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The impact of selected leadership styles and behaviors on employee motivation and job satisfaction
No full textLeadership is a complex concept that involves the interrelationship between the leader, the follower, and the organizational context. As a result, the study of leadership has sparked the interest of management researchers for extended periods of time. As organizations evolve with the influence of globalization and technology, the definition of leadership has shifted to include not only the influence over members of a group, but also the ability to motivate others in assisting the organization with meeting its goals, mission, and objective. This dissertation explored selected leadership styles and behaviors in order to investigate the relationship between leadership style and behaviors, employee motivation, and job satisfaction. Systematic review methodology and evidence-based research was used for this study. Findings indicated that leadership entails a combination of styles and behaviors and there is no single leadership style/behavior that is appropriate for all situations. The study further validated that the selected leadership style/behavior of an organization has both positive and negative impact on employee motivation and job satisfaction to varying degrees. More empirical studies are needed to provide management with evidence that can be used to manage the new forms of organizational structures that are emerging in today’s technology driven work force.Running Head: LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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The Impact of Selected Leadership Styles and Behaviors on
Employee Motivation and Job Satisfaction
Francisca Agboli Chukwura
Dissertation submitted to the Faculty of the Graduate School of the
University of Maryland University College
in partial fulfillment of the requirements for the degree of
Doctor of Management
Dissertation Advisory Committee:
G. David Andersen, EdD
Eric B. Dent, PhD
March 2017
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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Abstract
Leadership is a complex concept that involves the interrelationship between the leader, the
follower, and the organizational context. As a result, the study of leadership has sparked the
interest of management researchers for extended periods of time. As organizations evolve with
the influence of globalization and technology, the definition of leadership has shifted to include
not only the influence over members of a group, but also the ability to motivate others in
assisting the organization with meeting its goals, mission, and objective. This dissertation
explored selected leadership styles and behaviors in order to investigate the relationship between
leadership style and behaviors, employee motivation, and job satisfaction. Systematic review
methodology and evidence-based research was used for this study. Findings indicated that
leadership entails a combination of styles and behaviors and there is no single leadership
style/behavior that is appropriate for all situations. The study further validated that the selected
leadership style/behavior of an organization has both positive and negative impact on employee
motivation and job satisfaction to varying degrees. More empirical studies are needed to provide
management with evidence that can be used to manage the new forms of organizational
structures that are emerging in today’s technology driven work force.
Keywords: leadership, motivation, job satisfaction, transformational leadership
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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Acknowledgements
I would like to thank my dissertation advisors, Dr. Eric Dent and Dr. David Andersen.
To Dr. Dent, thank you for your advice and guidance in selecting a topic. You helped me get the
clarity I needed to embark on this journey. Dr. Andersen, I will never be able to thank you
enough for your kindness, continuous words of encouragement, and sense of humor. I will
always remember the “comma rule” even in my everyday writing. I would also like to thank Dr.
Bryan Booth and the extended DM Program faculty and staff for their continuous support and
positive reinforcement throughout the years.
This accomplishment would not have been possible without the inspiration, support, and
encouragement of my entire family. My parents, Dr. and Mrs. Chris Agboli, who have been my
role models all my life. To my husband, Udo, and my three wonderful children, Obi, Amaka,
and Zitem, thank you for your love, patience, and sacrifice. To my siblings, thank you for
cheering me on and always assisting whenever I needed help. I also thank my friends and co-workers
for their encouragement to keep pushing to get it done. You are all truly the wind
beneath my wings! Special thanks to my expert panel reviewers, Dr. Patrick Ebri, Dr. Hammad
Elbedour, and Dr. Paul Jaikaran, for your encouragement, time, and feedback.
Finally and most importantly, I thank God for the strength and the grace to complete this
journey.
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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Dedication
This dissertation is dedicated to my parents, Mrs. Patricia Ofili Agboli and Dr. Chris
Agboli, who taught me the meaning of hard work and sacrifice.
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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Table of Contents
Abstract .......................................................................................................................................... 2
Acknowledgements ......................................................................................................................... 3
Dedication ...................................................................................................................................... 4
Table of Tables ............................................................................................................................... 8
Table of Figures .............................................................................................................................. 9
CHAPTER 1: INTRODUCTION ................................................................................................. 10
Background ............................................................................................................................... 12
Leadership Styles and Behavior ............................................................................................ 12
Employee Motivation ............................................................................................................ 18
Employee Job Satisfaction ..................................................................................................... 21
Statement and Significance of the Problem .............................................................................. 24
Purpose of the Study ................................................................................................................. 25
Significance to Management Practice and Scholarship ............................................................ 26
Research Questions ................................................................................................................... 27
Propositions ............................................................................................................................... 28
Organization of the Dissertation ............................................................................................... 29
CHAPTER 2: METHODOLOGY ................................................................................................ 31
Discussion of Evidence-Based Research and Methodology ..................................................... 31
Discussion of Scholarly Research Evidence Tools and Methods ............................................. 34
Stages and Tasks of the Systematic Review .......................................................................... 36
Research Questions ................................................................................................................ 36
Theoretical Framework .......................................................................................................... 37
Inclusion and Exclusion Criteria ........................................................................................... 37
Search Strategy and Criteria .................................................................................................. 38
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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Quality and Relevance of Identified Studies ......................................................................... 39
Analysis and Integration of Evidence .................................................................................... 40
Interpretation and Presentation of Findings ........................................................................... 40
Presentation and Discussion of the Expert Panel ...................................................................... 41
Panel Members .................................................................................................................... 42
Panel Member’s Comments ................................................................................................... 43
Summary .................................................................................................................................. 44
CHAPTER 3: SYSTEMATIC REVIEW OF THE LITERATURE ............................................. 45
Identification and Discussion of the Theoretical Lens .......................................................... 45
Leadership: Path-goal Theory ............................................................................................... 46
Motivation: Expectancy and Self-Determination Theories ................................................... 47
Job Satisfaction: Situational Theories’ Lens ......................................................................... 49
Critical Review and Evaluation of the Literature ...................................................................... 51
Leadership Style: Impact on Employee Job Satisfaction ...................................................... 51
Leadership Style: Impact on Employee Motivation .............................................................. 83
Review of the Research Propositions ...................................................................................... 117
Summary ................................................................................................................................ 118
CHAPTER 4: CONCEPTUAL FRAMEWORK ........................................................................ 119
The Message in the Literature Review .................................................................................... 119
Conceptual Framework ........................................................................................................... 120
Summary ................................................................................................................................ 124
CHAPTER 5: ANALYSIS AND DISCUSSION OF FINDINGS ............................................. 125
Findings Pertinent to Study Purpose ....................................................................................... 125
Research Question 1: Presentation, Summary, and Analysis of the Findings ..................... 126
Research Question 2: Findings and Analysis ...................................................................... 134
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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Conclusions ............................................................................................................................. 139
Alternative Perspectives .......................................................................................................... 141
Summary ................................................................................................................................ 142
CHAPTER 6: CONCLUSIONS, IMPLICATIONS, AND TRENDS ........................................ 143
Overall Conclusions ................................................................................................................ 143
Implications for Management/Practitioner .............................................................................. 146
Implications of Emerging Trends ............................................................................................ 149
Limitations and Areas for Future Research ............................................................................. 151
Summary ................................................................................................................................ 152
References .................................................................................................................................. 154
Appendix A: Expert Panel Feedback Questionnaire .................................................................. 169
Appendix B: Expert Panel Response .......................................................................................... 171
Appendix C: Summary of Included Studies ............................................................................... 177
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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Table of Tables
Table 1: Stages for Systematic Review, with Tasks ..................................................................... 36
Table 2: Search Strategy Database Results ................................................................................... 39
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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Table of Figures
Figure 1: The conceptual framework .......................................................................................... 120
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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CHAPTER 1: INTRODUCTION
Organizations are social systems where human resources interact with their environment
and, more importantly, with their managers and supervisors. The type and level of interaction is
usually dictated by the leadership style and the overall culture of the organization. It is,
therefore, not surprising that organizations spend a substantial amount of time and money on
enhancing the skills and competencies of managers. Organizations are constantly seeking ways
to develop leaders who will guide subordinates to perform effectively in achieving organizational
goals. In essence, the success or failure of an organization depends on the efficiency and
effectiveness of its workforce and the guidance it receives from leadership (Avolio &
Yammarino, 2002; Keskes, 2014, p. 37).
The subject of leadership and leadership style has always been an important topic of
study in the field of management. The definition of a leader and the approach to leadership has
evolved over time from the trait era, where leaders were thought to possess specific physical
attributes, to the more recent era of transformational leadership that focuses on a leader’s ability
to intellectually stimulate and inspire employees. Studies in a variety of industries ranging from
academia to the manufacturing industry have found that leadership style impacts multiple aspects
of the organization including, employee turnover, absenteeism, motivation, and job satisfaction
(Dixon & Hart, 2010; McKee, 1991).
Employee motivation and job satisfaction are key aspects that impact the quality of
organizational work, the reduction of turnover, the containment of costs, and the development of
satisfying and productive work relations (Timmereck, 2001, p. 44). Motivation and job
satisfaction are often described as two sides of the same coin. Criticism of early motivation
theorists such as Maslow, Herzberg, and Alderfer, has suggested that their theories of motivation
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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were actually theories of satisfaction. Even with such criticism, the correlation of motivation and
job satisfaction to the quality of organizational work has made a significant contribution to the
understanding of organizational behavior (Graham & Messner, 1998; House & Wigdor, 1967).
Motivating employees has persistently consumed the thoughts of leadership within
organizations. Motivation refers to forces that energize, direct, and sustain an individual’s
efforts or willingness to exert effort to achieve a goal (Bateman & Snell, 2011). Organizations
implement incentive programs, corporate pep talks, and other types of administrative policies to
motivate employees so as to increase job satisfaction, which can be manifested through increased
confidence and loyalty, and ultimately improve the quality of employees’ outputs (Tietjen, Mark,
& Myers, 1998).
Job satisfaction has been defined as the degree to which people like their jobs (Bruck,
Allen, & Spector, 2002. p. 338). It is the most frequently studied variable in organizational
behavior research (Bruck et al., 2002). Numerous studies have examined the relationship of
leadership styles and leadership effectiveness to employee job satisfaction, self-esteem,
development opportunities, accomplishment, job expectation, and participation (Avolio, Bass, &
Jung, 1999; Graham & Messner, 1998).
In a survey of community college faculty, McKee (1991) sought to determine faculty
perceptions of the leadership styles of community college presidents. Questionnaires and
instruments for measuring faculty perception were used to explore the correlation between
perceived leadership styles and faculty job satisfaction. The results indicated a high correlation
between leadership styles and job satisfaction. McKee (1991) identified that employees are no
longer motivated or satisfied with command leadership or the traditional leadership approaches
used in the past, but are more receptive to leadership styles, such as participatory leadership, that
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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recognize and address the need for workforce interaction. Findings from studies such as these
indicate that leadership style strongly impacts followers’ job satisfaction and their willingness to
exert extra effort to achieve organizational goals.
Researchers have measured several factors to assess their impact of on job satisfaction,
including human resource practices such as compensation, benefits, and flexible working hours
(Petrescu & Simmons, 2008; Verma & Sandhar, 2013) as well as organizational culture (Lund,
2003). However, the role of leadership style appears to play a far more significant role on
organizational effectiveness than any of these factors (Kennerly, 1989).
Background
There is a strong history of insight into leadership through studies in the areas of
leadership styles and behavior, employee motivation, and employee job satisfaction, and their
interaction as they impact organizations. The study of organizational leadership theories reveals,
among other things, the impact of leadership on employee motivation and job satisfaction.
Leadership Styles and Behavior
Leaders and the concept of leadership seemingly exist in every kind of organization from
schools to churches, political parties, institutions, and corporations. The term leader can be
defined as one who influences others to attain goals. Leaders combine the strategic vision of the
organization with effective interpersonal skills to develop and implement strategies that produce
results and sustainable competitive advantage (Bateman & Snell, 2011). In summary, a leader
guides staff and subordinates to work effectively toward organizational goals.
There is no universally accepted definition of leadership. Most definitions have basic
elements or a common theme that includes group influence and goals. A “goal” is broadly
defined as the relationship between an individual and a group built around some common interest
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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where the group behaves in a manner directed or determined by the leader (Ali, Sidlow, &
Guleid, 2013; Keskes, 2014). Or, as Val and Kemp (2012) stated so succinctly, leadership is the
ability to move a group toward a common goal that would not be met if a leader had not been
there. Leadership, then, is about setting a direction or developing a vision of the future,
accompanied by the necessary strategies for producing change to achieve that vision (Brecken,
2004). Leadership is also a process by which a person influences others to accomplish an
objective and directs the organization in a way that makes it more cohesive and coherent (Avolio
& Yammarino, 2002; Barling, 2014). It plays a vital role in how the organization will be
inspired, guided, and corrected, and how it will provide the discipline needed to achieve desired
goals and objectives (Keskes, 2014, p. 32).
Leadership style is an individual’s pattern of behavior within an organization that impacts
how the organization’s mission, objective, and goals are accomplished. Hersey and Blanchard
(1993) see leadership style as the pattern of behaviors that leaders display during their work with
and through others. These relatively stable patterns of leadership behaviors (Eagly, Johannesen,
& van Engen, 2003) are the methods by which managers and supervisors engage with
subordinates. A chosen method can manifest itself in many ways, such as direct rewards and
recognition for job performance.
