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Advancing Beyond the Ceiling: The Gender Diversity (GD) Effect on Female Careers in Fortune 500s (F500s)
No full textThis study examines GD barriers in F500s to investigate female exclusion from TMTs and identifies GD enablers that could advance female careers beyond the current ceilings and the implications of female advancement for performance in F500s.Advancing Beyond the Ceiling: The Gender Diversity (GD) Effect on Female Careers in Fortune 500s (F500s)
Olutoyin Oyelade!
The Graduate School!
University of Maryland University College !
!
!
!
Findings and Conclusion!
ü GD on TMTs significantly influences female advancement (FA) (Oakley, 2000; Deloitte, 2009)."
ü GD remedial measures are more effective when implemented by F500s than enforced by law (CSRI,
2008). F500 leaders to implement workplace policies to address GD imbalances on TMTs."
ü Adjustments to female character traits at work enhances their advancement to TMTs (Eagly & Carli,
2008); while converting long-dated, traditional policies to GD-rules instils hope for FA to TMTs."
ü Eliminating GD barriers by policy changes & regulation facilitates FA and firm output (Pew, 2012)."
ü Female inclusion on TMTs highly correlates to positive/ improved firm performance (Higgs, 2003). "
ü F500s advance females by sensitizing its leadership of the benefits of TMT diversity through GD
platforms such as WOB2020, Diversity Index (2014), and Fortune.com (2013). "
ü F500s that adopt GD Enablers (sponsorship, training, mentoring) and advocate female advancement
record better performance-e.g. Virgin, Apple, Facebook,& Walmart (Hewlett, 2013; Fortune, 2013)."
ü Sponsorship enhances female advancement as an ideal but implementing GD quota systems through
targeted policy action serves as a palliative measure to correct past GD flaws on TMTs (Federal Glass
Ceiling Commission (FGCC), 2005; Catalyst, 2014). "
ü GD in F500s continues on a slow trajectory. As at 2013, Female CEOs in U.S F500s
was less than 4% and grew to 5.2% in 2014 (Catalyst, 2013; Fortune, 2013). "
ü Females on U.S boards accounted for only 15.7% (Fortune, 2013); and out of 1,763
listed companies, females had 2.3% board seats, thus limiting the number of
sponsors to advocate female advancement to top management teams (TMTs)."
ü The European Union (EU, 2011), advocates 40% GD on the leadership of listed
firms (using Norway as benchmark), for effective gender management that a firm
could benefit from. USSEC monitors F500 GD composition in line with EU index
(Deloitte, 2009)."
ü Female exclusion from TMTs persists due to GD barriers (ceilings) that affect
policies regarding the rate of F500 female advancement with a consequence for firm
performance. "
Implications For Practitioners !
ü F500 leadership to pragmatically initiate changes to TMT structures to advance females "
ü Use select F500s as pilot schemes to test GD corrective policies to fast track female advancement
(FA) to EU levels. E.g. Norway 40% (EU, 2011), Britain’s 25%."
ü Protect/encourage female sponsors and increase the number of promotions to TMTs (Hewlett, 2013)."
F500s to consider the following for action: "
ü Advance females to TMTs- record positive performance improvements in F500s (CSRI, 2008)"
ü Develop mentors for F500 senior females for rapid advancement (Oakley, 2000, Proudford, 2012)"
ü Pursue & monitor quota systems as a “quick win” strategy for GD (EU, 2011; FGCC, 2005)"
ü Strict regulation of quota systems on GD leads to improved TMT diversity and other diversity benefits "
ü U.S might replicate the EU GD policy framework for rapid implementation of TMT diversity in F500s."
ü F500s to promote GD by enforcing sponsorship, quotas and remedial measures."
What F500 Leaders Stand to Gain !
!
ü Females constitute a total of 66% of the U.S workforce and 49% in the private sector
(Pew, 2012). Females influence 61% of decision making in the retail sector."
ü Female contributions to idea generation and decision will become significant in the
near future. It is imperative that F500 leadership strategically identify and preserve a
talent pool from where future female leaders can emerge. "
ü Evidence of improved firm performance on TMTs that are led or populated by
females should interest F500 leaders and provoke an implementation of policy
actions to advance Female careers. "
!
Purpose!
!
ü Study examines GD barriers in F500s to investigate female exclusion from TMTs and
identifies GD enablers that could advance female careers beyond the current ceilings"
ü Study determines the implications of female advancement for performance in F500s. !
!
Research Question!
!
ü Is there evidence to indicate that GD on TMTs enhances female advancement? What
are the implications of female advancement for firm performance? "
Analysis of Selected Studies: Based on PRISMA (2009)!
The Problem !
In 2013, women accounted for
less than 4% of F500 CEOs.
Catalyst (2013) projects
another 40 years for women
to achieve parity with men in
corporate officer ranks !
Diversity Inc.!
Methodology: Analysis, Selection, and Synthesis!
Conceptual Framework !
There's no such
thing as work-life
balance.. "There
are work-life
choices, and you
make them, and
they have
consequences…
those who take
time off for family
could be passed
over for
promotions if
"you're not there
in the clutch.”
June, 28, 2009
Jack Welch,
Former CEO,
General Electric
on why females
aren't making it to
top teams. !
Summary of Evidence "
Number of Studies- 21 "
Mixed Method- 6 Case Study Analysis- 4 "
Meta-analysis- 2 Theoretical Reviews- 3 "
Systematic Review: 1 Qualitative - 5"
GD Enablers: A Model for Female Advancement in F500s"
Researcher/Year
Main
Theme(s)
Method
Results
Ar$en,
Bellar,
&
Helms,
(2004),
Cox
&
Smolinski
(1998).
TMT
Diversity:
performance,
equal
opportuniJes
Mixed
Method
Hire
females
for
profitability,
firm
performance.
CoOer,
Hermsen,
Ovadia,
and
Vanneman
(2001),
GuiOard
(2012);
Kanter
(2004)
GD
barriers:
Tokenism,
inequality,
glass
ceiling,
&
pay
disparity
SystemaJc
&TheoreJcal
Review
GD
barriers
limit
female
advancement
to
top
posiJons.
CSRI
(2008),
Pew
(2011),
FGCC
(2005),
ION
(2011),
(Fortune
(2013),
Catalyst
(2011;
2013).
DeloiOe
(2009)
GD
on
boards
as
facilitators
of
female
advancement
Meta-‐analysis
&
Case
study
analysis
Females
need
Sponsors
to
advance
Eagly
&
Carli
(2012).
Gender
traits,
leadership
style
as
barriers
to
GD
Meta
analysis
Traits
&
leaders’
style
influence
TMT
appointments
M
́ınguez-‐Vera
&
Campbell
(2007),
Carter
et
al.
(2010),
McCann
&Wheeler
(2011),
and
Colaco
et
al.
(2010).
Business
case
arguments
for
female
advancement
(FA)
to
TMTs.
Mixed
method
&
QL
Females
add
value
to
profits
of
F500s.
Oakley
(2000)
Leadership
development
&GD
QL
Training,
mentoring,
&
development
aid
FA
Weidenfeller
(2012);
Miller
(2009),
Proudford
(2009).
Queues
&
hierarchies
for
aspiring
females
to
F500s
TheoreJcal
Review
Queues
limit
female
advancement.
Status
hierarchies
define
female
CEOs.
HewleO
(2013)
Sponsorship
as
a
panacea
to
female
advancement
TheoreJcal
review
Female
need
sponsors
to
advance
in
F500s
GD
Factors
FA
Factors
Ethnic
&
Cultural
minoriJes,
Gender,
Board,
&
Racial
Diversity
Top
Management
Team
Senior
Leadership
&
C-‐suite
Heterogeneity,
Homogeneity
Endogeneity
Upper
Echelon
ExecuJve
Management
Fortune
500
Policies,
Rules
Traits,
Mentoring
&
Sponsorship
Regulatory
enforcement
and
Monitoring
Quota
Systems
Skills,
Knowledge,
Talent,
Training,
EducaJon,
QualificaJon,
Competencies
OrganizaJonal
Firm
Performance
&
Output
Prominent Themes Discussed by Authors !
Configurative Systematic Review: Evidence Synthesis!
