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How Corporations Can Develop Management Strategies to Overcome Barriers to Social Intrapreneurship
No full textSocial intrapreneurship (SI) is an employee-centric, entrepreneurial approach to corporate social
responsibility (CSR). SI occurs when employees drive the development of innovative products,
services, or management practices that advance the organization’s business objectives while
addressing their own environmental and social passions. The business problem addressed by this
study is that some corporations lack effective management strategies to overcome common
barriers to SI. Ineffective support of SI can lead to missed business opportunities, diminished
stakeholder engagement, and a loss of competitive advantage in the marketplace. In contrast,
effectively enabling SI can positively contribute to the overall impact and authenticity of an
organization's CSR programs. The review question answered by this study is: What management
strategies can corporations develop to overcome barriers to SI adoption? Utilizing an evidence based management (EBM) approach and a qualitative systematic review (SR) methodology, this
study synthesizes findings from 36 relevant, high-quality research papers on SI. Through the application of a novel conceptual model combining entrepreneurial orientation (EO), social
entrepreneurial orientation (SEO), and SI theory, three management strategies emerged:
investing, pursuing, and signaling. These strategies promote: (a) investments in supportive
organizational structures and management practices; (b) alignment of organizational and
individual goals, including providing employees the freedom to pursue relevant projects; and (c)
proactive leadership that recognizes, communicates, and demonstrates how this approach
benefits both the business and society. The study also presents a strategic change management
process for implementing these results.OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP i
Abstract
Title of Dissertation: HOW CORPORATIONS CAN DEVELOP
MANAGEMENT STRATEGIES TO
OVERCOME BARRIERS TO SOCIAL
INTRAPRENEURSHIP
Michael F. Corbett
Doctor of Business Administration, 2024
Social intrapreneurship (SI) is an employee-centric, entrepreneurial approach to corporate social
responsibility (CSR). SI occurs when employees drive the development of innovative products,
services, or management practices that advance the organization’s business objectives while
addressing their own environmental and social passions. The business problem addressed by this
study is that some corporations lack effective management strategies to overcome common
barriers to SI. Ineffective support of SI can lead to missed business opportunities, diminished
stakeholder engagement, and a loss of competitive advantage in the marketplace. In contrast,
effectively enabling SI can positively contribute to the overall impact and authenticity of an
organization's CSR programs. The review question answered by this study is: What management
strategies can corporations develop to overcome barriers to SI adoption? Utilizing an evidence-based
management (EBM) approach and a qualitative systematic review (SR) methodology, this
study synthesizes findings from 36 relevant, high-quality research papers on SI. Through the
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
ii
application of a novel conceptual model combining entrepreneurial orientation (EO), social
entrepreneurial orientation (SEO), and SI theory, three management strategies emerged:
investing, pursuing, and signaling. These strategies promote: (a) investments in supportive
organizational structures and management practices; (b) alignment of organizational and
individual goals, including providing employees the freedom to pursue relevant projects; and (c)
proactive leadership that recognizes, communicates, and demonstrates how this approach
benefits both the business and society. The study also presents a strategic change management
process for implementing these results.
Keywords: corporate social responsibility, social intrapreneurship, corporate social
entrepreneurship, CSR, SI, CSE
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
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HOW CORPORATIONS CAN DEVELOP MANAGEMENT STRATEGIES TO
OVERCOME BARRIERS TO SOCIAL INTRAPRENEURSHIP
By
Michael F. Corbett
Dr. Raymond Marbury, Chair
Dr. Rimi Zakaria, Committee
Dr. Ray Muhammad, Committee
Oral Defense: November 13, 2024
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
2024
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
iv
© Copyright by
Michael F. Corbett
2024
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
v
Dedication
I want to dedicate this dissertation to my wife, Debi Hamill Corbett, who is also the CEO
of the International Association of Outsourcing Professionals (IAOP) and a leader in her own
right in the field of social impact. You inspired and supported me throughout this journey,
debated ideas, and encouraged me to keep pushing until I had it right.
I would also like to dedicate this dissertation to our three daughters, Amanda Corbett
Safdar, Dana Corbett Marsella, and Chelsea Corbett; you are uniquely skilled at keeping me
humble, grounded, and motivated to make you proud of your old man. Finally, I would like to
thank my extended family for supporting me and for supporting those who were supporting me.
One person alone cannot complete an effort of this magnitude.
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
vi
Acknowledgments
I want to acknowledge the UMGC School of Business faculty and staff. Their dedication
and support throughout this journey were essential. Everyone with whom I interacted from
across the school was professional, courteous, focused on my success, and dedicated to the
program.
I also want to acknowledge my dissertation committee, led by Dr. Raymond Marbury and
supported by my second and third readers, Dr. Rimi Zakaria and Dr. Ray Muhammad. This team
of professionals was supported by Dr. Ravi Mittal, Chair, UMGC Department of Business
Administration, Dr. Jan Tucker, UMGC DBA Program Director, and Dr. Monica Sava, UMGC
Dissertation Course Manager. Each of these individuals contributed to this final work product. I
trust that you are proud of our collective effort and that this dissertation advances our
understanding of the inextricable and ever-changing relationship between business and society.
Two individuals at the forefront of social intrapreneurship sparked my interest and helped
shape my thinking. Nancy McGaw is Senior Advisor and Founder of the Aspen Institute’s First
Movers Fellowship Program, which has trained more than 300 aspiring social intrapreneurs.
Nancy’s 2024 book Making Work Matter: How to Create Positive Change in Your Company and
Meaning in Your Career chronicles many of their stories and their impact. The second is Dr.
Christine Hemingway, an accomplished practitioner, researcher, lecturer, and author of
Corporate Social Entrepreneurship: Integrity Within. Her observation that social
intrapreneurship makes corporate social responsibility everyone’s business led me to want to
understand how her vision might be realized.
Finally, I would like to acknowledge the support of my fellow cohort members,
especially the five of us who shared the entire three-year journey. Thank you.
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
vii
Table of Contents
Dedication ...................................................................................................................................... v
Acknowledgments......................................................................................................................... vi
Table of Contents .......................................................................................................................... vii
List of Tables ................................................................................................................................ xi
List of Figures ............................................................................................................................... xii
List of Abbreviations ................................................................................................................... xiii
Chapter 1: Introduction and Overview of the Management Problem ............................................. 1
Background and Overview .......................................................................................................... 2
Social Intrapreneurship (SI) ........................................................................................................ 6
Problem Statement and Significance of the Problem .................................................................. 7
Purpose of the Study and the Review Question .......................................................................... 9
Rationale for the Study .............................................................................................................. 10
Discussion of Concepts and Themes ......................................................................................... 12
Definitions and Terminology .................................................................................................... 14
Chapter Summary ...................................................................................................................... 15
Organization of the Dissertation................................................................................................ 15
Chapter 2: Scoping Literature Review and Theoretical Frame .................................................... 17
Theoretical Framework ............................................................................................................. 17
Organizational Theory ........................................................................................................... 18
Individual Theory .................................................................................................................. 23
Theoretical Framework Summary ......................................................................................... 25
The Literature Landscape .......................................................................................................... 25
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The Evolution of Corporate Social Responsibility (CSR) .................................................... 26
The Social Intrapreneur (SI) .................................................................................................. 32
Literature Landscape Summary ............................................................................................. 39
Conceptual Model ..................................................................................................................... 39
Chapter Summary ...................................................................................................................... 41
Chapter 3: Method ........................................................................................................................ 42
Evidence-Based Research Framework ...................................................................................... 42
Mapping the Research Activity ............................................................................................. 43
Review Initiation ................................................................................................................... 45
Subject Matter Experts .............................................................................................................. 47
Chapter Summary ...................................................................................................................... 48
Chapter 4: Analysis and Results ................................................................................................... 49
Reconnecting to the Review Question ...................................................................................... 49
Problem Space ....................................................................................................................... 49
Purpose and Review Question ............................................................................................... 50
Collection and Description of the Data Corpus ........................................................................ 50
Data Collection ...................................................................................................................... 50
Data Description .................................................................................................................... 52
Data Extraction ...................................................................................................................... 53
Quality Assessment ................................................................................................................... 53
Coding, Findings, and Themes .................................................................................................. 54
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
ix
First-Cycle Coding ................................................................................................................ 54
Second-Cycle Coding ............................................................................................................ 54
Synthesizing the Evidence ..................................................................................................... 58
Results and Discussion .............................................................................................................. 59
Result 1: Make Strategic Investments in Support of SI ........................................................ 60
Result 2: Align Business and SI Goals, Actions, and Motivations ....................................... 67
Result 3: Signal Executive and Organizational Support for SI ............................................. 70
Confidence in Results ............................................................................................................ 74
Summary of Results .................................................................................................................. 75
Revised Conceptual Model ....................................................................................................... 77
Chapter Summary ...................................................................................................................... 78
Chapter 5: Conclusions and Implications ..................................................................................... 79
Review of the Research ............................................................................................................. 79
Theoretical Framework ......................................................................................................... 80
Review of Research Methodology ........................................................................................ 81
Review of the Business Problem ........................................................................................... 82
Answer to the Review Question ............................................................................................ 83
Management Recommendations ............................................................................................... 84
Step 1: Build SI Awareness and Urgency ............................................................................. 85
Step 2: Form a Coalition to Build Momentum ...................................................................... 88
Step 3: Create a New Vision ................................................................................................. 90
Step 4: Communicate the New Vision .................................................................................. 92
Step 5: Systematically Remove SI Barriers........................................................................... 93
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
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Step 6: Use Early Wins to Show the Business Value of SI ................................................... 96
Step 7: Consolidate Improvements and Produce Further Change ......................................... 98
Step 8: Institutionalize SI ...................................................................................................... 98
Risks and Barriers to Implementation ................................................................................... 99
Subject Matter Experts ........................................................................................................ 100