Interest in the study of leadership and leadership styles has remained vibrant over the
years. There is an abundance of literature in the management field on leadership, with each
researcher trying to investigate characteristics of good leaders and identify which leadership style
is most suited to influencing employees to work towards a shared vision and achieve
organizational objectives. The debate over what exemplifies a good leader has evolved over
time. More traditional, early approaches are seen as the Trait Era (1800-1940), the Behavior Era
LEADERSHIP AND EMPLOYEE MOTIVATION AND SATISFACTION
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(
Artificial neural networks: A systematic review of their efficacy as an innovative resource for healthcare practice managers
No full textBackground: Much of the current literature on human decision making in the healthcare setting has documented clear evidence of bias and heuristic thinking in the process of making a diagnostic or prognostic assessment. The evidence suggests that such unrecognized practice errors occur in as much as 15% of all cases (Berner & Graber, 2008). It also suggests that the severity of such errors tends to be high, affecting the patient’s long-term outcomes (Graber, Franklin, & Gordon, 2005). A leading topic in the healthcare industry, and in clinical practice management, is around the development and use of machine-learning tools to provide additional guidance to the practicing clinician as a means to improve quality and reduce costs. And while there has been a great deal of research-based use of these tools over the last few decades, there has been almost no study of their usage in direct clinical practice, and very little research in their efficacy in actual practice.
Purpose: The purpose of this study is to examine the efficacy of such an innovative machine-learning technology, the Artificial Neural Network (ANN), and to ascertain its value to clinical practice for a diagnostic or prognostic assessment device. ANNs are often employed as classifiers that can determine likely relationships amongst input parameters and generate expected classifications. In a healthcare practice, this would mean providing a clinician with an expected diagnosis or prognosis based on case-specific data given to a trained ANN, and integrating that ANN tool into the clinical workflow. This study attempts to address the gap between ANN use in research versus practice by demonstrating that if the efficacy of the ANN tool is substantiated in the research literature then its application to management practice in the clinical setting is justified. In order to accomplish that, this study was set to determine two aspects of ANN use where they are readily found—in the research literature. A systematic review of the literature on ANN applications in healthcare was done in order to answer two research questions: • RQ1: When ANN models have been used in healthcare studies, were they applied effectively as a high precision diagnostic or prognostic tool? • RQ2: Of those ANN studies analyzed, under what conditions and/or what applications have they tended to perform with greater effectiveness (and, conversely, where have they not done so)?
Methodology: A literature search was done for healthcare studies that used ANNs as their primary focus, resulting in an initial selection of 364 studies from three separate search groups. After reviewing the candidate selections, eliminating duplicates, and using a Weight of Evidence assessment, the selection set was reduced to 74. Of those, each was examined as to the efficacy and performance of the ANN, as well as its design, context, and clinical application, with the results tabulated to address the two research questions above. The findings of this study indicated that there is strong support for ANN efficacy in research (RQ1), and there is reasonably suggestive value for their application to clinical practice in the area of cancer diagnosis (and even more specifically, in breast cancer diagnosis).
Limitations: The limitations of this study include that there were an insufficient number of studies to offer a stronger response to RQ2. This study also limited its review to only ANN machine-learning tools and not alternative Bayesian applications of that technology. As well, from the review of the extant literature on implementing innovative technologies in healthcare, it was found that financial assessments are exceedingly difficult, especially those technologies with do not lend themselves to a return-on-investment analysis (e.g., their application is not service-based, like an MRI, a diagnostic laboratory test, or a new medication). Finally, this study did not examine the implementation concerns for ANN technologies, such as resistance to change, although some of those were briefly discussed.
Conclusions/Implications: ANN technology has been used extensively in clinical research studies but has rarely been engaged in healthcare practice. The study provided some measure of support for their use as a clinical consultant for practitioners as a means to reduce error and improve assessment quality. A model of practice implementation for ANNs, the Data Refinery using an ANN with a Nudge (DRAWN, based upon prior work by Gant, Rodway, and Wyatt (2001), was proposed to help guide the clinical manager in integrating ANNs into clinical workflows. This model, treated as a disruptive innovation, could be used in pilot implementation projects as a means of solidifying the value of ANNs to practitioners and to assist in furthering and expanding their clinical use in practice. (Abstract shortened by ProQuest.)Running head: ANN EFFICACY IN HEALTHCARE – A SYSTEMATIC REVIEW 1 Artificial Neural Networks: A systematic review of their efficacy as an innovative resource for healthcare practice managers.
Jeffrey H. Axt
University of Maryland University College
ANN EFFICACY IN HEALTHCARE – A SYSTEMATIC REVIEW 2
TABLE OF CONTENTS
Acknowledgment and Dedication ....................................................................................................6
Abstract ...........................................................................................................................................8
I. Chapter 1 – Introduction ....................................................................................................11
A. Background ............................................................................................................11
B. The Purpose of this Research .................................................................................12
C. The Management Problem .....................................................................................13
D. The Artificial Neural Network ...............................................................................13
E. The Value of ANNs to Clinical Practice................................................................15
F. Organization and Rationale....................................................................................18
G. Study Design and Approval ...................................................................................22
H. Research Questions ................................................................................................25
I. Objectives ..............................................................................................................25
II. Chapter 2 – Literature Review ...........................................................................................27
A. ANN Use in Research ............................................................................................27
B. Defining Effectiveness for ANN Applications .......................................................29
C. Measures of ANN Performance .............................................................................32
D. Prior Work in ANN Application Review in Healthcare ........................................36
E. ANN Cost versus Value in Healthcare ..................................................................39
F. The ANN as a Disruptive Innovation ....................................................................43
G. Change Management and New Technologies........................................................45
III. Chapter 3 – Conceptual Framework ..................................................................................47
A. Managerial Decision Making .................................................................................49 ANN EFFICACY IN HEALTHCARE – A SYSTEMATIC REVIEW 3
B. The Nudge ..............................................................................................................50
C. The Concept Model Proposition ............................................................................53
D. Understanding the Potential for ANN Use in Practice ..........................................59
E. Dynamic Clinical Decision-making Logic Chain ..................................................62
IV. Chapter 4 – Methodology ..................................................................................................64
A. Initial Search Protocol Design ...............................................................................65
B. Information Sources and the Boolean Search Criteria ...........................................66
C. Abstract Review and Analysis ...............................................................................68
D. Weight of Evidence Analysis.................................................................................70
E. Weight of Evidence Analysis Questions................................................................71
F. Final WoE Determination ......................................................................................74
G. Data Collection Process .........................................................................................74
H. Data Element Extraction for RQ Analysis .............................................................76
I. Examples of Data Extraction .................................................................................78
V. Chapter 5 – Research Findings and Discussion .................................................................81
A. Research Question Data Analysis ..........................................................................81
1. Evaluation regarding research question #1 ................................................81
2. Evaluation regarding research question #2 ................................................85
B. Unanticipated Data Findings from the Reviewed Studies .....................................92
C. Discussion ..............................................................................................................96
VI. Chapter 6 –Implications for Clinical Practice and Healthcare Management .....................97
A. Implications of the Research Question Findings ...................................................97
1. Lack of Clinician Familiarity with ANN Tools and Concepts ..................98 ANN EFFICACY IN HEALTHCARE – A SYSTEMATIC REVIEW 4
2. Piloting Approach and Practice Development Center ...............................99
3. Existing Research Demonstrating Practitioner ANN-use Success ..........101
B. Post-study Implications for ANNs in Practice .....................................................102
1. ANN application delivery ........................................................................102
2. Implementing the DRAWN Model ..........................................................103
C. The Evidence in Support of ANN Value to Practice ...........................................106
1. DRAWN Practice Implications................................................................106
D. Limitations ...........................................................................................................108
E. The Healthcare Manager’s Point-of-View ...........................................................109
1. Future Research Considerations ..............................................................110
2. DRAWN Implications Beyond Healthcare ..............................................111
F. The Future of AI Use in Healthcare .....................................................................112
G. Conclusions and the Future of Healthcare Practice .............................................114
VII. References ........................................................................................................................116
VIII. Appendix A – An Overview of ANNs .............................................................................134
A. Introduction ..........................................................................................................134
B. ANN Structure .....................................................................................................135
C. Validation and Testing .........................................................................................140
D. Additional Resources ...........................................................................................141
E. The Value of ANNs to Healthcare Research .......................................................142
IX. Appendix B – The PRISMA Statement ...........................................................................145
X. Appendix C – Predictive Tool Comparison .....................................................................148
XI. Appendix D – ANN Application Usage in Healthcare Research Publications ...............149 ANN EFFICACY IN HEALTHCARE – A SYSTEMATIC REVIEW 5
XII. Appendix E – Proposition Logic Chain Table .................................................................150
XIII. Appendix F – PRISMA Flow Diagram ...........................................................................153
XIV. Appendix G – References for Analyzed Studies .............................................................154
XV. Appendix H – Weight of Evidence Analysis Matrix .......................................................173
XVI. Appendix I – Research Question Analysis Matrix ..........................................................177
XVII. Appendix J – Coding Examples .......................................................................................180
XVIII. Appendix K – Clinical Applications Tally ......................................................................220
XIX. Appendix L – Actual Predictive Power by Study ............................................................222
Running head: ANN EFFICACY IN HEALTHCARE – A SYSTEMATIC REVIEW 6 Acknowledgment and Dedication
As with any work of this magnitude there are many whose contributions, criticisms, insights, and sheer patience, that must be recognized. Indeed, this work provides just such an opportunity to bestow such recognition across a broad spectrum of contributors and reviewers. First among them, and with great appreciation for his guidance and tutelage in the dissertation process, would be the input of Dr. Timothy Belliveau, my long-time collaborator and friend who helped to keep the ship on-course despite the seemingly unyielding waves that tossed it about on occasion. His insight and the sometimes-subtle suggestions provided me with the strength to continue when parts of me felt doubt. I look forward to future collaborations with him in furthering this fledgling science of clinical decision making augmented by new, advanced machine-learning technologies. And in that same vein, a great deal of appreciation must be granted to Dr. Paolo Lisboa, who, at a key juncture, gave me invaluable feedback and guidance on where to focus my attention, along with noting some pitfalls to be avoided.
Next, although certainly to no less degree, are my two dissertation advisors, Dr. Walter “Chris” Cason and Dr. John Sherlock. This relationship was in many ways a two-way street, bringing them up-to-speed on the unfamiliar technology of artificial neural networks, while they would stress the necessity for a managerial focus for this research. However, be assured that it was I who benefited from both directions – gaining clarity and refinement to my study while simultaneously preparing me for both the defense and the post-publication arguments that would be required. As we agreed early on, this work has two audiences, those with a more technical lean that might recognize this new opportunity for engaging machine-learning tools, and those from the managerial cadre so well represented at UMUC that were looking for ways to apply research to actual practice (clinical or otherwise). I trust I fulfilled both viewpoints through this ANN EFFICACY IN HEALTHCARE – A SYSTEMATIC REVIEW 7
effort, yet I acknowledge that this work barely scratches the surface of what is needed to improve healthcare practice. If it only serves to initiate the conversation in circles that had not yet engaged it, then I consider the effort a resounding success. Yet were it not for these two esteemed doctors and their insightful (and, at times, “incite-full”) commentary, the end product would indeed be of far less value, if of value at all, to its key readers.
And no less gratitude is due to the numerous reviewers and consultants who gave me guidance along the way. Many of those are executives and peers at Hospital for Special Care, my place of employment. To begin, I thank Dr. Roger Thrall, Director of Research, not just for his astute review of my early version of this work, but for his encouragement for its completion. To both Ms. Laurie Whelan, CFO, and Ms. Michelle Milczanowski, Grant Writer, for taking the time to provide their perspectives on financing technologies in healthcare. To Mr. Stanislaw Jankowski, CIO, and the entire Information Technology team, who put up with my sporadic requests for time off to complete major portions of this work. And to Dr. John Votto, CMO and ex-CEO, and others on the medical staff, for their encouragement and feedback on the research as it developed. And, finally, to my editor, Sarah Johnston, who somehow turned my jargon into comprehensible text.
But I would be deeply remiss if I neglected the other side of the table – my family – to whom I dedicate this work. To my wife, Suzanne, who put up with endless absences (for social activities as well as for those mundane chores at home) for four years, continuously encouraging me with words of comfort and confidence over that time. And to my three daughters, Jody, Jessica, and Dawn, for putting up with a “missing father” on those so many occasions when I really should have been there for them. And, finally, to my extended family (Bhakti, Mike, and the gang up in Saratoga Springs, NY) for all their support over those years.Running head: ANN EFFICACY IN HEALTHCARE – A SYSTEMATIC REVIEW 8 Abstract
Background: Much of the current literature on human decision making in the healthcare setting has documented clear evidence of bias and heuristic thinking in the process of making a diagnostic or prognostic assessment. The evidence suggests that such unrecognized practice errors occur in as much as 15% of all cases (Berner & Graber, 2008). It also suggests that the severity of such errors tends to be high, affecting the patient’s long-term outcomes (Graber, Franklin, & Gordon, 2005). A leading topic in the healthcare industry, and in clinical practice management, is around the development and use of machine-learning tools to provide additional guidance to the practicing clinician as a means to improve quality and reduce costs. In addition, while there has been a great deal of research-based use of these tools over the last few decades, there has been almost no study of their usage in direct clinical practice and very little research in their efficacy in actual practice.
Purpose: The purpose of this study is to examine the efficacy of such an innovative machine-learning technology, the Artificial Neural Network (ANN), and to ascertain its value to clinical practice as a diagnostic or prognostic assessment device. ANNs are often employed as classifiers that can determine likely relationships amongst input parameters and generate expected classifications. In a healthcare practice, this would mean providing a clinician with an expected diagnosis or prognosis based on case-specific data given to a trained ANN, and integrating that ANN tool into the clinical workflow. This study attempts to address the gap between ANN use in research versus practice by demonstrating that if the efficacy of the ANN tool is substantiated in the research literature then its application to management practice in the clinical setting is justified. In order to accomplish that, this study was set to determine two aspects of ANN use where they are readily found – in the research literature. A systematic ANN EFFICACY IN HEALTHCARE – A SYSTEMATIC REVIEW 9
review of the literature on ANN applications in healthcare was done in order to answer two research questions:
RQ1: When ANN models have been used in healthcare studies, were they applied effectively as a high precision diagnostic or prognostic tool?
RQ2: Of those ANN studies analyzed, under what conditions and/or what applications have they tended to perform with greater effectiveness (and, conversely, where have they not done so)?