GD Advocates
F500 Leadership, Board, TMT, and Sponsors
Roles: Advocate Policy Changes, Sponsor female executives, initiate favorable GD
rules, promote GD friendly environment, Monitor barrier-reducing measures
GD Beneficiaries
Senior Females (rise to TMTs (Guittard, 2012)
TMTs: Enhanced decision-making (Bass& Avolio
2012), Improved systems of Checks & Balances,
firm preservation (Oakley, 2000) Improved firm
Performance (CSRI, 2008)
Identification
Number of studies identified on
factors of ethnic, board & gender
diversity (4,007)
Number of studies identified based on
dissertation research questions (RQ) (312)"
Screening
Eligibility
Included
Total number of included studies"
(21)
Total number of included studies"
(21)"
Number of studies excluded
based on dissertation topic "
(3,695)
Included: Peer reviewed studies
with data on effect of GD on
female careers in Fortune 500
(F500) companies. Grey
Literature on GD barriers"
(Yes)
Number of studies excluded = 291"
Irrelevant to study = 225"
Inappropriate population = 48"
Inappropriate method = 7"
No peer review = 11
(291)
Included: Peer reviewed studies with data
on career advancement and gender
diversity in F500 companies"
(Yes)
Women’s
Career
Advancement
Organizational
Societal & Factors
Traditional
Factors
Upper Echelon
Theory (UET)!
Business Case/
Performance Arguments
Sponsorship &
Mentorship Arguments
Organizational Policy &
Structure
Women Advancement
Facilitators!
Gender
Diversity
Glass Ceiling!
Tokenism, Pay
Disparity
Organizational
Structure, Resource
Gaps & Politics
Gender Based
Barriers!
Leadership, Skills, Training
& Develop; & Competence
!
Leadership & Policy
Gaps
Discrimination
Stereotyping!
Outcome:
Improved Performance
Gender Leadership Style
Quotaa Systems
Adelphi Staff Advisory Council - Meeting Minutes March 2015
No full textMeeting Minutes - ASAC March 201
Finding common ground: Strategies community college leaders can use to affect and improve the effectiveness of performance-based funding systems
No full textPerformance-based funding has reemerged as the accountability system of choice for policymakers to measure both the successes and failures of public higher education. Although performance-based funding has no proven track record of success, policymakers continue to pursue these systems. Given the fact that many state policymakers have enacted ineffective performance-based funding systems, the purpose of this study was to investigate how community college leaders can more effectively participate in the policy debate to help legislators develop performance-based funding systems that meet policymakers’ objectives while minimizing the unintended consequences on community colleges. Systematic review, an evidence-based method, was used in this study to identify and critically examine the body of research on performance-based funding in public higher education. A panel of experts provided a critical examination of the research question, the significance of the problem, and the theories used to guide the investigative process. Their comments and suggestions were incorporated. The study found that community college leaders can impact policymakers’ decision-making if they form strong political partnerships with policymakers, design and align metrics based on state and institutional goals not just on accountability, and if they create a culture of evidence to document outcomes. There remains a need for evidence-based research as to address a) the efficacy of performance-based policy, and b) to survey community college leaders’ best practices when participating in the performance-based funding policymaking process.Running head: PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES
Finding Common Ground
Strategies Community College Leaders Can Use to Affect and Improve the Effectiveness of
Performance-Based Funding Systems
Kimberly H. James
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 in Community College Policy and Administration
Advisory Committee
Patricia Keir, Ph.D
Trudy Bers, Ph.D
December 18, 2015
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 2
Abstract
Performance-based funding has reemerged as the accountability system of choice for
policymakers to measure both the successes and failures of public higher education. Although
performance-based funding has no proven track record of success, policymakers continue to
pursue these systems. Given the fact that many state policy-makers have enacted ineffective
performance-based funding systems, the purpose of this study was to investigate how community
college leaders can more effectively participate in the policy debate to help legislators develop
performance-based funding systems that meet policymakers’ objectives while minimizing the
unintended consequences on community colleges. Systematic review, an evidence-based
method, was used in this study to identify and critically examine the body of research on
performance-based funding in public higher education. A panel of experts provided a critical
examination of the research question, the significance of the problem, and the theories used to
guide the investigative process. Their comments and suggestions were incorporated. The study
found that community college leaders can impact policymakers’ decision-making if they form
strong political partnerships with policymakers, design and align metrics based on state and
institutional goals not just on accountability, and if they create a culture of evidence to document
outcomes. There remains a need for evidence-based research as to address (a) the efficacy of
performance-based policy, and (b) to survey community college leaders’ best practices when
participating in the performance-based funding policymaking process.
Keywords: performance-based funding, higher education, community colleges, public policy,
public policy reform
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 3
Dedication
I dedicate this dissertation to the spirit of a mother who taught me that I could do
anything and to the patience and support of a father who, at 91 years old, still guides my
direction with calm and ease. To my loving husband, Hopeton, who as his name implies,
expected nothing less than a positive outcome for me during this endeavor. To my daughter
Camille who is also my inspiration, thank you for being the strong and steadfast young woman
that you are. Lastly, to the sisters in my circle, you all know who you are, thank you for your
prayers, encouragement, and the silence that spoke volumes and provided me with the time and
space to complete this journey.
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 4
Acknowledgements
I would like to first acknowledge the presence of God in my life. You provided me with
the strength to make it through this endeavor. I truly know that it was You who brought me to it,
and You who brought me through it. Because God sends you who you need when you need
them, I would like to thank my prayer warriors, Rev. Dr. Finitia Armstrong and Gayla Holmes,
who prayed for me when I did not have the strength to pray for myself; Dr. Susan McMaster who
gave me inspiration in the midst of many a storm; and, Michelle Lefurge, my editor, who helped
me find my voice and bring my words to life with meaning and conviction. And to my advisors,
Dr. Patricia Keir and Dr. Trudy Bers, who were steadfast in their belief that I could do this.
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 5
Table of Contents
Abstract .......................................................................................................................................... 2
Dedication ...................................................................................................................................... 3
Acknowledgements ......................................................................................................................... 4
List of Tables ................................................................................................................................. 8
List of Figures ................................................................................................................................ 9
Chapter 1: Introduction ................................................................................................................. 10
Description of Performance Funding Systems .......................................................................... 10
History of Performance-Based Funding .................................................................................... 12
Performance-based Funding Today .......................................................................................... 14
Performance-Based Funding: Comparing PBF 1.0 and PBF 2.0 .............................................. 16
Performance-Based Funding Enactment Process ...................................................................... 16
Current Status of Performance-Based Funding ......................................................................... 18
Statement of the Problem .......................................................................................................... 23
Significance of the Problem ...................................................................................................... 28
Theoretical Basis for Research Study ....................................................................................... 30
Research Questions ................................................................................................................... 35
Definition of Terms ................................................................................................................... 35
Statement of Purpose ................................................................................................................. 37
Conclusion ................................................................................................................................ 37
Chapter 2: Research and Methodology ......................................................................................... 39
The Research Process ................................................................................................................ 39
Critical Analysis of the Research Process ................................................................................. 40
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 6
Exclusion and Inclusion Criteria ............................................................................................... 46
Literature Evaluation ................................................................................................................. 48
Use of Subject Matter Experts .................................................................................................. 56
Expert Panel Process ................................................................................................................. 57
Conclusion ................................................................................................................................ 58
Chapter 3: Literature Review and Conceptual Model ................................................................. 60
Re-emergence of Performance-Based Funding Systems .......................................................... 60
Characteristics and Effectiveness of Performance-Based Funding Systems ............................ 65
Performance-Based Funding Policy Making Process ............................................................... 72
Community College Leaders’ Influence on Policymakers ....................................................... 76
Leadership and Management Theories ..................................................................................... 82
Conceptual Model: Engagement in Performance-Based Funding Policymaking ..................... 90
Chapter 4: Analysis and Findings ................................................................................................. 93
Summary of Expert Panel Feedback ......................................................................................... 93
Implementation of Expert Panel Feedback ............................................................................... 97
Key Findings ............................................................................................................................. 98
Unanticipated Findings ........................................................................................................... 104
Limitations .............................................................................................................................. 105
Summary ................................................................................................................................ 107
Chapter 5: Implications for Practice and Suggestions for Future Research ............................... 111
Purpose of the Study ............................................................................................................... 111
Problems and Solutions ........................................................................................................... 112
Implications of Findings for Community College Leaders ..................................................... 115
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 7
Identification of Study Gaps ................................................................................................... 117
Conclusion ............................................................................................................................... 118
References .................................................................................................................................. 120
Appendix A ................................................................................................................................ 134
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 8
List of Tables
Table 1 Performance-Based Funding 1.0 Compared to Performance-Based Funding 2.0 ........... 16
Table 2 States with Performance-Based Funding in Community Colleges, Universities or Both 19
Table 3 Keyword Search ............................................................................................................... 45
Table 4
References: History of Performance-Based Funding ...................................................... 48
Table 5
Summary of References 2000-present ............................................................................. 50
Table 6 Summary of Theoretical References ................................................................................ 56
Table 7
Performance-Based Funding Allocations for Two-year Institutions ............................... 65
Table 8
Stakeholder Categories and Constitutive Groups ............................................................ 87
Table 9
Evaluation Forms Rating Summaries .............................................................................. 94
Table 10
Performance-based Funding Policy: Conditions and Solutions with Implications
Informed by Theory ..................................................................................................... 112
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 9
List of Figures
Figure 1 Conceptual model linking problems to positive outcomes via community college
leaders engagement in the policymaking process. ......................................................... 92
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 10
Chapter 1: Introduction
The landscape of public higher education has changed drastically over the past decade.
