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Predictive analytics and the education conundrum
No full textThe author presents a novel use of evidence-based predictive analytics in the stratification of students based on academic performance. The Dept. of Education has determined that fully 19% of students graduating from high school are functionally illiterate. Early application of statistical modeling involving regression analysis can assist educators in the early identification of such students and offer guidance in determining an appropriate career path.UNIVERSITY OF MARYLAND UNIVERSITY COLLEGE
THE GRADUATE SCHOOL
PREDICTIVE ANALYTICS AND THE EDUCATION CONUNDRUM
A Submission to the UMUC Digital Repository
in the Graduate Program
Master of Science Degree in Data Analytics
WILLIAM L. LEVITT, MD
Summer, 2015
Sponsored by Carrie Beam, Professor
August 10, 2015
William Levitt Predictive Analytics and the Education Conundrum Page 2 of 23
CONTENTS
TABLE OF FIGURES 4
INTRODUCTION 5
EARLY EDUCATION 6
CLASSROOM INCOMPATIBILITY 7
COLLEGE ADMISSION 10
EDUCATION IN DECLINE 10
PREDICTIVE ANALYTICS 11
ANALYTICAL MODELING 12
VISUALIZATION ANALYTICS 13
TECHNICAL OR VOCAITONAL TRAINING 16
GOVERNMENTAL SUPPORT 17
OPTIMIZATION RECOMMENDATIONS 19
CONCLUSION 20
REFERENCES 21
William Levitt Predictive Analytics and the Education Conundrum Page 3 of 23
ACKNOWLEDGEMENT
I would like to express my sincere gratitude to Prof. Carrie Beam for her unwavering support of my work; and for her patience and ever-present motivation. Her guidance and insightful comments helped me throughout the writing process.
CONTACT INFORMATION
Correspondence concerning this article should be addressed to William L. Levitt, MD at: [email protected]
William Levitt Predictive Analytics and the Education Conundrum Page 4 of 23
Figures
1. Word cloud depicting significant roles of parent engagement in child development………….…. 6
2. Stacked bar graph depicting teacher frequency of experiencing great stress…………….……...... 8
3. Pie Chart depicting the extent of challenge to implement the common core State standards ….... 8
4. Bar chart showing science performance statistics for boys; including world ranking ………….... 9
5. Partitioned scatterplot depicting the impact of student attendance on academic performance….. 13
6. Stacked horizontal bar graph showing academic status by ethnicity…………………………..... 14
7. Stacked horizontal bar graph depicts academic performance as an early warning indicator…..… 14
8. Horizontal bar graph depicting occupations/salaries for non-degreed workers ………………..…16
9. Bar graph illustrating minutes per day spent doing homework…………………………………... 19 William Levitt Predictive Analytics and the Education Conundrum Page 5 of 23
Introduction
The author, with formal training in the hard sciences (chemistry, mathematics and medicine) and whose professional experience as a physician transcends both clinical medicine and medical education, presents an opinion piece proposing a novel solution to the nation’s education conundrum: assisting the academically challenged student by tapping into the processing power of data analytics.
‘No child left behind’, has been the persistent mantra of the present and previous administrations for over a decade (US Department of Education (ED), 2001). It a reference to the time honored progression of formal schooling from kindergarten through college. Something that is ‘left behind’ is something that is ‘left out.’ The message that is being thusly conveyed to the children is that if they don’t follow the traditional path, one to which the public has become inured over the decades, they will forfeit career-related wealth, and success; and by extension, they will bring shame to themselves and their family. This advice, however well-intentioned, ignores the obvious: the route to a productive education and fulfillment in life is diverse and numerous.1 With today’s ever-expanding array of educational options, it is incumbent upon us to re-evaluate the traditional advice. We need to expand our embrace of alternate, despite at times somewhat unconventional, career paths.
The continuing debate about whether we are employing the correct testing method, or optimizing student-teacher ratios, or providing sufficient computers in the classroom, etc., is begging the question. Deliberation about issues such as class size, the optimal amount of homework assigned, or whether young students are being allotted sufficient “playtime” is also missing the point. The critical question that we as mentors and educators should be asking is, “Are there students who would be better served by pursuing technical or practical training as opposed to pure academics?” There are countless routes to happiness and success; attainment of a university or college degree is only one of them. The nation’s young students are being guided
1 Also well-intentioned but equally misguided is the concept of affirmative action (AA) which bases educational admission and advancement largely on race and/or minority status. Leslie et al. describe an unanticipated and deleterious stigmatizing effect through stereotyping of students in such plans as incompetent, often resulting in lowered self-evaluation and academic performance (Leslie, L. M., Mayer, D. M., & Kravitz, D., 2014). Racial preferences in admissions to California schools were banned by Proposition 209 in 1996 (“California Proposition 209 - Wikipedia, the free encyclopedia,” n.d.). An evaluation of student graduation rates, post ban, revealed an increase in graduation rates by 4.4% (Arcidiacono, Peter, Aucejo, Esteban, Coate, Patrick, & Hotz, V. Joseph, 2013).
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by a politically motivated catchphrase which adopts a one-size-fits-all approach to educating young students, presented to them as sane and feasible. It is neither.
Early Education
Sadly, there are a quantifiable number of students who, even at the most primary levels, are simply not academically inclined. They share the disadvantage of having been ill-prepared for formal schooling. A commonality that many suffer is a lack of nurturing or exposure to reading in their preschool years (Levitt, 2013). A more comprehensive view of the critical role played by parents in their children’s educational development is depicted in Figure 1. (Bachellier,2013).
Figure 1. Word cloud depicting significant roles of parent engagement in child development.
Further compounding the problem, these students often come from home environments where English is never spoken; or if it is, only occasionally. Many families are forced to hold down more than one full time job with precious little time remaining for their offspring. Thus, many parents are ill-prepared and/or unaware of the important role they play in supporting their child’s attainment of academic achievement.2 Nevertheless, these children commence schooling
2 Gottfried et al. demonstrated a strong correlation between parental involvement and both subsequent child educational development, as well as increased intrinsic academic motivation in children. In addition, they showed a clear link between early motivation and its inculcating effect on later childhood motivation (Gottfried, et al. William Levitt Predictive Analytics and the Education Conundrum Page 7 of 23
markedly disadvantaged and often never achieve parity with their classmates. To place these students in a classroom where the only commonality among the students is their birth year (and to do so year after year) is patently wrong.
Classroom Incompatibility
As the underperforming student advances from grade to subsequent grade, the disparity in performance between students becomes ever greater which might account for their reported outbursts of frustration, anger, and defiance (Bainbridge & Lasley, 2002). The US Department of Education reports that 405,000 students required counseling for emotional and/or behavioral disturbances in 2011 (Gargiulo & Metcalf, 2012).3 Schools that discourage teachers from expelling the misbehaving students fear that, with no one to monitor their behavior at home, the kids will become further embroiled in delinquency. Allowing these students to remain in the classroom is an invitation to further classroom disruption (Arum & Preiss, 2009). Nevertheless, many unruly students must be removed from the classroom.4 The admixture of students of varying abilities and interest levels have contributed to increasing levels of teacher stress and attrition.(See Figure 2.)(Watson, A., 2013). Unfortunately, it is in this way that schools have become complicit in exacerbating the educational crisis by not seeking alternatives for the underperformers and, indirectly, compromising the education of the attentive and eager students.
Despite their lack of academic achievement, schools are allowing these students to graduate from high school. They are doing this by lowering the academic standards (the goal of standardized testing). In some districts, the schools independently decide how to measure performance (always vigilant of the original catchphrase of “leaving no child behind’). Of even greater concern, as reported in Scholastic Administrator, new demands on teachers and schools
1994). While correlation does not prove causality, there is a high probability they are related if missing attributes cannot be identified.
3 The study, conducted during the 2009-2010 school year, “represents 7 percent of the total number of students served in special education”; further, of all students in public schools, 0.62 percent had emotional or behavioral disorders (Gargiulo & Metcalf, 2012, Kindle Edition, p 100).
4 For demographics relating to student expulsions (which is beyond the scope of this essay) the reader is referred to the US Dept. of Education Office for Civil Rights website at: www.ocrdata.ed.gov where details regarding a) suspension of preschool children by race/ethnicity and gender, b) expulsion rates for students of color, and c) suspension of girls of color are examined in greater detail as are disproportionalities among ethnicities.
William Levitt Predictive Analytics and the Education Conundrum Page 8 of 23
“…to show student gains on standardized testing” (Richmond, 2010) has resulted in an increase in the number of cases of inappropriate student assistance by teachers and frank cheating (Lee, 2009).5 Furthermore, poorly performing students often interfere with the educational process (Figure 3.)(Watson, A., 2013).
Figure 2. Stacked bar graph depicting teacher frequency of experiencing great stress in the classroom.
Figure 3. Pie Chart depicting the extent of challenge to implement the common core State standards
5 The April 2015 highly publicized case of organized cheating in Atlanta, involving the superintendent of schools as well as a cadre of school officials and teachers, is further testimony to the extreme pressure educators are under to meet certain score goals on standardized testing (Strauss, V., 2015). Students who gain admission to colleges and universities based on these inflated scores and are then unable to compete, ultimately fail and/or drop out; their substandard performance, however, distorts the grading (often done “on a curve”) for the remainder of the students and artificially inflates other students’ grades. The effect is one of an overall lowering of the quality of education received. William Levitt Predictive Analytics and the Education Conundrum Page 9 of 23
Worse, underperforming students allowed to graduate from high school are misled into believing they are in full compliance with academic norms; when, in actuality, there has been a precipitous drop in academic standing for U.S. students, especially boys, over the past decade (Figure 4).
Figure 4. Bar chart showing science performance statistics for boys; including world ranking (source: PISA: Programme for International Student Assessment, 2012).
At the higher end of the performance spectrum students with curiosities and interests unsated are left unchallenged (Mathews, 2015). Thus, the deleterious effect of such elastic academic standards is a squandering of students’ years of greatest potential; as much for traditional as for non-traditional learning. The presence of underperforming students in the classroom pushes teachers to teach to the slowest learners, constraining the creativity of many. Alternatively, many high schools offer a host of occupational courses including shop, auto mechanics and woodworking. These are offered as electives in an environment predominantly academic. Traditional high schools that allow students to choose such electives offer but a basic introduction to occupational alternatives. None of these courses qualify as apprenticeships or true career alternatives to the traditional high school diploma. College sees these academically underperforming students fall even further behind (by granting them admission often based solely on the possession of a high school diploma). William Levitt Predictive Analytics and the Education Conundrum Page 10 of 23
College Admission
In contradistinction to higher education admission policies of many other western nations, an American student, with a high school diploma and an average grade point average (GPA) can apply and be admitted to college in the USA.6 Testing for deficiencies in English or Mathematics is often performed via the college’s cursory screening exams. However, such testing is performed after admission; whereas, in most Western countries (Goethe Institute, 2014), students must qualify for college before being admitted.7 In the USA education is a “right” and is made readily available to all citizens independent of socio-economic demographics. In addition to mandating that children in the US attend school until age 18 or upon graduating from high school, those having completed high school are permitted to apply to all schools of higher learning beyond high school. The vast majority of students applying to college, however, are admitted before their academic qualifications are assessed; deficiencies disclosed via initial placement tests are addressed through required enrollment in remedial courses. It is this author’s strong opinion that the provision of remedial education while in college for those who do not pass muster on the post-admission screening exams is illogical and wrong. In most western nations, students’ qualifications must be confirmed before granting admission.
