationships and INGO Scale ................................125
Table A-1: Summary of Peer SME Scoring of Chapters I-III Components ................................169
Table C-1: Study Quality Ratings of Sources by Quality Tier ....................................................173
Table D-1: Type of Study, Organization, and Operationalization ...............................................174
Table E-1: Study Outcomes and Results by Quality Tier ............................................................175
Table F-1: Full Quality Assessment Chart Using WOE Criteria .................................................176
Table G-1: Publications Represented in the Selected Sources ....................................................177
Table I-1: Sources by Theme, Author, and Publication Date ......................................................179 LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 11
List of Figures
Page
Figure 1: TMX and LMX as horizontal and vertical relationships ................................................66
Figure 2: Theoretical and reflective facets of employee engagement ...........................................69
Figure 3: Employee team engagement model ................................................................................70
Figure 4: Nomology of employee team engagement .....................................................................71
Figure 5: Leader-employee engagement linkage ...........................................................................71
Figure 6: Results of data collection and reduction .........................................................................91
Figure 7: “Visionary leadership” cited in scholarship .................................................................123
Figure A-1: Peer subject matter expert evaluation and rating form, SME 1 of 4 ........................165
Figure A-2: Peer subject matter expert evaluation and rating form, SME 2 of 4 ........................166
Figure A-3: Peer subject matter expert evaluation and rating form, SME 3 of 4 ........................167
Figure A-4: Peer subject matter expert evaluation and rating form, SME 4 of 4 ........................168 LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 12
Abbreviations and Specialized Terminology
Dyad ......................... group of two (commonly used in the LMX literature)
ETE .......................... Employee team engagement (as used in table footnotes)
Focal person ............. Generic person of interest, in contrast to role senders
Fractal ...................... Self-similar across levels of scale (feature of open systems)
FVP .......................... Fractal vertical polarization (dysfunctional opposite of LMX)
FXQ.......................... Fractal exchange quality (framework subsuming LMX and TMX)
INGO........................ International nongovernmental organization
LME ......................... Leader-member engagement (as used in table footnotes)
LMX ......................... Leader-member exchange (behavior-based leadership theory)
MV ........................... Moderating variable
OCB ......................... Organizational citizenship behavior (extra-role behavior)
OE ............................ Organizational effectiveness (as used in table footnotes)
OV ............................ Organizational vision (as used in table footnotes)
Polarization .............. Dysfunctional interpersonal condition, opposite of engagement
Role .......................... Complex of expected behavior associated with a work task
Role ambiguity ......... Perception of a significant information gap in role apprehension
Role clarity ............... Adequacy of role-related information (opposite of role ambiguity)
Role conflict ............. Perception of incompatible role sendings
Role expectation....... Normative conception (what an employee should do as part of a job)
Role sending............. Expectation about work behavior transmitted to a focal person
Self-similarity .......... Repetition of a structural feature with little deviation in form
TMX ......................... Team member exchange (theory of interpersonal work engagement) LEADER-MEMBER AND EMPLOYEE TEAM ENGAGEMENT 13
CHAPTER I INTRODUCTION
Leadership in international nongovernmental organizations (INGOs) is essential to mission success. While this assertion is axiomatic in organizational research overall, the unique INGO challenge often involves persuading high-level stakeholders of the legitimacy of the INGO mission, while simultaneously motivating both employees and volunteers to make contact with beneficiaries and demonstrate INGO effectiveness on the ground. Leadership in such organizations is therefore quite challenging. In addition to operating under an imperative of effective stakeholder engagement, INGOs lack the benefit of the transparent financial incentive of profit that exists in private industry. They must consequently find other, more complex ways to evaluate effectiveness. Moreover, depending on the particular nature of the INGO mission, evidence of their effectiveness may often take years to become apparent. While poverty eradication may be the vision of an INGO, for example, an actual decrease in poverty through the mediation of that INGO, as the essential gauge for evaluating its success, is less likely in the short term than some measure of how many people receive assistance.
Similarly, INGO budgets are often a function