Community colleges have experienced a shift from an enrollment based funding allocation
model to a performance-based funding model. Today, state lawmakers are holding community
colleges accountable for how they spend taxpayer dollars (Altstadt, Fingerhut, & Kazis, 2012;
Will, 2015) and performance-based funding is the preferred means of accountability being used
in 34 states. While performance accountability has been required of many four-year institutions,
most community colleges are still oriented to enrollment accountability and many are not
prepared to accommodate the outcomes based standards.
This dissertation investigates how community college leaders can more effectively
participate in the policy debate to help legislators develop community college performance-based
funding systems that meet policymakers’ objectives while minimizing the unintended
consequences to their institutions. There has been little research on (a) how community college
leaders have influenced the performance-based funding legislative process, and (b) why
legislators continue to enact these systems despite a lack of evidence on the effectiveness of
these performance standards. As more and more states use performance-based funding as the
accountability standard, now is the time for community college leaders to find common ground
with policymakers. Therefore, reasons and solutions have been searched for in the general
context of (a) management theories appropriate to evaluating college leadership in policymaking
in general, and (b) scholarly and grey matter assessment of why policymakers legislate
ineffective policy.
Description of Performance Funding Systems
Performance-based funding (PBF) is an outcomes-based allocation system used to
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 11
determine how public funds should be appropriated to public institutions (Dougherty, Natow,
Hare, & Vega, 2010). McLendon, Hearn, and Deaton (2006) presented three performance
structures found in public fund allocations: performance reporting, performance budgeting, and
performance funding. Until recently, performance reporting was the most common and
traditional structure. This reporting method was based on institutionally set indicators and was
not tied to funding in any way. The indicators were based, in part, on anecdotal successes
reported by faculty and staff and then passed on to stakeholders by word of mouth.
Performance budgeting is used primarily by government agencies and is driven by results
and accountability, not merely by the amount of money spent or compliance with the law.
According to the National Conference of State Legislators (NCSL, 2015b), “Performance
budgeting encourages lawmakers to reconsider priorities and grants agencies the flexibility to
make decisions that are not easily permissible under traditional budgeting systems” (NCSL,
2015b, p. 1)
Performance funding allows for an increase or decrease in funds based on an institution’s
performance in pre-established areas (McLendon et al., 2006). In essence, they codify what
policymakers perceive to be important outcomes from higher education. Performance-based
funding systems are politically driven and complex to implement and, like most systems, will
undergo a series of growing pains before either success or failure can be determined (Addo
Kaddo & Stuckey Astuckey, 2014). Dougherty, Natow, Bork, Jones, & Vega (2011) have
examined some of the political forces that have shaped performance-based funding in Florida,
Illinois, Missouri, South Carolina, Tennessee, Washington, California, and Nevada. Their study
suggests that states would be more likely to legislate performance-based funding when they are
“securing greater support from public higher education institutions (especially state universities),
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 12
securing wider and more extensive support from business, and reaching out to equity-oriented
groups that emphasize the contributions of performance funding to social equality” (Dougherty,
Natow, et al., 2011, p. 159).
History of Performance-Based Funding
The first iteration of performance-based funding (now known as PBF 1.0) was introduced
to higher education in the late 1970s to encourage public higher education to be more efficient
and effective by providing additional funding on top of the usual state allocations received by the
institution (Harnisch, 2011; Rabovsky, 2012). Performance-based funding was first proposed by
Tennessee’s Higher Education Commission in 1978 (Harnisch, 2011; Rabovsky, 2012).
According to studies by Dougherty and Reddy (2011) as well as Miao (2012), these early
funding systems were not consistently written into budgets in most states and were, therefore, the
first items cut during lean economic times. Such early performance-based funding systems are
still present in some states, surviving as bonus funding allocations over and above regular state
funding for higher education and are budgeted on the basis of intermediate and long-term
indicators (Community College Research Center, 2014).
The state of Illinois implemented an early performance-based funding system at its
community colleges with an emphasis on teaching and learning. According to a report presented
by the Illinois Community College Board in 1998:
A performance-based incentive system for Illinois community colleges should focus on
teaching and learning…rewarding institutions for high performance and/or significant
improvement, establish state and district goals and priorities, provide consequential
information for institutions to use in improving performance, provide accountability
information to state policymakers, and build credibility and support for community
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 13
colleges. (p. 4)
Demise of FTE as a performance standard. Typically, colleges have received state
funding based on how many full-time equivalent (FTE) students were enrolled at the beginning
of the semester. However, increased political and corporate scrutiny, as well as the belief “that
the U.S. is falling behind other countries in educational attainment and that the new economy
requires more college educated workers” (Tandberg & Hillman, 2013, p. 1), policymakers
shifted away from FTE to determine funding and the use enrollment measures alone were
rendered obsolete (National Conference of State Legisltures, 2013b).
Although FTE as a performance standard provided an incentive for colleges to enroll
students, it did not provide any incentive to help move the students forward towards graduation.
McLendon and Hearn (2013) made the following observation:
Quality may actually decline under such regimes if indicators value output volume more
than output quality—take the simple example of eased graduation standards producing
larger graduating classes that, in turn, lead to decreased per-student educational
expenditures. (p. 5)
Crellin, Aaron, Mabe, and Wilk (2011) also found that an FTE approach provided no
motivating factors to encourage completion “be it by semester, year or degree” (p. 3). Over time,
this emphasis on FTE led colleges to become more concerned with tuition dollars raised through
full-time student enrollment than with actual student success.
As a result of the weaknesses associated with FTE-based funding, states began to explore
alternate criteria for funding decisions. The state of Tennessee is one state government that no
longer links operating funding directly to enrollment (Community College Research Center,
2014). Indiana is another good example of a performance-based funding state that no longer
PERFORMANCE-BASED FUNDING IN COMMUNITY COLLEGES 14
rewards colleges based on increased enrollment; instead, funding was awarded based on
graduation rates. Indiana recognized that merely getting students through the college doors is
not enough when half of them never receive a certificate or degree within six years (Mangan,
2013). Now, the two key metrics being used in Indiana are degree completion and on-
Personal characteristics of leadership effectiveness: Exploring the ideal set of traits for senior academic administrators challenged with leading a modern higher education institution
No full textSix broad challenges are identified as currently confronting the sustainability of tertiary educational institutions in the United States: 1) financial challenges; 2) the increasing importance of information technology; 3) changing student demographics; 4) changing program, course, and scheduling needs; 5) changing roles of faculty; and 6) changing stakeholder roles and regulations. These challenges are often extremely disorganizing to institutions of higher education and show no signs of dissipating in the near future.
Senior academic administrators (i.e., presidents/chancellors, vice presidents/vice chancellors and deans) are found to have a significant role to play in leading their institutions through challenging periods; they must meet the exigent contemporary need for leadership effectiveness in American higher education.
To address adequately the six situational challenges identified above, this paper argues that there are five highly desirable inherent attributes, commonly called traits, for senior academic administrators to possess. These traits enhance the probability of effective leadership. That is to say, those possessing many or most of these traits in high levels (less one trait, which should be possessed in low levels), enjoy a greater chance of achieving contemporary leadership effectiveness at their institutions. The traits are extroversion, neuroticism (low), openness to experiences, social power motivation, and metacognition. This conclusion appears to be accurate across all Carnegie classifications of postsecondary institutions in the United States.