Methodology: A literature search was done for recent healthcare studies that used ANNs as their primary focus, resulting in an initial selection of 364 studies from three separate search groups. After reviewing the candidate selections, eliminating duplicates, and using a Weight of Evidence assessment, the selection set was reduced to 74. Of those, each was examined as to the efficacy and performance of the ANN, as well as its design, context, and clinical application, with the results tabulated to address the two research questions above. The findings of this study indicated that there is strong support for ANN efficacy in research (RQ1), and there is reasonably suggestive value for their application to clinical practice in the area of cancer diagnosis (and even more specifically, in breast cancer diagnosis).
Limitations: The limitations of this study include that there were an insufficient number of studies to offer a stronger response to RQ2. This study also limited its review to only ANN machine-learning tools and not alternative Bayesian applications of that technology. As well, from the review of the extant literature on implementing innovative technologies in healthcare,
Managerial decision-making influencers of the United States in for-profit multinational organizations: A national culture perspective
No full textNational culture is recognized as an influencing factor in an organization’s decision-making process. In a global economy, where multinational organizations (MNOs) increasingly include expatriate managers, it is critical for managers to be sensitive to cultural characteristics that influence employee behavior. Evidence suggests that a lack of understanding of the differences between a home nation’s and a host nation’s cultural characteristics have negatively influenced managerial decision-making, resulting in operational problems in MNOs. While it has been recognized that managers follow organizational decision-making processes, research has indicated that these decisions are also influenced by a manager’s home culture. However, there is limited scholarly literature available about the specific cultural characteristics that influence decisions made by expatriate U.S. managers employed in for-profit MNOs. This gap adversely influences the development of both management theory and practice. This dissertation answers the research question, “What are the cultural characteristics that influence decision-making by expatriate U.S. managers in for-profit MNOs in host countries?” Through a systematic review using thematic synthesis, this dissertation evaluates the existing research on national cultures, decision-making, and the differences between managers in the United States and identifies approaches that US practitioners could apply when they are abroad in host countries. The systematic review helps answer the research question, where the cultural characteristics were identified from the national culture models of: Trompenaars, GLOBE, and Hofstede. An understanding of these cultural influences can enable both managers and U.S. for-profit MNOs to make effective decisionsManagerial Decision-Making Influencers of the United States in For-Profit Multinational Organizations: A National Culture Perspective
Vikram Paramasivan
A Thesis
Submitted to the
Graduate Faculty of
University of Maryland University College
in Partial Fulfillment of
The Requirements for the Degree
of
Doctor of Management
Dissertation Committee:
James P. Gelatt, Ph.D.
Kathleen F. Edwards, Ph.D.
December 30, 2015ii
Abstract
National culture is recognized as an influencing factor in an organization’s decision-making process. In a global economy, where multinational organizations (MNOs) increasingly include expatriate managers, it is critical for managers to be sensitive to cultural characteristics that influence employee behavior. Evidence suggests that a lack of understanding of the differences between a home nation’s and a host nation’s cultural characteristics have negatively influenced managerial decision-making, resulting in operational problems in MNOs. While it has been recognized that managers follow organizational decision-making processes, research has indicated that these decisions are also influenced by a manager’s home culture. However, there is limited scholarly literature available about the specific cultural characteristics that influence decisions made by expatriate U.S. managers employed in for-profit MNOs. This gap adversely influences the development of both management theory and practice. This dissertation answers the research question, “What are the cultural characteristics that influence decision-making by expatriate U.S. managers in for-profit MNOs in host countries?” Through a systematic review using thematic synthesis, this dissertation evaluates the existing research on national cultures, decision-making, and the differences between managers in the United States and identifies approaches that US practitioners could apply when they are abroad in host countries. The systematic review helps answer the research question, where the cultural characteristics were identified from the national culture models of:Trompenaars, GLOBE, and Hofstede. An understanding of these cultural influences can enable both managers and U.S. for-profit MNOs to make effective decisions.
Keywords: United States, national culture, decision-making, multinational organization iii
Dedication
I dedicate my dissertation to my dear wife Bhuvana, kids Rujula and Sriniti, without their love, patience, support, and encouragement; I would not have been able to complete this intellectual journey. You have inspired me and ensured I did not lose my sight in this scholarly adventure.
My gratitude to my parents Dr. C.S. Paramasivan and Syamala Paramasivan, who instilled the importance of lifelong learning that, enabled me to start this journey. Thanks to my in-laws Mr. M.B. Sethuraman and Kalaivani Sethuraman, I will always appreciate for their words of encouragement they have given me in this journey.
I dedicate this work to managers everywhere who strive to make effective decisions and positively influence their organization and society. iv
Acknowledgements
I wish to thank and acknowledge some of the individuals without whose help it would not have been possible for me to complete this dissertation. First I would like to thank and acknowledge the patience, encouragement and the untiring effort of my primary advisor Dr. James Gelatt. Starting with dissertation focus, scope and title to the final edits, Dr. Gelatt had been a mentor to get the best out of me by invigorating my critical thinking and enhancing my scholarly writing. I am very fortunate to have a found mentor who ensured that I feel proud of the final outcome of my dissertation instead of it being just an academic exercise. I would also like to thank my dissertation committee member Dr. Edwards, whose feedback and continuous encouragement had energized me during challenging days and deliver a quality outcome.
Next I must acknowledge the tremendous help and support I received from my wife,
Bhuvana Vikram. Your patience and encouragement for me to complete this intellectual journey would have not been possible if not for your support.
This dissertation would also not have been possible without the review and feedback from my expert panel. Norm Judah, who took time to read my dissertation during his family vacation, your feedback was extremely valuable. Dr. Bjørn Olstad, who took time during a busy year end activity to provide valuable feedback and guidance on future studies. I truly hope we have the opportunity to continue our conversations. Mr. Mark Mueller-Eberstein, who reviewed my work while not feeling well, your views ensured that my dissertation spoke to both academics and practitioners.
I would also like to thank my co-workers at Microsoft Ms. Liz Davidson, Ms. Charleta R McKoy, Mr. Steve Sweetman and Mr. Wayne Filin-Matthews who helped me in proof reading v
my chapters and making useful suggestions. If not for numerous hours you spent in proof reading, it would not have been possible for me to deliver an acceptable dissertation.
Finally, my many cohorts at UMUC who inspired and supported me during this long Doctoral journey. I would especially would like to thank Ms. Ann Marie Kaczorowski for her encouragement, guidance and making me feel that I could get this work done. Finally, my kids, Rujula and Sriniti, I know I would never have got this done without your understanding and let me work on my dissertation instead of spending my free time with both of you.
vi
Table of Contents
Abstract ......................................................................................................................................... iii
Dedication ..................................................................................................................................... iii
Acknowledgements ........................................................................................................................ iv
CHAPTER 1: INTRODUCTION AND OVERVIEW OF RELEVANT LITERATURE ............. 1
Purpose of the Dissertation ......................................................................................................... 1
Relevant Literature and Background........................................................................................... 3
National Culture ...................................................................................................................... 4
Decision-Making ..................................................................................................................... 6
Relationship between Decision-Making and National Culture ............................................... 8
National Cultural Dimensions as an Influencing Factor on Decision-Making in MNOs ....... 9
Statement and Significance of the Problem ................................................................................ 9
Statement of the Problem ...................................................................................................... 10
Significance of the Problem .................................................................................................. 12
Importance to the Field of Management ................................................................................... 13
Research Question ..................................................................................................................... 15
Research Propositions ............................................................................................................... 15
Definitions ................................................................................................................................ 16
Organization of the Dissertation ............................................................................................... 17 vii
CHAPTER 2: METHODOLOGY ................................................................................................ 19
Evidence-Based Research (EBR) .............................................................................................. 20
Evidence-Based Approach in This Dissertation .................................................................... 21
Evidence-Based Practice at The University Of Maryland University College ..................... 22
Dissertation Approach ............................................................................................................... 22
Search Strategy ...................................................................................................................... 23
Quality Assessment ............................................................................................................... 28
Thematic Synthesis ................................................................................................................ 36
Development of Themes ........................................................................................................ 38
Methodology Summary ............................................................................................................. 40
Expert Panel .............................................................................................................................. 41
Summary .................................................................................................................................. 42
CHAPTER 3: SYSTEMATIC REVIEW OF LITERATURE ...................................................... 44
National Cultural Dimensions and Review of Relevant Literature ........................................... 45
Hofstede’s Cultural Dimensions ............................................................................................ 45
Trompenaars’s Cultural Dimensions ..................................................................................... 46
GLOBE Cultural Dimensions ................................................................................................ 47
Cultural Dimensions Addressed in this Dissertation................................................................. 49
Critical Review and Analysis of Literature ............................................................................... 49
Theme: National Culture Influence in Ethical Decision-Making .......................................... 50
Theme: National Culture Influence on Strategic Decision-Making ...................................... 85 viii
Theme: National Culture Influence on General Decision-Making ....................................... 95
Review of Propositions and Reflection on Literature Review ................................................ 116
CHAPTER 4: ANALYSIS AND DISCUSSION ....................................................................... 125
Summary of Findings .............................................................................................................. 127
Alternate Points of View ......................................................................................................... 136
Conclusions ............................................................................................................................. 137
Chapter 5: CONCEPTUAL FRAMEWORK ............................................................................. 139
Review of Purpose, Research Question, and Propositions...................................................... 139
Proposed Conceptual Model ................................................................................................... 140
Conceptual Framework based on Systematic Review ............................................................ 148
Summary ................................................................................................................................ 149
CHAPTER 6: CONCLUSIONS, IMPLICATIONS, AND TRENDS ........................................ 151
Conclusions of This Dissertation ............................................................................................ 151
Implications for Management ................................................................................................. 153
Implications of Emerging Trends ............................................................................................ 154
Limitations and Areas of Future Research .............................................................................. 155
Summary ................................................................................................................................ 157
References .................................................................................................................................. 158 ix
Appendix A ................................................................................................................................ 185
Appendix B ................................................................................................................................ 186
Appendix C ................................................................................................................................ 187
Tables
Table 1 Exclusion Criteria ............................................................................................................ 26
Table 2 Inclusion Criteria ............................................................................................................. 26
Table 3 Quality Assessment .......................................................................................................... 35
Table 4 Coding Extraction Form .................................................................................................. 37
Table 5 Code and Themes Relationship ........................................................................................ 39
Table 6 Expert Panel Description................................................................................................. 42
Table 7 Ethical Perspective Instrument Scale (a) ......................................................................... 53
Table 8 Scenarios for Brazil and U.S. Study ................................................................................ 53
Table 9 Ethical Perspective Instrument Scale (b) ......................................................................... 57
Table 10 Scenarios for Russia and U.S. Study.............................................................................. 58
Table 11 Comparative Findings on PMI, CEV, and PIE ............................................................. 65
Table 12 Measurement Instrument for Ralston et al., (1993) Study ........................................... 103
Table 13 Theme and Findings Relationship for Proposition 1 ................................................... 117 x
Table 14 Theme and Findings Relationship for Proposition 3 ................................................... 120
Table 15 Relationship between Themes, Sub-themes, and Propositions .................................... 128
Figures
Figure 1. Comman stages in systematic review based on Gough, Oliver, and Thomas (2012, p.8)...................................................................................................................................................... 23
Figure 2. Results of systematics searches (PRISMA, 2009, PLoS Med 6(6)) ............................. 27
Figure 3. Thematic synthesis process based on Cruzes and Dyba (2011, p.8)............................. 38
Figure 4. The relationship between the individualism cultural dimension and decision-making, as depicted by Proposition 1 (P1) .................................................................................................... 142
Figure 5. The relationship between the universalism cultural dimension and decision-making, as depicted by Proposition 2 (P2) .................................................................................................... 143
Figure 6. The realtionship between the power distance cultural dimension and decision-making, as depicted by Proposition 3 (P3) ............................................................................................... 144
Figure 7. The relationship between the uncertainty avoidance cultural dimension and decision-making, as depicted by Proposition 4 (P4). ……………………………………………………146
Figure 8. The relationship between the high-performance cultural dimension and decision-making, as depicted by Proposition 5 (P5). ................................................................................ 147
Figure 9. Coneptual framework illustrating the relationship between national cultural dimensions and decision-making, as depicted by the three proposition models (Figure 4-6) ....................... 149 1
CHAPTER 1: INTRODUCTION AND OVERVIEW OF RELEVANT LITERATURE
“The phenomenon of globalization has changed the way people think, behave, and do business” (Leng & Botelho, 2010, p. 261).
International integration resulting from globalization has led multinational organizations (MNOs) to establish production facilities in one or more host nations. Theextension of operations and locations hasenabled MNOs to retain a competitive cost advantage in their current markets and to obtain entry into new markets. The expansion into new host nations has led managers of MNOs to become increasingly aware of the diversity in management values and practices. The importance of national culture is also attributed to the differences between the cultures of an MNO’s home nation and its host nation. Robertson and Fadil (1999) noted, “As multinational enterprises extend their operations around the globe, there will be an increasing demand for an understanding of the cultural values of foreign cultures” (p. 358).
Thus, the presence of multinational organizations in many host nations may mean that organizations need to be aware of different national cultures. Currently, as compared to existing scholarly research on the managerial decision-making process as a whole, there is limited scholarly research on the effects of the culture on the managerial decision-making process.
Purpose of the Dissertation
The purpose of this dissertation was to examine how U.S. cultural characteristics influencedthe decision-making of expatriate U.S. managers. The dissertation limited its scope to only for-profit MNOs, thereby excluding all types of non-profit organizations and governmental 2
organizations. Managerial decision-making, national culture, and MNOs covered distinct and major areas of research in management studies. While existing studies had explored the concepts of national culture and decision-making, there has been limited research exploring the relationship between the two or their combined influence on MNOs.