Summary of Management Recommendations ..................................................................... 101
Limitations of the Study and Areas for Future Research ........................................................ 101
Limitations of the Study ...................................................................................................... 102
Areas for Future Research ................................................................................................... 102
Final Summary and Conclusions ............................................................................................. 103
References .................................................................................................................................. 106
Appendix A ................................................................................................................................ 128
Appendix B ................................................................................................................................ 129
Appendix C ................................................................................................................................ 130
Appendix D ................................................................................................................................ 148
Appendix E ................................................................................................................................ 153
Appendix F................................................................................................................................. 168
Appendix G ................................................................................................................................ 176
Appendix H ................................................................................................................................ 179
Appendix I ................................................................................................................................. 180
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
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List of Tables
Table 1 CIMO Framework............................................................................................................ 10
Table 2 Key Terminology ............................................................................................................. 14
Table 3 Data Extraction Table Overview ..................................................................................... 46
Table 4 Source Reference List ...................................................................................................... 51
Table 5 Relationship Between Descriptive Codes, Codes, and Categories .................................. 55
Table 6 Relationship Between Contributing Articles, Codes, and Categories ............................. 56
Table 7 Results Distribution ......................................................................................................... 59
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
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List of Figures
Figure 1 Employee Perceptions ...................................................................................................... 5
Figure 2 Mapping the Problem Space ............................................................................................. 9
Figure 3 Conceptual Model for Overcoming Barriers to Social Intrapreneurship (SI) ................ 41
Figure 4 Coding, Category, and Theme Development ................................................................. 58
Figure 5 Revised Conceptual Model for Overcoming Barriers to Social Intrapreneurship (SI) .. 78
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
xiii
List of Abbreviations
Base/Bottom of the pyramid (BoP)
Corporate entrepreneurship (CE)
Corporate power distribution/index (CPD/I)
Corporate social responsibility (CSR)
Corporate sustainability reporting directive (CSRD)
Diversity, equity, and inclusion (DEI)
Employee social intrapreneurial behavior (ESIB)
Entrepreneurial characteristics (EC)
Entrepreneurial orientation (EO)
Environmental, social, and governance (ESG)
Evidence-based management (EBM)
Global reporting initiative (GRI)
Human resources (HR)
Preferred reporting items for systematic reviews and meta-analysis (PRISMA)
Return on investment (ROI)
Spiritual leadership (SL)
Social capital (SC)
Social entrepreneurial orientation (SEO)
Social intrapreneur/intrapreneurship (SI)
Structural contingency theory (SCT)
Sustainable development goal (SDG)
Systematic review (SR)
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP
xiv
Transformational leadership (TL)
Triple bottom line (TBL)
Workplace spirituality (WS)
OVERCOMING BARRIERS TO SOCIAL INTRAPRENEURSHIP 1
Chapter 1: Introduction and Overview of the Management Problem
Failure to address the interests of a growing and increasingly influential network of
stakeholders can negatively impact a company’s short- and long-term success and viability
(Aparicio et al., 2020; Elkington, 2008; Hemingway, 2013; Porter & Kramer, 2011). These
stakeholders are not just the company’s shareholders
Managerial Role Crafting as an Organizational Reponse to Gen Z
No full textThe influx of Gen Z employees entering the knowledge workforce presents unique challenges for
managers as they struggle to engage them. One of the most prevalent business problems
managers are facing as it relates to Gen Z is lacking manager-led role-crafting strategies that
foster adaptive work environments, leading to disengagement. This gap threatens productivity,
revenue, and competitive advantage. This study investigates how managers in the knowledge
workforce can leverage managerial role crafting to improve engagement outcomes for Gen Z
employees. The research is grounded in the Person-Environment Fit Theory, Job Crafting
Theory, and Theory of Generations as a contextual backdrop. The research question is: what
managerial role crafting strategies, facilitated through adaptive work environments, improve Gen
Z workforce engagement in the knowledge workforce? A systematic review methodology was
conducted involving seven stages: development of the research question, developing a protocol,
literature search, screening and selecting relevant data, data extraction, quality assessment, and
synthesis. Data was extracted from the empirical literature and analyzed through a
comprehensive synthesis to develop actionable strategies. Research found that to effectively craft
roles for Gen Z for optimal engagement outcomes, managers should take a holistic approach to
personal and professional growth by providing opportunities for continuous learning, mentoring, and demonstrating leadership accountability. They should create positive and flexible work
environments and focus on value alignment while also integrating advanced technologies and
cultivating global integration.ORGANIZATIONAL RESPONSE TO GEN Z
ABSTRACT
Title of Dissertation:
MANAGERIAL ROLE CRAFTING AS AN ORGANIZATIONAL RESPONSE TO GEN Z
Polina Magliozzi,
Doctor of Business Administration, 2024
The influx of Gen Z employees entering the knowledge workforce presents unique challenges for managers as they struggle to engage them. One of the most prevalent business problems managers are facing as it relates to Gen Z is lacking manager-led role-crafting strategies that foster adaptive work environments, leading to disengagement. This gap threatens productivity, revenue, and competitive advantage. This study investigates how managers in the knowledge workforce can leverage managerial role crafting to improve engagement outcomes for Gen Z employees. The research is grounded in the Person-Environment Fit Theory, Job Crafting Theory, and Theory of Generations as a contextual backdrop. The research question is: what managerial role crafting strategies, facilitated through adaptive work environments, improve Gen Z workforce engagement in the knowledge workforce? A systematic review methodology was conducted involving seven stages: development of the research question, developing a protocol, literature search, screening and selecting relevant data, data extraction, quality assessment, and synthesis. Data was extracted from the empirical literature and analyzed through a comprehensive synthesis to develop actionable strategies. Research found that to effectively craft roles for Gen Z for optimal engagement outcomes, managers should take a holistic approach to personal and professional growth by providing opportunities for continuous learning, mentoring, ORGANIZATIONAL RESPONSE TO GEN Z
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and demonstrating leadership accountability. They should create positive and flexible work environments and focus on value alignment while also integrating advanced technologies and cultivating global integration.
Keywords: Gen Z, generational shift, modern workplace, job crafting, adaptive work environment, employee engagement, job crafting, person-environment fit.
ORGANIZATIONAL RESPONSE TO GEN Z
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MANAGERIAL ROLE CRAFTING AS AN ORGANIZATIONAL RESPONSE TO GEN Z
By
Polina Magliozzi
First Chair: Dr. Raymond Marbury Second Chair: Dr. Rimi Zakaria Third Chair: Dr. Ray Muhammad
Oral Defense: November 20, 2024
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
2024 ORGANIZATIONAL RESPONSE TO GEN Z
iv
© Copyright by
Polina Magliozzi
2024 ORGANIZATIONAL RESPONSE TO GEN Z
v
Preface
The landscape of the modern workplace is undergoing a profound transformation, largely driven by the arrival of Generation Z (Gen Z). As the youngest and first digitally native cohort to enter the workforce, Gen Z brings a distinct set of values, expectations, and behaviors that challenge traditional managerial practices. In this context, “Managerial Role Crafting as an Organizational Response to Gen Z” explores how organizations can effectively craft their entry-level roles to engage this cohort.
My professional journey—spanning luxury retail, financial services, and high-stakes operational leadership—has provided me with a multifaceted understanding of how managerial strategies impact organizational success. From spearheading customer retention initiatives at revolutionary start-ups to driving operational efficiency at one of the top investment banks in the world, I have witnessed the pivotal role that responsive and adaptive management practices play in fostering employee satisfaction and organizational performance. From my years of experience, I saw firsthand that, much like in life, in business, the only constant is change. Businesses that retain competitive advantage are led by visionary leaders capable of change and who bridge strategy to a moment in time. As organizations continue to navigate the challenges and opportunities presented by Gen Z, I hope this dissertation will offer a practical framework for managers to craft Gen Z roles in ways that align with the values and aspirations of this dynamic cohort. In doing so, I aim to contribute to the development of more effective and inclusive management practices that will drive organizational success in the years to come.
Polina Magliozzi
ORGANIZATIONAL RESPONSE TO GEN Z
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Foreword
I met Polina when she joined the financial services industry in 2019, and I distinctly remember the first time she, during a casual conversation at lunch, shared her observations of Gen Z who started joining our firm. I have never given it much thought before, but after that discussion I realized- she may be on to something!
I have been managing teams in financial services for over a decade and have personally witnessed the widening Generational gap between the bulk of the workforce and their leadership. Such a gap can have catastrophic consequences for organizations in performance, but also it slows the organization’s growth hindering it from reaching its full potential. With the right level or type of engagement, I am confident this gap can be closed but at this, time it is not clear how. I have noticed that the newcomers joining my industry in entry-level positions seemed more sensitive and exhibited considerable pushback. I also noticed that the expectation of the workday is also very different, these folks want “fun” above all rather than being driven by earning an income. New joiners I have mentored expressed that they expect to be given opportunities and lack patience while awaiting them, a concept completely foreign to me. As some say, “back in my day”, when I was joining as an Analyst, all opportunities had to be earned. From a manager’s perspective, I am very happy scholars are starting to investigate Gen Z because they truly are very different from what I have encountered with prior generations.
Polina’s enthusiasm for the Gen Z subject and how well she articulated this complex subject with clarity stood out to me, and more importantly, it was relevant to my own experiences onboarding and training new hires. When she shared the topic of her dissertation defense, it was clear to me that her work would have rigor and be one of the first studies to emerge on how technology shaped this Generation’s mindset and how we, as people managers, ORGANIZATIONAL RESPONSE TO GEN Z
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can harness their talents for the good of the organization. Over the last few months, I have had the honor of witnessing Polina’s dedication to this remarkable work, demonstrating true perseverance and commitment to quality and rigor. I was very impressed with her ability to combine intellectual curiosity, creative thinking, research studies, etc. to craft the problem statement - applicable to any office environment- and back it up with literature, inputs, and a conceptual framework.
This dissertation that I am honored to introduce to you is a result of her personal and academic growth, collaboration, discoveries, challenges, and profound insights. Polina’s work sheds new light on unique challenges, captures Gen Z’s values and behavior, and provides valuable insights on role crafting strategies. I am very confident that her findings presented in this dissertation will contribute to the industry and help managers improve their engagement strategies with the Gen Z workforce.
Evariste Foly Director of Growth Operations & Analytics
Financial Services Industry November 16, 2024 ORGANIZATIONAL RESPONSE TO GEN Z
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Dedication
For my dearest daughters, Giselle and Chanel, You are my constant motivation, greatest teachers, and proudest accomplishment. Completing a doctorate is cool, but it pales in comparison to the joy and purpose you bring to my life.
To my beloved grandparents, Tatyana Silkina and the late Nikolay Silkin, my grandparents. You’ve always stood by me, and I am endlessly grateful for that. Grandpa, though you are no longer with us, your legacy lives on. My fondest childhood memory is listening to you rehearse your lectures at the dinner table, full of jokes, unexpected visual aids, and an occasional interpretive dance. This accomplishment is dedicated to both of you for all you’ve given me and for the strength and perseverance you’ve instilled in me. I carry your lessons and your love with me every step of the way.
To a dear friend, Stacy Sainsbury, Thank you for helping me navigate the mental blocks and challenges that surfaced along this journey. I am deeply grateful for your role in my success and for the space you’ve given me to grow and heal.
To another dear friend, Evariste Foly, Thank you for standing by me through thick and thin. Your kindness and belief in me have helped me push forward during some of my most challenging times. I am truly blessed to have you in my corner, and I will always be thankful for your friendship and support. ORGANIZATIONAL RESPONSE TO GEN Z
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To Trudy Cole aka “Nanna”, You’ve been a true blessing in our lives, and I cannot thank you enough for all the love and care you’ve given to my daughters as their "Nanna." Without your help, I would not have had the time or peace of mind to pursue this degree. I am endlessly grateful for everything you’ve done for us.
Special thanks to Dr. Marcia Bouchard, You’ve helped me see that I am capable, that I am smart, and that this goal is not just a dream, but something I can achieve. You have a gift with the power to change lives.
Special thanks to Dr. Robert Schaller, Thank you for your invaluable guidance, for reading through countless emails, and for always being willing to brainstorm and challenge me. You’ve shown me that this work isn’t just about checking a box—it’s about making a real difference.