The research findings in this dissertation complement rather than challenge the role of behaviors and skills in effective leadership. Furthermore, recent research suggests that inherent attributes can be developed and enhanced through training. Until this research came out, scholars long assumed that all inherent attributes were immutable. While it remains true that physical characteristics such as gender and height cannot be changed, at least not without surgical intervention, traits such as personality and cognitive ability can be altered for willing candidates. These findings, in combination with the conceptual framework identified in this dissertation, create a potent package of leader effectiveness research with the potential of beneficially serving American higher education during this challenging period.Running head: PERSONAL CHARACTERISTICS OF LEADERSHIP EFFECTIVENESS 1
Personal Characteristics of Leadership Effectiveness: Exploring the Ideal Set of Traits for Senior
Academic Administrators Challenged with Leading a Modern Higher Education Institution
Mark Edward de Jong
A Thesis
Submitted to the
Graduate Faculty
of
the University of Maryland University College
in Partial Fulfillment of the
Requirements for the Degree
of
Doctor of Management
Dr. Eric Dent
Dr. G. David Andersen
January 20, 2014
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 2
© Copyright by
Mark E. de Jong
2014
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 3
ABSTRACT
Six broad challenges are identified as currently confronting the sustainability of tertiary
educational institutions in the United States: 1) financial challenges; 2) the increasing importance
of information technology; 3) changing student demographics; 4) changing program, course, and
scheduling needs; 5) changing roles of faculty; and 6) changing stakeholder roles and
regulations. These challenges are often extremely disorganizing to institutions of higher
education and show no signs of dissipating in the near future.
Senior academic administrators (i.e., presidents/chancellors, vice presidents/vice
chancellors and deans) are found to have a significant role to play in leading their institutions
through challenging periods; they must meet the exigent contemporary need for leadership
effectiveness in American higher education.
To address adequately the six situational challenges identified above, this paper argues
that there are five highly desirable inherent attributes, commonly called traits, for senior
academic administrators to possess. These traits enhance the probability of effective leadership.
That is to say, those possessing many or most of these traits in high levels (less one trait, which
should be possessed in low levels), enjoy a greater chance of achieving contemporary leadership
effectiveness at their institutions. The traits are extroversion, neuroticism (low), openness to
experiences, social power motivation, and metacognition. This conclusion appears to be
accurate across all Carnegie classifications of postsecondary institutions in the United States.
The research findings in this dissertation complement rather than challenge the role of
behaviors and skills in effective leadership. Furthermore, recent research suggests that inherent
attributes can be developed and enhanced through training. Until this research came out,
scholars long assumed that all inherent attributes were immutable. While it remains true that
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 4
physical characteristics such as gender and height cannot be changed, at least not without
surgical intervention, traits such as personality and cognitive ability can be altered for willing
candidates. These findings, in combination with the conceptual framework identified in this
dissertation, create a potent package of leader effectiveness research with the potential of
beneficially serving American higher education during this challenging period.
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 5
DEDICATION
This dissertation is dedicated to those who motivated me in life – both those who
encouraged me with their support and those who steeled my determination with their doubt.
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 6
ACKNOWLEDGEMENTS
John and Kathy Kutolowski encouraged me as a scholar when I had little faith in myself.
Diane Fitton found potential in me as an educator and gave me my first position in higher
education. Without their ceaseless encouragement, faith, and support, my career and this
dissertation would not exist.
I also wish to acknowledge the sound guidance of Eric Dent, my final dissertation
advisor. Gratias tibi ago, magister. I am also thankful for the guidance of James Gelatt, G.
David Andersen, and Claudine SchWeber.
Lastly, I deeply appreciate the time and thought given to my dissertation by my subject
matter experts, Nick Allen, Henry J. Eyring, and Deborah Meadows.
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 7
TABLE OF CONTENTS
Abstract……………………………………………………………………………………..
Dedication……………………………………………………………………………………
Acknowledgements……………………………………………...........................................
Table of Contents……………………………………………………………………………
List of Tables………………………………………….........................................................
List of Figures……………………………………………………………………………….
Chapter 1: Introduction & Background…………………………………………………..
Introduction………………………………………………………………………..
Problem Statement……………………………………………………………………..
Research Purpose ……………………………………………………………………
Research Questions ………………………………………………………………..
Study Significance………………………………………………………………….
Scope of Inquiry……………………………………………………………………..
Definition of Terms……………………………………………………………….
Procession of Chapters……………………………………………………………
Chapter 2: Literature Review……………………………………………………………….
Administrative Challenges Facing IHEs…………………………………………..
Role of Senior Academic Administrators during Periods of Challenge……………
Inherent Attributes………………………………………………………………….
Chapter Summary…………………………………………………………………
Chapter 3: Conceptual Framework…………………………………………………………
Problem Restatement…………………………………………………………….
Conceptual Framework…………………………………………………………..
Chapter Summary…………………………………………………………………
Chapter 4: Methodology…………………………………………………………………….
Practical Relevance……………………………………………………………….
Evidence Based Research (EBR)………………………………………………………
Expert Review Panel………………………………………………………………..
Chapter Summary………………………………………………………………..
Chapter 5: Results, & Discussion………………………………………………………….
Research Question 1……………………………………………………………….
Research Question 2……….………………………………………………………
Research Question 3……………………………………………………………….
Discussion………………………………………………………………………….
Chapter Summary…………………………………………………………………
Chapter 6: Conclusions, Implications, & Limitations…………………………………….
Implications for Management…………………………………………………….
Implications of Trends……………………………………………………………
Limitations & Further Study………………………………………………………….
Chapter Summary………………………………………………………………………..
References……………………………………………………………………………………
Appendix A: Personal Assessment Tool…………………………………………………….
Appendix B: Subject Matter Expert Feedback Rubric……………………………………….
Appendix C: Expert Panel’s Assessment of Dissertation………………………………….
Appendix D: Frameworks Influencing the Conceptual Model……………………………
3
5
6
7
8
9
10
10
14
20
21
21
22
23
24
26
26
44
54
87
88
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92
93
93
94
95
101
102
102
106
108
113
115
117
121
117
129
130
132
155
159
160
172
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 8
List of Tables
Table 1. Cameron’s Domains of Effectiveness and Corresponding Dimensions………….27
Table 2. Constituent Facets of OCEAN Personality Structure……………………………..Table 3. Overview of Expert Panel Evaluation…………………………………………….98
Table 4. Evidence on IHE Challenges…………………………….……………………….Table 5. Evidence on the Role of Senior Academic Administrators during Periods
of Challenge..…………………………………………………….………………….…….Table 6. Evidence on the Role of Personality in Leadership Effectiveness using the
Five-factor Model………………………………………………………………………....Table 7. Evidence on the Role of Intrinsic Motivation in Leadership Effectiveness………Table 8. Evidence on the Role of Cognitive Ability in Leadership Effectiveness…………Table 9. Direct Associations between Effectiveness Characteristics and Current
IHE Challenges…………………………………………………………………………....27
58
98
100
101
107
111
112
119
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 9
List of Figures
Figure 1. Graphical representation of origination point of challenges facing IHEs………..43
Figure 2. A model of leader attributes and leader performance…………………………….83
Figure 3. Conceptual framework addressing IHE challenges, senior academic
administrator positioning, and leadership effectiveness influences………………………..89
Figure 4. Conceptual framework addressing IHE challenges, senior academic
administrator positioning, and ideal leadership effectiveness characteristics……………...116
43
83
89
116
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 10
Chapter One: Introduction & Background
Introduction
Leading a modern, American postsecondary educational institution is a potentially
complex and precarious proposition (Bok, 2003; Bornstein, 2003; Cameron & Smart, 1998;
Cameron & Tschirhart, 1992). Scholars and practitioners have widely discoursed on the
associated administrative challenges (Bess & Dee, 2008; Leslie & Fretwell, 1996; Keller, 1983).
These difficulties seem ubiquitous, spanning the breadth of higher education institutions in the
United States from two-year technical colleges to research intensive universities. While some
institutions or classes of institutions appear to weather these difficulties better than others do,
none seems immune.
Organizational difficulties beg solutions. Thus, which group or individual is responsible
for leading the institution through these challenging times? The faculty, trustees/regents,
administrators, alumni, and other stakeholders all play a role, but evidence suggests that senior
administrators of a college or university carry the majority of the responsibility and possess the
authority to do the job (Cameron, Kim, & Whetten, 1987; Cameron & Tschirhart, 1992).
Many factors go into what is considered leadership, e.g., group dynamics, followership,
individual abilities and motivation, behaviors, situational conditions, and others (Bass, 1990).
Because leadership is such an expansive topic, this study focuses solely on personal
characteristics. That is to say, the inherent traits associated with effective leadership.
What follows in the remainder of this chapter is an introductory exploration of the three
issues outlined above, i.e., institutional challenges, senior administrators roles regarding those
challenges, and the personal characteristics associated with effective leadership. Also, problem
and purpose statements, the scope, and the guiding research questions for this study.