Education in Decline
The U.S. educational system has been in decline for many decades. Reading materials used in schools at the 8th grade level in 1996 were no more difficult than reading materials studied by students in the 5th grade in 1945 (Hayes, Wolfer, & Wolfe, 1996) . Reading levels have since declined even further. The U.S. Department of Education reported in 2013 that 19% of all high
6 Only 2.2 percent of students applying for admission to the nation’s community colleges are required to present their high school grades as a criterion for admission. The vast majority (95.4 percent ) of public community colleges have adopted an “open admissions” policy where remedial classes are required of the underperforming (“Community Colleges: Special Supplement to The Condition of Education 2008 - ED502349.pdf,” n.d.).
7 The US differs from most western nations in striving for high school or college enrollment for every student and to that end provides remedial reading classes to all who require it. Most other nations do not (e.g., Germany, France, Italy, Norway, and Spain). It also appears that there is much less of a need for remedial reading classes in most other nations. Some might argue that the responsibility for preparing students for school rests with the student and his/her family; not with the school (“Functional illiteracy - Wikipedia, the free encyclopedia,” n.d.).
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school graduates are functionally illiterate (U.S. Department of Education, 2013).8 Schlechty (2004) explains further that, “…they [the students] cannot read well enough to manage daily living and employment tasks that require reading skills beyond a basic level”.
Part and parcel of the teaching process includes not only teaching of the day’s/week’s/semester’s material and the subsequent grading of tests, but delivering an overview of the students’ performance; i.e., providing an honest appraisal of how each student is faring overall; most commonly this is done in parent teacher conferences. In the case of the seriously underperforming student, to wit one lacking basic reading or quantitative skills (where prior counseling has been ineffective), remediation options are scant. More to the point, students falling far below average throughout their primary education should not be encouraged to continue onward by applying for admission to college; yet they are. Test preparation courses, summer school, and private tutors may be effective for mediocre students; but not for truly marginal students. An obvious alternative, often omitted from a discussion of career paths, is the pursuit of formal occupational training programs. The list of non-academic career options where trainees are in high demand (and can later command substantial salaries), include plumbing, electrical installations, carpentry, masonry, medical assisting and dozens of other fields, in addition to the well-known shop class favorites: auto mechanics and woodworking (National Center for Education Statistics, 2013).
Predictive Analytics
With the emergence of predictive analytics social scientists and educators possess enhanced insight into the educational process. Using such tools they can examine the contents of vast data warehouses replete with influential parameters from the perspective of teachers who often face challenges in accomplishing the day’s teaching objectives (while keeping order in the classroom), down to the minute details of the students’ ever-increasing distractions, peer pressures, and the net effect on students’ ultimate academic performance. Based on assiduously
8 Children must enter school with some reading ability. The mechanics of reading, to wit, phonetics, spelling, vocabulary, etc. are taught in grades K thru 3; but a child must possess some reading ability even before they enter school. Upon entering grade 4, if a child cannot read, remediation is necessary. The problem of illiteracy, however, must be painted with a broad brush: The child who is unable to read, independent of ethnicity, needs assistance that cannot be provided in the environment of a normal classroom. Reading is the cornerstone of all education; such foundation must be set in early childhood and is essential for subsequent learning. William Levitt Predictive Analytics and the Education Conundrum Page 12 of 23
collected historical records, such as those maintained by the NCES (“NAEP Nations Report Card - National Assessment of Educational Progress - NAEP,” n.d.), attribute upon attribute of student data can be meticulously evaluated and compared with known student outcomes; in many instances, statistically significant correlations can be made between one or more attributes, leading to “association rules” (Agrawal, Imieliński, & Swami, 1993). Once the rules have been tested and confirmed they can be used prospectively in forecasting student outcomes; both positive and negative outcomes can in many cases be predicted with high levels of probability. The closely meshed tangle of variables affecting students’ academic performance can range from as few as a dozen to numbering in the hundreds. This veritable gold mine of data may include records of student attendance, homework effort, parental support, outside work, students’ role models, amount of TV watching, hours dedicated to homework, and others. With such information educators, parents, and students can identify and focus on areas of weakness. Analytical Modeling
The analyses which form the basis for conclusions concerning students’ academic potential involves comparison of various statistical models in their interpretation of the raw data; some of the most popular and well-established models include classification and regression tree (CART), chi square automatic interaction detection (CHAID), and k-means clustering, among others. The data for these analyses consists of various student-related attributes: academic performance, family demographics, extra-curricular activities, etc. These parameters are subjected to various time series analyses involving comparisons of student cohorts. The immediate goal in any analysis is the choice of the appropriate statistical model which is defined as the statistical model which best describes the data or stated differently: best fits a scatterplot of the data. Such a model is developed in two phases: a) training (by using known student outcomes) and b) testing (by evaluating the model’s ability to correctly nominally stratify a group of students where the outcome is not known). Once metrics of accuracy and specificity are met the model may then be applied to datasets across the educational ecumene. One such goal, not often discussed by educators, in examining student performance, is the identification of that unique combination of traits which, if left unaltered, will lead inexorably to a given student’s ultimate failure in academic pursuits. Together with visualization analytics (Few, Stephen, 2009) educators and social scientists today are far better prepared to probe causality and correlation in assessing students’ progress and potential than in previous decades. William Levitt Predictive Analytics and the Education Conundrum Page 13 of 23
Visualization Analytics
LearnSprout (Chien, F. et al., 2015), like Tableau (Stollte, C. et al., 2003), which “helps people see and understand
A Model of Organizational Practices for a Board of Directors to Govern the Nonprofit Organization
No full textThis presentation addresses the existing gap in primary research of nonprofit organizations, board of directors, and governance. Provides information for practitioners who embrace evidence-based management. Supports directors who serve on nonprofit boards who want to seek continuous improvement on governing the NPO.A Model of Organizational Practices for a Board of Directors to Govern the Nonprofit Organization
Problem Domain
Model for NPO board to make an informed decision about how to identify, attract, and retain qualified board members.
Benefit to the community who depends on a NPO for support – effective governance by the board translates to survival of the NPO.
Results
Nonprofit organizations are a large part of the social and economic landscape:
More than 1.44 million nonprofit organizations (NPOs) were registered with the Internal Revenue Service (IRS) in 2012.
NPOs represent 5.4% of the U.S. GDP and employ more than 10% of the working population.
Volunteers give an estimated 81 billion hours of work annually.
In 2014, $358 billion was donated to support NPOs. Between 2008 and 2012, more than 1,000 NPOs disclosed hundreds of millions of dollars in losses attributed to theft, fraud, and embezzlement. The NPO board of directors are responsible for governing the NPOs and protecting the assets.
Many boards are not prepared or understand what it takes to be able to govern.
There is a gap in many NPOs between what the board should be doing and what is being done.
Faculty Advisors:
Dr. Thomas J. Mierzwa
Dr. Denise A. Breckon
Implications for NPO Boards
Brenda Shore Doctoral Candidate Doctor of Management
The Graduate School University of Maryland University College, Adelphi, MD
The Evidence
Search string: (nonprofit) AND (board) AND (govern*)
Research Question
What organizational practices need to be implemented to identify, attract, and retain a board of directors capable of overseeing and governing a nonprofit organization?
Methodology
Meta-ethnographic synthesis
Emergent Themes
1.Mission Statement – the nonprofit organization needs to have a defined mission, vision, and established goals to know where they are going, who they serve, and what it will take to meet the expectations of their donors and constituency. Developing a mission statement provides a mechanism for all stakeholders, including present and future board members, to understand the purpose of the organization and align their talents and interests accordingly.
2.Recruiting – a defined, formal recruiting program is needed and should include job descriptions for each board role, as well as a structured interview and feedback process. 3. Training and Development – when an individual becomes a board member, he should be oriented to the expectations and requirements of the board; ongoing training and development should be conducted regularly for all board members. Training should include governance, strategic planning, and operations.
Purpose of Study
1.Address the existing gap in primary research of nonprofit organizations, board of directors, and governance.
2.Provide information for practitioners who embrace evidence-based management.
3.Support directors who serve on nonprofit boards who want to seek continuous improvement on governing the NPO.
Theoretical Framework
Develops the construct that there are many stakeholders who are impacted by the performance of the NPO. Prescribes that the appropriate resources for the job must be available to the organization to meet the demands of the stakeholders and the individual director. This person must be qualified to be a director who will serve as a member of the board and protect the assets of the stakeholders.
Conceptual Map
Systematic review and meta-ethnographic synthesis Systematic review:
Facilitates the review and selection of relevant, and reliable primary research conducted in the field of study.
A process that is objective, replicable, systematic, and comprehensive. Meta-ethnography:
A configurative synthesis that uses a small number of studies selected from the systematic review, interprets the findings, and provides a response to the research question.
Meta-ethnography facilitates the development of new theory and models.
Concepts
Second-order interpretations
Third-order interpretations
Also referred to as first-order interpretation. Concepts are identified after the reading of the appraised studies – individually.
Identifies how the studies are related to each other based on common and recurring concepts.
Identifies the relationships between the studies – can be reciprocal, refutable, or a new line-of-argument.
Literature action
Count
Excluded/reasons
Total from search
8,386
7,709/duplicates, subject, country
Title and abstract screening
667
396/topic not aligned with RQ
Full document screened
281
254/details and study not aligned with RQ
Quality assessment
35
13/did not meet appraisal criterion
Meta-ethnographic synthesis
22
Weight of Evidence and Critical Appraisal Skills Program (CASP)
First-order Constructs
Second-order Constructs
Third-order Constructs
A sample is listed below:
•Boards first need to identify a particular profile or type of individual they want and then to actively search for directors that fit this profile
Culture
Strategic Management
Mission, Vision, Goals
Recruiting
Job Descriptions
Orientation Training & Development
Mission statement
Recruiting process
Training & Development
Implications for Scholars
Resulting model can be used as a beginning point for an empirical study.