ORGANIZATIONAL RESPONSE TO GEN Z
x
Table of Contents
Chapter 1: Introduction and Overview of the Business Problem .................................. 16
Background and Overview ......................................................................................... 17
Problem Statement and Significance ......................................................................... 22
Purpose of the Study and The Research Question ..................................................... 23
Rationale and Significance of the Study.................................................................... 24
Discussion of Concepts and Themes .......................................................................... 25
Gen Z Demographics ................................................................................................. 25
The Knowledge Workforce in the U.S. ..................................................................... 33
Managerial Role Crafting .......................................................................................... 36
Adaptive Work Environment..................................................................................... 37
Employee Engagement .............................................................................................. 38
Chapter 2: Scoping Literature Review and Theoretical Frame ..................................... 42
Theoretical Framework .............................................................................................. 42
Theory of Generations ............................................................................................... 42
Person-Environment Fit Theory ................................................................................ 43
Job Crafting Theory ................................................................................................... 46
Conceptual Framework.............................................................................................. 50
The Literature Landscape .......................................................................................... 51
Gen Z is Different ...................................................................................................... 51
Gen Z and Cognitive Changes ................................................................................... 55
Digital Identity ........................................................................................................... 58
Gen Z’s Expectations................................................................................................. 63
Gen Z’s Workplace Motivations ............................................................................... 66
Gen Z’s Coping Mechanisms .................................................................................... 68
Multigenerational Dynamics ..................................................................................... 73
Chapter 3: Method ........................................................................................................... 81
Evidence-Based Management ................................................................................... 81
Systematic Review .................................................................................................... 81
Search Strategy .......................................................................................................... 84
Search Process ........................................................................................................... 84
Search Strings ............................................................................................................ 84
Inclusion and Exclusion Criteria ............................................................................... 85
Limitations of Search Criteria ................................................................................... 86
Analysis and Synthesis Methodology........................................................................ 86
Subject Matter Experts .............................................................................................. 87
Gen Z in Knowledge Workforce Perspective ............................................................ 89
Validity and Reliability ............................................................................................. 90
Ethical Considerations ............................................................................................... 91
Chapter 4: Analysis and Findings ................................................................................... 93
Study Selection and Description of Data Set............................................................. 93
Critical Appraisal ....................................................................................................... 95 ORGANIZATIONAL RESPONSE TO GEN Z
xi
Method of Quality Appraisal of the Included Studies ............................................... 96
Coding .......................................................................................................................... 98
A Priori ...................................................................................................................... 98
First Round of Coding ............................................................................................... 99
Second Round of Coding ......................................................................................... 100
Third Cycle of Coding ............................................................................................. 102
Description of Themes............................................................................................. 106
Themes and Discussion ............................................................................................. 107
Theme 1: Personal and Professional Development ................................................. 109
Theme 2: Work Environment and Flexibility.......................................................... 111
Theme 3: Value Alignment and Engagement.......................................................... 114
Theme 4: Technological and Global Integration ..................................................... 117
CERQual .................................................................................................................. 120
Summary of Findings .............................................................................................. 124
Revised Conceptual Model/Framework .................................................................. 125
Chapter 5: Conclusions and Implications..................................................................... 134
Review of the Research Question ............................................................................ 134
Answer to the Research Question ............................................................................ 135
Management Recommendations .............................................................................. 135
Recommendations for: Personal and Professional Development ............................ 135
Recommendations for: Work Environment and Flexibility .................................... 140
Recommendations for: Value Alignment ................................................................ 145
Recommendations for: Tech and Global Integration .............................................. 151
Limitations of the Study and Areas for Future Research ..................................... 155
Limitations of the Study .......................................................................................... 155
Areas for Future Research ....................................................................................... 156
Final Summary and Conclusion .............................................................................. 157
References .................................................................................................................. 159
Appendix A ................................................................................................................ 185
Appendix B................................................................................................................. 186
Appendix C ................................................................................................................ 188
Appendix D ................................................................................................................ 189
Appendix E................................................................................................................. 191
Appendix F ................................................................................................................. 210
Appendix G ................................................................................................................ 211
Appendix H ................................................................................................................ 225
Appendix I .................................................................................................................. 226
ORGANIZATIONAL RESPONSE TO GEN Z
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List of Tables
Table 1. Analysis Using the CIMO Framework………………………………………………..……...24
Table 2. Types of Employee Engagement ……………………………………………………….….....38
Table 3. Generational Cohorts According to the Theory of Generations………………...…….... 43
Table 4. Fit Dimensions of Person-Environment Fit Theory ………………………………….....…45
Table 5. Types of Job Crafting …………………………………………………………………….……47
Table 6. Comparison of Person-Environment Fit Theory and Job Crafting Theory………..……49
Table 7. Gen Z Digital Identity and Real Identity Asks……………………………………….….…..63
Table 8. Life Course Stages and Generational Experiences …………………………………….….76
Table 9. Current Life Stages of Generations in Knowledge Workforce …………..………….…...77
Table 10. Steps in the Systematic Review Process…………………………………………………….82
Table 11. Search Strings………………………………………………………………………….……....85
Table 12. Inclusion and Exclusion Criteria..……………………………………………………..…...86
Table 13. Subject Matter Experts Input Framework………………………………………...……..…88
Table 14. Subject Matter Experts Recommendations.………………………………………...…...…89
Table 15. Sample Data Extraction Table.…………………………………………………………..….94
Table 16. A Priori Codes………………………………………………………………………….
Artificial Intelligence (AI) and Worker Selection Criteria: a Pathway to Fair Hiring and Positive Organizational Outcomes
No full textFair hiring processes can reduce the risk of lawsuits, an issue which has cost organizations
hundreds of millions of dollars in settlements over the last ten years. Artificial Intelligence (AI)
presents a promising solution, as it has the capability of making objective decisions despite its
reputation for bias. By leveraging worker selection criteria, such as skills and education, AI can
predict job candidates’ performance and potential retention. The problem is that despite its
capabilities, AI’s use of worker selection criteria is not always fully leveraged to enhance hiring
fairness and as a result, organizations continue to face costly discrimination lawsuits. This study
answers the research question: How do AI-driven hiring systems utilize worker selection criteria,
and what are the implications for AI prediction accuracy, hiring fairness, and organizational
outcomes? A systematic review of 51 studies was conducted, supplemented by interviews with
two subject matter experts (SMEs). The systematic review identified five themes related to the
research question. The most notable theme highlights that AI models are being tested for
accuracy in predicting job candidate performance and retention based on worker selection
criteria. AI model testing underscores the need for organizations to prepare for the imminent
adoption of AI models in the workplace by analyzing the worker selection criteria used by organizations to make hiring decisions. The study concludes with the introduction of
SMARTCriteria templates, a practical tool to help organizations establish and maintain
transparent worker selection criteria. By implementing these templates, organizations can better
prepare for the integration of AI prediction models into their hiring processes, fostering fairness,
improving performance, increasing retention rates, and reducing financial risk.AI AND WORKER SELECTION CRITERIA
i
ABSTRACT
Title of Dissertation:
ARTIFICIAL INTELLIGENCE (AI) AND WORKER SELECTION CRITERIA: A PATHWAY TO FAIR HIRING AND POSITIVE ORGANIZATIONAL OUTCOMES
Kwema J. Ledbetter,
Doctor of Business Administration, 2024
Fair hiring processes can reduce the risk of lawsuits, an issue which has cost organizations hundreds of millions of dollars in settlements over the last ten years. Artificial Intelligence (AI) presents a promising solution, as it has the capability of making objective decisions despite its reputation for bias. By leveraging worker selection criteria, such as skills and education, AI can predict job candidates’ performance and potential retention. The problem is that despite its capabilities, AI’s use of worker selection criteria is not always fully leveraged to enhance hiring fairness and as a result, organizations continue to face costly discrimination lawsuits. This study answers the research question: How do AI-driven hiring systems utilize worker selection criteria, and what are the implications for AI prediction accuracy, hiring fairness, and organizational outcomes? A systematic review of 51 studies was conducted, supplemented by interviews with two subject matter experts (SMEs). The systematic review identified five themes related to the research question. The most notable theme highlights that AI models are being tested for accuracy in predicting job candidate performance and retention based on worker selection criteria. AI model testing underscores the need for organizations to prepare for the imminent adoption of AI models in the workplace by analyzing the worker selection criteria used by AI AND WORKER SELECTION CRITERIA
ii
organizations to make hiring decisions. The study concludes with the introduction of SMARTCriteria templates, a practical tool to help organizations establish and maintain transparent worker selection criteria. By implementing these templates, organizations can better prepare for the integration of AI prediction models into their hiring processes, fostering fairness, improving performance, increasing retention rates, and reducing financial risk. AI AND WORKER SELECTION CRITERIA
iii
ARTIFICIAL INTELLIGENCE (AI) AND WORKER SELECTION CRITERIA: A PATHWAY TO FAIR HIRING AND POSITIVE ORGANIZATIONAL OUTCOMES
by
Kwema J. Ledbetter
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
December 14, 2024
Author Note
You can contact the author via text message at 240-391-8446 or email at [email protected]. This study’s review methodology mitigates the risk that Ms. Ledbetter's eight years of business ownership and two decades of federal government experience as an IT director may pose a potential conflict of interest. AI AND WORKER SELECTION CRITERIA
iv
© Copyright by
Kwema J. Ledbetter
2024 AI AND WORKER SELECTION CRITERIA
v
Dedication
This work is dedicated to my father, Dr. Gregory Rigsby. I thankfully inherited his lifelong commitment to learning, innovation, and fairness. Without his example, this dissertation would not have been achieved. His unwavering support, wisdom, and belief in my abilities have been my greatest source of inspiration. Through his actions, he taught me the value of hard work, integrity, and perseverance—lessons that shaped both this work and the person I have become. I am forever grateful for his guidance and love.
AI AND WORKER SELECTION CRITERIA
vi
Acknowledgments
I am deeply grateful for the blessings God has bestowed upon me. My parents, Gregory and Barbara Rigsby, have guided me since birth, and as the years pass, the love of learning my parents instilled in me only grows stronger. Their emotional and financial support undergird all the accomplishments in my life, including this dissertation.
My husband, Wes, provided the time, space, and encouragement that allowed me to focus on completing this work. My younger sister, Drina, ensured I stayed on the path of wellness, giving me the energy and stamina necessary to see this project through. My youngest sister, Tabita, who recently earned her PhD in nursing, served as my second set of eyes and trusted advisor throughout this journey. My best friend, Terri, was my loudest cheerleader, bolstering my confidence whenever I needed it most. Much of my motivation came from my sons, Jordan and Kailan, and my grandson, Mason. Completing this dissertation and leaving them a legacy of curiosity, hard work, and meaningful contribution to academic dialogue is as significant an accomplishment as the work itself. I am also grateful for my nieces and nephew, whose bright spirits and encouragement have been a source of joy and inspiration throughout this process. I thank the Lord for surrounding me with the loving and extensive support system that made this achievement possible.
I want to give a heartfelt thank you to my committee members: Dr. Zakaria, Dr. Marbury, and Dr. Shields. Dr. Zakaria, my chair, demonstrated unwavering patience while providing me the guidance I needed to get “unstuck”. Her remarkable ability to provide deep and immediate insight helped me countless times, guiding me out of challenging moments. Her thoughtful suggestions and questions pointed me in the right direction and reignited my excitement for the work. Dr. Marbury challenged me to think critically about word choice and the alignment of key AI AND WORKER SELECTION CRITERIA
vii
sections in the dissertation. He emphasized how subtle nuances could influence how different readers would understand the content of my dissertation. Dr. Shields’ straightforward, no-nonsense approach pushed me to simplify and clarify my work, ensuring that my arguments were both logical and compelling. The other UMGC faculty who instructed me over the last three years have each provided me with tools that I needed to complete this work. For that, I am grateful. I have grown immensely as a scholar under their guidance.
I also want to acknowledge the mentors and role models in my professional and academic journey: Dr. Gregory Rigsby, Linda Keene Solomon, my Delta Sigma Theta sorors, Janice Lucas, and the nursing faculty at Bowie State University including Dr. Hill and Dr. Archie.