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 11
Economic distress may be the single most prominent concern in higher education (Keller,
1983; Kirwan in Clark & d’Ambrosio, 2006). The U.S. economy was buoyant in the post WW II
era, approximately 1945-1974. This meant relative financial security for academia. Some
authors have even referred to this period as the “golden age” of higher education (Keller, 1983,
p. 8-12). Nevertheless, national economic downturns in the 1970s, 80s and 90s strained
postsecondary budgets. More recently, the economic downturn begun in 2008 continues to
handicap higher education. Budget cuts, furloughs, layoffs and shrinking endowments are not
only common but also prevalent (for example see Kirwan, 2009), and there are few signs that
this situation will significantly improve in the near future. The Center for the Study of Education
Policy recently reported via their publication Grapevine that only nine states reported increases
in total state higher education spending from 2002-2010, including federal stimulus money.
From 2011-2012, increases ranged as low as 0.1%. Decreases were as high as 41% (Grapevine,
2012). The nascent massive open online course (MOOC) movement represents a potentially new
source of revenue for campuses, but it is too early to discern the fiscal viability of MOOCs in
this regard.
Information Technology (IT) is often one of the leading financial burdens associated with
postindustrial higher education. This is particularly so regarding essential IT infrastructure and
education technology. As Katz noted, “The emergence of the information age has presented
educators, leaders and policy makers with unprecedented challenges and opportunities” (1999, p.
xiv). The challenges are those related to defining a campus’s technology needs and making wise
expenditures within a rapidly changing technological environment. Opportunities can be
realized by meeting the needs of a changing and expanding student body, in part through
educational technology, by which campuses attract new enrollments. Despite the need for tuition
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 12
dollars, absorbing and serving an influx of new students can be challenging. Enrollments in
postsecondary institutions have grown from nearly fourteen million in 1990 to twenty million in
2011, a 43% jump (United States Department of Education, Digest of Education Statistics, 2011,
2012, table 198). Enrollments are further projected to grow to twenty-three million by 2020 (US
Department of Education, Projections of Education Statistics to 2020, 2011, table 20).
This enrollee demographic will increasingly be comprised of minorities and adult
learners. By 2050, the United States’ number of foreign-born residents will double to nearly
20% of the total population, and by 2022, 50% of all public high school graduates will be
minorities. The number of minority students has already risen to reach almost one-third of all
post-secondary enrollments in 2007 (United States Department of Education, Digest of
Education Statistics, 2010, 2011, table 241). Expansion of the adult learner population
continues. From 2007 to 2018 a 9% rise in traditional-age (18-24 yrs. old) students is expected,
but for the same period of time an increase of 25% is predicted for those twenty-five to thirty-four
and 12% for those thirty-five years old and up (United States Department of Education,
Projections of Education Statistics to 2018, 2009). This is at least in part because employers and
employees increasingly value lifetime learning after earning a bachelor’s degree. Also, because
average life expectancy has increased from the 60s into the 70s, and portends soon to enter the
80s, workers are expected to stay in the workforce longer. This may require additional training
or education due to job changes.
Serving this group will require new thinking about the needs of students. This is to say,
traditional support services and content delivery methods may not suffice. Dormitories, face-to-face
lectures, credit requirements for contact hours, and similar could become insufficient or
even problematic to the point of being anachronistic in the near future.
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 13
Many students already require campuses to modify offered majors and scheduling
options. For example, students more than ever wish to pursue an education on their terms
through part-time study and evening, weekend and online classes. Online distance education is
especially popular. For example, the University of Phoenix online campus nearly doubled its
enrollments to 307,965 students from 2008 to 2010 (United States Department of Education,
Digest of Education Statistics, 2010, 2011, table 249). While recent reports suggest for-profit
providers such as Phoenix and Kaplan University have suffered enrollment reversals (Lewin,
2012), online education remains popular overall. MOOCs especially have burgeoned from
classroom experiments in 2007 and 2008 to millions of enrollees worldwide beginning in 2011
as a new, low-cost educational delivery medium for students (Kop, Fournier, & Mak 2011).
Educational institutions must also grapple with and address shifts in educational priorities from
broad learning and liberal arts to professional, executive, and niche education and training
programs (Bok, 2003; Leslie & Fretwell, 1996).
Keller (1983) stated, “Nothing is so important to a college or university as the quality and
vigor of its faculty (p. 22)”. By this, he meant that faculty is the essential purveyors of their
institution’s key product – education. Moreover, school reputations are often built upon the
work and commitment of faculty. Yet, faculty roles are currently in a state of indeterminate
metamorphism. That is to say, like in geology, their essential composition is being altered due to
extreme external pressure, but what the final product will be is not yet known. Pedagogy,
content, and scheduling must adapt to meet changing demographics and expectations, as already
noted. Moreover, the role of faculty in campus governance and leadership is changing.
Throughout much of the 20th century, professors held a status above that of mere employee.
Rather, one could favorably compare them as a collective to the federal Congress in that they
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 14
held more or less equal or superior authority to the executive. This arrangement occurred less
frequently in junior or community colleges, which has and still maintains a more management-employee
relationship between faculty and administration. The community college model is
now becoming more the norm as administrators and boards reassert their authority.
As already mentioned, there are many stakeholder groups in higher education. Many of
their voices are becoming increasingly influential, and administrators are increasingly at odds
with one or more of them in their efforts to satisfy competing interests and maintain healthy
institutions. Students, of course, are important stakeholders. In addition, as noted above, the
professoriate is a critical stakeholder group. Corporate and individual donors and alumni have
an increasingly important stakeholder role. Furthermore, boards of regents/trustees, boards of
visitors, and legislators all play some role in institutional oversight. As institutions solicit for
budgetary needs, benefactors desire and receive a “seat at the table” regarding expenditures and
other decision making challenges. Another reason for increased oversight is public mistrust of
higher education. This began with the social unrest of the 60s but has continued with financial
scandals and unscrupulous management practices through the 70s, 80s, 90s, and into the new
millennium. (Bornstein, 2003; Brubacher & Rudy, 1997; May, 2006; Shulman, 2008). As a
result, gaining stakeholder’s trust and consensus is and will be a challenge for administrators.
Problem Statement
The disorganizing effect of contemporary challenges facing tertiary educational
institutions dominates the United States’ postsecondary landscape. The tempo of environmental
and organizational change is swift. The external influences, those occurring outside of campus,
often appear beyond an administrator’s immediate control, and the internal pressures are in many
respects corollaries of the external ones. Cameron and Tschirhart (1992) referred to the sum of
ATTRIBUTES OF LEADERSHIP EFFECTIVENESS 15
these problems as postindustrial chaos. Christensen and Eyring (2011) more sanguinely referred
to them as disruptive innovations. Yet, the continued viability of some administrators’
institutions remains in question, and many have even argued that U.S. higher education is at a
critical, life-or-death juncture (Bok, 1982, 2003; Bornstein, 2003; Cameron & Smart, 1998;
Leslie & Fretwell, 1996; Sommer, 1995). Taken to the next degree, large-scale disruption or
failure of higher education in the United States could severely influence workforce quality,
economic sustainability, and global competition. Thus, the challenges facing American
institutions of higher education are not necessarily contained to a specific sector but may instead
have national ramifications.
Moreover, what roles do senior academic administrators play in navigating their
institutions through the challenging times identified above? Are they the ones to lead? This has
been debated in the literature. Some point to faculty or other key stakeholders as primary
leaders. Ot
Management Influence on Bank Tellers' Voluntary Turnover and Affective Organizational Commitment
No full textBank tellers play a crucial role in the daily function of retail banks yet the average bank turns over the equivalent of its entire front-line teller staff in less than three years. Such high turnover results in the loss of human and social capital, disruption in productivity, and decreased financial performance. This study evaluates the influence immediate supervisors have on new tellers' intention to quit, job satisfaction, and affective commitment by reviewing three support behaviors related to tellers' integration in the organization: (1) role clarity, (2) mentoring; and (3) recognition. The support behaviors are explored through the theoretical lens of organizational socialization and perceived organizational support (POS). Organizational socialization highlights the onboarding experiences of new employees, while perceived organizational support refers to the perceptions developed by employees regarding their value to the organization. A systematic review of primary literature was conducted and synthesized using thematic synthesis. The results indicated that role clarity was not a management behavior but rather a factor that can be influenced by managers. The results also indicated the following: (1) the lack of role clarity was the primary reason for job dissatisfaction (2) mentoring from a teller's immediate supervisor results in job satisfaction and affective commitment; and, (3) personalized recognition from supervisors increases job satisfaction as well as organizational commitment. Additionally, supervisory style was found to increase affective organizational commitment among tellers when combined with recognition and mentoring. This study details the specific supervisory behaviors that influence teller retention and increase affective commitment.Running head: BANK TELLER TURNOVER AND COMMITMENT 1
Management Influence on Bank Tellers’ Voluntary Turnover and Affective Organizational Commitment
By
Thamara Barthelus
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
Dr. Leslie Dinauer
Dr. Laura Witz
March 2015
BANK TELLER TURNOVER AND COMMITMENT 2
Dedication
This dissertation is dedicated to my parents, Joseph and Ruth Barthelus, who taught me the value of education and perseverance.