Multiple studies had emphasized the importance of conducting empirical research on the implications of cultural differences on international managers. Curtis, Conover, and Chui (2012), for instance, noted that although “there is a growing body of international research in the field of business ethics, there is little empirical research on the relative influence on country of origin and ethical decision making” (p. 6). Similarly, Fritzsche and Oz (2007) commented that while a “substantial body of empirical literature examining values and business ethics exists, there still needs further investigation on the structure and strength of the relationship” (pp. 335–336). Furthermore, Plamer, Vega, and Vora (1981) noted that “while existing evidence suggests a positive correlation between an individual’s personal values and his organizational decision making, very few studies have focused on the cross-cultural dimension of the phenomena” (pp. 67–68). These studies proved that while existing research explored the concepts of national culture and decisionmaking, there hadbeen limited research exploring the relationship between the two. There were also limited studies on the combined influence of national culture and decisionmaking in MNOs.
Comparative research
Change management model for implementing an effective first-Year experience program in the community college setting
No full textThis study provides evidence that systematic management of change can facilitate the implementation of first-year experience programming that leads to improved results in retention and student success for community college students. The study includes four major themes: (a) first-year experience, (b) change management, (c) change leadership, and (d) student success, with emphases on change management and change leadership. Community colleges are being challenged by governmental and organizational entities to increase the success of their students. One tool that many community colleges are using to help increase success is the development and implementation of first-year experience programs. Implementing such programs requires a variety of change including policies, processes, procedure, and behaviors. This study examines the change management processes used at two case study institutions that have implemented first-year experience programs, with particular focus on whether and how the theories of Lewin (1948), Schein (2004), Kotter (1996), and Eddy (2003, 2003a, 2003b) have guided community college leaders as they have gone through the process of change to implement firstyear experience programs and increase student success. As community college leaders engage in the work of changing the culture of their organizations to a student success focus, they are encountering the challenges that cultural change brings. The findings of this study provide practical guidance to community college leaders as they face the demands of shifting organizations to a student success focus that results in increased retention and completion of their students.Abstract
Title of Dissertation Change Management Model for Implementing an Effective
First-Year Experience Program in the Community College
Setting
Joy C. Tucker
Doctor of Management in Community College
Policy and Administration, 2015
Dissertation Directed By: Dr. Charlene Nunley, Professor
Community College Policy and Administration
Doctor of Management Programs
University of Maryland University College
Dr. Patricia Keir, Program Chair and Professor
Community College Policy and Administration
Doctor of Management Programs
University of Maryland University College
This study provides evidence that systematic management of change can facilitate the
implementation of first-year experience programming that leads to improved results in retention
and student success for community college students. The study includes four major themes:
(a) first-year experience, (b) change management, (c) change leadership, and (d) student success,
with emphases on change management and change leadership. Community colleges are being
challenged by governmental and organizational entities to increase the success of their students.
One tool that many community colleges are using to help increase success is the development
and implementation of first-year experience programs. Implementing such programs requires a
variety of change including policies, processes, procedure, and behaviors. This study examines
the change management processes used at two case study institutions that have implemented
first-year experience programs, with particular focus on whether and how the theories of
Lewin (1948), Schein (2004), Kotter (1996), and Eddy (2003, 2003a, 2003b) have guided
ii
community college leaders as they have gone through the process of change to implement first-year
experience programs and increase student success. As community college leaders engage in
the work of changing the culture of their organizations to a student success focus, they are
encountering the challenges that cultural change brings. The findings of this study provide
practical guidance to community college leaders as they face the demands of shifting
organizations to a student success focus that results in increased retention and completion of their
students.
iii
Dissertation Title: Change Management Model for Implementing an Effective First-Year
Experience Program in the Community College Setting
Joy C. Tucker
A Thesis
Submitted to the Graduate Faculty
of
University of Maryland University College
in Partial Fulfillment of
The Requirements for the Degree of
Doctor of Management
Dissertation Committee
Dr. Charlene R. Nunley
Dr. Patricia Keir
December 30, 2015
iv
Dedication
To my parents Rev. Dr. Joseph Tucker and Mrs. Vivian Tucker. I am thankful to God for
your placement in my life. You taught me to value education and to believe knowledge is power.
Thank you for establishing the goal of finishing what I start. Most of all thank you for teaching
me the basic and powerful premise: With God All Things Are Possible. Therefore, this journey
was possible to complete.
v
Acknowledgements
I wish to acknowledge Dr. Charlene Nunley‘s incredible commitment to student success
at all levels, including the completion of doctoral students at University of Maryland University
College. Thanks to her direction and encouragement, I have found a new appreciation for the
student success agenda through my own dissertation completion process. Thank you to Dr. Keir
who offered a blend of inspiration and challenge from my first course through my research
process. Drs. Nunley and Keir your willingness to use your expertise to develop community
college professionals has and will continue to impact the future of community college education.
I wish to acknowledge the incredible professional encouragement of North Carolina
community college administrators who implored me to seek a doctoral program that fit my
interest in professional discovery. To Dr. Shirley Dove who has mentored me from the start of
my full-time community college career. To Dr. G. Dennis Massey and Dr. Donald R. Spell who
saw my ability and encouraged my work with students, faculty, and staff.
I must acknowledge the power of friendship and love. These relationships have been
particularly sustaining the last 18 months of this journey. To Pastor Bridges who kept me
focused on the power of the journey. To Rev. Dr. Tolokun Omokunde who added me to his daily
prayer list because he understood how this journey would change my focus and future work. To
Dr. Keesha Kerns, who read for me amidst her hectic schedule. To Joanna Rohrbaugh, who
never denied my request for support as a reader. To Dr. Stephanie Lanier for always believing
and pushing me. To my cousins Melody and Adia, and to Maniya Jules, who allowed me access
to their homes and refrigerators during residencies and needed eldercare road trips. To friends
who speak truth: Barbara Robinson, Phyllis D. Spencer, Mysha Wynn, and Barbara Sykes.
vi
Table of Contents
Page
Abstract ..................................................................................................................................... i
Dedication ................................................................................................................................ iv
Acknowledgements .....................................................................................................................v
List of Tables ........................................................................................................................... xii
List of Figures ......................................................................................................................... xiii
Chapter One: Introduction ...........................................................................................................1
Statement of the Problem .................................................................................................2
Statement of Purpose .......................................................................................................3
Context/Background ........................................................................................................5
Theoretical Base ..............................................................................................................8
Research Questions ....................................................................................................... 11
Definition of Terms ....................................................................................................... 12
Significance ................................................................................................................... 14
Chapter Two: Literature Review ............................................................................................... 18
Introduction ................................................................................................................... 18
Entering Student Attrition .............................................................................................. 20
Student Characteristics and Retention ............................................................................ 23
Changing Demographics and Retention ......................................................................... 25
Creating Campus Wide Engagement .............................................................................. 28
Rationale for Effective First-Year Experience ................................................................ 31
Effective Engagement Strategies.................................................................................... 34
vii
Change Management Theories ....................................................................................... 36
Lewin‘s three steps............................................................................................. 36
Schein‘s Levels of Culture ............................................................................................. 39
Kotter‘s Eight Stage Process .......................................................................................... 40
Eddy: Leader Change Communication ........................................................................... 43
Effective Impetus for Higher Education ......................................................................... 45
Conclusion .................................................................................................................... 46
Chapter Three: Change Management Process Model and Conceptual Model for
Implementing Effective First Year Experience Programming .................................................... 48
Overview ....................................................................................................................... 48
Process Model for Change Management: Explanation ................................................... 49
Conceptual Model: Implementing Effective First-Year Experience Programming .......... 54
Conceptual model purpose. ................................................................................ 54
Key Assumptions .......................................................................................................... 55
Conceptual Model: Explanation ..................................................................................... 58
Entering Students .......................................................................................................... 60
First-Year Experience .................................................................................................... 62
Change Management ..................................................................................................... 64
Change Leadership ........................................................................................................ 66
Student Success ............................................................................................................. 68
Conclusion .................................................................................................................... 69
Chapter Four: Research Methodology ....................................................................................... 70
Introduction ................................................................................................................... 70
viii
Expert Review ............................................................................................................... 71
Expert Selection Criteria ................................................................................................ 72
Expert Evaluation .......................................................................................................... 72
Question 1: Contribution to the understanding of a significant issue in
community colleges. .......................................................................................... 74
Question 2: Contribution to the practice of management in community
college environment. .......................................................................................... 75
Question 3: Originality of topic or approach. ...................................................... 75
Question 4: Quality of the references.................................................................. 76
Question 5: Validity of assumptions. .................................................................. 76
Question 6: Rigor. .............................................................................................. 76
Question 7: Thoroughness of presentation. ......................................................... 76
Question 8: Validity of conclusions/propositions. ............................................... 77
Question 9: Writing quality. ............................................................................... 77
Expert Summary ............................................................................................................ 77
Expert Recommendations .............................................................................................. 78
Research Method Selection ............................................................................................ 79
Research Methodology: Multiple Case Study ................................................................ 82
Interview Questions Development ................................................................................. 83
Process Model Application ............................................................................................ 86
Interview Pilot ............................................................................................................... 87
Institution [Subject] Selection ........................................................................................ 88
Conduct of Research ...................................................................................................... 95
ix
Screening...................................................................................................................... 95
Data Collection and Analysis ......................................................................................... 97
Validity and Reliability .................................................................................................. 99
Research Permissions .................................................................................................. 100
Conclusion .................................................................................................................. 101
Chapter Five: Case Study Findings .......................................................................................... 102
Introduction ................................................................................................................. 102
College A Overview .................................................................................................... 103
College A Responses to Guide Questions .................................................................... 106
Question 1. ....................................................................................................... 106
Question 2. ....................................................................................................... 107
Question 3. ....................................................................................................... 107
Question 4. ....................................................................................................... 109
Question 5. ....................................................................................................... 111
Question 6. ....................................................................................................... 120
Question 7. ....................................................................................................... 121
College B Overview .................................................................................................... 122
College B Responses to Guide Questions ..................................................................... 123
Question 1. ....................................................................................................... 124
Question 2. ....................................................................................................... 125
Question 3. ....................................................................................................... 126
Question 4. ....................................................................................................... 127
Question 5. ....................................................................................................... 128
x
Question 6. ....................................................................................................... 134
Question 7. ....................................................................................................... 135
Comparison of College A and College B ..................................................................... 136
Question 1. ....................................................................................................... 136
Question 2. ....................................................................................................... 137
Question 3. ....................................................................................................... 138
Question 4. ....................................................................................................... 139
Question 5. ....................................................................................................... 140
Question 6. ....................................................................................................... 146
Question 7. ....................................................................................................... 146
Chapter Six: Conclusion .......................................................................................................... 148
Study Overview ........................................................................................................... 148
Summary of Key Findings ........................................................................................... 149
Study Research Questions............................................................................................ 150
Research question 1. ........................................................................................ 150
Research question 2. ........................................................................................ 152
Research question 3. ........................................................................................ 155
Research question 4. ........................................................................................ 156
Limitations of the Study .............................................................................................. 160
Conceptual Model Discussion...................................................................................... 161
Implications for Practitioners ....................................................................................... 162
Provide broad access to data on the progression and retention of students. ....... 162
xi
Use data as a tool to affirm the effectiveness of the application of first-year
experience programming. ................................................................................. 162
Use multiple communication methods to disseminate and frame change. ......... 163
Involve a broad coalition in the change management process. .......................... 164
Consider educating college leaders about change management theory. ............. 165
Future Research ........................................................................................................... 166
Conclusion .................................................................................................................. 167
Appendices ............................................................................................................................. 169
Appendix A: Key Words and Phrases used in Research ............................................... 169
Appendix B: Committee Chair‘s Letter of Support of Research ................................... 170
Appendix C: Letter to Chief Student Development Officer .......................................... 171
Appendix D: Participant Consent Form ....................................................................... 172
Appendix E: Subject College Visit Schedules .............................................................. 174
References .............................................................................................................................. 175
xii
List of Tables
Page
1. Kotter‘s Eight-Stage Process of Creating Major Change........................................................ 41
2. Averaged Responses of All Evaluators from the Evaluator Form ...........
Preparing boards for a successful presidential search
No full textThe growing trend in community college presidential turnover and diminishing candidate pools is directly impacting many boards and trustees. While the selection of a new president is the most important responsibility for any governing board, some trustees, with minimal postsecondary education and human resource management experience, may be underprepared to execute an effective presidential search. The purpose of this study was to provide a framework based on key strategies, concepts, and best practices to assist governing boards in developing and implementing a successful presidential search process.
This study answered the following questions: What knowledge and skills do community college boards and individual board members need to conduct effective presidential searches? and What strategies can be employed to prepare boards and individual board members to conduct effective presidential searches?
The implications of this study for community college governing boards are that trustee knowledge, skills, and preparedness are critical to the success of the presidential search process. Trustees must carefully consider the initial decisions that need to be addressed with regard to using an interim president, pursuing a direct hire for a new president, and hiring a search firm/consultant. This study identified best practices to influence the search process protocols. With a framework of best practices to guide trustees, governing boards will be able to develop and implement a successful presidential search process.PREPARING BOARDS FOR A SUCCESSFUL PRESIDENTIAL SEARCH
Preparing Boards for a Successful Presidential Search
Brittany P. Snyder
Dissertation submitted to the Faculty of the Graduate School of the
University of Maryland University College, in partial fulfillment
of the requirements for the degree of
Doctor of Management
Charlene Nunley, Ph.D.
Ronald Head, Ph.D.
2016 PREPARING BOARDS FOR A SUCCESSFUL PRESIDENTIAL SEARCH ii
Abstract
Preparing Boards for a Successful Presidential Search
Brittany P. Snyder
The growing trend in community college presidential turnover and diminishing candidate pools is directly impacting many boards and trustees. While the selection of a new president is the most important responsibility for any governing board, some trustees, with minimal postsecondary education and human resource management experience, may be underprepared to execute an effective presidential search. The purpose of this study was to provide a framework based on key strategies, concepts, and best practices to assist governing boards in developing and implementing a successful presidential search process.
This study answered the following questions: What knowledge and skills do community college boards and individual board members need to conduct effective presidential searches? and What strategies can be employed to prepare boards and individual board members to conduct effective presidential searches?