Study can be duplicated to ascertain if results are consistent.
Exposure of scholarly studies gives credence to more research needed on the subject.
Fall, 201
Playing with Fire: Harnessing the Constructive Power of Conflict
No full textThe purpose of this study is to examine
the influence of organizational culture’s
factors on the development of
constructive conflict management in
nonunion companies.Dissertation Committee
Dr. Tom Mierzwa, Professor, UMUC
Dr. Denise Breckon, Assoc. Professor, UMUC
Katherine Freeley
[email protected]
Acknowledgements
Contact Information
Playing with Fire: Harnessing the Constructive Power of Conflict.
Katherine Freeley
University of Maryland University College
Purpose Implications for Practice
Methodology: Systematic Review
Theoretical Lenses
Conceptual Framework
The purpose of this study is to examine
the influence of organizational culture’s
factors on the development of
constructive conflict management in
nonunion companies
Logic for methodology:
• Ability to identify and analyze
evidence to address the RQ
• Rigorous, transparent, and replicable
• Findings from multiple qualitative and
quantitative studies allow for
triangulation of results
• Findings can inform organizations
and leaders
Validity and reliability:
• Transparent method protocol
• Quality assessment tool
Limitations:
• Quality of primary data
• Limited amount of literature on
conflict cultures
Research Questions
Implications for Theory
• What are the factors of organizational
culture that support constructive
conflict management in nonunion
companies?
Future Research Directions
50 studies included in final sample:
• 48 studies from peer reviewed journals
• 2 pieces from grey literature
•1 book chapter
•1 conference proceeding
Current Timeline: Studies published after
1990 with over eighty four percent
published after 2000
Geography:
• 31 studies from the United States
• 19 studies from 14 other countries
Diverse industries: banking,
manufacturing, public administration,
telecommunications, and NASA.
Methodologies:
• 23 quantitative studies
•23 Surveys
• 27 qualitative methods
•3 case studies
•1 grounded theory
•1 ethnography
•22 theoretical
• Cooperation and Competition Theory
(Deutsch, 1973)
How negotiations or conflicts are
resolved in the organization in the
mostly cooperative or competitive way
• Organizational Learning Theory
(Arygris & Schon, 1978)
How organizations learn
• One of the early studies that connects
organizational culture, leadership,
structure, and conflict management
• Highlights the connection between
Organizational Learning Theory and
Conflict Management Theory
• Amplifies a new phenomenon of
“conflict cultures”
• Identifies the Complexity Theory view
of conflict
• Embrace conflict as a constructive
force and an opportunity to learn
• Support an effective level of task
and minimize relationship conflict
• Create collaborative cultures,
• Provide inspiring and motivating
leadership
• Create flatter, less bureaucratic
structures
• Offer negotiation and conflict
management training
• Propagate voice mechanisms,
speaking-up atmosphere, authentic
dialogue, and no retaliation policy
• Empirically test the conflict
cultures in organizations
• Research on differences in
conflict management styles
between men and women
• Impact of social media on
conflict management
Organizational
Culture
Leadership
Structure
Formal
• Open Door
• Hotlines
• Employees
Surveys
• Conflict
Coaching
• Ombudsman
• HR
Mediation
• Manager
Mediation
Constructive Conflict
Management
P2
P1 P2 P3
P1 P3
Informal
• Peer
Mediation
• Social
Networks
• Peer Support
Teams
Organizational
Learning
Cooperative
Conflict
Culture
P4: Cooperation>Competition
P5
P6
Study Dataset
Organizational culture, leadership, and
structure shape constructive conflict
management systems
• Cooperative culture
• Leadership, which inspires and
motivates and fosters problem-solving
atmosphere for diverse viewpoints
• Structures that are flatter, less
hierarchical with voice mechanisms
available to employees
• Org. culture that support cooperative
conflict cultures within organizations
Facilitators
• Trust
• Feedback
• Problem Solving
• Pluralist Views
• Conflict Adaptivity
Inhibitors
• Organizational Silence culture
• Lack of voice mechanisms
• Groupthink
• Bureaucratic structure
• Incivility
Result
Assessment measures showing institutional effectiveness in relation to External Stakeholder Expectations for Accountability
No full textCommunity colleges face a growing demand from a wide range of stakeholders for more transparent accountability but struggle to select appropriate measures and to use them in effective ways. The multiple demands of various stakeholders, and the calls to respond to those demands in effective and appropriate ways, are leading to a confusing array of possible measures. A literature review that looked at accountability demands, stakeholder theory, organizational culture, and assessment measures led to the development of a conceptual model suggesting a process for institutional leaders to use to prioritize stakeholders and their needs. This process was then tested in a single-case study that used a survey, a review of key artifacts, and a comparison of assessment measures used at the institution to those recommended in the literature. The purpose of the study was to determine if institutional leaders could identify and prioritize key external stakeholders relevant to community college operations. Because the missions of individual community colleges are varied, the key stakeholders for each institution vary as well. Public community college leaders must define and acknowledge the key stakeholders relative to their colleges’ missions. Community college leaders should consider differentiating stakeholder needs as they try to identify stakeholders relevant to the operation of the institution. Among institutional leaders surveyed was a definite division of perceived assessment measures important to external stakeholders. By using organizational processes found in stakeholder theory, institutional leaders can manage stakeholder relationships. A strategic management grid and communication loop diagram were presented for community college leaders to use in the process to identify relevant stakeholders and their assessment needs. This researcher believes that stakeholders and their assessment needs can be classified into degrees of importance, based on criteria that are meaningful to the institution.ASSESSMENT MEASURES SHOWING INSTITUTIONAL EFFECTIVENESS IN RELATION TO
External Stakeholder Expectations for Accountability
Mona Lynn Clites
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
James Tschechtelin, Ed.D.
Charlene Nunley, Ph.D.
January 10, 2014ii
DEDICATION
The process of completing a dissertation is a journey and no exciting journey is done alone. So many people have crossed my path in this journey and there are several that I want to mention specifically.
First and foremost, this work would not be complete without the guidance and continued support and encouragement of Dr. Charlene Nunley and Dr. James Tschechtelin. Both are inspirational leaders, mentors and teachers and provided continual feedback and support. I cannot thank them enough. Other influential faculty who assisted me, and whom I admire, are Dr. Patricia Keir and Dr. Trudy Bers. All of these leaders are interested in the continued growth and success of community colleges and their dedication to the profession and to students is commendable. I also thank my UMUC Cohort Three classmates with whom I have tremendous respect and gratitude. They made the journey enjoyable and I am blessed to have a group of lifelong friends.
I want to thank my many, many family, friends, and co-workers who stood by me, encouraged me, listened to me, and cheered me on every step of the way. They are proud of my accomplishment as much as I am and their words of encouragement along the way kept me going.
Finally, I want to dedicate this to my daughters Rachel and Julia. I always want to inspire them to follow their dreams, reach their goals, and do things that bring them joy. This has not always been an easy journey, but they have truly encouraged me, been happy for me, and are the reason that I want to set a model for being a successful and contented person.
iii
ABSTRACT
Community colleges face a growing demand from a wide range of stakeholders for more transparent accountability but struggle to select appropriate measures and to use them in effective ways. The multiple demands of various stakeholders, and the calls to respond to those demands in effective and appropriate ways, are leading to a confusing array of possible measures. A literature review that looked at accountability demands, stakeholder theory, organizational culture, and assessment measures led to the development of a conceptual model suggesting a process for institutional leaders to use to prioritize stakeholders and their needs. This process was then tested in a single-case study that used a survey, a review of key artifacts, and a comparison of assessment measures used at the institution to those recommended in the literature. The purpose of the study was to determine if institutional leaders could identify and prioritize key external stakeholders relevant to community college operations. Because the missions of individual community colleges are varied, the key stakeholders for each institution vary as well. Public community college leaders must define and acknowledge the key stakeholders relative to their colleges’ missions. Community college leaders should consider differentiating stakeholder needs as they try to identify stakeholders relevant to the operation of the institution. Among institutional leaders surveyed was a definite division of perceived assessment measures important to external stakeholders. By using organizational processes found in stakeholder theory, institutional leaders can manage stakeholder relationships. A strategic management grid and communication loop diagram were presented for community college leaders to use in the process to identify relevant stakeholders and their assessment needs. This researcher believes that stakeholders and iv
their assessment needs can be classified into degrees of importance, based on criteria that are meaningful to the institution.