AI AND WORKER SELECTION CRITERIA
viii
Table of Contents
ABSTRACT .................................................................................................................................... i
ARTIFICIAL INTELLIGENCE (AI) AND WORKER SELECTION CRITERIA: A PATHWAY TO FAIR HIRING AND POSITIVE ORGANIZATIONAL OUTCOMES ................................. iii
Dedication ...................................................................................................................................... v
Acknowledgments......................................................................................................................... vi
Table of Contents ......................................................................................................................... viii
List of Tables ................................................................................................................................ xi
List of Figures .............................................................................................................................. xiii
List of Abbreviations ................................................................................................................... xiv
Chapter 1 - Introduction and Overview of the Management Problem............................................ 1
Background and Overview .......................................................................................................... 2
Unfair Hiring Decisions ...................................................................................................... 2
Worker Selection Criteria ................................................................................................... 6
AI Prediction Accuracy....................................................................................................... 9
Organizational Impacts ..................................................................................................... 11
Problem Statement .................................................................................................................... 13
Purpose of the Study.................................................................................................................. 16
Significance of the Study .......................................................................................................... 16
Research Question ..................................................................................................................... 18
Chapter Summary ...................................................................................................................... 20
Chapter 2 – Scoping Literature Review and Theoretical Frame................................................... 22
Scoping Literature Review ........................................................................................................ 22
AI Origins and Evolution .................................................................................................. 22
Fairness in AI and Recruiting ........................................................................................... 23
Fairness in Worker Selection Criteria ............................................................................... 26
Related Systematic Reviews ..................................................................................................... 28
Theoretical and Conceptual Frameworks .................................................................................. 30
Lens Model ............................................................................................................................... 31
Competencies Recruitment Decisions Conceptual Framework ................................................ 33
Chapter Summary ...................................................................................................................... 35
AI AND WORKER SELECTION CRITERIA
ix
Chapter 3 – Method ...................................................................................................................... 37
Systematic Review .................................................................................................................... 37
SME Interviews ......................................................................................................................... 39
Systematic Review Steps Overview .......................................................................................... 39
Step 1: Scope the Literature ...................................................................................................... 40
Step 2: Query the Literature ...................................................................................................... 41
Step 3: Identify the Data Set in a PRISMA Diagram ................................................................ 42
Step 4: Extract Data from the Data Set to a Data Extraction Table .......................................... 43
Step 5: Appraise the Data Set Using TAPUPAS ...................................................................... 44
Step 6: Interview the SMEs ....................................................................................................... 49
Step 7: Identify Themes ............................................................................................................ 52
Step 8: Appraise Themes Using CERQUAL ............................................................................ 54
Step 9: Recommend SMARTCriteria Templates ...................................................................... 55
Chapter Summary ...................................................................................................................... 55
Chapter 4 – Analysis and Themes ................................................................................................ 56
Step 1: Scoped the Literature .................................................................................................... 56
Step 2: Queried the Literature ................................................................................................... 56
Step 3: Identified the Data Set in a PRISMA Diagram ............................................................. 59
Step 4: Finalized the Data Extraction Table .............................................................................. 60
Step 5: Appraised the Studies Using TAPUPAS ...................................................................... 63
Step 6: Interviewed the SMEs ................................................................................................... 64
Interviewee #1 – Black Male HR Executive..................................................................... 64
Interviewee #2 – White Female Senior HR manager ....................................................... 65
Step 7: Identified Themes.......................................................................................................... 66
Step 8: Appraised Themes Using CERQUAL .......................................................................... 67
Step 9: Recommended SMARTCriteria Templates .................................................................. 67
Themes Summary ...................................................................................................................... 67
Theme 1: AI Uses Worker Selection Criteria to Predict Outcomes .......................................... 70
Theme 2: AI Bias Results From Unfair Worker Selection Criteria Inputs ............................... 73
Theme 3: AI Bias Can Be Addressed Through Fair Worker Selection Criteria, Legislation and Compliance Audits .................................................................................................................... 77
Theme 4: Fair AI-Driven Hiring Protects Organizations From Legal Liability ....................... 80
Theme 5: AI Models Use Worker Selection Criteria To Test AI Accuracy ............................. 84
CERQUAL Appraisal................................................................................................................ 90
Revised Conceptual Framework ............................................................................................... 92
Chapter Summary ...................................................................................................................... 97
Chapter 5: Implications and Recommendations ........................................................................... 98
Review of the Research Question ............................................................................................. 98
Answer to the Research Question ............................................................................................. 98
Management Implications ......................................................................................................... 98
Implications for Organizations ......................................................................................... 99 AI AND WORKER SELECTION CRITERIA
x
Implications for Hiring Managers .................................................................................. 100
Implications for Job Candidates...................................................................................... 102
Implications for Policymakers ........................................................................................ 102
Implications for Scholars and Practitioners .................................................................... 103
SMARTCriteria Templates ..................................................................................................... 103
SMARTCriteria Manifesto ............................................................................................. 104
Worker Selection Criteria Scorecard .............................................................................. 106
SMARTCriteria Scorecard Criteria Detail...................................................................... 108
AI-Driven and Worker Selection Criteria Process.......................................................... 110
SMARTCriteria Reference Items ................................................................................... 112
Limitations.............................................................................................................................. 113
Future Research ....................................................................................................................... 113
Chapter Summary .................................................................................................................... 114
References .................................................................................................................................. 115
Appendix A – PRISMA .............................................................................................................. 136
Appendix B – Data Extraction Table .......................................................................................... 137
Appendix C – TAPUPAS Appraisal Results .............................................................................. 148
Appendix D – Coding Cycles ..................................................................................................... 150
Table D1 ................................................................................................................................. 150
Table D2 ................................................................................................................................. 152
Table D3 ................................................................................................................................. 157
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xi
List of Tables
Table 1 Fair Hiring Summary ......................................................................................................... 6
Table 2 Worker Selection Criteria Categories ................................................................................ 7
Table 3 Inventory of Sample Lawsuits ......................................................................................... 14
Table 4 Inventory of Aggregated Lawsuits .................................................................................. 15
Table 5 PICOC Research Framework........................................................................................... 20
Table 6 Research Question .......................................................................................................... 20
Table 7 Similar Research Search String ....................................................................................... 28
Table 8 Systematic Review Plan................................................................................................... 40
Table 9 Data Extraction Table Components ................................................................................. 44
Table 10 TAPUPAS Components ................................................................................................ 45
Table 11 TAPUPAS Scoring Guide – Transparency and Accuracy ............................................. 48
Table 12 TAPUPAS Scoring Guide – Purposivity, Utility, Proprietary, Accessibility, Specificity...................................................................................................................................................... 48
Table 13 CERQUAL Scoring Guide .........................................................................................
Federal organizations risk mitigation of cyber security risks due to employees’ use of private social media during work hours: A systematic review
No full textThis is a video to accompany a SOARS poster presented in 2023
Management Scientist, Technical Analyst
No full textThis is a video to accompany a SOARS poster presented in 2023
Successful Compliance Methods of the Security Exchange Commission’s Climate Disclosures
No full textEnvironmental issues and their disclosure requirements in a firm’s audited financial statements have been questioned for their ambiguity for many years. The Security and Exchange Commission proposal, The Enhancement and Standardization of Climate-Related Disclosures for Investors, is expected to provide firms with mandatory environmental reporting requirements to be included in audited financial statements. The purpose of this systematic review is to explore methods for the successful compliance with the SEC proposal. The research question addresses the strategies companies can employ to successfully prepare and comply with the SEC requirements. This dissertation was conceptually framed and supported through the use of legitimacy theory. Data were collected through a defined and repeatable database search of peer-reviewed journals, while the search results resulted in articles that were appraised for the highest quality. The database search commenced with 675 articles and was finalized with 32 articles which were synthesized into six findings. The findings were assessed for quality with an overall high confidence level. As indicated by the findings, successful compliance with the SEC proposal involves corporate strategies, governance, leadership, environmental performance, risk management, and the IT and accounting functions. This dissertation is intended to provide value to practitioners through the concluding recommendations. The recommendations state that the SEC proposal should be incorporated as a strategic objective, the board of directors should provide governance over the implementation of the proposal, management leadership and environmental performance should be catalysts for success, and the functions of risk management, IT, and accounting should be evaluated for preparedness.COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
Title of Dissertation:
SUCCESSFUL COMPLIANCE METHODS OF THE SECURITY EXCHANGE COMMISSION’S MANDATED CLIMATE DISCLOSURES
Gregory J. Tanzola,
Doctor of Business Administration, 2023
Abstract
Environmental issues and their disclosure requirements in a firm’s audited financial statements have been questioned for their ambiguity for many years. The Security and Exchange Commission proposal, The Enhancement and Standardization of Climate-Related Disclosures for Investors, is expected to provide firms with mandatory environmental reporting requirements to be included in audited financial statements. The purpose of this systematic review is to explore methods for the successful compliance with the SEC proposal. The research question addresses the strategies companies can employ to successfully prepare and comply with the SEC requirements. This dissertation was conceptually framed and supported through the use of legitimacy theory. Data were collected through a defined and repeatable database search of peer-reviewed journals, while the search results resulted in articles that were appraised for the highest quality. The database search commenced with 675 articles and was finalized with 32 articles which were synthesized into six findings. The findings were assessed for quality with an overall high confidence level. As indicated by the findings, successful compliance with the SEC proposal involves corporate strategies, governance, leadership, environmental performance, risk management, and the IT and accounting functions. This dissertation is intended to provide value to practitioners through the concluding recommendations. The recommendations state COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
ii
that the SEC proposal should be incorporated as a strategic objective, the board of directors should provide governance over the implementation of the proposal, management leadership and environmental performance should be catalysts for success, and the functions of risk management, IT, and accounting should be evaluated for preparedness.
Keywords: SEC, environmental, financial statement reporting, disclosures, greenhouse gasses, climate-related
COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
iii
Successful Compliance Methods of the SEC’s Mandated Climate Disclosures
By
Gregory J. Tanzola
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
2023
COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
iv
© Copyright by
Gregory J. Tanzola
2023
COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
v
Dedication
This dissertation is dedicated to my father, Anthony J. Tanzola, who provided an exemplary model for my professional and academic careers. COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
vi
Acknowledgements
I would like to acknowledge my family and friends who I left unattended many times as I worked on my dissertation. I especially would like to acknowledge Colleen, Anthony, Sandra, and my mom for the times I could not be there 100%. I am grateful for Dr. Richard Milter for his guidance during the dissertation process and Dr. Lisa Pearo for her support over many years. In addition, I appreciate the toughness instilled by Dr. Adrian Wolfberg. I also am grateful for Jim Kaiser who was an instrumental subject matter expert. Finally, I would like to acknowledge the greatest cohort in the history of the program, the COVID-19 cohort.
COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
vii
Table of Contents
Abstract……… ............................................................................................................................... i
Successful Compliance Methods of the SEC’s Mandated Climate Disclosures .......................... iii
Dedication .................................................................................................................................... v
Table of Contents ........................................................................................................................ vii
List of Tables ................................................................................................................................ x
List of Figures .............................................................................................................................. xi
List of Abbreviations .................................................................................................................... xii
Definitions .................................................................................................................................. xiii
Chapter 1: Introduction and Overview of the Management Problem ............................................ 1
Background and Overview ................................................................................................ 1
Global Identification of Environmental Issues ................................................................... 2
Global Reporting Initiatives ............................................................................................... 5
Role of the SEC ................................................................................................................ 6
The Role of Audited Financial Statements ........................................................................ 7
Environmental disclosure in the U.S. ................................................................................ 8
Problem Statement and Significance of the Problem ...................................................... 10
The Research Question .................................................................................................. 11
Significance of the Study ................................................................................................. 13
Organization of the Dissertation ...................................................................................... 13
Chapter Summary ........................................................................................................... 14
Chapter 2: Literature Review and Theoretical Framework ......................................................... 15
Literature Review ............................................................................................................ 15
Voluntary disclosures ...................................................................................................... 16
The SEC Proposal .......................................................................................................... 18 COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
viii
Disclosures and Firm Performance ................................................................................. 19
The Opposition to the SEC Proposal .............................................................................. 22
Support of the SEC Proposal .......................................................................................... 24
Theoretical Framework ................................................................................................... 26
Theories Considered for the Study ................................................................................. 27
Theory Selected for the Study ......................................................................................... 28
Conceptual Framework ................................................................................................... 31
Chapter Summary ........................................................................................................... 33
Chapter 3: Method ...................................................................................................................... 34
The Evidence-Based Research Framework ................................................................... 34
Research Philosophy ...................................................................................................... 37
Systematic Reviews ........................................................................................................ 38
Study Initiation and Question Development .................................................................... 39
Evidence Accumulation ................................................................................................... 40
Search Process and Terms ............................................................................................. 40
Inclusion and Exclusion Criteria ...................................................................................... 41
Studies Found Using Snowballing .................................................................................. 42
Data Extraction ................................................................................................................ 42
Selection Documentation ................................................................................................ 42
Subject Matter Experts .................................................................................................... 43
Quality Appraisal of the Included Studies ....................................................................... 44
Synthesis Methodology ................................................................................................... 45
Findings Appraisal Methodology ..................................................................................... 47
Chapter Summary ........................................................................................................... 48
Chapter 4: Analysis and Findings ............................................................................................... 49
Description of the Data Set ............................................................................................. 49 COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
ix
Appraisal of Studies ........................................................................................................ 62
Data Synthesis ................................................................................................................ 64
Findings Appraisal ........................................................................................................... 66
Discussion of Findings .................................................................................................... 71
Summary of Findings ...................................................................................................... 80
Revised Conceptual Model/Framework .......................................................................... 81
Chapter Summary ........................................................................................................... 82
Chapter 5: Conclusions and Implications .................................................................................... 83
Dissertation Review ........................................................................................................ 83
Research Question Findings ........................................................................................... 84
Recommendations for Management ............................................................................... 85
Limitations of the Study ................................................................................................... 91
Areas for Future Research .............................................................................................. 92
Final Summary and Conclusion ...................................................................................... 93
References ................................................................................................................................. 94
Appendix A ............................................................................................................................... 123
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x
List of Tables
Table 1. Search Summary of Databases Used, Strings, and Criteria ........................................ 41
Table 2. Example CERQual Finding Appraisal ........................................................................... 48
Table 3. Final Search Summary ................................................................................................. 49
Table 4. Journal Ranking of Selected Studies per Scimago and Scopus ................................... 50
Table 5. Dataset Descriptor of Selected Studies ........................................................................ 53
Table 6. Data Extraction ............................................................................................................ 55
Table 7. MMAT Result Summary ................................................................................................ 63
Table 8. Findings by Category and Code Count ......................................................................... 65
Table 9. CERQual – Finding 1 .................................................................................................... 68
Table 10. CERQual – Finding 2 .................................................................................................. 68
Table 11. CERQual – Finding 3 .................................................................................................. 69
Table 12. CERQual – Finding 4 .................................................................................................. 69
Table 13. CERQual – Finding 5 .................................................................................................. 70
Table 14. CERQual – Finding 6 .................................................................................................. 70
COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
xi
List of Figures
Figure 1. Theoretical Framework ............................................................................................... 31
Figure 2. Study Conceptual Framework ..................................................................................... 33
Figure 3. BPMN for Evidenced-Based Management Process .................................................... 37
Figure 4. Selection Flowchart .................................................................................................... 52
Figure 5. Updated Conceptual Model ........................................................................................ 82
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xii
List of Abbreviations
CSR – Corporate Social Responsibility
CSRD - Corporate Sustainability Reporting Directive
EDGAR - Electronic Data Gathering, Analysis, and Retrieval system
EMS - Environmental Management Systems
ESG – Environmental, Social, and Governance
ESRS - European Sustainability Reporting Standards
FTSE - Financial Times Stock Exchange Group
GAO - Government Accountability Office
GHG – Green House Gases
IFRS - International Financial Reporting Standards
ISSB - International Sustainability Standards Board
NFRD - Non-Financial Reporting Directive
NYSE – New York Stock Exchange
PCAOB - Public Company Accounting Oversight Board
SEC – United States Securities and Exchange Commission
SOX - Sarbanes-Oxley Act
S&P – Standard and Poors
UN – United Nations
COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
xiii
Definitions
The following is a list of definitions commonly used throughout the dissertation. The terms have been summarized for simplicity and clarity.
Audit: The process of gathering information, assessing internal controls, inspecting documentation, making observations, and documenting evidence to provide assurance of the reliability of the information contained in financial statements and footnotes to investors and other decision-makers (Johnstone et al., 2019).
Brundtland Commission: Also known as The World Commission on Environment and Development. The commission was tasked to address global environmental and developmental problems and solutions (United Nations, 1987).
Brundtland Report: The report from the Brundtland Commission or Report of the World Commission on Environment and Development: Our Common Future. It provided a long-term view to develop environmental sustainability strategies, suggestions for gaining global cooperation, proposed ways to deal with international environmental issues, and the means to protect the environment (United Nations, 1987).
The Kyoto Protocol: Is an international treaty adopted in 1997 that calls for industrial nations to reduce greenhouse gasses by creating agreed-upon targets (United Nations Climate Change, n.d. -b).
The Paris Agreement: Is an international treaty adopted in 2015 with the goal of reducing global warming through the reduction of greenhouse gasses and reducing average temperatures by 1.5 degrees Celsius (United Nations Climate Change, n.d. -c)
Non-Financial Reporting Directive (NFRD): Required European Union companies to disclose information regarding environmental and social matters, employee treatment, human rights, corruption, and board composition. It has been replaced but the Corporate Sustainability Reporting Directive. (European Union, 2019). COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
xiv
Corporate Sustainability Reporting Directive (CSRD): Became enforceable by law on January 5, 2023, requiring approximately 50,000 European Union companies to follow European Sustainability Reporting Standards (European Commission, n.d.).
International Financial Reporting Standards (IFRS) Foundation: The governing body establishes global accounting standards and sustainability disclosure standards by establishing the International Sustainability Standards Board (IFRS, n.d.).
International Sustainability Standards Board (ISSB): - Is tasked with reporting risks and opportunities through environmental and general sustainability disclosures so investors may make informed decisions (IFRS, n.d.).
Security and Exchange Commission (SEC) proposal #33-11042, The Enhancement and Standardization of Climate-Related Disclosures for Investors: The proposal requiring U.S. publicly traded companies to disclose annual audited climate-related data (U.S. Securities and Exchange Commission, 2022b).
COMPLIANCE OF MANDATED CLIMATE DISCLOSURES
1
Chapter 1: Introduction and Overview of the Management Problem
There is a long history in the development of the Security and Exchange Commission (SEC) environmental disclosure proposal, and thus the management problem, resulting in the convergence of audited financial and environmental data. The chapter reviews the evolution of auditable environmental reporting starting with the United Nations’ Brundtland commission in 1983 and culminating in the Security and Exchange Commission (SEC) proposal #33-11042, The Enhancement and Standardization of Climate-Related Disclosures for Investors (the SEC proposal). The outcome of the Brundtland Commission, the SEC proposal, the history of environmental awareness, and the actions leading to the SEC proposal are discussed. Additionally, the role of the SEC, the importance of audited financial statements, and the pre-proposal status of environmental reporting are explored to understand the importance of audited environmental disclosure information.
Background and Overview
Many companies in the United States follow a substantial amount of accounting standards and environmental regulations, as noted by the over 2,000 generally accepted accounting standards and the increase in the number of public and private environmental governing bodies (McGill, 2020). In addition, the historical focus on financial-based transactions has resulted in little attention to environmental accounting issues (Russell et al., 2017). Although the SEC has required environmental disclosures to assist in inventory decision making, the SEC proposal put forth in March 2022 required expansive audited climate-related disclosures, including non-financial data, such as reporting the amount of greenhou
Improving Strategy Outcomes through Adaptive Strategy Implementation: a Systematic Review
No full textGlobal business enterprises have experienced a significant failure rate in the implementation of business strategy. Researchers estimate the failure rate of business strategies between 30 and 70 percent. These failures cost businesses trillions of dollars in lost effort, poor financial performance, and even bankruptcies. This dissertation examined the problem through the lens of a complex adaptive system as businesses have the traits of this class of system. The research question for this dissertation was: "What factors influence successful strategy implementation in global businesses?"
A systematic review was performed on peer-reviewed academic literature relating to strategy implementation, validating the quality of those articles and extracting critical concepts for a corpus of relevant ideas. These concepts were then synthesized into themes that drove specific recommendations for global business managers who desire improvement in their strategy implementation success. The themes identified included the importance of team-level adaptation, implementation performance measurements to inform corporate strategy changes, the importance of the informal network in implementation success, and indirect structural processes to influence implementation teams. Based on the themes identified, four recommendations to management were derived. The first was the need for top management to set expectations for change and enable teams to adapt their implementation approach as the teams are formed. Second was the need for top management to use formal and informal data from a collaborative approach with implementation teams to understand if there is a need to change the corporate strategic plan. The third recommendation was that top management may want to cultivate commitment rather than consensus in the informal organization and middle management to increase the success rate of strategy implementation. The final recommendation is that top management should align structural processes with the strategic objectives to influence strategy implementation teams indirectly.
This dissertation concludes with recommendations for additional research. This may be valuable for researchers looking to extend the findings presented here. Additionally, this dissertation includes the limitations of this dissertation. As with all dissertations, the weaknesses are identified and addressed.
This dissertation contributes to the field of strategy implementation in several ways. The first is using a solid theoretical base of complex adaptive systems for the work, which is uncommon in the field as most implementation studies are empirical. The second is a clear connection between the implementation team outcomes and possible changes to the overall corporate strategy using the theoretical model. Finally, there may be the beginning of a new theory of adaptive strategy implementation based on the findings of this dissertation.
Hopefully, this work provides additional insights into the practical and theoretical underpinnings of successful strategy implementation. It may provide specific, actionable concepts for practitioners and a theoretical base for research interest in strategy implementation.i
Improving Strategy Outcomes through Adaptive Strategy Implementation
A Systematic Review
Dissertation submitted to the School of Business,
University of Maryland Global Campus in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
By
James Henry Schleckser
November 2023
Dissertation Committee:
Dr. James Gelatt
Dr. Trina Shields
Dr. Ray Mohammad
Date of Oral Defense: November 29, 2023 ii
Abstract
Global business enterprises have experienced a significant failure rate in the implementation of business strategy. Researchers estimate the failure rate of business strategies between 30 and 70 percent. These failures cost businesses trillions of dollars in lost effort, poor financial performance, and even bankruptcies. This dissertation examined the problem through the lens of a complex adaptive system as businesses have the traits of this class of system. The research question for this dissertation was: "What factors influence successful strategy implementation in global businesses?"
A systematic review was performed on peer-reviewed academic literature relating to strategy implementation, validating the quality of those articles and extracting critical concepts for a corpus of relevant ideas. These concepts were then synthesized into themes that drove specific recommendations for global business managers who desire improvement in their strategy implementation success. The themes identified included the importance of team-level adaptation, implementation performance measurements to inform corporate strategy changes, the importance of the informal network in implementation success, and indirect structural processes to influence implementation teams. Based on the themes identified, four recommendations to management were derived. The first was the need for top management to set expectations for change and enable teams to adapt their implementation approach as the teams are formed. Second was the need for top management to use formal and informal data from a collaborative approach with implementation teams to understand if there is a need to change the corporate strategic plan. The third recommendation was that top management may want to cultivate commitment rather than consensus in the informal organization and middle management to increase the success rate of strategy implementation. iii
The final recommendation is that top management should align structural processes with the strategic objectives to influence strategy implementation teams indirectly.