The implications of this study for community college governing boards are that trustee knowledge, skills, and preparedness are critical to the success of the presidential search process. Trustees must carefully consider the initial decisions that need to be addressed with regard to using an interim president, pursuing a direct hire for a new president, and hiring a search firm/consultant. This study identified best practices to influence the search process protocols. With a framework of best practices to guide trustees, governing boards will be able to develop and implement a successful presidential search process.
PREPARING BOARDS FOR A SUCCESSFUL PRESIDENTIAL SEARCH iii
Dedication
There are a number of people without whom this dissertation might not have been written, and to whom I am greatly indebted.
In loving memory of my grandmothers, Margaret and Ethel, who taught me the value of hard work.
To my mother, Mary, who has been a constant champion of education throughout my life. She nurtured my inquisitive nature and taught me to believe in myself.
To my sisters, Brandey and Morgan, and my cousin, Kim, who have actively supported me in my determination to find and realize my potential.
To my remarkable husband, Doug, for his unwavering patience, love, and support during this once-in-a-lifetime journey. PREPARING BOARDS FOR A SUCCESSFUL PRESIDENTIAL SEARCH iv
Acknowledgements
I want to acknowledge the people who have supported and encouraged me in the pursuit of this degree. First, from the Doctorate of Management in Community College Policy and Administration program, I want to express my appreciation to Dr. Charlene Nunley. Your continued encouragement, constructive feedback, and insights were the zenith of this doctoral journey. Second, I am grateful to Dr. Ronald Head for his patience and tenacity in explaining research methodology. Your guidance has been invaluable. Third, I am thankful to Dr. Trudy Bers, who challenged me in unexpected ways to develop a compelling dissertation topic. Finally, I am beholden to Dr. Patricia Keir for her guidance, suggestions, counseling, and encouragement throughout the duration of the program.
I am appreciative of the friendships and network of support developed with my fellow students in the doctoral program. In addition, I am grateful to my colleagues at Florida Keys Community College who were supportive, “cut me no slack,” and motivated me to complete. Dr. Jonathan Gueverra, Jean Mauk, Dr. Frank Wood, and Dr. Erika MacWilliams continue to be champions for my dissertation.
PREPARING BOARDS FOR A SUCCESSFUL PRESIDENTIAL SEARCH v
Table of Contents
CHAPTER ONE: INTRODUCTION .............................................................................................1
Statement of the Problem ....................................................................................................1
Statement of Purpose ...........................................................................................................6
Background and Context......................................................................................................6
Theoretical Base.................................................................................................................15 Stakeholder Theory ....................................................................................16 Upper Echelons Theory .............................................................................17 Johari Window Model................................................................................17
Research Questions ...........................................................................................................18
Definition of Terms ...........................................................................................................18
Significance of This Study ................................................................................................19
CHAPTER TWO: LITERATURE REVIEW ................................................................................22
Introduction ........................................................................................................................22
Evidence Supporting a Significant Presidential Turnover Rate ........................................22
Board Role and Responsibilities in a Presidential Search .................................................28 Presidential Search .................................................................................................32
Trustee Preparedness to Develop and Implement a Presidential Search ...........................40
Theoretical Base.................................................................................................................43 Stakeholder Theory ....................................................................................43 Upper Echelons Theory .............................................................................46 Johari Window Model................................................................................47
Summary ............................................................................................................................49
CHAPTER THREE: THE CONCEPTUAL MODEL ...................................................................50
Introduction ........................................................................................................................51
Conceptual Model ..............................................................................................................52 Assumptions ...........................................................................................................52
Elements of the Conceptual Model ....................................................................................53
Presidential Turnover .............................................................................................53
Trustee Preparedness .............................................................................................53
Presidential Search .................................................................................................55
Presidential Search Outcomes................................................................................56 Theoretical Framework ..........................................................................................57 Stakeholder Theory ....................................................................................57 Upper Echelons Theory .............................................................................57 Johari Window Model................................................................................58
Conclusion .........................................................................................................................58
PREPARING BOARDS FOR A SUCCESSFUL PRESIDENTIAL SEARCH vi
CHAPTER FOUR: RESEARCH METHODOLOGY...................................................................60
Introduction ........................................................................................................................60
Literature Evaluation .........................................................................................................61 Keywords and Search Criteria ...............................................................................62
Systematic Review of Original Research ..............................................................65
Subject Matter Expert Review Process ..............................................................................74 Expert Panel ...........................................................................................................75
Primary Research Design ...................................................................................................76
Conclusion .........................................................................................................................80
CHAPTER FIVE: ANALYSIS AND DISCUSSION ...................................................................81
Introduction ........................................................................................................................81
Expert Panel Feedback .......................................................................................................81
Rigor, Existence, and Significance of Problem .....................................................82
Theoretical Basis ....................................................................................................83
Quality of Research Questions ...............................................................................83
Presentation and Quality of Writing ......................................................................84
Quality of References ............................................................................................84 Response to the Expert Panel Review ...................................................................84
Literature Review Findings................................................................................................85
Presidential Turnover .............................................................................................86
Board and Trustee Effectiveness ...........................................................................86
Board and Trustee Development ...........................................................................87 Factors That Contribute to an Ineffective Presidential Search ..............................88
Findings of Elite Interviews ...............................................................................................88
Unexpected Findings .........................................................................................................94
Limitations of the Study.....................................................................................................95
Conclusion .........................................................................................................................95
CHAPTER SIX: IMPLICATIONS FOR PRACTICE AND SUGGESTIONS FOR FUTURE RESEARCH ......................................................................................................97
Introduction ........................................................................................................................97
Purpose of the Study ..........................................................................................................97
Implications of Findings for Community College Practice ...............................................98
Trustee Knowledge, Skills, and Preparedness .......................................................98 Important Initial Decisions ..................................................................................101
Search Firm and/or Search Consultant ................................................................102
Presidential Profile ...............................................................................................103
Search Committee ................................................................................................103 Reference and Background Checks .....................................................................104 Governing Board ..................................................................................................105
Transition-in Plan.................................................................................................106
Suggestions for Future Research .....................................................................................107
Conclusion .......................................................................................................................108
REFERENCES ............................................................................................................................109 PREPARING BOARDS FOR A SUCCESSFUL PRESIDENTIAL SEARCH vii
List of Tables
Table
1 Gender, Highest Degree Held, and Type of Doctorate Degree Held by CAO in the Sample Study ...............................................................................................................24
2 Topics of Dissertations Written by Chief Academic Officers ...........................................25
3 Extent of Trustee Identification With the Institution, as Reflected in Responses Regarding Sources of Satisfaction With Board Membership ............................................42
4 Keyword Listing ................................................................................................................63
5 Database Search Terms and Search Results ......................................................................64
6 Literature Analysis .............................................................................................................68
7 Expert Feedback Likert Type Scale Rating Summary .......................................................82
8 Elite Interview Identified Community College Trustee Knowledge and Skills Summary ............................................................................................................................92
9 Elite Interview Identified Community College Trustee Preparedness and Development Strategies .....................................................................................................94
PREPARING BOARDS FOR A SUCCESSFUL PRESIDENTIAL SEARCH viii
List of Figures
Figure
1 Relative validity of assessment methods ..........................................................................11
2 Timeframe in which presidents planned to retire: 1996 and 2006 .....................................23
3 Participants in establishing qualifications for the new president .......................................37
4 Participants on the search committee .................................................................................38
5 The Johari Window model .................................................................................................48
6 Conceptual model: A representation of the elements, concepts, relationships, and constraints of factors pertaining to the presidential turnover and presidential search cycle ....................................................................................................51
7 Perpetual model for trustee development ........................................................................100PREPARING BOARDS FOR A SUCCESSFUL PRESIDENTIAL SEARCH 1
CHAPTER ONE: INTRODUCTION
Statement of the Problem
Over the past 14 years, various studies have highlighted a growing trend in community college presidential turnover. According to Martin and Samels (2004), college presidential turnover is more frequent than ever before, with one-fourth to one-third of the nation’s community colleges preparing for or engaged in presidential searches (p. 1). Recent data, according to the Association of Community College Trustees (ACCT) (2013), have reported 200 presidential vacancies in the 17-month period ending in September 2013. This supports the assertion of Achieving the Dream and The Aspen Institute (2013) that 500 community colleges will have new presidents at the helm during the five-year period ending in 2017 (p. 3).
While there are five reasons for presidential turnover—retirement, termination, contract non-renewal, resignation, and death, the boom in projected retirements is the primary impetus for the projected surge in presidential turnover. As Baby Boomers continue to retire, the result may be a shortage of leadership (Cook, 2012). In 2001, 45% of community college presidents responding to an American Association of Community Colleges (AACC) survey indicated they planned to retire within six years (Shults, 2001, p. 1). The contrast is significant when compared to a 2012 survey of community college presidents, which indicated 75% planned to retire within 10 years (Tekle, 2012, p. 1).
Moriarty (2010) noted respondents to a 2008 AACC survey of retired presidents indicated the average age of retirement was 65. The majority of respondents, 82%, identified their decision to retire as a “normal and logical next step after a long and successful career” (p. 36). According to Cook (2012), the average age of presidents is 61 years, with over 58% of PREPARING BOARDS FOR A SUCCESSFUL PRESIDENTIAL SEARCH 2
presidents over the age of 60 (p. 3). These data supported the assertion that presidents are rapidly approaching retirement age.
The situation is exacerbated even further because the applicant pool for qualified presidential candidates is dwindling as chief academic officers and chief student services officers continue to age and plan to retire. The Association of Governing Boards of Universities and Colleges (AGB) (n.d.b) anticipated a similar turnover rate for chief academic officers. Historically, the academic side of higher education has filled the pipeline towards the college presidency (Vaughan, 1986). The result will be intense competition among institutions vying over the dwindling pool of qualified candidates (AGB, n.d.b; O’Banion, 2007).
With approximately 1,090 public community colleges (Carnegie Foundation, 2010) that educate an estimated eight million students (AACC, 2013), the continuous turnover in leadership is a daunting prospect for many governing boards (Eddy, 2012). Some trustees, with minimal postsecondary education and human resource management experience, may be underprepared to execute an effective presidential search. For the purposes of this dissertation, an effective presidential search results in the hire of a new president who completes his or her initial employment contract. An ineffective presidential search is defined as follows:
The search process does not yield a “right-fit” candidate, so the Board is forced to either extend the search process timeframe, settle for the “best option” candidate, or move forward with an interim president.
The new president does not complete his or her initial employment contract. Failure to complete the initial employment contract may be designated as a resignation, termination, or sabbatical.
The new president’s contract is not renewed after the initial contract period. PREPARING BOARDS FOR A SUCCESSFUL PRESIDENTIAL SEARCH 3
As Denton and Moore (2009) noted, a president’s departure during the first three to four years of his or her initial employment “may indicate a lack of successful search and hiring processes” (p. 36).
The AGB (2010) published principles intended to guide boards in the governance of colleges, inform them of their roles and responsibilities, and clarify their relationships with internal stakeholders (p. 3). One of these principles indicated that boards have the ultimate authority to appoint the president. The selection of
Effective leadership response strategies to internal and external crises: An evidence based research synthesis
No full textOrganizational crises are unexpected, develop quickly and require a leadership response without a significant amount of time for research and analysis. While the probability of a crisis occurring is small, if managed poorly, it can threaten the very existence of an organization. Leaders should ensure that organizations actively seek to prevent crises, but in the event a crisis hits, they should be prepared with a successful response strategy that includes corporate stance, communication to stakeholders and action/reparation. The purpose of this study is to explore leadership response strategies within the context of two different crisis types (i.e. internal and external) to identify common themes and levels of effectiveness. This study provides an evidence based research synthesis of relevant crisis management literature and case studies guided by the following research question: How do crisis type and leadership response strategy interact to produce a successful post-crisis outcome for an organization? A successful outcome results when an organization survives the crisis intact and is able to resume its normal operations. The results indicate that stakeholders view internal crises and external crises differently and thus a leadership response must consider crisis type. This study provides important implications to practice in that it offers useful guidance to leaders on how to respond to those crises that are either internal or external to an organization.Running head: Leadership response strategies to internal and external crises
Effective leadership response strategies to internal and external crises: An evidence based
research synthesis
Ann Marie Kaczorowski
A Dissertation Submitted to the
Graduate Faculty
of
University of Maryland University College
In Partial Fulfillment of
The Requirements for the Degree
of
Doctor of Management
March 2016
Dissertation Committee:
Leslie Dinauer, Ph.D.
Laura Witz, Ph.D.
Leadership response strategies to internal and external crises 2
Abstract
Organizational crises are unexpected, develop quickly and require a leadership response
without a significant amount of time for research and analysis. While the probability of a crisis
occurring is small, if managed poorly, it can threaten the very existence of an organization.
Leaders should ensure that organizations actively seek to prevent crises, but in the event a crisis
hits, they should be prepared with a successful response strategy that includes corporate stance,
communication to stakeholders and action/reparation. The purpose of this study is to explore
leadership response strategies within the context of two different crisis types (i.e. internal and
external) to identify common themes and levels of effectiveness. This study provides an evidence
based research synthesis of relevant crisis management literature and case studies guided by the
following research question: How do crisis type and leadership response strategy interact to
produce a successful post-crisis outcome for an organization? A successful outcome results
when an organization survives the crisis intact and is able to resume its normal operations. The
results indicate that stakeholders view internal crises and external crises differently and thus a
leadership response must consider crisis type. This study provides important implications to
practice in that it offers useful guidance to leaders on how to respond to those crises that are
either internal or external to an organization.
Leadership response strategies to internal and external crises 3
Acknowledgements
This doctoral journey was one that I did not walk alone, but rather had many who
willingly walked by my side. I would like to thank my cousin Cathy Headrick and dear friend
Laurie Isbister who continued to motivate me to go forward. Whether a quick e-mail or
message, you always supported me and had kind words of encouragement to keep my spirits
high. I would also like to thank my cohorts at the University of Maryland University College
who endured this journey with me throughout our studies and dissertations. Your willingness to
engage in intellectual discourse was highly valued and the friendships we have built during those
late nights I’m sure will continue.