BANK TELLER TURNOVER AND COMMITMENT 3
Acknowledgement
The completion of this study would not have been possible without a wealth of support from many individuals who have invested their time and effort in my success.
First, I would like to thank my sister and pastor, Natacha Byrams, who selflessly provided me with unlimited access to her home as my personal study area. At times, I really needed a change of venue, as it helped me to get the thoughts flowing in the right direction. I also greatly valued your last minute proofing of my work, as well as your encouraging words and prayers. Your practical and emotional support was particularly invaluable during comps and residencies. You have always been an anchor for me and words cannot express the love and gratitude I feel for you!
To my sister, Bregeneve Ocansey, your concern for my success spoke volumes to me. Thank you for taking time away from your work and family during my last minute requests for editing and sentence restructuring.
Dr. Bloodine Barthelus, our time spent together working on our “methods chapter” during the Christmas holiday gave me the strength and encouragement needed to persevere. On many occasions, you put aside your own work to ensure that I was on the right track. Thank you for your thought-provoking conversations that helped me generate new ideas and ensured that my work progressed in the right direction.
Fabuola Barthelus, your ceaseless belief in me and my abilities has made a world of difference. Thank you for opening your home to me when I needed a different study venue.
To my sister, Linda Barthelus, I could not imagine going through this journey without you. We took the plunge together and we came out on top. BANK TELLER TURNOVER AND COMMITMENT 4
To my awesome nephews, Gabriel Byrams, Solomon Byrams, Judah Byrams and Gideon Bobb-Semple, I want to thank you for always providing the much needed stress relief. Your innocence and humor were the best medicine I could have had during times of great challenge. I look forward to attending your football games this year.
To Leon Davis, I wish to take this opportunity to say that our lunches and parking lot conversations have always left me empowered. You believed in my ability to succeed at times when I doubted myself and the prospects of completing this study appeared grim. In addition, your willingness to facilitate meetings in my absence gave me the peace of mind I needed to be able to fully focus on my work. I truly appreciate your friendship.
To my brother and good friend, Roger Evans, I will never forget you lecturing me during my first year in the program. I was at my wits end, sure that I was destined for a failure. Your words of encouragement made me realize that quitting was not an option and failure was unacceptable.
To my subject matter experts, Kelly Kendall, Kevin Sabin, Honey Shelton, and Ryan Namata, thank you for taking the time to review my work and provide honest and insightful feedback. Your immensely valuable input greatly enhanced the quality of my dissertation.
To my colleague, Eddie Montgomery, I would not have made it through DMGT 850 without your help. I will never forget our two-hour phone conversation during which you guided me in creating an outline for my JQP the week it was due! Thank you.
To my advisors, Dr. Dinauer and Dr. Witz, your patience and guidance gave me the assurance that I was capable of accomplishing this monumental feat. Your encouragement, particularly in BANK TELLER TURNOVER AND COMMITMENT 5
DMGT 891, gave me the necessary confidence and drive to not only complete my work, but achieve the level of quality I can be truly proud of.
To my editor, Dr. Natasha, thank you for your careful review of my work. I could not have completed this dissertation without you.
Finally, to my Heavenly Father, your words in Isaiah 41:13, “I am the Lord your God who takes you by your right hand and says, Fear not, I will help you,” gave me the assurance that my doctoral journey was never walked alone. The realization that you were always with me helped me even at times when I struggled with my work.
BANK TELLER TURNOVER AND COMMITMENT 6
Table of Contents
DEDICATION……………………………………………………………………...
2
ACKNOWLEDGEMENTS………………………………………….......................
3
LIST OF FIGURES………………………………………...………………………
8
LIST OF TABLES………………………………………………………………….
9
ABSTRACT………………………………………………………………………..
10
CHAPTER 1: INTRODUCTION…………………………………………..............
11
Purpose of Study…………………………………………………………
12
Background………………………………………………………………
12
Problem Statement and Significance……………………………………..
14
Manager Influence and Voluntary Teller Turnover……………………...
17
Importance of Study to Management…………………………………….
18
Research Question………………………………………………………..
19
Definitions………………………………………………………………..
20
CHAPTER 2: LITERATURE REVIEW………………………………………….
23
Teller Characteristics……………………………………………………..
24
Turnover Defined………………………………………………………...
27
Segments of Turnover……………………………………………………
28
Causes of Voluntary Teller Turnover…………………………………….
30
Turnover Decision Process……………………………………………….
31
Job Satisfaction…………………………………………………………..
33
Organizational Commitment……………………………………………..
34
Affective Organizational Commitment and Turnover…………………...
36 BANK TELLER TURNOVER AND COMMITMENT 7
Manager Support Behaviors………………………………………………
38
Theory of Organizational Socialization (OS)……………………………..
51
Perceived Organizational Support (POS)…………………………………
59
Summary…………………………………………………………………..
60
CHAPTER 3: CONCEPTUAL MODEL………………………………………….
63
CHAPTER 4: METHODOLOGY………………………………………………...
65
CHAPTER 5: RESULTS………………………………………………………….
95
CHAPTER 6: DISCUSSION……………………………………………………...
106
REFERENCES…………………………………………………………………....
122
APPENDICES
138
Appendix A: CASP Screening Questions for Qualitative Research………
138
Appendix B: CASP Screening Questions for Systematic& Meta-Analysis
140
Appendix C: Table of Data Extraction with CASP Rating……………….
141
Appendix D: Subject Matter Experts Qualifications & Experience………
164
Appendix E: Table of SMEs Dissertation Survey Responses…………….
165
Appendix F: Systematic Review Study Characteristics…………………..
168
BANK TELLER TURNOVER AND COMMITMENT 8
List of Figures
Figure 1.
Employee turnover decision model……………………………….
29
Figure 2.
The four employee-recognition practices………………………...
47
Figure 3.
Antecedents and outcomes of newcomer adjustment during organizational socialization……………………………………….
49
Figure 4.
Conceptual model of socialization practices, job satisfaction, turnover and organizational commitment among new tellers…….
60
Figure 5.
Systematic review process………………………………………..
63
Figure 6.
Systematic review flowchart strategy adapted from PRISMA (2013)……………………………………………………………..
68
Figure 7.
Role clarity theme – sequence, causation, and correspondence….
86
Figure 8.
The four elements of evidence based management (EBMgt)…….
88
Figure 9.
Industries represented in systematic review………………………
92
Figure 10.
Position represented in systematic review………………………..
92
Figure 11.
Conceptual model demonstrating mediating role of supervisor on job satisfaction, turnover, and affective organizational commitment………………………………………………………
96
BANK TELLER TURNOVER AND COMMITMENT 9
List of Tables
Table 1.
Turnover Rate by Industry………………………………………..
12
Table 2.
Career teller and non-career teller characteristics………………...
23
Table 3.
Search categories and search strings used in systematic review internet searches…………………………………………………..
70
Table 4.
Subject search terms- inclusion and exclusion………………….
73
Table 5.
Criteria for critically appraising findings from qualitative research…………………………………………………………...
76
Table 6.
Critical Appraisal Skills Programme (CASP) quality assessment rating……………………………………………………………...
77
Table 7.
Example of line-by-line coding…………………………………..
81
Table 8.
Coded and sorted frequency phrases……………………………...
83
Table 9.
Final codes………………………………………………………..
84
Table 10.
Codes and descriptive themes…………………………………….
85
BANK TELLER TURNOVER AND COMMITMENT 10
Management Influence on Bank Tellers’ Voluntary Turnover and Affective Organizational Commitment
Abstract
Bank tellers play a crucial role in the daily function of retail banks yet the average bank turns over the equivalent of its entire front-line teller staff in less than three years. Such high turnover results in the loss of human and social capital, disruption in productivity, and decreased financial performance. This paper evaluates the influence immediate supervisors have on new tellers’ intention to quit, job satisfaction, and affective commitment by reviewing three support behaviors related to tellers’ integration in the organization: (1) role clarity, (2) mentoring; and (3) recognition. The support behaviors are explored through the theoretical lens of organizational socialization and perceived organizational support (POS). Organizational socialization highlights the onboarding experiences of new employees, while perceived organizational support refers to the perceptions developed by employees regarding their value to the organization. A systematic review of primary literature was conducted and synthesized using thematic synthesis. The results indicated that role clarity was not a management behavior but rather a factor that can be influenced by managers. The results also indicated the following: (1) the lack of role clarity was the primary reason for job dissatisfaction (2) mentoring from a teller’s immediate supervisor results in job satisfaction and affective commitment; and, (3) personalized recognition from supervisors increases job satisfaction as well as organizational commitment. Additionally, supervisory style was found to increase affective organizational commitment among tellers when combined with recognition and mentoring. This study details the specific supervisory behaviors that influence teller retention and increase affective commitment.