This dissertation concludes with recommendations for additional research. This may be valuable for researchers looking to extend the findings presented here. Additionally, this dissertation includes the limitations of this dissertation. As with all dissertations, the weaknesses are identified and addressed.
This dissertation contributes to the field of strategy implementation in several ways. The first is using a solid theoretical base of complex adaptive systems for the work, which is uncommon in the field as most implementation studies are empirical. The second is a clear connection between the implementation team outcomes and possible changes to the overall corporate strategy using the theoretical model. Finally, there may be the beginning of a new theory of adaptive strategy implementation based on the findings of this dissertation.
Hopefully, this work provides additional insights into the practical and theoretical underpinnings of successful strategy implementation. It may provide specific, actionable concepts for practitioners and a theoretical base for research interest in strategy implementation.
Keywords: Complex Adaptive Systems, Double Loop Learning, Strategy Implementation, Adaptive Strategy Implementation, Strategy Measurement, Leading Strategy, Strategy Implementation Theory, Strategy Execution
iv
© Copyright by
James Henry Schleckser
2023
v
Dedication
This dissertation is dedicated to my father, Henry Schleckser, who instilled a love of learning in me by demonstrating it every day of his life. vi
Acknowledgments
I want to acknowledge my cohort members, Jeff Gold, Greg Tanzola, Muftait Fahm, Aisaya Oyekola, Ebony McArthur, Janine Smith, Jessica LaMoe, Julia Da Silva BeHarry, Rowin Andruscavage, Patricia Jameson and Teriba Oyegoke. You made the journey enjoyable and educational. I am unsure I could have finished without your support and joyful energy.
My content class professors during my doctoral journey were Dr. Skylar Jarrow, Dr. Trina Shields, Dr. Lisa Pearo, Dr. Adrian Wolfberg, Dr. Tacy Haliday, and Dr. Raymond Marbury. You all prepared me well for the dissertation process, and I appreciate your dedication to teaching at the highest level.
My dissertation committee members profoundly impacted my thinking and the quality of my dissertation. Thank you, Dr. James Gelatt, Dr. Trina Shields, and Dr. Ray Muhammad. No one will ever understand the hours of work or your impact on the learning process.
The outstanding UMGC staff created an environment of professionalism and community throughout the journey. Thank you, especially to Dr. Monica Sava and Marina Caminis.
Thanks to Denise Schleckser and my children, Matthew and Daniel, who sacrificed and supported me throughout this process.
vii
Table of Contents
Abstract ........................................................................................................................................... i
Dedication ...................................................................................................................................... v
Acknowledgments......................................................................................................................... vi
Table of Contents .......................................................................................................................... vii
List of Tables ................................................................................................................................. x
List of Figures ............................................................................................................................... xi
Chapter 1: Introduction and Overview of the Management Problem ............................................. 1
Background and Overview .......................................................................................................... 1
Problem Statement and Significance of the Problem .................................................................. 4
Discussion of Theoretical Concepts ............................................................................................ 6
Purpose of the Dissertation and The Research Question ............................................................ 7
Rationale and Significance of the Dissertation ......................................................................... 11
Definitions and Terminology .................................................................................................... 11
Chapter Summary ...................................................................................................................... 13
Chapter 2: Scoping Literature Review and Theoretical Frame .................................................... 14
Introduction ............................................................................................................................... 14
Theoretical Framework ............................................................................................................. 14
Complexity Theory ................................................................................................................... 15
Complex Adaptive Systems ...................................................................................................... 17
Theory Selection ....................................................................................................................... 20
Theoretical Lens ........................................................................................................................ 21
The Strategy Implementation Process ....................................................................................... 26
Strategic Consensus ............................................................................................................... 26
Allocation of Resources ........................................................................................................ 28
Execution Frameworks .......................................................................................................... 28
Strategy Measurement, Feedback, and Learning .................................................................. 32
Conceptual Framework ............................................................................................................. 37
Chapter Summary ...................................................................................................................... 39
Chapter 3: Methodology ............................................................................................................... 40
Systematic Reviews .................................................................................................................. 40 viii
Details of the Systematic Review Execution ............................................................................ 41
Search Process and Terms ..................................................................................................... 42
Inclusion and Exclusion Criteria ........................................................................................... 42
PRISMA Diagram ..................................................................................................................... 43
Method of Quality Appraisal of the Included Studies. ............................................................. 44
Description of the Data Set ....................................................................................................... 48
Results of the Quality Appraisal of the Data Set ...................................................................... 49
Method of Analysis: The Coding Undertaken. ......................................................................... 51
Analysis of the Reliability of Themes. ...................................................................................... 53
Subject Matter Experts. ............................................................................................................. 53
Chapter Summary ...................................................................................................................... 54
Chapter 4: Analysis and Themes .................................................................................................. 55
Themes ..................................................................................................................................... 55
Theme 1: Team-level Adaptive Processes Change and Improve the Strategy Implementation Approach ............................................................................................................................... 55
Theme 2: Strategy Implementation Improves When Executive Leadership Assumes and Seeks Strategy Adaptation ..................................................................................................... 59
Theme 3: Successful Strategy Implementation is a Social Construct Using Social Networks and Organizational Commitment to the Strategy Implementation ........................................ 64
Theme 4: Structural Elements Such as the Strategic Plan and Compensation Systems Frame and Guide the Strategy Implementation ................................................................................ 66
Analysis of the Reliability of Themes. ...................................................................................... 69
Summary of Themes ................................................................................................................. 70
Revised Conceptual Framework ............................................................................................... 71
Chapter Summary ...................................................................................................................... 74
Chapter 5: Recommendations, Limitations, and Conclusions ...................................................... 75
Review of the Research ............................................................................................................. 75
Addressing the Research Question ............................................................................................ 76
Management Implications and Recommendations ................................................................... 76
Recommendation 1: Set the Expectation for Change and Enable Teams to Adapt Their Implementation Approach. .................................................................................................... 77
Recommendation 2: Top Management can Use Formal and Informal Data to Identify Opportunities to Change the Strategic Plan. .......................................................................... 79
Recommendation 3: Top Management May Want to Cultivate Commitment in the Informal Organization and Middle Management to Increase the Rate of Strategy Implementation. .. 81
Recommendation 4: Align Structural Processes with the Strategic Objectives to Indirectly Influence Strategy Implementation Teams. ........................................................................... 83
Limitations of the Dissertation .................................................................................................. 84
Areas for Future Research ......................................................................................................... 86 ix
Final Summary and Conclusion ................................................................................................ 87
References .................................................................................................................................... 89
Appendix A Descriptive Statistics on Selected Articles for the Systematic Review ................ 119
Appendix B MMAT Quality Assessment Score Details ........................................................... 122
Appendix C Article Support for CerQual (Lewin et al., 2018) ................................................. 123
x
List of Tables
Table 1 PICOC Framework (Barends et al., 2017). ............................................................ 8
Table 2 PICOC Framework (Barends et al., 2017). .......................................................... 42
Table 3 MMAT General Article Evaluation Template Section. ....................................... 46
Table 4 MMAT Qualitative Article Evaluation Section Template. .................................. 46
Table 5 MMAT Quantitative Article Evaluation Section Template. ................................ 47
Table 6 MMAT Mixed-Method Article Evaluation Section Template. ........................... 47
Table 7 Article Sample Population Count and Descriptions. ........................................... 48
Table 8 Article Descriptive Statistics. .............................................................................. 50
Table 9 Categories and Themes from Data Extraction. .................................................... 51
Table 10 Analysis of Reliability of Themes using CerQual (Lewin et al., 2018). ........... 69 xi
List of Figures
Figure 1 Increasing Rate of Publications on Strategy Implementation and Execution. ..... 4
Figure 2 Business Strategy Implementation Failure Rates (1980-2015). ........................... 5
Figure 3: Cynefin Framework of Complexity. ................................................................. 16
Figure 4 Theoretical Lens of a Complex Adaptive System. ............................................. 22
Figure 5 Conceptual Model for Strategic Implementation. .............................................. 38
Figure 6 PRISMA Diagram (Page et al., 2021). ............................................................... 44
Figure 7 Single and Double-Loop Learning. .................................................................... 62
Figure 8 Single and Double-Loop Learning Applied to Strategy Implementation. ......... 63
Figure 9 Revised Conceptual Framework of Adaptive Strategy Implementation. ........... 74 1
Chapter 1: Introduction and Overview of the Management Problem
Background and Overview
The CEO leaned back, pondering, "Why can't we execute our strategy? We put it together correctly, and we had the best minds in the company scan the market, analyze our position, and build an elegant 20-point plan. We even held an offsite meeting to share the plan and get everyone excited. I knew we were in trouble in June when we hadn't made any progress. Here we are in November, and while we should make our budget, we failed to deliver on a single strategic initiative. I am sure the board will be happy about the financials, but we sacrificed our long-term position, which could eventually hurt us over the next few years. I hope they don't fire me. After all, those strategic objectives were part of my performance measure. What could we have done differently"?