Next, I would like to thank my colleagues at Philip Morris International who are too
numerous to mention by name. So many of you displayed a keen interest in my research topic
and willingly engaged with me in discussing and exploring my ideas. I would like to also
acknowledge and offer my immense gratitude to my dissertation committee, Dr. Leslie Dinauer
and Dr. Laura Witz. You both offered me tremendous encouragement and motivation
throughout my studies and kept me on track. Your guidance, insight and tremendous knowledge
has been invaluable. You always believed in me.
A very special thank you to my parents who gave me the gift of education and taught me
that I could do anything I set my mind to do. Finally, to my wonderful husband Martin and my
sons Charlie and Michael, I love you with all my heart and cannot thank you enough for being
such an amazing supportive family. You unselfishly gave me the time I needed to work on my
doctorate and filled in when I was not there to get things done. I will forever be grateful to each
one of you for your patience and love. It is because of you that I have achieved my goal. I also
hope that I have instilled in you the same love of learning that I hold so dear.
Leadership response strategies to internal and external crises 4
Table of Contents
I. Title Page
II. Abstract 2
III. Acknowledgements 3
IV. Table of Contents 4
V. Chapter One – The Field of Crisis Management
a. Introduction 6
b. Background 7
c. Purpose and Significance of the Study 17
d. Problem/Context Statement 20
e. Research Question 21
f. Summary 22
VI. Chapter Two – Literature Review
a. Introduction 24
b. Crisis Defined 24
c. Crisis Typologies 32
d. Phases/Life Cycle of a Crisis 37
e. Crisis Preparedness 41
f. Leadership Response Strategy 45
g. Lessons in Crisis 56
h. Summary 61
VII. Chapter Three – Conceptual Framework
a. Introduction 63
b. Crisis Type and Stakeholder Attributions of Blame 63
c. Leadership Response Strategies 68
d. Summary 73
VIII. Chapter Four – Methodology
a. Introduction 74
b. Evidence Based Research 76
c. Performing the EBR 78
d. Expert Panel Review 87
e. Summary 91
IX. Chapter Five – Discussion
a. Introduction 93
b. Internal Crises 93
c. External Crises 105
d. Internal and External Crises 110
e. Summary 111
X. Chapter Six – Conclusion
a. Summary Results 115
b. Implications for Practice 117
c. Limitations of the Study 120
d. Suggestions for Future Research 122
Leadership response strategies to internal and external crises 5
Table of Contents, continued
XI. References 124
XII. Appendices
a. Databases included in UMUC One Search 138
b. Assessment Tool for Articles 139
c. Listing of Studies Included in the Synthesis 141
d. Compendium Review of Internal Case Studies Included
in the Synthesis 142
e. Compendium Review of External Case Studies Included
in the Synthesis 152
f. Compendium Review of Internal and External Case Studies
Included in the Synthesis 158
Leadership response strategies to internal and external crises 6
Chapter One – The Field of Crisis Management
Organizational crises are unexpected, develop quickly and require a leadership response
without a significant amount of time for research and analysis. While the probability of a crisis
occurring is small, if managed poorly, it can threaten the very existence of an organization.
Crises continue to plague organizations, both large and small and with today’s speed and reach
of news and social media around the world, a crisis does not hit in isolation. Often the news of a
crisis is spread instantaneously and all eyes look to the organization’s leader for response. A
leader’s response perceived as unacceptable or inadequate puts an organization in peril and can
lead to its demise. On the other hand, a leader’s response that results in a successful post-crisis
outcome permits an organization to resume operations at the same level in place prior to the
crisis.
It is virtually impossible to pick up a newspaper, turn on the television or radio, or surf
the web and not find a crisis that has struck in some part of the world. Whether a natural
disaster, airline crash, industrial accident, product recall or some other crisis, organizations today
are at risk for a multitude of crises and leaders are challenged to respond. Leaders must be
knowledgeable about potential crises within their organizations, industry, and communities to be
prepared and develop the ability to implement the correct crisis response strategies necessary to
produce successful outcomes for their organization. The Institute of Crisis Management
identified that over the last 10 years, over 8,500 business crises have appeared in the news on
average, annually – that’s over 23 crises per day (James, 2013). It is thus imperative that
organizational leaders know when and how to respond to crises to contain the damage inflicted
on the organization.
Leadership response strategies to internal and external crises 7
One Sunday evening in 2009, two employees of a national pizza delivery chain filmed a
video in a store’s kitchen. This video showed the employees partaking in unsanitary acts with
the food that was being prepared for customers (Jacques, 2009). The video was uploaded to
YouTube and within days had been viewed more than a million times. The video also quickly
garnered mainstream media attention and the pizza delivery chain’s reputation, brand image and
consumer loyalty plummeted (Jacques, 2009). The organization was placed in the spotlight and
its leader was challenged to offer an immediate response.
When a crisis hits, the consequences for the organization can be devastating. The
tangible and intangible effects of a crisis can escalate exponentially in a very short period of
time. An organization in the midst of a crisis cannot stagnate, but must address the crisis directly
through its leadership. An organizational leader must quickly assess the damages, provide a
response publicly to stakeholders and work toward resolving the crisis to ensure the organization
endures.
Background
It is the field of crisis management that guides the study of crises in organizations and
more importantly, the leader’s response to crises that ultimately determines the organization’s
future. The field of crisis management is in its early stages. Although crisis events have always
plagued organizations, it was not until the 1980s that the term crisis management became
prevalent among academics and practitioners (Crandall, McCartney & Ziemnowicz, 1999).
Since the first horrifying Tylenol poisonings in 1984, the field has become a virtual growth
industry and the business community has become more aware of its persistent vulnerability to an
expanding range of potential crises, disasters, and catastrophes (Mitroff, Pauchant & Shrivastava,
1989).
Leadership response strategies to internal and external crises 8
The field of crisis management is an exciting and challenging field due to the uniqueness
of crises within organizations, whether large or small and the lack of time permitted to respond.
Major crises and disasters not only wreak extreme financial havoc on organizations, but also
extreme emotional and personal havoc as well (Mitroff, Pauchant & Shrivastava, 1988). Crises
are unexpected, dramatic and unprecedented events that send an organization into chaos and
must be addressed expediently and decisively (Prewitt, Weil & McClure, 2011). A crisis within
an organization can ultimately destroy it or can offer an opportunity for an organization to shine
in the eyes of its stakeholders. An organization can be publicly demonized or praised for its
handling of a crisis. The same holds true for the organizational leaders that respond to crisis –
they can either become the villains or the heroes.
Proliferation of crises.
Within today’s global environment and given the speed at which information is
circulated, today’s organizations are susceptible to a wide range of crises. In the Institute for
Crisis Management’s Annual ICM Crisis Report, James (2013) identified that over 8,200 crises
were reported in the news in 2012, which was an increase of over nine percent from 2011. In
addition, James (2013) identified that almost 40 percent of all crises are inflicted upon an
organization suddenly, with no forewarning. The ineffective handling of a crisis can cause
considerable direct harm to an organization. It may also increase an organization’s vulnerability
to lawsuits from stakeholders and investigations by regulators, thereby slowing or even
preventing the organization’s ultimate return to stability where it is able to continue in existence
and resume operations. “Given today’s extremely litigious environment and a news media that is
more vigilant than ever, it is the height of folly and delusion for any organization to believe that
Leadership response strategies to internal and external crises 9
it will not be judged by how well it responds through each phase of crisis management” (Mitroff
et al., 1988, p. 104).
In February 2013, the world’s top cruise operator experienced a crisis when a fire broke
out in an engine room on one of its ships during a cruise to the Caribbean. The ship lost power
and its propulsion system, leaving 3,100 passengers stranded at sea for days with limited food
and toilet service (Palmeri, 2013). Passengers identified that raw sewage was present throughout
the ship. The leadership response to this crisis was nonexistent and information was not
forthcoming. In addition, family members were unable to get basic information on the status of
the passengers and when or where they would be returned to safety (Davis, 2013). It was not
until four days later, when the ship was finally towed to port, that the CEO went onboard and
offered his apologies to passengers. This crisis cost an estimated 80 million for passenger
compensation, rescue efforts and lost revenue (“Carnival Triumph Fire”, 2013). Multiple
lawsuits were filed and the cruise line was castigated in the media for its poor response. In an
attempt to recover, the organization expended significant funds on a marketing campaign, cut
prices drastically to bring back customers and made personnel changes. In June 2013, the CEO
stepped down and a successor was named (Davis, 2013). The leader’s response in this crisis, or
lack thereof exacerbated the frustration of victims and their families and significantly harmed the
organization’s reputation. This is just one example of the thousands of crises that have occurred
and that are expected to continue to plague organizations.
The incidence of crises in organizations is expected to not only continue, but to increase,
for three primary reasons. First, the globalization of business and industry has contributed to the
increased exposure of organizations to potential crises both within and outside of the
organizational environment. A company with customers, suppliers, factories and outsourced
Leadership response strategies to internal and external crises 10
services beyond its home country borders exposes itself to risks of crises within or among any of
its business relationships or locations. Second, the increased sophistication of technologies
exposes organizations to new threats not previously experienced (Shrivastava, 1993), such as
cyber-attacks and data hacking. Herbane (2010) notes that the types and frequency of threats
that organizations face is growing with the increase in technology use and a related rise in fraud
and theft. Finally, in a highly competitive marketplace the race to be first may put added
pressure on organizations to introduce new products from electronics to diet aids without
extensive testing and review. These three possibilities identify the increasing risks and
vulnerabilities of organizations to crises and the increasing importance of leaders to quickly
enact the response strategy that produces a successful outcome. This increase in crises creates an
exigent demand for leaders who know how to respond.
Overall, the field of crisis management is broad and disparate covering topics that include
financial and economic, humanitarian, disease-related outbreaks and war as crises, in addition to
those crises that can have a direct effect on organizations’ operations. It is thus important to
distinguish and capsulize crisis management and the related leadership response as it pertains
specifically to organizations and this study. A discussion of crisis management related to
organizations is provided below, followed by a discourse on leadership response.
Crisis management.
Crisis management is the systematic attempt to avoid organizational crises or to manage
those crisis events that do occur (Massey & Larsen, 2006). It is about being prepared to handle
the adversity that accompanies a crisis and minimizing the impact to the organization (Sapriel,
2003). “Studying crisis phenomena provides an opportunity to examine an instrument of both
organizational and societal change, highlights some of the essential features of organizational
Leadership response strategies to internal and external crises 11
and decisional processes, and differentiates them from less vital factors under the extreme
conditions associated with a crisis” (Hermann, 1963, p. 63). Crisis management not only
includes the leadership response once a full-blown crisis has impinged on an organization, but
also includes active control of the pre and post crisis periods (Massey & Larsen, 2006; Mitroff et
al., 1988).
The actual management of a crisis through a leadership response can be viewed in four
stages that cover the periods before, during and after a crisis occurs. The first stage is the active
scanning of the internal and external environment to prevent crises altogether or mitigate the
impact on an organization. The Institute for Crisis Management (2011) introduced the concept
of smoldering crisis events to describe those situations in which management had some fore-knowledge
of impending trouble, but failed to appropriately respond to the matter before the
item escalated and became a major organizational crisis. Mitroff et al. (1988) assert that if
organizations could learn to read the warning signals, then many crises could be prevented
altogether. Similarly, Spillan and Crandall (2002) identified that the recognition of potential
events can enable management to enact measures to prevent the occurrence of a crisis. An
accumulation of organizational imperfections and managers who are blind to the imperfections
sets in place an environment where a full-blown crisis can erupt from small accidents or
incidents that were otherwise containable (Roux-Dufort, 2009). An organization that is not
attentive to potential crises significantly increases the risk of a major crisis event.
The second stage is the planning and preparation of an organization in the event of a
crisis. Some crises are completely external to an organization, such as natural disasters or
terrorist attacks, wherein scanning is not always effective. For those crises, an organization
relies on crisis planning, preparedness and response to potentially minimize the effect of or
Leadership response strategies to internal and external crises 12
insulate the organization from damage and disruption. Leaders of organizations have the
opportunity to prepare, however the level of planning and preparation for a crisis vary
significantly among organizations. In a confidential survey of the nation’s top chief executive
officers of the Fortune 500, Fink (1986) identified surprising results. “A staggering 89 percent
of those who responded agreed that a crisis in business is as inevitable as death and taxes, but
fully 50 percent admitted that they do not have a prepared crisis management plan” (Fink, 1986,
p. 67). Twenty five years later, Burston-Marsteller and Penn, Schoen & Berland (2011)
conducted a similar study with 826 participants, including large global enterprises and SME
businesses. Their results were astoundingly similar, in that 79% of respondents indicated they
were likely to experience a potential crisis in the next 6 – 12 months and yet 46 percent admitted
to not having any crisis management plans in place. Amongst those that did not have any plans
in place, the primary reason was that the plans would rarely be needed.
A number of authors discuss crisis preparedness and its importance. Darling (1994)
asserts that an “ongoing planning process that includes alternatives and contingencies is a major
element in determining an organization’s ability to respond” (p. 7). Reilly (1987) presented six
facets of crisis readiness and identified that an organization which has plans in place to cope with
a crisis should be better able to manage it, than an organization which is not prepared. In
whatever form or level of sophistication, the fundamental point of crisis planning is to allow an
organization to cope effectively with those crises that occur (Mitroff et al., 1988). These authors
assert that an organization that has specific plans for the handling of crises will be better
equipped than an organization that is unprepared. Likewise, leaders who are prepared for crises
and know how to respond will be better able to achieve a successful outcome for their
organization.