KEYWORDS: Turnover; Organizational Socialization; Perceive Organizational Support, Teller, Supervisor, Role Clarity, Mentoring, Recognition, Banking BANK TELLER TURNOVER AND COMMITMENT 11
Management Influence on Bank Tellers’ Voluntary Turnover and Affective Organizational Commitment
Chapter 1: Introduction
The quality of training and efforts invested into retention of new employees play a significant role in the level of voluntary turnover in an organization. Thus, organizations unable to adequately develop and retain their associates risk losing their most valuable asset. This has been the challenge faced by retail bank executives when addressing teller turnover. According to the Cornerstone Report: Benchmarks and Best Practices for Mid-Size Banks, in 2007, the median employee turnover rate was 21% at the corporate level, while a much greater figure of 34.1% was reported for tellers (Williams, 2007). This disparity reflects serious workforce and productivity issues that must be addressed by the management. In an effort to decrease turnover, human resources and bank executives have started implementing methods believed to enhance job satisfaction among tellers, such as providing employee incentives, flexible work hours, and rewards programs. However, these approaches have done little to decrease turnover (Ochoa, 2009).
In addressing the pervasive issue of voluntary teller turnover, extant research has focused on the direct role managers play in influencing job satisfaction, organizational commitment, and turnover intentions among boundary spanning employees (Eisenberger, 2002; Eisenberger et al., 2010; Lambert, 2000). According to Kreisman (2002), “The manager, whether a front-line supervisor, a project leader, team captain, or senior manager, actually has more power than anyone else to reduce unwanted turnover” (p. 3). Holtom, Mitchell, Terrence, Lee, and Inderrienden (2005) concurred with this view, going as far as to say that manager-subordinate relationships are the cause of voluntary turnover. Krackhardt, McKenna, Porter, and Steers BANK TELLER TURNOVER AND COMMITMENT 12
(1981) supported this claim, stating, “The role of the supervisor is key to employee’s job experience because he controls the structure, ambiguity, conflict in the work, provides informal and formal feedback in the work and controls rewards and job security” (p. 250). If this is true, it is an indication that organizations may be able to reduce unwanted turnover by focusing on developing quality supervisor-employee relationships.
Purpose of Study
The purpose of this study is to understand how the socialization of new tellers influences their turnover intentions and commitment. In order to meet this objective, it explores the role supervisors play in the successful integration of tellers through the lenses of organizational socialization (OS) and perceived organizational support (POS). By employing the OS and POS lenses, the challenges associated with ambiguity, stress, and vulnerability among new tellers can be identified and the strategies for mitigating these issues developed. This study suggests that supervisory behaviors during the first ninety days of employment—posited as the most critical period for tellers’ adjustment into their new role—create a sense of perceived organizational support among newcomers. Moreover, it is argued that those supervisors that (1) ensure role clarity, (2) provide necessary mentoring, and (3) offer timely and fair recognition are more likely to experience affective commitment among their tellers. These three support behaviors are seen as the key to ensuring job satisfaction among new tellers and are thus posited to help in reducing turnover.
Background
Innovations in the banking industry have changed perceptions held by management regarding the value of tellers in the organization. Prior to the development of self-service technologies, such as ATMs and cash dispensers, tellers were highly valued and well respected BANK TELLER TURNOVER AND COMMITMENT 13
in the industry. Consumers depended on tellers to meet their basic financial needs, such as making deposits, withdrawals, transfers, and account balancing. Due to their direct exposure to the clients, tellers were also highly valued by the bank executives. Thus, as Ochoa (2009) noted, it was common for banks to promote exemplary employees from other departments to the teller position, which was highly coveted in the industry. According to the authors, “Many who served as tellers were considered knowledgeable in banking operations because of their previous banking experience and were promoted to assistant managers and later managers” (p. 27).
An evident shift in management’s perceptions regarding the value of tellers began in the 1960s, with the advent of over-the-counter consumer statements, cash dispensers (CDs), and automated teller machines (ATMs), which consolidated and automated redundant services. These self-service systems provided consumers with the convenience of making cash withdrawals, deposits, and transfers without teller assistance. This, along with the subsequent introduction of electronic banking, significantly decreased the need for the number of teller positions. Moreover, those that were still employed in branches no longer required the skill sets once needed to perform as a teller. According to Ochoa (2009), changes in retail banking as a result of innovation and industry trends
have deteriorated the job of a teller or front-line sales people from a very important position (providing high level of affiliation and economic incentives) to one now occupied by inexperienced employees who have the highest level of voluntary turnover (leading to low levels of affiliation and economic incentives). (p. 26)
Owing to these changes, tellers are currently among the lowest paid and least trained employees in the industry. According to De-Paula (2005), a teller presently earns a salary comparable to that of a McDonald’s deep fryer employee. Due to the limited skill set required to BANK TELLER TURNOVER AND COMMITMENT 14
perform their duties, the quality of training tellers receive has also deteriorated. While some banks have instituted a formal training program, Grasing (2003) stated that some
provide no formal training but have tellers work with a peer ‘teller trainer’ or institute the buddy system in the branch to learn the policies, procedures and systems. This creates the opportunity for disgruntled tellers to influence newcomers with their individual biases and not necessarily the bank’s standard practices. (p. 8)
Although the position of teller is now considered entry-level and is ranked the lowest in the banks’ organizational hierarchy, tellers are given the responsibility of cross-selling bank products, in addition to the current demands associated with their job. According to Valdes and Tucker (2006),
As the banking industry has evolved and recognized the significance and profitability of relationship banking, banks are beginning to change their thinking about the role of tellers. In the past tellers were seen as simply transaction processors but it has evolved into a business development and revenue catalyst. Tellers are now required to listen, probe and engage with customers for life changing events or lifestyle changes that would present an opportunity to sell the bank’s products and services. (pp. 32-33)
Clearly, while the responsibilities of tellers continue to increase, their compensation, training, and perceived value have deteriorated, making many feel unappreciated, overworked, and underpaid. Hence, it is no surprise that many tellers feel dissatisfied with their jobs and do not stay with their current organization for too long. This rapid turnover is a major concern, as hiring and training new employees is not only costly and time consuming, but also affects the productivity and customer service offered by the bank.
Problem Statement and Significance
More than three decades ago, Metzger (1981) recognized the issue of teller turnover, describing it as one of the most costly problems that bankers face in their attempts to improve or maintain profitability. According to a 2001 Bank Administration Institute’s Teller Operations BANK TELLER TURNOVER AND COMMITMENT 15
Benchmarking Study, 82% of participating banks admitted to having trouble retaining their tellers (Bielski, 2002). Grasing (2003) supported this claim, noting, “The annualized teller turnover rate is typically one of the highest areas in the bank, ranging from the mid-teens in some banks to over one hundred percent in others” (p. 8). Such a high turnover rate results in the loss of human and social capital, as well as a decrease in financial performance (Vangel, 2011). While some turnovers are due to employer terminations, automation, and industry consolidation, most are the result of employee resignations. The data presented in Table 1 underscores the gravity of the issue of voluntary teller turnover, as it can be seen that there is only a 4% difference between total turnover and voluntary turnover in the Banking and Finance sector for the past four years. In 2013, total turnover was estimated at 17%, while 13% of employees voluntarily resigned from their position. Research dating back several decades reveals similar patterns for all industries with a large number of front-line staff, such as healthcare (McNeese, 1997), hospitality (Gustafson, 2002), and nonprofits (Barrick & Zimmerman, 2005). These statistics suggest that customer service organizations cannot focus solely on
Applying Interim Leadership as a Response to Disruption-induced Succession Events: Implications for Organizational Policy, Planning, and Performance
No full textInternal interim management roles induced by
disruptive events.0 0 1
3
0
2 1 1 1
3
0 1 0
4
1 1 2
6 6
8 3
5
7 8
5
13 8
7 5
3
15
4
7
2
5
3
6
5
2
6 5
3
2 8
4
2
2
9
4
4
3
0
5
10
15
20
25
30
Number of Studies with Relevant Extracts
Category
High
Medium
Low
Role Framework
Initiation
Period Interim Leadership Period
Exit
Phase
Applying Interim Leadership as a Response to Disruption-induced Succession Events:
Implications for Organizational Policy, Planning, and Performance
Problem Space
Results Summary
Interim Management
• Ubiquitous across organizations and geographic region.