Keywords: stakeholders, stakeholder theory, institutional effectiveness measures, accountability, accountability measures, community college
v
© Copyright by
Mona L. Clites
2013 vi
TABLE OF CONTENTS
Page
LIST OF TABLES ........................................................................................................... viii
LIST OF FIGURES ........................................................................................................... ix
CHAPTER ONE: INTRODUCTION ..................................................................................1
Statement of the Problem .....................................................................................................3
Statement of Purpose ...........................................................................................................4
Context ................................................................................................................................5
Theoretical Base...................................................................................................................9
Research Questions ............................................................................................................10
Definition of Terms............................................................................................................11
Significance.......................................................................................................................13
Organization of Dissertation ..............................................................................................14
CHAPTER TWO: LITERATURE REVIEW ....................................................................15
Growing and Multiple Demands for Accountability Faced by Community Colleges.......16
Stakeholder Theory and Its Relevance in Addressing Accountability Demands ..............21
Institutional Accountability Used to Create a Culture of Evidence ...................................29
Assessment Measures ........................................................................................................30
CHAPTER THREE: CONCEPTUAL MODEL ................................................................42
Assumptions of the Model .................................................................................................42
Expectations About Increasing Levels of Accountability Are Not a Fad ..............42
Institutional Effectiveness Can Be Measured ........................................................43
Stakeholders Have Authentic Needs ......................................................................43
Conceptual Model ..............................................................................................................44
Element 1. Identify Stakeholders and Their Accountability Needs Using Stakeholder Analysis .............................................................................................46
Element 2. Analyze and Use Typical Useful Reporting Measures ........................57
Element 3. Leading an Organizational Culture......................................................60
Element 4. Communicate Effectiveness Transparently .........................................62
Summary ............................................................................................................................64
CHAPTER FOUR: METHODOLOGY ............................................................................66
Research Approach ............................................................................................................66
Expert Review Process ......................................................................................................68
Rationale for Use of a Single-Case Study Method ............................................................69
Sample Selection ................................................................................................................73
Research Instruments .........................................................................................................74
Limitations .........................................................................................................................76
Summary ............................................................................................................................77
CHAPTER FIVE: FINDINGS AND ANALYSIS ............................................................78
Expert Panel Review ..........................................................................................................78
Evaluation Question 1 ............................................................................................79 vii
Evaluation Question 2 ............................................................................................79
Evaluation Question 3 ............................................................................................80
Evaluation Question 4 ............................................................................................80
Evaluation Question 5 ............................................................................................81
Evaluation Question 6 ............................................................................................81
Evaluation Question 7 ............................................................................................81
Evaluation Question 8 ............................................................................................82
Evaluation Question 9 ............................................................................................82
Expert Reviewer Comments Considered for Incorporation into the Research ......82
Findings from the Case Study ............................................................................................84 Survey of Institutional Leaders ..........................................................................................86
Survey Question 1 ..................................................................................................86
Survey Question 2 ..................................................................................................92
Survey Question 3 ..................................................................................................93
Review of Existing Key Artifacts ......................................................................................96
The Strategic Plan ..................................................................................................97
Self-Study Recommendations and Suggestions...................................................100
Annual Initiatives for Academic Years 2013, 2012, and 2011 ............................100
Facilities Master Plan (2011–2016) .....................................................................102
Comparison of Proposed Measures and Institution’s Required Reporting Measures ....102
Case Study Findings in Relation to Research Questions .................................................110
Research Question 1 ............................................................................................110
Research Question 2 ............................................................................................112
Research Question 3 ............................................................................................113
Discussion of the Case Study Findings in Relation to the Argument of this Research ..114
CHAPTER SIX: IMPLICATIONS AND NEED FOR FUTURE RESEARCH .............116
Conclusions ......................................................................................................................116
Research Question 1 ............................................................................................117
Research Question 2 ............................................................................................118
Research Question 3 ............................................................................................120
Implementation Guidance for Operationalizing the Proposed Conceptual Model ..........121
Step 1 ...................................................................................................................121
Step 2 ...................................................................................................................122
Step 3 ...................................................................................................................122
Step 4 ...................................................................................................................124
Implications for Management Practice for Community College Leaders .......................126
Implications for Management Research with Community College Application and Suggestions for Future Research .....................................................................................128
Summary ..........................................................................................................................129
REFERENCES ................................................................................................................130
APPENDIX A EVALUATION FORM ..........................................................................138
APPENDIX B GUIDELINES FOR UNDERTAKING CASE STUDY RESEARCH ...139
APPENDIX C SURVEY OF PERCEPTIONS OF EXTERNAL STAKEHOLDERS ...140 viii
LIST OF TABLES
Table Page
1 Initiatives................................................................................................................18
2 Stakeholder Identification and Analysis Techniques Relevant to Helping Organize Participation ...........................................................................................26
3 Community College State Performance Measures ................................................32
4 National Governors Association Recommended Outcome and Progress Metrics from the Complete to Compete Initiative ................................................35
5 American Association of Community Colleges, American Community College Trustees, and the College Board’s Proposed Voluntary Framework of Accountability System .......................................................................................37
6 Classifications of Stakeholders ..............................................................................53
7 Descriptions of Attributes and Salience .................................................................55
8 External Stakeholders and Their Interests .............................................................59
9 Average Responses From Evaluators ....................................................................79
10 Proportion of Respondents by Classification .........................................................86
11 Ratings of External Stakeholder Groups by Attribute of Stakeholder Influence ................................................................................................................88
12 Ratings of External Stakeholder Groups by Attribute of Stakeholder Influence by Respondent Subgroup .......................................................................90
13 Additional External Stakeholders Suggested by Respondents ..............................93
14 Data Measures of Importance to External Stakeholders ........................................94
15 Combined Average Importance of Assessment Data Measures ............................96
16 Comparison of External Proposed Measures to Allegany College of Maryland ..............................................................................................................104
17 Potential Data Measures in Comparison With ACM Sources .............................109
18 Strategic Management Grid–External Stakeholders for Allegany College of Maryland ..............................................................................................................124ix
LIST OF FIGURES
Figure Page
1 Conceptual Model ..................................................................................................45
2 Freeman’s Strategic Management Concepts ..........................................................49
3 Qualitative Classes of Stakeholders .......................................................................52
4 Neville, Bell, and Whitwell’s Proposed Model of Stakeholder Attributes and Salience ..................................................................................................................54
5 Graphical Representation of External Stakeholders at Allegany College of Maryland ..............................................................................................................123
6 Communication Loop Model ...............................................................................1251
CHAPTER ONE: INTRODUCTION
This chapter contains an introduction to the topic, the problem, and the purpose of the research. Management theoretical base is discussed and research questions are introduced. Finally, definitions of terms and the significance of this research, as well as discussion of how this dissertation is organized, are presented.
In a report about public accountability in education, the Business-Higher Education Forum (2010) noted,
Most of the attention to accountability in higher education is institutionally defined and is designed to measure learning as a tool for institutional improvement. Much of the information is not translated to the public, and lacks context from comparative data about other institutions or from national measures of expected outcomes. Public accountability cannot be achieved when the learning assessment system is so self-referential. (p. 22)
Members of the Business-Higher Education Forum (2010) include 500 business and education leaders who look for solutions to the challenges the U.S. education system and the nation’s workforce have. In 2004, the Forum developed a position paper to discuss public accountability and how student learning is used as an accountability measure. They defined assessment as “an analytical tool for evaluating performance” (measurement) and accountability (transparency) as “the public presentation and communication of evidence about performance in relation to goals” (Business-Higher Education Forum, 2004, p. 9). Higher education leaders promote institutional effectiveness by developing and using accountability systems that include assessment measures they feel reflect what stakeholders want. To be a truly accountable system, though, the position paper suggested that higher education leaders must use performance 2
assessment in accordance with publicly defined goals, which are then communicated in ways the public can understand (Business-Higher Education Forum, 2004). The Business-Higher Education Forum further suggested that student learning is just one measure of accountability and others include, but are not limited to, “resource use, research and service, and contributions to economic development” (p. 9). American employers, who report shortages of skilled employees, have an interest in hiring employees with skills that include “leadership, teamwork, problem solving, analytical, critical thinking, communication, and writing skills…skills to succeed in a global, multicultural environment…proficient at multitasking and able to upgrade…skills continuously” (Business-Higher Education Forum, 2004, p. 11). According to McClenney (2009),
Accreditors, state, and federal governments, employers, and taxpayer(s)…are pressing higher education institutions to assess, report, and improve their performance, particularly with regard to student outcomes. As community colleges increasingly are recognized as a critical resource for addre
Surviving a workforce reduction: Employee attitudes and behaviors that enhance organizational outcomes
No full textOrganizations apply workforce reductions as a means of achieving their corporate objectives. Subsequently, organizations rely on the effectiveness of their remaining employees to contribute to the organization’s overall productivity. Thus, the attitudes and behaviors of surviving employees become important drivers of an organization’s success. Research shows that perceptions of how the workforce reductions are implemented affect these attitudes and behaviors. Implementation justice reflects the employees’ perception of fairness associated with organizational practices during workforce reduction implementation. This study seeks to uncover key aspects of a workforce reduction process that are most associated with survivor outcomes. The study examines the research question: How do workforce reduction implementation factors affect the attitudes and behaviors of the remaining employees? Specifically, factors such as interactional (assigning legitimate business requirements), procedural (employing fair methods), and distributive (apportioning negative outcomes equally) implementation justices are evaluated. Findings from a systematic review methodology indicate that perceptions of procedural implementation justice affect workforce reduction survivors most. Within procedural implementation justice, three contextual elements were frequently associated with survivor outcomes: communications, employee participation, and reduction selection criteria. While high perceptions of employee participation increased positive outcomes in survivors, both high and low perceptions of communications showed relationships with outcomes. The survivor outcome most affected by implementation practices was organizational commitment, or employee commitment to the employer. Organizational commitment increased when perceptions of any of the three implementation justices were high and decreased when procedural implementation justice was perceived to be low. Trust was the next most affected survivor outcome; it increased when procedural implementation justice was perceived to be high and decreased when distributive implementation justice was perceived to be low. The primary implication for management practitioners is that by incorporating (a) thorough and timely communications, (b) employee participate in planning and decision making, and (c) fair and transparent employee selection criteria, organizations can positively influence the attitudes and behaviors of surviving employees. Implications for scholars and researchers are discussed.1
Copyright © 2015 Terri J. Madden. All rights reserved.
SURVIVING A WORKFORCE REDUCTION: EMPLOYEE ATTITUDES AND BEHAVIORS THAT ENHANCE ORGANIZATIONAL OUTCOMES
By
Terri J. Madden
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
2015
Advisory Committee:
Dr. Thomas J. Mierzwa
Dr. Denise A. Breckon
2
Copyright © 2015 Terri J. Madden. All rights reserved.
3
Copyright © 2015 Terri J. Madden. All rights reserved.
Abstract
Organizations apply workforce reductions as a means of achieving their corporate objectives. Subsequently, organizations rely on the effectiveness of their remaining employees to contribute to the organization’s overall productivity. Thus, the attitudes and behaviors of surviving employees become important drivers of an organization’s success. Research shows that perceptions of how the workforce reductions are implemented affect these attitudes and behaviors. Implementation justice reflects the employees’ perception of fairness associated with organizational practices during workforce reduction implementation. This study seeks to uncover key aspects of a workforce reduction process that are most associated with survivor outcomes. The study examines the research question: How do workforce reduction implementation factors affect the attitudes and behaviors of the remaining employees? Specifically, factors such as interactional (assigning legitimate business requirements), procedural (employing fair methods), and distributive (apportioning negative outcomes equally) implementation justices are evaluated. Findings from a systematic review methodology indicate that perceptions of procedural implementation justice affect workforce reduction survivors most. Within procedural implementation justice, three contextual elements were frequently associated with survivor outcomes: communications, employee participation, and reduction selection criteria. While high perceptions of employee participation increased positive outcomes in survivors, both high and low perceptions of communications showed relationships with outcomes. The survivor outcome most affected by implementation practices was organizational commitment, or employee commitment to the employer. Organizational commitment increased when perceptions of any of the three implementation justices were high and decreased when procedural implementation justice was perceived to be low. Trust was the next most affected survivor outcome; it increased 4
Copyright © 2015 Terri J. Madden. All rights reserved.
when procedural implementation justice was perceived to be high and decreased when distributive implementation justice was perceived to be low. The primary implication for management practitioners is that by incorporating (a) thorough and timely communications, (b) employee participate in planning and decision making, and (c) fair and transparent employee selection criteria, organizations can positively influence the attitudes and behaviors of surviving employees. Implications for scholars and researchers are discussed.
Keywords: workforce reduction, downsizing, implementation justice, distributive justice, interactional justice, procedural justice, survivors 5
Copyright © 2015 Terri J. Madden. All rights reserved.