Unfortunately, this fictional story is far too typical. Cândido and Santos (2019) studied reported failure rates from 1982 to 2005 and found that most authors estimate a failure rate in strategy implementation for a global business population between 30 and 70 percent. Failure means either a strategy was formulated but not implemented or was implemented but with poor results in the 90% of firms that reported using strategic management (Cândido & Santos, 2019; Kaplan & Norton, 2005). Carroll and Mui (2008) researched global businesses from 1981 to 2006 and found that over $1.9 trillion had been lost through bankruptcy, write-offs, and losses due to failed strategy execution. Strategy implementation is a large and expensive problem for global businesses, with a random success rate and trillions of dollars at stake. It is fair to ask why companies continue to develop strategies when the implementation success rate, as noted above, is essentially the flip of a coin. Perhaps it is history and tradition. 2
Strategic planning was applied initially to find a relative advantage on the battlefield, aiming for victory over opponents (Bryson et al., 2017). Von Neumann and Morgenstern (1944) were the first authors to connect stra
Electric Vehicle Manufacturers and the Effort to Establish Competitive Advantage via Closed-Loop Supply Chains
No full textSustainability initiatives are not happening quickly enough and their impacts have not been
sufficient to meet the targets put forth to reduce global temperatures and address climate
change. Given that the transportation sector generates more greenhouse gases than any other
industry, the successful proliferation of electric vehicles (EVs) has the potential to address this
business problem. The purpose of this research was to explore how EV manufacturers can gain
competitive advantages by conserving resources, reducing air pollution, and addressing climate
change through the adoption of closed-loop supply chains. The systematic review methodology
employed included forty-four relevant articles and resulted in the emergence of six themes that
fell into two categories: results and enablers. The two themes that focused on results dealt with
“planet” and “profit” goals and measurements. The other four themes (partnerships, public
policy, process/design, and production) represent enablers that allow firms to progress toward
their environmental and profitability goals. All six themes can be considered to some degree in
order to establish and maintain competitive advantages. This is especially true for a nascent
industry like the electric vehicle sector where environmental and economic goals intersect. The
research question, “What can EV manufacturers do to utilize closed-loop supply chains to
promote sustainability while creating competitive advantages?” was assessed using a novel
approach that merged open systems theory and stakeholder theory. The application of this
blended theoretical framework combined with the synthesis of evidence contribute
recommendations that target innovation, patents, and partnerships that both scholars and
practitioners in this dynamic industry will find valuable. The methodology and framework employed in the study are also relevant beyond this particular industry as the findings and
recommendations may be applicable to supply chain strategies for firms that remain focused on
leveraging their sustainability initiatives into competitive advantages.ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 1
Electric Vehicle Manufacturers and the Effort to Establish Competitive Advantage via
Closed-Loop Supply Chains
Dissertation submitted to the School of Business
University of Maryland Global Campus in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
by
Jeffrey B. Gold
December 2023
Dissertation Committee:
Dr. Richard Milter
Dr. James Gelatt
Dr. Lisa Pearo
Date of Oral Defense: 12/05/2023
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 2
Abstract
Title of Dissertation: ELECTRIC VEHICLE MANUFACTURERS AND THE
EFFORT TO ESTABLISH COMPETITIVE ADVANTAGE
VIA CLOSED-LOOP SUPPLY CHAINS
Jeffrey Gold
Doctor of Business Administration, 2023
Sustainability initiatives are not happening quickly enough and their impacts have not been
sufficient to meet the targets put forth to reduce global temperatures and address climate
change. Given that the transportation sector generates more greenhouse gases than any other
industry, the successful proliferation of electric vehicles (EVs) has the potential to address this
business problem. The purpose of this research was to explore how EV manufacturers can gain
competitive advantages by conserving resources, reducing air pollution, and addressing climate
change through the adoption of closed-loop supply chains. The systematic review methodology
employed included forty-four relevant articles and resulted in the emergence of six themes that
fell into two categories: results and enablers. The two themes that focused on results dealt with
“planet” and “profit” goals and measurements. The other four themes (partnerships, public
policy, process/design, and production) represent enablers that allow firms to progress toward
their environmental and profitability goals. All six themes can be considered to some degree in
order to establish and maintain competitive advantages. This is especially true for a nascent
industry like the electric vehicle sector where environmental and economic goals intersect. The
research question, “What can EV manufacturers do to utilize closed-loop supply chains to
promote sustainability while creating competitive advantages?” was assessed using a novel
approach that merged open systems theory and stakeholder theory. The application of this
blended theoretical framework combined with the synthesis of evidence contribute
recommendations that target innovation, patents, and partnerships that both scholars and
practitioners in this dynamic industry will find valuable. The methodology and framework
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 3
employed in the study are also relevant beyond this particular industry as the findings and
recommendations may be applicable to supply chain strategies for firms that remain focused on
leveraging their sustainability initiatives into competitive advantages.
Keywords: sustainability, climate change, closed-loop supply chains, electric vehicles,
competitive advantage
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 4
© Copyright by Jeffrey B. Gold
2023
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 5
Dedication
I dedicate this effort to my wife, partner, and love of my life, Robyn. Her patience, not
only as I pursued this degree but throughout our time together has been my inspiration. She
continues to make me a better person and helps me see things in myself that I would not have
seen without her while encouraging me to try to reach to new heights that I never thought were
possible. I cannot express my love and gratitude in words.
My daughter, Jennifer, and son, Matthew also continue to inspire me with their support
and encouragement. I am proud of what you both have accomplished thus far in your lives but
more importantly, I’m proud of the people that you’ve become.
Finally, I have to acknowledge my parents, Sylvia and David Gold, who not only
contributed my DNA, but the supported me in so many ways when I was growing up
and even into my adulthood before their passing. I attribute my resourcefulness and the
way I treat others to my parents. My older brother, Richard, was also and continues to
be an inspiration. A self-made, successful businessman and published author (among
other things), he taught me the value of street smarts and influenced my taste in music
and movies.
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 6
Acknowledgements
It is difficult to acknowledge everyone that contributed to this initiative because learning
is truly a lifelong process, but I will try. In addition to my family, I wouldn’t be who I am without all
the friends, fraternity brothers (including one who was a tremendous resource for this research
and a subject matter expert), and professional colleagues that I’ve encountered along the way
from the streets of Brooklyn, New York, the suburbs of New Jersey, and college campuses in
New Brunswick, New Jersey (Rutgers), and College Park, Maryland (Smith School of Business).
My work families have included the Bell Atlantic/Verizon teams all across the country. My
neighbors in the Baltimore/Washington area and golf buddies molded by philosophy of life –
which, by the way, I am still trying to figure out. You all know who you are – and you sometimes
know me better than I know myself. You served as both as a sounding board and inspiration.
I also cannot fail to mention my UMGC classmates (the “COVID Cohort”) who did not
meet in person until two years into the program. I would not have made it through this boot
camp without you, nor without the amazing professors, Academic Program Coordinator, Ms.
Marina Caminis, and Ms. Cynthia Thomes, UMGC’s incredible librarian. I also thank my editors,
Dr. Michael Poock and Dr. Jessica Strock, for their guidance and technical writing input along
the way.
Finally, I have to acknowledge Dr. Milter. You advised, guided, motivated, and helped
me develop the best product that I could create. I am proud to have your name on the cover
page with me along with committee members, Dr. Gelatt and Dr. Pearo whose input was
indispensable in finalizing this document.
I could not have done this without all of you, so please consider this a heartfelt thank
you.
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 7
Table of Contents
Abstract ...................................................................................................................................... 2
Dedication .................................................................................................................................. 5
Acknowledgements .................................................................................................................... 6
Table of Contents ....................................................................................................................... 7
List of Tables ............................................................................................................................. 11
List of Figures ........................................................................................................................... 12
Abbreviations ............................................................................................................................ 13
Chapter 1: Introduction and Overview 15
Introduction ............................................................................................................................ 15
Background ............................................................................................................................ 16
Systematic Review Process .................................................................................................. 16
Sustainability ......................................................................................................................... 17
Greenhouse Gases and the Power Grid ............................................................................... 21
Business Engagement .......................................................................................................... 23
Early US Environmental Initiatives and Public Opinion ......................................................... 24
The Automobile Industry ....................................................................................................... 26
Electric Vehicle Manufacturing .............................................................................................. 28
Problem Statement and Signficance of the Problem ......................................................... 30
Research Question ................................................................................................................ 31
Rationale for the Study ......................................................................................................... 32
Definitions and Terminology ................................................................................................ 33
Organization of the Dissertation .......................................................................................... 34
Chapter Summary .................................................................................................................. 34
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 8
Chapter 2: Scoping Literature Review and Theoretical Framework 36
Introduction ............................................................................................................................ 36
Overview ................................................................................................................................ 36
Literature Landscape ............................................................................................................ 38
Economic Growth vs. Environmental Preservation ............................................................... 38
Shareowner Value and Stakeholder Capitalism ................................................................... 41
Motivation to “Do Good” ........................................................................................................ 44
Environment, Social, & Governance (ESG) .......................................................................... 47
Triple Bottom Line ................................................................................................................. 49
The Circular Economy .......................................................................................................... 51
The Closed-Loop Supply Chain ............................................................................................ 53
The Automobile Industry ....................................................................................................... 55
Theoretical Framework ......................................................................................................... 59
Open Systems Theory .......................................................................................................... 59
Stakeholder Theory ............................................................................................................... 62
Blended Theoretical Approach: Open Systems and Stakeholder Theories .......................... 65
Alternative Theories .............................................................................................................. 66
Conceptual Framework ......................................................................................................... 69
Chapter Summary .................................................................................................................. 70
Chapter 3: Research Methodology 72
Overview ................................................................................................................................ 72
The Evidence-based Research Framework ......................................................................... 72
Systematic Reviews .............................................................................................................. 73
The Search for Evidence ....................................................................................................... 76
Search Strategy ................................................................................................................... 76
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 9
Databases Searched ............................................................................................................ 76
Search Terms ....................................................................................................................... 77
Inclusion/Exclusion Criteria ................................................................................................... 78
Evidence Summary ................................................................................................................ 78
Data Extraction ...................................................................................................................... 78
Quality Appraisal .................................................................................................................... 79
Analysis and Synthesis Methodology ................................................................................. 81
Overview ............................................................................................................................... 81
Coding and Theme Development ......................................................................................... 81
CERQual Assessment .......................................................................................................... 82
Subject Matter Experts ......................................................................................................... 83
Chapter Summary .................................................................................................................. 84
Chapter 4: Analysis and Findings 85
Introduction ............................................................................................................................ 85
Description of the Data Set/PRISMA .................................................................................... 85
Data Summary and Extraction .............................................................................................. 86
Data Summary ...................................................................................................................... 86
Data Extraction ..................................................................................................................... 87
Quality Appraisal of Data Set ............................................................................................... 87
Coding .................................................................................................................................. 89
Thematic Summary ................................................................................................................ 91
Theme 1: Planet .................................................................................................................... 91
Theme 2: Profit ...................................................................................................................... 92
Theme 3: Partnership ........................................................................................................... 93
Theme 4: Public Policy .......................................................................................................... 94
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 10
Theme 5: Process - Design ................................................................................................... 95
Theme 6: Production ............................................................................................................ 95
Thematic Synthesis ............................................................................................................... 96
CERQual Assessment ........................................................................................................... 97
Revised Conceptual Model/Framework ............................................................................. 100
Chapter Summary ................................................................................................................ 101
Chapter 5: Conclusions and Implications 103
Review of the Research ...................................................................................................... 103
Addressing the Research Question ................................................................................... 103
Implications for Practice ..................................................................................................... 104
Recommendation 1: Continue to Innovate .......................................................................... 105
Recommendation 2: Pursue Patents ................................................................................... 106
Recommendation 3: Remain Active in Public Policy Forums ............................................. 108
Recommendation 4: Focus on Goals .................................................................................. 109
Limitations ............................................................................................................................ 110
Areas for Future Research .................................................................................................. 111
Final Summary ..................................................................................................................... 112
References 113
Appendices 132
Appendix A ........................................................................................................................... 132
Appendix B ........................................................................................................................... 143
Appendix C ........................................................................................................................... 148
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 11
List of Tables
Table 1. 2021 Carbon Emissions Percentages by Selected Country ................................... 20
Table 2. PICOC For Research Question ................................................................................. 32
Table 3. Objectives and Components of ESG (Environmental, Social, and Governance) . 48
Table 4. Business Processes in a Reverse Supply Chain .................................................... 54
Table 5. Definitions of the Components of the CERQual Framework ................................. 83
Table 6. Summary Characteristics of Dataset ........................................................................ 87
Table 7. Journal Rankings by Percentile in Academic Area ................................................. 89
Table 8. MMAT Quality Appraisal Summary ........................................................................... 89
Table 9. Details of Theme Emergence .................................................................................... 90
Tables 10-15. CERQual Evaluation Summary ........................................................................ 97
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 12
List of Figures
Figure 1. Carroll’s Pyramid ...................................................................................................... 45
Figure 2.