• Multiple interpretations of “interim” leadership.
• Study Focus: internal interim management roles induced by
disruptive events.
© Robert Sterneck, 2015
Implications for Practitioners
Robert S. Sterneck
The Graduate School
University of Maryland University College, Adelphi, MD
Evidence Summary
1. Research Question
2. Review protocol: D-base & Snowballing
3. Comprehensive search: UMUC OneSearch
4. Inclusion and exclusion criteria: PRISMA
5. Quality assessment: Weight of Evidence
6. Data extraction and integration: Atlas.tiTM
& MS Excel
7. Results synthesis: Realist Synthesis
Research Question
What attributes affect departmental or higher leadership performance
in interim management situations induced by disruptive events?
Method
Implications for Scholars
• Organizational structure and policy alignment to interim
management
• Organizational support structures
• Interim management candidate skills and attributes
Recent Headlines
United Airlines CEO steps down after Port Authority probe
Volkswagen CEO steps down amid emissions scandal
Stanford Business School dean steps down amid sex scandal, lawsuit
10
Title
62,176
After 1990
25,464
Scholarly/Peer Reviewed Journals
1,211
English Language
1,178
Academic Journals & Books
1,155
Title and Abstract Review
53
Remove Duplicates
50
Full Text Review
32
Snowballing and Related Activity
Final Data Set
42
Initial Search
189,960
Consultant / External (-9)
Education, Training & Development (-5)
Permanent Management (-1)
Temporary Organizations (-2)
Weight of Evidence A Weight of Evidence B Weight of Evidence C Weight of Evidence D
Transparency Purposivity Utility Overall
Accuracy Propriety
Accessibility
Specificity
Adapted from Gough, 2007
7
18 17
0
5
10
15
20
Low Medium High
Number of Studies
Composite Quality Score
Data Set Descriptive Information
0
1
0 0 0
3
0
1
0
1 1 1
2 2
3
2
1
2 2
3 3
2
7
2 2
1
0
2
4
6
8
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
Number of Studies
Publication Year
8
4
1 1 1
10
7
3
1
6
0 2 4 6 8
10
12
Number of Studies
Type of Study
13
2 4 2 2
16
1 1 1
0
5
10
15
20
Number of Studies
Organization Type
27
13
1 1
0
5
10
15
20
25
30
Division Executive Team Various
Number of Studies Management Level
42 Pieces of Evidence in
the Final Data Set
• Expands upon and differentiates interim management from
other management disciplines
• Foundation for researching proactive approaches to support
interim management organizational structures
• Deeper understanding of the temporal aspects of the interim
management cycle
• Human resource policy and structure lens aligned to interim
management
17 Factors influencing role framework, the
initiation period, the interim leadership period,
and the exit phase
Future Research
• Focused research on one or more of the 17 factors
• External interim management influences and implications
• Expanded understanding of organizational policies and
structures
Organizational Assessment Tool
Category Level 0 Level 1 Level 2 Level 3 Level 4 Level 5
Tenure
None identified. General
expectation to
transition to a
permanent leader
without a process
or approach
defined.
General
expectation of a
future transition
to a permanent
leader without a
time frame
defined.
General timeline
established for
identification and
transition to a
permanent leader
with a period
exceeding 18
months.
Specific timeline
established for
identification and
transition to a
permanent leader
with a period
exceeding one
year but less than
18 months.
Specific timeline
established for
identification and
transition to a
permanent leader
within a period of
one year.
Quality Assessment
WEIGHT OF EVIDENCE: atlas.ti reference code
Full Reference
Element Comments Score
Weight of Evidence A
Transparency Notes and comments regarding scoring reasoning.
H
M
L
Accuracy Notes and comments regarding scoring reasoning.
H
M
L
Accessibility Notes and comments regarding scoring reasoning.
H
M
L
Specificity Notes and comments regarding scoring reasoning.
H
M
L
Weight of Evidence B
Purposivity Notes and comments regarding scoring reasoning.
H
M
L
Weight of Evidence C
Utility Notes and comments regarding scoring reasoning.
H
M
L
Propriety Notes and comments regarding scoring reasoning.
H
M
L
Weight of Evidence D
Overall Notes and comments regarding scoring reasoning.
H
M
L
9 Propositions outlining influencing factors
during interim management periods
Tenure
Organizational
Performance
Influencing Forces
Event
&
Decision α
β
0
1
2
3
4
5
Circumstance
Regulation &
Policy
Position Structure
Tenure
Selection
Compensation
Authority
Attributes &
Capabilities
Support
Stakeholder
Perception
Group Motivation
Communication
Acceptance
Personal
Motivation
Development
Transition
Retention Stronger
Weake
Navigating a path to the entrepreneurial community college: Strategies for transformational change in organizational culture, presidential competencies, and business models
No full textCommunity colleges increasingly face the need to engage in entrepreneurial activities to fill the funding gap left by reduced public funding. Community college leaders need specific leadership competencies and change strategies to provide leadership to colleges seeking to engage in entrepreneurship.The Problem
Results/Findings of Research
External Challenges
Steady decreases in government funding
Increases in operational/instructional costs
Global competition for resources
Internal Barriers
Traditional, complex organizational culture: change resistance, risk aversion, shared governance, and managerialism
Lack of highly-skilled candidates for future presidential vacancies
Outdated, inefficient business models and ineffective board models
Problem
Community colleges increasingly face the need to engage in entrepreneurial activities to fill the funding gap left by reduced public funding. Community college leaders need specific leadership competencies and change strategies to provide leadership to colleges seeking to engage in entrepreneurship.
Strategies for Transformational Change in Organizational Culture, Presidential Competencies, and Business Models
Implications for Practitioners
Susanne M. Brock
The Graduate School
University of Maryland University College, Adelphi, MD
The Evidence
Esters, l. L., McPhail, C. J., Singh, R. P., & Sygielski, J. J. (2008). Entrepreneurial community college presidents: An exploratory qualitative and quantitative study. Tertiary Education and Management, 14(4), 345-370.
Fisher, J., & Koch, J. (2004). The entrepreneurial college president.Westport, CT: Prager Publishers.
Levin, J. (2005). The business culture of the community college: Students as consumers, students as commodities. New Directions for Higher Education, (129), 11-26.
Malm, J. R. (2008). Six community college presidents: Organizational pressures, change processes and approaches to leadership. Community College Journal of Research and Practice, 32(8), 614-628.
Martinez-Lopez, C. L. (2009). Creating an entrepreneurial culture at two-year colleges: A conceptual paper. Review of Business Research, 9, 76-85.
Myran, G. (2013). The new community college business and finance model. New Directions for Community Colleges, (162), 93-104. doi: 10.1002/cc.20063
RQ: What Do We Need to Know?
1.Given the necessity of community colleges in turning to entrepreneurial ventures to generate alternative revenue, what strategies have proven most successful in changing the organizational culture of community colleges to be more supportive of entrepreneurial, revenue-generating ventures?
2.Given the challenges, what are the leadership skills, experiences, and competencies presidents need to effect the necessary organizational culture change and to successfully plan, implement, and evaluate the success of entrepreneurial activity at their colleges?
Method: The Process of Discovery
Implications for Scholars
Much of the research of late 1990s and early 2000s discussed mass presidential vacancies that would be occurring over the next 10 years and was concerned with a lack of qualified candidates to fill those vacancies. These projected vacancies have now been filled. Individuals filling these roles could be the subjects of new research on contemporary community college presidents.
Additionally, the economy and landscape of higher education have changed significantly over the last 10 years and that should warrant research into entrepreneurial community college activities and entrepreneurial presidents, as they exist today.
•Presidential leadership is the single most important factor in effecting the change needed to transform traditional community colleges into entrepreneurial colleges.
•Community colleges have complex cultures that can be changed by charismatic presidents with skills, experiences, and competencies in:
•Effective communications
•Entrepreneurship and innovation
•Savvy business practices
•Risk acceptance and failure tolerance
•Relationship building, particularly with the board
The Conceptual Model
•Systematic review chosen as research method for this dissertation.
•Pre-defined systematic review protocol used to organize and make sense of a large body of information that would lead to answering the two research questions.
•Structured, rigid protocol was a critical element of review process that included quality appraisal (screening for exclusion).
•Protocol created way to select, analyze, filter, validate, and synthesize relevant research literature across multiple disciplines.
•Criteria for evaluating literature was clearly stated