Acknowledgements
I acknowledge and am thankful for the guidance and support of numerous people along this journey. Specifically, I want to express my appreciation for the contributions of
my dissertation advisors, Dr. Thomas Mierzwa and Dr. Denise Breckon, and teaching assistant, Dr. Wanda Wagner, for guidance and advice to help me get over the proverbial finish line;
the other professors and staff at UMUC, especially Dr. Claudine SchWeber who supported and encouraged me through some unusually challenging times on the personal front, and Cynthia Thomes who was always available and unbelievably knowledgeable in all things related to referencing and electronic searching;
the members of my student cohort groups who both sustained and challenged me through the weekly demands of class work, willingly shared their insightful perspectives, and helped shape and improve my deliverables along the way;
the subject matter experts who selflessly gave of their time and expertise and encouraged me to expand my thinking;
my amazing friends, parents (Dad- I remember when you were hooded!), family members, and colleagues who thought I was crazy to take this little project on these last few years, supported me throughout all of the chaos, and forgave me for repeatedly missing important events (and just about any other form of normal social interaction); and last, but never least,
the Lord above who answered my prayers for courage, peace, and fortitude to put one foot in front of the other day in and day out even when I could not see a clear destination ahead of me. My blessings continue to be immeasurable. 6
Copyright © 2015 Terri J. Madden. All rights reserved.
Dedication
Obtaining a doctoral degree is not an easy undertaking. It is all-consuming and can take a person to places physically, emotionally, and mentally that they might not have conceived possible—or survivable.
This degree does not belong to me alone. It belongs to my beloved family to whom I dedicate this dissertation. I truly could not have accomplished this feat on top of the demands of motherhood and a professional career had it not been for the four people with whom I am deeply blessed to share my daily life—my wonderful husband, best friend, and unwavering partner, Chris, and our three amazing sons: Travis, Logan, and Troy. While I earned the title of Doctor of Management, all four of them earned the title of hero. When dinner needed to get to the table, or kids needed driving to and from their numerous events, or late night food store runs needed to happen in order for the family to eat the next day, Chris never complained. He heroically and cheerfully carried the weight of two parents while never laying any blame on top of my already overwhelming struggles. When the combined demands of career and schoolwork became more than it seemed I could bear, there was always a perfectly-timed hug and an encouraging word from one (or more) of my sons that fueled the next few hours of exertion. My children will never know how, “You can do this, Mom. We believe in you.” meant everything to me when the only option I could envision on my own was to give up. I pray that I will reciprocate their heartfelt words of encouragement when they need to hear them most in their lives.
Throughout this process, I have learned, cried, laughed, and grown. I am fortunate to have had this experience and look forward to where it might take my family and me in the future. But, first, I am going to invest some much-needed time back into the people who made it all worthwhile and with whom I share this honor. I love you beyond words, Chris, Travis, Logan, 7
Copyright © 2015 Terri J. Madden. All rights reserved.
and Troy. The Madden name on the certificate is for all five of us. You are the why and the how it came to be, and I am forever in your debt. 8
Copyright © 2015 Terri J. Madden. All rights reserved.
Table of Contents
Abstract .......................................................................................................................................... 3
Acknowledgements ......................................................................................................................... 5
Dedication ...................................................................................................................................... 6
List of Tables ............................................................................................................................... 11
List of Figures ............................................................................................................................... 12
Chapter 1: Problem Statement and Study Purpose ....................................................................... 13
Problem Statement .................................................................................................................... 15
Study Purpose ............................................................................................................................ 16
Research Question ..................................................................................................................... 18
Significance to Management Practitioners ................................................................................ 18
Study Scope ............................................................................................................................... 22
Discussion of Terms and Theories ............................................................................................ 23
Theoretical Underpinnings .................................................................................................... 24
Chapter Summary and Dissertation Structure ........................................................................... 25
Chapter 2: Literature Review and Conceptual Framework .......................................................... 27
Overview of Themes: Contextual Elements.............................................................................. 27
Organizational Culture in Workforce Reductions ................................................................. 28
Effects of Workforce Reduction Implementation Processes ................................................. 38
Processing the Downsizing Event ......................................................................................... 45
Conceptual Framework ............................................................................................................. 51
Thesis Statement ....................................................................................................................... 53
Summary .................................................................................................................................. 54
Chapter 3: Methodology and Results ............................................................................................ 56
Study Approach ......................................................................................................................... 56
Systematic Review with Realist Synthesis................................................................................ 58
Review Initiation: Expert Panel Review Team ..................................................................... 59 9
Copyright © 2015 Terri J. Madden. All rights reserved.
Search Strategy ...................................................................................................................... 62
Quality and Relevancy Assessment ....................................................................................... 64
Data Extraction and Coding .................................................................................................. 67
Synthesis ............................................................................................................................... 68
Using the Review................................................................................................................... 71
Considerations from the Expert Panel ....................................................................................... 74
Summary of Results .................................................................................................................. 75
Synthesis of Results .................................................................................................................. 79
Interactional Implementation Justice ..................................................................................... 81
Distributive Implementation Justice ...................................................................................... 82
Procedural Implementation Justice ........................................................................................ 83
Implementation Justices Overall ........................................................................................... 91
Chapter 4: Analysis of Findings ................................................................................................... 93
Findings of Evidence ................................................................................................................. 93
Influence of Interactional Implementation Justice ................................................................ 93
Influence of Distributive Implementation Justice ................................................................. 96
Influence of Procedural Implementation Justice ................................................................... 99
Overall Influence of Implementation Justices ..................................................................... 107
Reinterpreted Conceptual Models ........................................................................................... 111
Summary of Findings .............................................................................................................. 114
Limitations of Interpretation of Findings ................................................................................ 117
Additional Considerations ................................................................................................... 118
Chapter 5: Conclusions and Implications for Management Practitioners .................................. 129
Implications for Management Practitioners ............................................................................ 129
Communications .................................................................................................................. 130
Employee Participation ........................................................................................................ 133
Selection Criteria ................................................................................................................. 134
Implications for Future Research ............................................................................................ 136
Study Conclusions ................................................................................................................... 138
Closing Remark ....................................................................................................................... 140 10
Copyright © 2015 Terri J. Madden. All rights reserved.
Appendix A Databases Searched via UMUC’s OneSearch Application .................................... 167
Appendix B Search Process Results ........................................................................................... 168
Appendix C Quality/Relevancy Scores by Study ....................................................................... 170
Appendix D Elements of the Data Extraction Form ................................................................... 173
Appendix E Code List ................................................................................................................. 174
Appendix F Descriptions of the Members of the Data Set ......................................................... 176
Appendix G CMO Relationships for Interactional Implementation Justice (High and Low) .... 190
Appendix H CMO Relationships for Distributive Implementation Justice (High and Low) ..... 191
Appendix I CMO Relationships for High Procedural Implementation Justice by Outcome ...... 192
Appendix J CMO Relationships for High Procedural Implementation Justice by Sub-context . 194
Appendix K CMO Relationships for Low Procedural Implementation Justice by Outcome ..... 197
Appendix L CMO Relationships for Low Procedural Implementation Justice by Sub-context . 199
11
Copyright © 2015 Terri J. Madden. All rights reserved.
List of Tables
Table 1. Management practitioners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
60
Table 2. Subject matter experts/scholars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
61
Table 3. Keywords by category . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
62
Table 4. Quality and relevancy assessment scoring criteria . . . . . . . . . . . . . . . . . . . . . . . . . .
67
Table 5. Illustrative example of CMO relationships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
71
Table 6. The outcomes of survivor attitudes and behaviors . . . . . . . . . . . . . . . . . . . . . . . . . .
80
Table 7. Interactional implementation justice summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
82
Table 8. Distributive implementation justice summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
83
Table 9. High procedural implementation justice by outcome . . . . . . . . . . . . . . . . . . . . . . . .
87
Table 10. High procedural implementation justice by sub-context . . . . . . . . . . . . . . . . . . . . .
89
Table 11. Low procedural implementation justice by outcome . . . . . . . . . . . . . . . . . . . . . . . .
90
Table 12. Low procedural implementation justice by sub-context . . . . . . . . . . . . . . . . . . . . . .
91
Table 13. Summary of findings: Top 10 CMO relationships by outcome . . . . . . . . . . . . . . . . .
109
Table 14. Summary of findings: Top 10 CMO relationships by sub-context . . . . . . . . . . . . . .
110
Table 15. Importance of organizational communications . . . . . . . . . . . . . . . . . . . . . . . . . . . .
131
12
Copyright © 2015 Terri J. Madden. All rights reserved.
List of Figures
Figure 1. Conceptual framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
52
Figure 2. Search string results in Social Sciences Citation Index . . . . . . . . . . . . . . . . . . . . . . . .
64
Figure 3. Realist synthesis pathway . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
70
Figure 4. PRISMA diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
77
Figure 5. Data set demographics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
78
Figure 6. Survivor attitudes and behaviors associated with interactional implementation justice
96
Figure 7. Survivor attitudes and behaviors associated with distributive implementation justice .
98
Figure 8. Survivor attitudes and behaviors associated with procedural implementation justice .
104
Figure 9. Sub-contextual elements associated with procedural implementation justice . . . . . . .
105
Figure 10. Conceptual model for interactional implementation justice . . . . . . . . . . . . . . . . . . . . .
111
Figure 11. Conceptual model for distributive implementation justice . . . . . . . . . . . . . . . . . . . . . .
112
Figure 12. Conceptual model for procedural implementation justice . . . . . . . . . . . . . . . . . . . . . .
113
Figure 13. Overlap of
The influence of culture and implicit beliefs on the leadership development of women in global senior leadership positions
No full textThe purpose of this paper is to use evidence-based research to determine the factors causing the underrepresentation and failure of women in senior leadership positions. A conceptual framework is developed for identifying mechanisms to promote the advancement of women into global senior leadership positions.The Influence of Culture & Implicit Beliefs on the Leadership Development of Women in Global Senior Leadership Positions Katrina Rowe DMGT 892
.
Research Questions
Conceptual Framework
Women show less ambition to pursue a top management position than men at similar levels due to several factors. Gender diversity links to a higher level of organizational performance, innovation, creativity, and health. A combination of organizational strategies allows women to advance and be more successful global senior leaders.
Theoretical Framework
•
Social Cognitive Theory
•
Implicit Leadership Theory
•
Self-Leadership
•
Institutional Culture Theories
•
Role Congruity Theory
•
Self-Actualization
Purpose
Lattice Career Management
Training & Education Programs
Networking
Motivation & Aspirations
Mentoring
Implicit Beliefs & Stereotypes
Impact of Cultural Values
Leader Advancement
Job Satisfaction
Self Efficacy
Job
Satisfaction
The purpose of this paper is to use evidence-based research to determine the factors causing the underrepresentation and failure of women in senior leadership positions. A conceptual framework is developed for identifying mechanisms to promote the advancement of women into global senior leadership positions.