Leadership response strategies to internal and external crises 13
The third stage is the actual implementation of the plan, or a response strategy initiated
by an organization’s leader with or without any plans in place. A response begins immediately
when a crisis hits and includes the continued management of the crisis until the o
Brain drain: The role of organizational support in reducing the migration of skilled labor from the English-speaking Caribbean
No full textBrain drain is a global phenomenon that can undermine the economies of both developed and developing countries. Brain drain refers to the migration of skilled workers from their homelands to reside in other countries in search of better employment opportunities and a higher standard of living. Research shows that among regions affected by brain drain, the English-speaking Caribbean (ESC) is ranked among the highest in the world. Brain drain has impeded the ability of ESC firms to recruit and retain skilled workers and, hence, to maintain their global competitiveness. This author argues that by not providing adequate organizational support, ESC managers and policy makers are contributing to brain drain. Based on a systematic review and realist synthesis of 56 studies, this study found that ESC managers and policy makers have not provided the amount of organizational support necessary to enhance their employees’ commitment to the firm in order to reduce turnover and brain drain. This study identifies interventions that managers and policy makers in the ESC could implement to alleviate brain drain. This study found that although financial constraints preclude the implementation of some strategies, there are non-financial interventions such as collaboration between the public and private sectors, and mentoring, that ESC managers and policy makers can employ to mitigate the impact of brain drain in the region.Running head: ORGANIZATIONAL SUPPORT AND BRAIN DRAIN IN THE CARIBBEAN
Brain Drain: The Role of Organizational Support in Reducing the Migration of Skilled Labor from the English-speaking Caribbean
Louis Melbourne
A Thesis Submitted to the Graduate Faculty of
University of Maryland University College
In Fulfillment of
The Requirements for the Degree of
Doctor of Management
Dr. Laura Witz and Dr. Nicholas H. Allen
April 11, 2016
BRAIN DRAIN IN THE ENGLISH-SPEAKING CARIBBEAN 2
Abstract
Brain drain is a global phenomenon that can undermine the economies of both developed and developing countries. Brain drain refers to the migration of skilled workers from their homelands to reside in other countries in search of better employment opportunities and a higher standard of living. Research shows that among regions affected by brain drain, the English-speaking Caribbean (ESC) is ranked among the highest in the world. Brain drain has impeded the ability of ESC firms to recruit and retain skilled workers and, hence, to maintain their global competitiveness. This author argues that by not providing adequate organizational support, ESC managers and policy makers are contributing to brain drain. Based on a systematic review and realist synthesis of 56 studies, this study found that ESC managers and policy makers have not provided the amount of organizational support necessary to enhance their employees’ commitment to the firm in order to reduce turnover and brain drain. This study identifies interventions that managers and policy makers in the ESC could implement to alleviate brain drain. This study found that although financial constraints preclude the implementation of some strategies, there are non-financial interventions such as collaboration between the public and private sectors, and mentoring, that ESC managers and policy makers can employ to mitigate the impact of brain drain in the region.
Keywords: Brain drain, brain gain, English-speaking Caribbean, organizational commitment, organizational support, perceived organizational support, postcolonialism, skilled labor, turnover
BRAIN DRAIN IN THE ENGLISH-SPEAKING CARIBBEAN 3
Dedication
This dissertation is dedicated to my parents, Leonell and Phyllis Melbourne, who made the very difficult decision to uproot their lives in Jamaica and migrate to the United States to give my siblings (Sandra and Keith) and I a better opportunity to achieve our full potential. BRAIN DRAIN IN THE ENGLISH-SPEAKING CARIBBEAN 4
Acknowledgements
I would like to acknowledge several individuals, without whose selfless sacrifices, this dissertation and my journey through the Doctor of Management (DM) program at the University of Maryland University College could not have been completed.
First, to my wife, Heather, I express my most sincere gratitude and appreciation for your endless love and unwavering support as I spent countless hours away from you pursuing my dream. I am in awe at the amount of patience and understanding you demonstrated when I was unable to fulfill my responsibilities to you and our children. I also truly appreciate your gentle words of reassurance whenever I felt discouraged. Thank you!!
To my children, Craig and Anyssa. Although you are both adults and do not “need” me as much, I nonetheless want to thank you for your understanding when I had assignments due and could not be there for you. Thank you for all the times you encouraged me to keep pushing. Your comments such as “I’m proud of you, Dad!” meant so much to me! It was because of my desire not to disappoint you why my failure to finish this journey was not an option. I am so proud of the wonderful human beings you have become, and of what you have both accomplished academically and professionally!
To my parents, Leonell and Phyllis Melbourne, thank you for instilling in me the value of an education. I would not be the person I am today, nor would I have reached the pinnacle of my academic career without your love and support.
To my cohort members, Sharon Crawford and Donald Roomes, I cannot say enough how much I appreciate your support, friendship, and the knowledge you shared. I am going to miss the flurry of emails we exchanged as we tried to figure out the directives of an assignment or the BRAIN DRAIN IN THE ENGLISH-SPEAKING CARIBBEAN 5
objectives of our professors. To my other colleagues in the DM program, thank you for your show of support.
I owe a depth of gratitude to my dissertation advisors, Dr. Laura Witz and Dr. Nicholas Allen. Thank you for skillfully guiding me through the oftentimes confounding process of writing a dissertation. I would also like to thank you for your words of encouragement. I can now say, in hindsight, that I appreciate not only your tender nudges but also the not-so-subtle pushes when I needed to make progress. I could not have asked for more understanding, competent dissertation advisors.
To my Subject Matter Experts, thank you for taking the time to review my work and for providing your valuable input. I promised you anonymity as a condition of you offering your service but you know who you are.
Finally, to my colleagues at Florida International University, thank you! In particular, I thank Dr. Doreen Gooden; you supported my endeavor from the very beginning and were always there to lift me up. To Drs. Jerry Haar, William Newburry, and Dileep Rao, and Ms. Rosa Garcia, thank you for your guidance and support. BRAIN DRAIN IN THE ENGLISH-SPEAKING CARIBBEAN 6
Table of Contents
Abstract .....................................................................................................................................2
Dedication ..................................................................................................................................3
Acknowledgements .....................................................................................................................4
Table of Contents ........................................................................................................................6
List of Figures ........................................................................................................................... 15
List of Tables ............................................................................................................................ 16
CHAPTER 1: INTRODUCTION .............................................................................................. 17
Background ............................................................................................................................... 17
Significance and Magnitude of the Problem in the English-speaking Caribbean (ESC) .............. 20
Purpose of the Study ................................................................................................................. 21
Implications for ESC Managers and Policy Makers ................................................................... 22
Implications for Private Sector Managers ...................................................................... 22
Implications for Policy Makers ...................................................................................... 23
Propositions and Research Question .......................................................................................... 24
Propositions ................................................................................................................... 24
Research Question ......................................................................................................... 25
Organization of the Dissertation ................................................................................................ 27
CHAPTER 2: LITERATURE REVIEW ................................................................................... 28
Key Variables, Terms, and Concepts ......................................................................................... 28
“Organization” .............................................................................................................. 28
Organizational Support (OS) ......................................................................................... 29
Definition of OS................................................................................................. 29 BRAIN DRAIN IN THE ENGLISH-SPEAKING CARIBBEAN 7
Classifying OS strategies.................................................................................... 30
Perceived Organizational Support .................................................................................. 33
Organizational Commitment .......................................................................................... 35
Types of OC....................................................................................................... 36
Relationships among OS, POS, Job Satisfaction, OC, and Turnover .............................. 36
Job satisfaction. .................................................................................................. 37
OC and turnover. ................................................................................................ 37
OS, POS, OC, and turnover. ............................................................................... 38
Brain Drain .................................................................................................................... 39
“Pull factors” versus “push factors.”................................................................... 40
Skills ............................................................................................................................. 41
Attitude ......................................................................................................................... 42
Attitude, behavior, and affective commitment. ................................................... 43
Conditions in the ESC ............................................................................................................... 43
Organizational Support in the ESC ................................................................................ 43
Working conditions. ........................................................................................... 44
Human resource practices. ................................................................................. 45
Low wages ......................................................................................................... 47
Collaborative efforts. ......................................................................................... 48
Alternative employment opportunities. ............................................................... 48
Brain Drain in the ESC .................................................................................................. 49
Impact of brain drain on labor. ........................................................................... 50
Impact of immigration policies on brain drain. ................................................... 51 BRAIN DRAIN IN THE ENGLISH-SPEAKING CARIBBEAN 8
Brain drain, brain gain, and the impact of remittances. ....................................... 52
Brain drain and publicly-funded education. ........................................................ 54
Skills Imbalance ............................................................................................................ 55
Managerial Attitudes in the ESC .................................................................................... 56
Theoretical Framework ............................................................................................................. 59
Postcolonialism and Postcolonial Theory ....................................................................... 59
Postcolonialism. ................................................................................................. 59
Postcolonial theory. ............................................................................................ 60
Hybridity ....................................................................................................................... 61
Hybridity relative to PCT. .................................................................................. 62
Social Exchange Theory ................................................................................................ 63
Conceptual Model ..................................................................................................................... 64
CHAPTER 3: METHODOLOGY ............................................................................................. 68
Evidence-based Research Synthesis and Evidence-Based Management ..................................... 68
Evidence-based Research Synthesis ............................................................................... 68
EBRS versus traditional literature reviews. ........................................................ 68
Reduction of subjectivity and availability bias. ....................................... 69
Reduction of unreliability. ...................................................................... 69
Bridging the knowledge and use gap. ...................................................... 69
Use of diversified data sources. .............................................................. 70
Facilitation of replicability. ..................................................................... 71
Evidence-based Management......................................................................................... 71
Elements of EBMgt. ........................................................................................... 72 BRAIN DRAIN IN THE ENGLISH-SPEAKING CARIBBEAN 9
Practitioner judgment and stakeholder viewpoints. ................................. 72
Local context. ......................................................................................... 72
Best available evidence. .......................................................................... 73
Systematic Reviews .................................................................................................................. 73
Aggregative versus Configurative Reviews .................................................................... 75
Stages in the Systematic Review Process ....................................................................... 76
Review initiation. ............................................................................................... 79
Review question and methodology. .................................................................... 79
Search strategy. .................................................................................................. 80
Database searches, search terms, and keywords. ..................................... 80
Search strings. ........................................................................................ 82
Inclusion and exclusion criteria............................................................... 83
Search results. ........................................................................................ 86
Quality and relevance assessment. ...................................................................... 89
TAPUPAS+v. ......................................................................................... 89
TAPUPAS+v rating scale. ........................................................... 91
Coding process. .................................................................................................. 95
A priori coding. ...................................................................................... 95
Coding software. .................................................................................... 99
Data extraction and coding. .................................................................... 99
A posteriori coding. .............................................................................. 101
Synthesizing the data........................................................................................ 105
Rationale for using realist synthesis. ..................................................... 105 BRAIN DRAIN IN THE ENGLISH-SPEAKING CARIBBEAN 10
Using reviews. ................................................................................................. 105
Subject Matter Experts ............................................................................................................ 106
SME Feedback Solicitation and Retrieval Protocol ...................................................... 106
Chapter Summary ................................................................................................................... 107
CHAPTER 4: RESULTS ........................................................................................................ 109
Study Characteristics ............................................................................................................... 109
Geographic Characteristics .......................................................................................... 109
Methodological Characteristics .................................................................................... 110
Findings ................................................................................................................................. 110
Group 1: Firm-level Strategies ..................................................................................... 110
Instrumental OS strategies. ............................................................................... 111
Skills and training. ................................................................................ 112
Working conditions. ............................................................................. 113
Mentoring. ............................................................................................ 113
Appraisal OS strategies. ................................................................................... 114
Wages and compensation. ..................................................................... 115
Micro-level bonding. ............................................................................ 116
Social OS strategies. ........................................................................................ 116
Supervisor support. ............................................................................... 116
Empowerment and decision-making authority. ..................................... 117
Targeting “non-captives.” ..................................................................... 118
Informational OS strategies. ............................................................................. 119
Group 2: National/Policy-level Strategies .................................................................... 120 BRAIN DRAIN IN THE ENGLISH-SPEAKING CARIBBEAN 11
Immigration policies. ....................................................................................... 121
International agreements. ...................................................................... 121
Compensation for skilled labor. ................................................. 121
Temporary migration. ............................................................... 122
Return migration................................................................................... 123
Diaspora engagement. ............................................................... 124
International recruitment....................................................................... 125
Other immigration interventions. .......................................................... 126
Macro-level bonding. ................................................................ 126
Immigration restrictions. ........................................................... 126
Managed migration. .................................................................. 126
Education policies. ........................................................................................... 127
Public/private collaboration. ................................................................. 127
Training programs. ............................................................................... 128
Vocational technical education. .........................................
Senior leadership response to organizational crises: Exploring the relationship between sensemaking and organizational resiliency
No full textSenior organizational leaders are the key to finding solutions and helping organizations work through a crisis. A crisis can test a leader’s abilities and organizational resiliency unlike any other event. Because leaders are vitally important to resolving crisis events for organizations, senior leaders must apply effective sensemaking skills. Organizational constituents expect and depend on leaders to navigate through crisis situations when there is little or no meaning as to why a crisis is occurring or how the crisis should be managed. Leaders are saturated with numerous and conflicting data streams during a crisis, but must execute timely decisions by making sense of organizational dynamics. Leaders must project a sense of urgency while simultaneously easing the concerns of the organizational members. Transformational leadership is foundational in leading an organization through a crisis. Leaders must act as a boundary spanner by relaying knowledge and effectively communicating among different levels of an organization, thus facilitating effective behaviors for managing crisis situations. The study of crises situations must evolve beyond the study of communication and crisis management. Globalization, innovation, and scholarly practice are management disciplines that must intersect to advance the study of crisis leadership and its connectedness to organizational resiliency. Crises are no longer the exception but rather the norm and are an accepted reality in today’s fast paced business arena, and the ability to understand and work through these events is critical to not only organizational survival but to thriving in a highly competitive global environment.Running head: SENIOR LEADERSHIP SENSEMAKING IN ORGANIZATIONAL CRISIS
Senior Leadership Response to Organizational Crises: Exploring the Relationship between
Sensemaking and Organizational Resiliency
Mark A. Livingston
Dissertation
A Thesis
Submitted to the Graduate Faculty of
University of Maryland University College in Partial Fulfillment of
The Requirements for the Degree of
Doctorate of Management
Advisor:
Eric B. Dent, Ph.D.