Identifying strategies that improve organizational cybersecurity performance and the use of digital healthcare information in the healthcare industry using the integrated IT GRC model: A systematic review
No full textThis is a video to accompany a SOARS poster presented in 2023
Electric Vehicle Manufacturers and the Effort to Establish Competitive Advantage via Closed-Loop Supply Chains
No full textSustainability initiatives are not happening quickly enough and their impacts have not been sufficient to meet the targets put forth to reduce global temperatures and address climate change. Given that the transportation sector generates more greenhouse gases than any other industry, the successful proliferation of electric vehicles (EVs) has the potential to address this business problem. The purpose of this research was to explore how EV manufacturers can gain competitive advantages by conserving resources, reducing air pollution, and addressing climate change through the adoption of closed-loop supply chains. The systematic review methodology employed included forty-four relevant articles and resulted in the emergence of six themes that fell into two categories: results and enablers. The two themes that focused on results dealt with “planet” and “profit” goals and measurements. The other four themes (partnerships, public policy, process/design, and production) represent enablers that allow firms to progress toward their environmental and profitability goals. All six themes can be considered to some degree in order to establish and maintain competitive advantages. This is especially true for a nascent industry like the electric vehicle sector where environmental and economic goals intersect. The research question, “What can EV manufacturers do to utilize closed-loop supply chains to promote sustainability while creating competitive advantages?” was assessed using a novel approach that merged open systems theory and stakeholder theory. The application of this blended theoretical framework combined with the synthesis of evidence contribute recommendations that target innovation, patents, and partnerships that both scholars and practitioners in this dynamic industry will find valuable. The methodology and framework employed in the study are also relevant beyond this particular industry as the findings and recommendations may be applicable to supply chain strategies for firms that remain focused on leveraging their sustainability initiatives into competitive advantages.ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 1
Electric Vehicle Manufacturers and the Effort to Establish Competitive Advantage via
Closed-Loop Supply Chains
Dissertation submitted to the School of Business
University of Maryland Global Campus in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
by
Jeffrey B. Gold
December 2023
Dissertation Committee:
Dr. Richard Milter
Dr. James Gelatt
Dr. Lisa Pearo
Date of Oral Defense: 12/05/2023 ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 2
Abstract
Title of Dissertation: ELECTRIC VEHICLE MANUFACTURERS AND THE EFFORT TO ESTABLISH COMPETITIVE ADVANTAGE VIA CLOSED-LOOP SUPPLY CHAINS
Jeffrey Gold
Doctor of Business Administration, 2023
Sustainability initiatives are not happening quickly enough and their impacts have not been sufficient to meet the targets put forth to reduce global temperatures and address climate change. Given that the transportation sector generates more greenhouse gases than any other industry, the successful proliferation of electric vehicles (EVs) has the potential to address this business problem. The purpose of this research was to explore how EV manufacturers can gain competitive advantages by conserving resources, reducing air pollution, and addressing climate change through the adoption of closed-loop supply chains. The systematic review methodology employed included forty-four relevant articles and resulted in the emergence of six themes that fell into two categories: results and enablers. The two themes that focused on results dealt with “planet” and “profit” goals and measurements. The other four themes (partnerships, public policy, process/design, and production) represent enablers that allow firms to progress toward their environmental and profitability goals. All six themes can be considered to some degree in order to establish and maintain competitive advantages. This is especially true for a nascent industry like the electric vehicle sector where environmental and economic goals intersect. The research question, “What can EV manufacturers do to utilize closed-loop supply chains to promote sustainability while creating competitive advantages?” was assessed using a novel approach that merged open systems theory and stakeholder theory. The application of this blended theoretical framework combined with the synthesis of evidence contribute recommendations that target innovation, patents, and partnerships that both scholars and practitioners in this dynamic industry will find valuable. The methodology and framework ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 3
employed in the study are also relevant beyond this particular industry as the findings and recommendations may be applicable to supply chain strategies for firms that remain focused on leveraging their sustainability initiatives into competitive advantages.
Keywords: sustainability, climate change, closed-loop supply chains, electric vehicles, competitive advantage
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 4
© Copyright by Jeffrey B. Gold
2023
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 5
Dedication
I dedicate this effort to my wife, partner, and love of my life, Robyn. Her patience, not only as I pursued this degree but throughout our time together has been my inspiration. She continues to make me a better person and helps me see things in myself that I would not have seen without her while encouraging me to try to reach to new heights that I never thought were possible. I cannot express my love and gratitude in words.
My children, (Jennifer and Matthew), who are no longer children, also continue to inspire me with their support and encouragement. I am proud of what you both have accomplished thus far in your lives but more importantly, I’m proud of the people that you’ve become.
Finally, I have to acknowledge my parents, Sylvia and David Gold, who not only contributed my DNA, but the supported me in so many ways when I was growing up and even into my adulthood before their passing. I attribute my resourcefulness and the way I treat others to my parents. My older brother, Richard, was also and continues to be an inspiration. A self-made, successful businessman and published author (among other things), he taught me the value of street smarts and influenced my taste in music and movies.
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 6
Acknowledgements
It is difficult to acknowledge everyone that contributed to this initiative because learning is truly a lifelong process, but I will try. In addition to my family, I wouldn’t be who I am without all the friends, fraternity brothers (including one who was a tremendous resource for this research and a subject matter expert), and professional colleagues that I’ve encountered along the way from the streets of Brooklyn, New York, the suburbs of New Jersey, and college campuses in New Brunswick, New Jersey (Rutgers), and College Park, Maryland (Smith School of Business). My work families have included the Bell Atlantic/Verizon teams all across the country. My neighbors in the Baltimore/Washington area and golf buddies molded by philosophy of life – which, by the way, I am still trying to figure out. You all know who you are – and you sometimes know me better than I know myself. You served as both as a sounding board and inspiration.
I also cannot fail to mention my UMGC classmates (the “COVID Cohort”) who did not meet in person until two years into the program. I would not have made it through this boot camp without you, nor without the amazing professors, Academic Program Coordinator, Ms. Marina Caminis, and Ms. Cynthia Thomes, UMGC’s incredible librarian. I also thank my editors, Dr. Michael Poock and Dr. Jessica Strock, for their guidance and technical writing input along the way.
Finally, I have to acknowledge Dr. Milter. You advised, guided, motivated, and helped me develop the best product that I could create. I am proud to have your name on the cover page with me along with committee members, Dr. Gelatt and Dr. Pearo whose input was indispensable in finalizing this document.
I could not have done this without all of you, so please consider this a heartfelt thank you.
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 7
Table of Contents
Abstract ...................................................................................................................................... 2
Dedication ................................................................................................................................... 5
Acknowledgements .................................................................................................................... 6
Table of Contents ........................................................................................................................ 7
List of Tables ............................................................................................................................. 11
List of Figures ........................................................................................................................... 12
Abbreviations ............................................................................................................................ 13
Chapter 1: Introduction and Overview 15
Introduction ............................................................................................................................ 15
Background ............................................................................................................................ 16
Systematic Review Process .................................................................................................. 16
Sustainability ......................................................................................................................... 17
Greenhouse Gases and the Power Grid ............................................................................... 21
Business Engagement .......................................................................................................... 23
Early US Environmental Initiatives and Public Opinion ......................................................... 24
The Automobile Industry ....................................................................................................... 26
Electric Vehicle Manufacturing .............................................................................................. 28
Problem Statement and Signficance of the Problem ......................................................... 30
Research Question ................................................................................................................ 31
Rationale for the Study .......................................................................................................... 32
Definitions and Terminology ................................................................................................ 33
Organization of the Dissertation .......................................................................................... 34
Chapter Summary .................................................................................................................. 34 ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 8
Chapter 2: Scoping Literature Review and Theoretical Framework 36
Introduction ............................................................................................................................ 36
Overview ................................................................................................................................ 36
Literature Landscape ............................................................................................................. 38
Economic Growth vs. Environmental Preservation ............................................................... 38
Shareowner Value and Stakeholder Capitalism ................................................................... 41
Motivation to “Do Good” ........................................................................................................ 44
Environment, Social, & Governance (ESG) .......................................................................... 47
Triple Bottom Line ................................................................................................................. 49
The Circular Economy .......................................................................................................... 51
The Closed-Loop Supply Chain ............................................................................................ 53
The Automobile Industry ....................................................................................................... 55
Theoretical Framework .......................................................................................................... 59
Open Systems Theory .......................................................................................................... 59
Stakeholder Theory ............................................................................................................... 62
Blended Theoretical Approach: Open Systems and Stakeholder Theories .......................... 65
Alternative Theories .............................................................................................................. 66
Conceptual Framework ......................................................................................................... 69
Chapter Summary .................................................................................................................. 70
Chapter 3: Research Methodology 72
Overview ................................................................................................................................ 72
The Evidence-based Research Framework ......................................................................... 72
Systematic Reviews ............................................................................................................... 73
The Search for Evidence ....................................................................................................... 76
Search Strategy ................................................................................................................... 76 ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 9
Databases Searched ............................................................................................................ 76
Search Terms ....................................................................................................................... 77
Inclusion/Exclusion Criteria ................................................................................................... 78
Evidence Summary ................................................................................................................ 78
Data Extraction ...................................................................................................................... 78
Quality Appraisal .................................................................................................................... 79
Analysis and Synthesis Methodology ................................................................................. 81
Overview ............................................................................................................................... 81
Coding and Theme Development ......................................................................................... 81
CERQual Assessment .......................................................................................................... 82
Subject Matter Experts .......................................................................................................... 83
Chapter Summary .................................................................................................................. 84
Chapter 4: Analysis and Findings 85
Introduction ............................................................................................................................ 85
Description of the Data Set/PRISMA .................................................................................... 85
Data Summary and Extraction .............................................................................................. 86
Data Summary ...................................................................................................................... 86
Data Extraction ..................................................................................................................... 87
Quality Appraisal of Data Set ................................................................................................ 87
Coding ................................................................................................................................... 89
Thematic Summary ................................................................................................................ 91
Theme 1: Planet ..................................................................................................................... 91
Theme 2: Profit ...................................................................................................................... 92
Theme 3: Partnership ........................................................................................................... 93
Theme 4: Public Policy .......................................................................................................... 94 ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 10
Theme 5: Process - Design ................................................................................................... 95
Theme 6: Production ............................................................................................................. 95
Thematic Synthesis ............................................................................................................... 96
CERQual Assessment ........................................................................................................... 97
Revised Conceptual Model/Framework ............................................................................. 100
Chapter Summary ................................................................................................................ 101
Chapter 5: Conclusions and Implications 103
Review of the Research ....................................................................................................... 103
Addressing the Research Question ................................................................................... 103
Implications for Practice ..................................................................................................... 104
Recommendation 1: Continue to Innovate ........................................................................... 105
Recommendation 2: Pursue Patents ................................................................................... 106
Recommendation 3: Remain Active in Public Policy Forums ............................................. 108
Recommendation 4: Focus on Goals ................................................................................... 109
Limitations ............................................................................................................................ 110
Areas for Future Research .................................................................................................. 111
Final Summary ..................................................................................................................... 112
References 113
Appendices 149
Appendix A ........................................................................................................................... 149
Appendix B ........................................................................................................................... 160
Appendix C ........................................................................................................................... 165
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 11
List of Tables
Table 1. 2021 Carbon Emissions Percentages by Selected Country ................................... 20
Table 2. PICOC For Research Question .................................................................................. 32
Table 3. Objectives and Components of ESG (Environmental, Social, and Governance) . 48
Table 4. Business Processes in a Reverse Supply Chain .................................................... 54
Table 5. Definitions of the Components of the CERQual Framework .................................. 83 Table 6. Summary Characteristics of Dataset ........................................................................ 87 Table 7. Journal Rankings by Percentile in Academic Area ................................................. 89 Table 8. MMAT Quality Appraisal Summary ........................................................................... 89 Table 9. Details of Theme Emergence .................................................................................... 90
Tables 10-15. CERQual Evaluation Summary ........................................................................ 97
ELECTRIC VEHICLE MANUFACTURERS AND CLOSED LOOP SUPPLY CHAINS 12
List of Figures
Figure 1. Carroll’s Pyramid ..........................................................................