1.) What are the factors causing the underrepresentation of women in senior leadership positions?
2.) How does gender diversity in senior leadership positions improve organizational performance?
3.) What are the factors leading to failure and success of women in senior leadership positions?
Competitive Advantage
Propositions
1.) A higher percentage of women than men choose not to move into/compete for/or accept top leadership positions.
2.) Diversity at the top of organizations improves organizational performance leading to competitive advantage.
3.) A higher percentage of women than men are only offered high-risk leadership positions.
4.) Organizations can put in place interventions to improve diversity in top leadership positions
Impact of intended and unintended outcomes of performance-based funding on community colleges
No full textNationally, state and federal legislative bodies are increasingly requiring higher education institutions to demonstrate a solid return on investment. One of the key ways to do this is through performance based funding which links funding received to specific institutional performance measures and outcomes including graduation, and/or completion among others. A key challenge community colleges face is many of the performance based funding metrics are focused on outcomes for four-year universities and are not designed for effective evaluation of community colleges.
Using a systematic review methodology, this research evaluated different performance and outcomes based funding structures—performance funding 1.0 vs. performance funding 2.0—and the impact on community colleges in multiple states. The research findings indicated: • Performance funding 2.0 produced more desirable outcomes for community colleges because the metrics used considered institutional structure and mission. • The effectiveness of performance funding depends on several factors and has the potential to create more undesirable outcomes for institutions, such as community colleges, that provide open access. • Desirable outcomes were maximized, and undesirable outcomes were minimized when institutional leadership worked with stakeholders to develop and implement metrics that reflect their mission and population.
Keywords: performance-based funding, outcomes-based funding, performance funding 1.0, performance funding 2.0, complexity and chaos, strategic planning.IMPACT OF INTENDED AND UNINTENDED OUTCOMES OF
PERFORMANCE-BASED FUNDING ON COMMUNITY COLLEGES
Charanne P. Smith
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 in Community College Policy Administration
Dissertation Committee:
Dr. Charlene R. Nunley
Dr. Ronald B. Head
Abstract
Title of Dissertation Impact of intended and unintended outcomes of
performance-based funding on community colleges
Charanne P. Smith
Doctor of Management-Community College Policy
Administration
December 2015
Dissertation Directed By Dr. Charlene R. Nunley, Graduate School
Dr. Ronald B. Head, Graduate School
University of Maryland University College
Nationally, state and federal legislative bodies are increasingly requiring higher education
institutions to demonstrate a solid return on investment. One of the key ways to do this is
through performance based funding which links funding received to specific institutional
performance measures and outcomes including graduation, and/or completion among others. A
key challenge community colleges face is many of the performance based funding metrics are
focused on outcomes for four-year universities and are not designed for effective evaluation of
community colleges
Using a systematic review methodology, this research evaluated different performance
and outcomes based funding structures—performance funding 1.0 vs. performance funding
2.0—and the impact on community colleges in multiple states. The research findings indicated:
• Performance funding 2.0 produced more desirable outcomes for community colleges
because the metrics used considered institutional structure and mission.
• The effectiveness of performance funding depends on several factors and has the
potential to create more undesirable outcomes for institutions, such as community
colleges, that provide open access.
• Desirable outcomes were maximized, and undesirable outcomes were minimized
when institutional leadership worked with stakeholders to develop and implement
metrics that reflect their mission and population.
Keywords: performance-based funding, outcomes-based funding, performance funding 1.0,
performance funding 2.0, complexity and chaos, strategic planning
ii
Copyright by
Charanne P. Smith
2015
iii
Dedication
This dissertation is dedicated to my husband Michael and my family. Without their love,
support, patience, and faith, I would not have been able to complete this journey. To my mother,
the late Charlotte J. Parks, who was a schoolteacher for many years and instilled in me the
importance of hard work, education, and discipline. My father Robert Parks, my sister and her
family, my brothers and their families, as well as my aunts and uncles all contributed to my
ability to succeed.
iv
Acknowledgments
I want to acknowledge Dr. Charlene Nunley for her guidance and encouragement in this
process, from topic development through completion. Your experience with community colleges
and higher education, as well as your unwavering support and commitment, have helped me to
grow personally and professionally. Thank you for listening and sharing your knowledge and
reminding me I’m on the right track.
Thank you to Dr. Ronald Head for his experience and support with institutional research
and effectiveness and community college finance. You opened up a new world and your research
helped to lay a foundation for this and future research.
Thank you to Dr. Patricia Keir for helping me to explore the topic and repeating the
vision of the performance funding process. I would also like to acknowledge Dr. Beverly
Simone, Dr. Gena Glickman, Dr. Darrell Cain, and Dr. Susan McMaster for their leadership,
support, and guidance.
I would like to acknowledge Monica Graham, Michelle Howard, and the University of
Maryland University College staff for keeping everything running smoothly throughout the
process. The editing, updates, residencies, SOARS presentations, and any other issues were
handled with the utmost professionalism and care.
Finally, I would like to thank all my classmates and colleagues throughout the entire
program for their interaction, growth, and support. I learned so much from working with all of
you.
v
TABLE OF CONTENTS
Chapter 1: INTRODUCTION ...................................................................................................... 1
Statement of the Problem ................................................................................................. 2
Evidence of the Nature of the Problem ............................................................................ 4
Management Theories ...................................................................................................... 12
Definition of Key Terms .................................................................................................. 14
Research Questions .......................................................................................................... 16
Purpose ............................................................................................................................. 16
Chapter 2: BACKGROUND LITERATURE REVIEW ............................................................. 18
Accountability Demands .................................................................................................. 19
Political Basis....................................................................................................... 21
Desirable and Undesirable Outcomes .................................................................. 22
Leadership Theories ............................................................................................. 30
Management Theories .......................................................................................... 33
Challenges and Connections ................................................................................ 36
Conclusion ....................................................................................................................... 38
Chapter 3: CONCEPTUAL MODEL .......................................................................................... 40
Input: Legislative Mandates ............................................................................................. 43
Process ............................................................................................................................. 44
Performance Funding ........................................................................................... 44
Organizational Culture ......................................................................................... 46
Strategic Planning ................................................................................................ 48
Resource Allocation ............................................................................................. 50
Leadership Theories ............................................................................................. 52
Output .............................................................................................................................. 53
Desirable Outcomes ............................................................................................. 54
Undesirable Outcomes ......................................................................................... 56
Conclusion ....................................................................................................................... 59
Chapter 4: RESEARCH METHODOLOGY ............................................................................... 61
Research Method ............................................................................................................. 61
Systematic Review ............................................................................................... 61
Define the question .................................................................................. 61
Research/sources/studies evaluated ......................................................... 65
Key search terms ...................................................................................... 66
Screen results/conduct a comprehensive literature review ...................... 68
Expert Panel Review ............................................................................................. 96
Conclusion .......................................................................................................................106
vi
Chapter 5: ANALYSIS AND FINDINGS ...................................................................................107
Expert Findings/Responses ..............................................................................................107
Specific Reviewer Findings .................................................................................112
State policymaker response ......................................................................113
Association official response ...................................................................114
Community college president response ...................................................115
Researcher response .................................................................................116
Analysis of Expert Responses ..........................................................................................117
Expert Summaries ................................................................................................117
Findings Regarding Research Questions .........................................................................118
Conclusion .......................................................................................................................128
Chapter 6: CONCLUSIONS AND MANAGEMENT IMPLICATIONS ...................................130
Conclusions of Research ..................................................................................................130
Desirable Outcomes .............................................................................................132
Undesirable Outcomes .........................................................................................133
Management Implications ................................................................................................134
Strategic Planning, Policy Change, and Implementation Process .......................137
Implementation Guidance ................................................................................................138
Guidance for Policymakers ..................................................................................139
Guidance for Institutions ......................................................................................141
Resource Allocation: Programs and Services and Prioritization .....................................145
Limitations of Research ...................................................................................................148
Literature Gaps .....................................................................................................148
Data on Accreditation ..........................................................................................149
Recommendations for Future Research ...........................................................................149
Closer Examination of Organizational Structure .................................................152
Accountability ......................................................................................................153
Summary ..........................................................................................................................153
References: ..................................................................................................................................155
Appendix A – Expert Feedback Form .........................................................................................169
Appendix B – Expert Panel List ..................................................................................................172
vii
LIST OF TABLES
Table
1 Tennessee Funding Calculations for Nashville State Community College ..................... 27
2 Data Source (Bardach, 2012; Bryson, 2011; Kotter, 1996, 2012) ................................... 35
3 Topic Development .......................................................................................................... 63
4 Sample of Key Search Terms .......................................................................................... 69
5 Expert Evidence-Based Research .................................................................................... 78
6 The Background/Structure/Support Research .................................................................. 89
7 Theory/Structure .............................................................................................................. 97
8 Steps of Bryson’s (2011) Strategic Planning Model Adapted for Implementation .........144
viii
LIST OF FIGURES
Figure
1 Conceptual model ............................................................................................................ 42
2 Hierarchy of evidence ........................................................................................................74
3 Input-Process-Output model ............................................................................................147
1
Chapter 1: INTRODUCTION
For the past several years, the Association of Community College Trustees (ACCT) and
the American Association of State Colleges and Universities (AASCU) have indicated that
increased accountability in higher education is an important trend that has impacted higher
education, and will continue to do so (AASCU, 2012, 2013, 2014, 2015a, 2015b; ACCT, 2013).
This mirrors Santos Lanaan’s (2001) discussions of the move towards increased accountability
for community colleges in the future. One of the ways states are increasing their focus on
accountability is through the development of performance-based funding models that define
accountability criteria institutions must meet in order to receive some or all of their funding
allocations. The accountability criteria include such measures as enrollment, retention, time to
completion and/or transfer as well as additional improvement metrics (Friedel, Thornton,
D’Amico, & Katsinas, 2013; National Conference of State Legislators [NCSL], 2013, 2015). The
national trend of linking federal and state financial resources to student and institutional
outcomes and progress has been an increasing practice that was in fact started over 40 years ago
(Dougherty et al., 2013, p. 1), in response to initial requests for accountability and understanding
of what higher education funding is actually providing for students and the communities served
(Dougherty et al., 2013). Several states including Ohio and Tennessee have long-standing
programs that are used as examples of how states are able to implement different funding models
based on the states’ respective higher education structure (Alstadt, 2012; Deaton, 2011;
Dougherty & Reddy, 2011; Fingerhut, 2012). Additional states including Washington, Illinois,
South Carolina, and Florida have either started and completely restructured their original
program to be more in line with the institutions being evaluated or have discarded the programs
altogether (Dougherty et al., 2013). In the case of Washington State, the original program
2
covered the community and technical colleges as well as the four-year institutions, but was
eliminated and restarted in 2007 to focus only on community and technical colleges. The
consideration of two-year vs. four-year funding initiatives has been a key component of funding
models in additional states including Oregon and Florida. Friedel et al. (2013) and NCSL (2013,
2015) noted that the Oregon and Florida legislative bodies approved measures to transition
higher education institutions to performance-based funding initiatives. With the expansion of
accountability requests, the initiatives have gained more favorable following statewide.