G. David Andersen, Ph.D.
SENIOR LEADERSHIP SENSEMAKING IN ORGANIZATIONAL CRISIS ii
Abstract
Senior organizational leaders are the key to finding solutions and helping organizations work
through a crisis. A crisis can test a leader’s abilities and organizational resiliency unlike any
other event. Because leaders are vitally important to resolving crisis events for organizations,
senior leaders must apply effective sensemaking skills. Organizational constituents expect and
depend on leaders to navigate through crisis situations when there is little or no meaning as to
why a crisis is occurring or how the crisis should be managed. Leaders are saturated with
numerous and conflicting data streams during a crisis, but must execute timely decisions by
making sense of organizational dynamics. Leaders must project a sense of urgency while
simultaneously easing the concerns of the organizational members. Transformational leadership
is foundational in leading an organization through a crisis. Leaders must act as a boundary
spanner by relaying knowledge and effectively communicating among different levels of an
organization, thus facilitating effective behaviors for managing crisis situations. The study of
crises situations must evolve beyond the study of communication and crisis management.
Globalization, innovation, and scholarly practice are management disciplines that must intersect
to advance the study of crisis leadership and its connectedness to organizational resiliency.
Crises are no longer the exception but rather the norm and are an accepted reality in today’s fast-paced
business arena, and the ability to understand and work through these events is critical to
not only organizational survival but to thriving in a highly competitive global environment.
Keywords: crisis, decision-making, leadership, organizational crisis, senior leadership,
sensemaking, resiliency, and transformational leadership
SENIOR LEADERSHIP SENSEMAKING IN ORGANIZATIONAL CRISIS iii
Acknowledgements
Although my name alone appears on this dissertation, it would be disingenuous of me to
take credit alone for the entire work here. A great number of people have contributed immensely
to the development and production of this dissertation. I owe my gratitude to all those people
who have made this dissertation possible and because of whom my graduate experience has been
one that I will cherish forever.
My deepest gratitude is to my advisor, Dr. Eric Dent. I was blessed and fortunate to have
an advisor who was both patient and forgiving, as it always seemed to take me a little longer to
get to the point he came to much quicker. He gave me the freedom to explore on my own, the
topic of my choosing, in my own way while guiding me to the end in a gentle but direct manner,
all the while knowing that he was teaching me the scholarly practitioner manner we all strive to
achieve. Dr. Dent taught me to question my own thoughts and push beyond any real or perceived
bias in my scholarly pursuits. His persistence and support helped me to learn, not just polish
existing skills, and overcome the work/life balance of pursuing a terminal degree and achieving a
lifelong goal. But as good as he was as an advisor, and many feel he may be without equal, he
was an even better man. It is rare to meet another man of true character that exudes confidence
and integrity. Not only did he make me a better scholar, he made me a better person and a better
leader. I am forever grateful and will be working every day to live up to the standards he has set.
It is truly rare that you meet and admire a man of true character; I am both blessed to have
learned from him and have a role model in life. I hope that one day I would become as good an
advisor to my students as Dr. Dent was to me but more importantly, I want to be as good a leader
as he is every day.
SENIOR LEADERSHIP SENSEMAKING IN ORGANIZATIONAL CRISIS iv
There are several other advisors who also impacted my learning and guided me in this
long and arduous journey. I would like to acknowledge several of them. Dr. Edwards, you taught
me to consider the evidence in a new way. Your drive and passion was contagious and drove me
to be better. You made me write differently. You told me congratulations, your previous work
was a success, but now you must learn to do it in a new way, and you showed me what that
meant. I was not sure I understood you at first but you took me on a journey of self-discovery.
Dr. Sherlock helped me to understand how to make a convincing argument by using explicit
claims and offering evidence to sufficiently support those claims. That has carried me to this
point. Thank you.
Dr. Andersen provided clear and concise counsel during DMGT 892 to help us better
understand how to race to the finish line, not just finish. Great advice – great insights. He should
write a book about it or be a guest speaker to every 892 class. Dr. Bijlani pushed me in my
journal quality paper process to the very edge of academic learning and research synthesis and
for that I am forever grateful. To all my advisors and faculty, I am a better learner today because
of the time we spent together.
For me the cohort was the heart and soul of this journey. I need to specifically thank them
for their contributions for my success, as my cohort members were substantially responsible for
this dissertation. If it were possible, the author line should have my name, a slash, and then Dr.
Wanda(ful) Wagner. To be truthful, her name should come first. In every single class on every
challenge, I had a core group that was with me. Even after they graduated they stuck with me,
and supported me with nightly discussions on scholarship, research tactics, inclusion or
exclusion criteria, APA formatting, research strings, and other issues related to achieving each
course milestone. Dr. Wagner was an almost daily partner either by phone or e-mail, including
SENIOR LEADERSHIP SENSEMAKING IN ORGANIZATIONAL CRISIS v
weekends and nights. I am sure her husband and students will see a big difference in her free
time when I have finally graduated. Dr. Cheryl DeVose pursued me with an academic passion
and friendship unlike any other colleague. She was my official mentor in both DMGT 845 and
850 and that was a blessing from heaven itself. If I missed a call she just kept calling. Bill
collectors should be afraid of her. Dr. Joe Drasin was an insightful friend and mentor who
pushed when he needed to and listened at other times. He seemed to be just the right guy at the
right time no matter what I needed. He could review a paper, listen to me complain, or push me
harder than I thought I could go. He just knew what I needed and when. Dr. Marshalee Clarke
was a constant reminder of what can be done with real tenacity and leadership. She inspired me
to never quit and was always pushing me to go the extra mile. She was an inspiration even when
she was not trying to be. She showed me what perseverance was really all about. Lastly, I want
to thank my dear friend and partner in academic triumph, Dr. Cicconi-Eggleston. She helped me
stay sane through these difficult years. Her support and concerned care helped me overcome
setbacks and stay focused on my ultimate goal. I greatly value these dear friendships and I am
touched deeply by their heartfelt belief in me.
I would like to acknowledge the subject matter experts (SME) that reviewed my early
draft of Chapters 1, 2, and 3. Thank you, Dr. Alexandre, Dr. Bridges, and Dr. Kaniewski. I
gained invaluable insights from each mentor individually and this dissertation is much better for
their efforts and time. I am forever grateful and hope that other doctoral candidates are as
fortunate to learn from their SMEs as much as I did from mine. Individually each one made a
contribution to this dissertation by providing critical guidance and support for my learning. I
would like to thank the scholars that provided me the literature whose influence guided my
SENIOR LEADERSHIP SENSEMAKING IN ORGANIZATIONAL CRISIS vi
research and discovery: Dr. Weick –Sensemaking, Dr. Bass - Leadership, Dr. Wooten - Crisis
leadership, and Dr. Christensen - Decision-making.
Lastly, I would like to thank the other scholars who have previously contributed to the
important topic of crisis literature. As the world gets smaller, and the events related to crisis
situations seemingly expand, there is a growing need to expand our appreciation and knowledge
of crisis leadership.
SENIOR LEADERSHIP SENSEMAKING IN ORGANIZATIONAL CRISIS vii
Dedication
First, I dedicate my dissertation to my parents James and Suzanne Livingston from Troy,
Alabama. Although they have both passed away, I know in my heart that both would be very proud to
see me achieve this milestone as reaching for the next goal was important to them. My father earned
his master’s degree and that was the crowning academic achievement for my family, a source of great
pride for him throughout his entire adult life. He was a United States Army and Air Force veteran who
served in the Korean and Vietnam Wars. Later in life he was a career law enforcement officer, earning a
Master’s in criminal justice, which served him well. My brother Steven followed him closely, serving in
the U. S. Army Special Forces as a Ranger and Green Beret, retiring as a Sergeant Major, seeing combat
in Grenada and later as a protective detailee for VIPs in Iraq. These influences pushed me to do better
both academically and in the service of my nation.
Second, I was not alone in my pursuit of this terminal degree. I dedicate my dissertation to
my circle of mentors and friends who guided me in the pursuit of academic success. To John
Halinski who served as a Marine mentor, a civilian career guide, and a SES sensei. His
friendship, mentorship, and kindness when my family and I needed it most have left the biggest
impact of all on my life, to include my family. He was there when I needed him and he never
wavered. He is a man of conviction and a leader of substance, one that I work every day to be
more like on every level on every issue in every way. Mark Thorn provided me sage and wise
counsel and was a friend when I needed him most. Bill Tarry was the mentor who provided me
with a sense of family and life balance that always ended with a sense of professionalism by
placing integrity first. To my Marine General Officer mentors, LtGen Knutson, LtGen Francine
Wilson, Maj Gen Joe Anderson, and BGen Thomas: Thank you for the time you invested in me
as I hope to carry your legacy forward.
SENIOR LEADERSHIP SENSEMAKING IN ORGANIZATIONAL CRISIS viii
Third, I dedicate this dissertation to my two wonderful daughters, Alyssa and Jordan.
They have inspired me to strive to finish this terminal degree all the while either pursuing or
planning to continue to pursue their degrees or advanced degrees. Even though they are fiercely
independent, “grown up” women, they are and will forever be my little girls and my greatest
source of love and pride. They have endured my absences as I pursued my dream of this degree
all the while supporting and understanding my goal, and for that I am forever grateful. Although
my children are grown and have their own lives, they understood my disconnectedness and
adjusted to my school schedules. Thank you – I love you both dearly and with all my heart.
Lastly, I dedicate my dissertation to my wife Naomi, who allowed me to take this journey by
providing boundless and unconditional loving support. Whether it was the alarm going off at 0400
to get up to do early school work, or to pay the tuition bill, or waving goodbye as the family went to
an event without me as I stayed behind to do more research or writing, her commitment has been
unwavering. She always smiled and kissed me, then encouraged me even though I knew it was hard
on her too. She provided me the space to learn, vent, and to think. She encouraged me when I needed it
and she pushed me when I thought I could not go on. She always gave me exactly what I needed to
keep going, even if I did not know what that was or that she was doing it. She understood when I
worked the entire weekend and never saw me or when I was tired, grouchy, or venting about a certain
class assignment or even a professor. Once I finished she gave me a hug and simply asked me if I felt
better and then gently pushed me back towards the computer and told me to get it done now. She knew I
just needed to vent. Sometimes, she just allowed me to sit and wonder why I was even doing this. A
kind hand on the shoulder was just enough to get me back into the assignment. I am reminded that had I
not had her in my corner, I would not be where I am today. Thank you and I love you.
SENIOR LEADERSHIP SENSEMAKING IN ORGANIZATIONAL CRISIS ix
Table of Contents
Abstract ........................................................................................................................................ ii
Acknowledgements ...................................................................................................................... iii
Dedication ................................................................................................................................... vii
Table of Contents .......................................................................................................................... ix
Chapter 1: Introduction And Overview Of The Dissertation ................................................... 1
Background ............................................................................................................................... 1
Statement of the Problem .......................................................................................................... 4
Significance of the Problem ....................................................................................................... 4
Purpose of the Study .................................................................................................................. 6
Significance of the Study to Management Practice and Scholarship .................................... 6
Overview of Relevant Literature .............................................................................................. 9
Sensemaking. .............................................................................................................................. 9
Crisis. ....................................................................................................................................... 12
Problem versus crisis. .............................................................................................................. 16
Crisis sensemaking operationalized. ...................................................................................... 16
Leadership. ............................................................................................................................... 19
Crisis leadership. ...................................................................................................................... 22
Crisis and leadership intersect. ............................................................................................... 28
Organization of Dissertation ................................................................................................... 32
Chapter 2: Methodology ............................................................................................................. 34
Introduction .............................................................................................................................. 34
Discussion of Evidence-Based Research ................................................................................ 34
Systematic Review Model and Research Process .................................................................. 38
Evidence-Based Research and Methodology ......................................................................... 51
Evidence-Based Movement ..................................................................................................... 52
Systematic Reviews (SR) ......................................................................................................... 53
Summary of Methodology ....................................................................................................... 57
Presentation and Discussion of the Expert Panel .................................................................. 57
Chapter Summary ................................................................................................................... 60
Chapter 3: Systematic Review Of Literature and Research Framework .............................. 62
Introduction and Overview ..................................................................................................... 62
Discussion of Theoretical Lenses ............................................................................................ 63
Theoretical Lens 1: Sensemaking Theory. ............................................................................ 64
Theoretical Lens 2: Crisis Leadership. .................................................................................. 67
Significant Content Areas in Crisis Management and Leadership Sensemaking ............. 67
Organizational Reputation and Trust .................................................................................... 73
Stakeholders ............................................................................................................................. 77
Critical Review and Evaluation of the Literature: A Systematic Review .......................... 78
SENIOR LEADERSHIP SENSEMAKING IN ORGANIZATIONAL CRISIS x
Identifying Critical Factors in Sensemaking Within the Studies ........................................ 85
Chapter Summary ................................................................................................................. 140
Chapter 4: Findings, Analysis, And Discussion ...................................................................... 142
Introduction ............................................................................................................................ 142
Purpose of the Study .............................................................................................................. 142
Presentation and Summary of the Findings ........................................................................ 144
Finding One: Effective Leadership in a Crisis is Critical and Must Include Sensemaking
................................................................................................................................................ 145
Finding Two: Crisis Leadership Boundary-Spanning Research Can Bridge Practitioners
and Scholars. .......................................................................................................................... 151
Finding Three: Management Study of Crisis Must Evolve Beyond Crisis Communication
or Crisis Management ........................................................................................................... 161
Alternative Perspectives ........................................................................................................ 170
Chapter Summary ................................................................................................................. 173
Chapter 5: Conceptual Framework ......................................................................................... 174
Introduction to the Conceptual Framework ....................................................................... 174
The Messag