Accompanying the growth in performance-based funding approaches has been a
reduction in public resources for community colleges. Given that community colleges are
already among the most underfunded educational institutions (AACC, 2012b, 2014a), this has
led to an increased focus on more efficient allocation and the use of existing and anticipated
resources as well as a more thorough examination and prioritization of programs and services
(Dickeson, 2010). Therefore, institutions must adapt to reduced resources, whether the reduction
results from general state and federal reductions in funding allocations or from not meeting the
mandated performance measures, and allocate resources accordingly to provide services and
programs efficiently to internal and external stakeholders.
Statement of the Problem
In 1998, Carnevale, Johnson, and Ruffner-Edwards discussed the growth of a movement
across the country that linked funding of higher education programs and services to the
performance and results achieved, and projected this trend would increase in the next few years
(p. 1). As of 2015, Carnevale et al.’s prediction of the growth of performance-based funding as
one of the top issues impacting higher education has been reiterated by the AASCU (2013, 2014,
3
2015b), the ACCT (2013), Jaschik and Lederman (2013, 2015), the National Association of State
Budget Officers (NASBO, 2013), and the NCSL (2013, 2015), among others.
Reduced local, state, and federal funding allocations coupled with increased
accountability measures are causing institutions to change so that they can more efficiently
allocate resources to the ends that the performance funding system supports. Community
colleges, which are already America’s least well-funded aspect of higher education (AACC,
2012b), are particularly hard hit by the changes in methods and amounts of resources allocated to
their institutions. As a result, they are adjusting their organizational and operational structures to
meet the needs of their stakeholders while responding to the increased productivity requirements
of performance-based funding (NASBO, 2013; NCSL, 2013, 2015).
Dickeson (2010) indicated that institutions must “achieve strategic balance” (p. 139)
between the competing entities by creating “equilibrium . . . between . . . internal [and] external
forces” (pp. 141-142). This drive to balance the competing needs of students, faculty, staff,
community members, partner organizations, and other entities creates a need for significant
organizational adjustments of programs, services, departments, majors, and staffing, among other
things. These adjustments to achieve balance should be based on evidence, which McClenney,
McClenney, and Peterson (2007) indicated would permit institutions to know not only what
students need, but also when and how they need it, and the relative effectiveness of the delivery
system (pp. 3-5).
In summary, the problem is the increasing demand for accountability, and the need to
show not only a return on investment but also improved student outcomes is forcing community
colleges to reexamine their role in preparing students for the environment they will face. To meet
the growing demands of legislators and accreditors to improve student outcomes and to meet
4
new performance funding standards, community colleges are adjusting their goals and
reevaluating curricula and charting new pathways for student success and completion. The
method by which institutions are able to respond to performance-based funding mandates
depends on several structural, cultural, and organizational variables.
To this point, no one has systematically investigated the nature of the organizational and
programmatic changes that community colleges are making in response to performance-based
funding. This study explored the impact of performance-based funding and the resulting
desirable and undesirable outcomes impacting community college institutions and the students
they serve.
Evidence of the Nature of the Problem
Friedel et al. (2013)
Enabling an innovative environment for manufacturing companies: An examination of the role of leadership
No full textThis dissertation examined the influence that leaders of manufacturing companies had on the ability to establish a creative environment and enable rapid commercialization for products and services. Based on a systematic review of evidence, it was found that when leaders of manufacturing companies maintained a constant awareness of three key areas - technology trends, marketing trends, and the internal capabilities of their firm - they were better able to respond to innovative developments in their competitive environment and transform creative ideas into commercialized efforts. Awareness was maintained through programs that continually gathered critical information addressing those three key areas and clearly communicated results on a timely basis to leaders at all levels of the innovation process based upon their required level of knowledge. Analysis of the study results found that individual leadership characteristics influenced the innovation process. These characteristics included the ability to: craft a workplace culture and leadership ethos that nurtured creative ideas, institutionalize mechanisms that sensed the need for change, and moderate workforce member behaviors. Additionally, each characteristic was designed to respond to the complexities of the external environment impacted by changing technology and market conditions. Evidence was synthesized using the realist synthesis approach based on the Context-Intervention-Mechanism-Outcome Model.Enabling an Innovative Environment for Manufacturing Companies:
An Examination of the Role of Leadership
James R. Webb
University of Maryland University College
Dissertation submitted to the faculty of the
University of Maryland University College
in partial fulfillment of the requirement for the degree of
Doctor of Management
December 2014
Dissertation Committee
Dr. Deborah Wharff
Dr. Eric Dent
Author Note
James R. Webb, Doctor of Management Program, University of Maryland University
College, P. O. Box 815342, Dallas, Texas 75244. E-mail: [email protected]
INFLUENCE OF LEADERSHIP ON INNOVATION 2
Acknowledgements
“And ye shall know the truth, and the truth shall make you free” (John 8:32).
The completion of a doctoral program is a journey in search of greater knowledge
that can only be completed with the help of many others. I would like to thank the
UMUC faculty that served to guide and encourage me during this journey. More
specifically, I am deeply grateful to my advisor, Dr. Deborah Wharff, who went way
beyond what was required to make sure that this dissertation represented my best work. I
am also indebted to Dr. Eric Dent who helped me push this dissertation across the finish
line in time, Dr. John Sherlock who introduced me to realist synthesis, and Dr. Dennis
Winters who provided inspiration early in the program. In addition, I was blessed to
travel with a cohort who was encouraging during the rough patches and served to
continually challenge my thinking. I also need to acknowledge those subject matter
experts who provided excellent insight into how my research could improve in an early
draft.
Outside of the classroom, a special thanks goes to my family and friends for all of
the sacrifices that they made on my behalf. Words cannot express the appreciation I have
for my wife, Karen, who spent sleepless nights and was always very supportive
throughout the entire journey. In noting the quote I used at the beginning of this section,
I need to acknowledge my Lord and Savior who gave me the skill and talent to be able to
succeed in this program.
INFLUENCE OF LEADERSHIP ON INNOVATION 3
Abstract
This dissertation examined the influence that leaders of manufacturing companies had on
the ability to establish a creative environment and enable rapid commercialization for
products and services. Based on a systematic review of evidence, it was found that when
leaders of manufacturing companies maintained a constant awareness of three key areas -
technology trends, marketing trends, and the internal capabilities of their firm - they were
better able to respond to innovative developments in their competitive environment and
transform creative ideas into commercialized efforts. Awareness was maintained through
programs that continually gathered critical information addressing those three key areas
and clearly communicated results on a timely basis to leaders at all levels of the
innovation process based upon their required level of knowledge. Analysis of the study
results found that individual leadership characteristics influenced the innovation
process. These characteristics included the ability to: craft a workplace culture and
leadership ethos that nurtured creative ideas, institutionalize mechanisms that sensed the
need for change, and moderate workforce member behaviors. Additionally, each
characteristic was designed to respond to the complexities of the external environment
impacted by changing technology and market conditions. Evidence was synthesized
using the realist synthesis approach based on the Context-Intervention-Mechanism-
Outcome Model.
Keywords: innovation, leadership, product development, research and development,
manufacturing, advanced technology, radical innovation, transformational leadership,
high-performance, disruptive technology, management, teams.
INFLUENCE OF LEADERSHIP ON INNOVATION 4
Table of Contents
Chapter
1:
Introduction
........................................................................................................
9
Purpose
of
this
Dissertation
..........................................................................................................
9
Statement
and
Significance
of
the
Problem
..............................................................................
9
The
evolving
need
for
innovation
..........................................................................................................
13
Why
the
manufacturing
industry
..........................................................................................................
18
Importance
to
Management
.......................................................................................................
20
Research
Question
.........................................................................................................................
28
Propositions
....................................................................................................................................
29
Gaining
Consensus
on
Definitions
............................................................................................
30
Organization
of
the
Dissertation
...............................................................................................
36
Chapter
2:
Methodology
.....................................................................................................
38
Evidence-‐Based
Management
....................................................................................................
38
Research
Method
............................................................................................................................
40
Search
Terms
..................................................................................................................................
42
Inclusion/Exclusion
Criteria
......................................................................................................
43
Quality
Appraisal
............................................................................................................................
47
Analysis
and
Synthesis
.................................................................................................................
48
Subject
Matter
Expert
Review
....................................................................................................
52
Summary
..........................................................................................................................................
53
Chapter
3:
Systematic
Review
of
Literature
................................................................
55
Introduction
to
Process
of
Critical
Review
and
Analysis
of
the
Literature
.................
55
Discussion
of
the
Theoretical
Lens
...........................................................................................
57
Transformational
leadership
theory.
...................................................................................................
58
Diffusion
of
Innovation
theory.
..............................................................................................................
61
INFLUENCE OF LEADERSHIP ON INNOVATION 5
Systems
theory.
............................................................................................................................................
63
Theme
1:
Managing
the
Internal
Organization
...................................................................
64
Researching
and
developing
the
new
idea.
.......................................................................................
66
Product
commercialization.
.....................................................................................................................
77
Theme
2:
Ability
of
Leaders
to
Adapt
to
Changing
Markets
............................................
91
Importance
of
recognizing
external
forces.
......................................................................................
96
Product
development
in
response
to
external
forces.
...............................................................
106
Theme
3:
Composition
and
Competencies
of
a
Leadership
Team
..............................
113
Characteristics
and
composition
of
the
leadership
team
in
bringing
innovation
to
market.
..........................................................................................................................................................
113
Relationship
and
role
of
leaders
in
the
innovation
process.
...................................................
124
Review
of
Research
Question
and
Propositions
................................................................
135
Summary
of
the
Systematic
Review
.......................................................................................
136
Chapter
4:
Analysis
and
Discussion
.............................................................................
140
Introduction
..................................................................................................................................
140
The
Relationship
Between
Leadership
and
Innovation
..................................................
142
Complexity
and
Sustainable
Competitive
Advantage
......................................................
147
Managing
Change
Internal
to
the
Company
........................................................................
154
Research
Question
and
Propositions
in
Light
of
Findings
..............................................
159
Alternative
Perspectives
............................................................................................................
161
Summary
........................................................................................................................................
163
Chapter
5:
Conceptual
Framework
..............................................................................
165
Introduction
..................................................................................................................................
165
Research
Question
and
Propositions
....................................................................................
166
INFLUENCE OF LEADERSHIP ON INNOVATION 6
Drivers
for
Change
.......................................................................................................................
167
Conceptual
Framework
..............................................................................................................
172
Internal
factors.
.........................................................................................................................................
173
External
factors.
........................................................................................................................................
175
Relevant
Theories
........................................................................................................................
176
Summary
........................................................................................................................................
177
Chapter
6:
Conclusions,
Implications,
and
Trends
.................................................
178
Introduction
..................................................................................................................................
178
Overall
Conclusions
.....................................................................................................................
178
Implications
for
Management
..................................................................................................
181
Implications
of
Emerging
Trends
...........................................................................................
184
Limitations
and
Areas
for
Future
Research
........................................................................
188
Summary
........................................................................................................................................
189
References
............................................................................................................................
191
Appendix
...............................................................................................................................
223
INFLUENCE OF LEADERSHIP ON INNOVATION 7
List of Figures
Figure 1: The Four Elements of EBMgt. ........................................................................ 40
Figure 2: Intervention as a product of its context. ............................................................ 41
Figure 3: Systematic review of literature. . ...................................................................... 44
Figure 4: Number of studies evaluated by year for this dissertation. .............................. 43
Figure 5: Hierarchy of evidence.. .................................................................................... 46
Figure 6: Selection and evaluation of studies ................................................................... 47
Figure 7: CIMO-logic diagram adapted. .......................................................................... 51
Figure 8: CIMO-logic - the components of design propositions. .................................... 52
Figure 9: Diffusion of Innovation Curve. ........................................................................ 62
Figure 10: Influence of leadership on innovation ............................................................. 66
Figure 11: Internal factors affecting the ability of leadership to influence innovation ... 91
Figure 12: External factors affecting the ability of leadership to influence innovation.. 96
Figure 13: Overview of the results of the realist synthesis used in this dissertation ..... 142
Figure 14: Venn diagram of the relationship between technology, customers, and
competencies ........................................................................................................... 168
Figure 15: Factors impacting the ability of leadership to influence innovation ............. 173
INFLUENCE OF LEADERSHIP ON INNOVATION 8
List of Tables
Table 1: CIMO logic of the ability of leadership to influence innovation…………….147
Table 2: CIMO logic of the ability of leadership to influence innovation with
regard to complexity……………………………………………………………………153
Table 3: CIMO logic of the ability of leadership to influence innovation with
regard to internal organizational change………………………………………………..159
INFLUENCE OF LEADERSHIP ON INNOVATION 9
Chapter 1: Introduction
Purpose of this Dissertation
The purpose of this dissertation was to examine the major factors that enabled
leadership teams of manufacturing companies to influence innovation as a strategy for
achieving and maintaining a competitive advantage. Special attention was given to the
integration and collaboration between different levels of organizational leadership, the
composition of leadership teams, and to the organization’s need for change to a culture
that readily commercializes new ideas.
Statement and Significance of the Problem
Innovation is critical to the success of manufacturing firms and creates
opportunities for entry into new markets and growth into those that have already been
served by the company (Landry, Amara, & Becheikh, 2012). This combination allows
firms to create and maintain a competitive advantage. Leadership of manufacturing
companies that depend on innovation to grow and maintain their business success needs
face high risk; therefore, managers must be keenly aware of how to best foster innovation
toward productive ends and inspire and train their employees to adapt to change. One of
the major problems facing manufacturing companies relying on innovation has been how
to put mechanisms in place to train and educate their workforce members on the best
methods to approach innovation (Wycoff, 2003).
The case of American industry during the 1970’s is often provided as an example
where many companies were faced with the prospect of rebuilding their competitive
advantage. For example, one manufacturing trend resulted in the United States becoming
INFLUENCE OF LEADERSHIP ON INNOVATION 10
the world’s largest debtor nation at that time, Hayes, Wheelwright, and Clark (1988)
explain:
The storm that flickered on the horizon for American industry during the
1970s came ashore with a rush in the 1980s. Torrents of imported
products flooded our markets and eroded the profitability of domestic
suppliers. The U.S. balance of trade in manufactured products went
negative for the first time this century in 1971, recovered briefly in the late
1970s, and then plunged into increasing deficits after 1981. In 1986,
America’s imports of manufactured goods exceeded exports by almost
170
billion, or 3 percent of GNP [Gross National Product]. West Germany
displaced the United States as the world’s mightiest exporting nation (p.
1).
While this example provides historical context for importance of innovation at a
national level, Goffin and Mitchell (2010) identify four major trends that drive the need
for innovation in the current business environment:
1. New technological advances have had a major influence upon the way in which
business is conducted. For example, RFID (Radio Frequency IDentification)
technology transmits information on the nature and location of different articles
around the world. This capability has revolutionized logistics. Another
technological advance, nanotechnology, is frequently used in products such as
INFLUENCE OF LEADERSHIP ON INNOVATION 11
easy-to-clean surfaces (p. 3). In both cases, adaptation of technology to customer
solutions drove the change in the market.
2. Changing customers and their needs drive changes in the marketplace. For
example, car manufacturers now target over 15 key demographic segments in the
Unites States as compared to targeting five such segments during the 1960s. This
increases the complexity of identifying customers and focusing product
development across a broad array of customer requirements – the requirements of
the demographic group purchasing mini-vans is different than those buying sports
cars. Europe, as another example, is experiencing aging population that is placing
pressure on medical resources. Other geographic markets have much younger and
less affluent consumers – causing companies such as Whirlpool to introduce the
world’s cheapest washing machine that has done well selling for $150 in countries
such as Brazil and China (p. 4).
3. Logistics costs have plummeted, causing growing competition in previously safe
home markets from overseas competitors. At the same time, the Internet enables
anyone to order products from virtually anywhere in the world. Some companies
have leveraged their existing infrastructure to provide new threats to existing
industries – such as the consumer electronics company, Panasonic, which formed
Nippon Bicycle to provide highly customized bikes with fast delivery to the
global market (p. 4).
4. Business environments are changing in several different ways. Trade groupings
such as the European Union and the North American Free Trade Association have
opened free trade to member countries. Changing regulations such as those found
INFLUENCE OF LEADERSHIP ON INNOVATION 12
within the U. S. Food and Drug Administration (FDA) streamlined approval
process for generic drugs also change the competitive environment enabling
generic manufacturers to capture market share at the expense of previous patent
holders much more quickly (p. 5). In these examples, leaders seeking to influence
innovation need to be aware of all of the complexities of the market in which they
compete.
In light of these different trends indicating the need for innovation, this
dissertation will apply an evidence-based research (EBR) and systematic literature
review (SLR) approach to examine the relationship between the leadership teams
responsible for managing the commercialization of creative ideas and innovation,
and the characteristics that enable these leaders to positively influence innovation
in manufacturing companies. Of particular interest are those companies required
to have a strong product development function in order
Best practices for conducting business at the base of the pyramid
No full textThe purpose of this dissertation was to identify and evaluate the factors involved in profitable and social value-creating businesses at the base of the pyramid (BOP)—the poorest of the global poor.Best Practices for Conducting Business at the Base of the Pyramid
Ronda Ansted
Dissertation Committee: Eric B. Dent, Ph.D., Deborah M. Wharff, D.M., and G. David Andersen, Ed.D.
Fall 2014
Success Evaluation Criteria
Methodology
Purpose
Conceptual Model
Research Questions
Selection of Studies
1.What are the best practices for business model development aimed at serving the BOP?
2.Which factors contribute to profitability for businesses serving the BOP?
3.Which factors contribute to increased well-being for the BOP population being served?
4.What, if any, are the industry-specific best practices for serving the BOP? .
The purpose of this dissertation was to identify and evaluate the factors involved in profitable and social value-creating businesses at the base of the pyramid (BOP)—the poorest of the global poor.
•131 cases studies from the UNDP Growing Inclusive Markets database.
•Based on a positive social outcomes and adequate data to assess impact.
Each case study was evaluated and scored on financial and social performance.
•Framework synthesis: inductive data analysis based on the conceptual model.
•Statistical analysis to determine correlations.
•Thematic coding for additional components.
Significance to Management
1.Greater understanding of the BOP market.
2.Knowledge of successful business models and practices to serve the BOP.
3.Strategies for market entry, product development and diffusion, and expansion.
Findings
•Partial support for the conceptual model.
•Enterprise characteristics Motivation and Focus on Social Goods were most consistently correlated to positive financial and social performance.
•Product design and diffusion processes varied depending on the sector, but not significantly.
•Strong partnerships between diverse stakeholders contributed to positive financial and social performance.
Further Research
•Including case studies with negative outcomes.
•Examining the relationship between the business models and the role of the poor.
•Investigating the impact of culture.
Key Authors
•C.K. Prahalad (2004), Fortune at the Bottom of the Pyramid
•Stuart Hart (2005), Capitalism at the Crossroads
•Aneel Karnani (2006), “Mirage at the Bottom of the Pyramid”
•Ted London (2011), “Creating a fortune with the Base of the Pyramid”
Enterprise Characteristics:
•Strong motivation to work with BOP market
•Focus on social goods
•Long-term perspective
•Ability to adapt and incrementally innovate
Co-create product design
Pricing research & revenue model
Distribution /diffusion
Incre-mental innovation
(Deep dive) market research
Antecedents Product Design and Diffusion Process
Major Components of Best Practices at the BOP
Geographic Area
East & Southeast Asia
Eastern Europe and the CIS
Latin America & the Carribean
Middle East & North Africa
South Asia
Sub Saharan Africa
0
10
20
30
40
50
60
70
80
Consumer
Employee
Entrepreneur
Producer
Role of the Poor
Type of Organization
Cooperative
MNE
Non-profit
Domestic
MSME
0
5
10
15
20
25
30
35
40
45
Agriculture
Consumer
Goods
Financial Svs
Utililties
ICT
Healthcare
Housing &
Construction
Education
Business Sector
SCORE CRITERIA
1 Company operated primarily at a loss.
2 Company was financially self-sufficient.
3 Company made enough money to scale-up services.
Financial Performance
SCORE CRITERIA
1Few or no social benefits were seen at the BOP level, possible harm.
2Some social benefits were seen at the BOP level, minimal harm.
3Significant social benefits.
Social Performance
Discussion
•Preliminary results support previous research that market solutions can benefit the BOP.
•Positive social outcomes can occur through a variety of ways at the BOP, i.e., increasing income, providing products and services to mitigate social harms, etc