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Cross-Functional Training and Development Methods for African American Women that Impact Their Advancement to Executive Management Positions, A Systematic Review
No full textThis is a video to accompany a SOARS poster presented in 2023
Digitalization as a strategic agility tool to increase financial inclusion in the unbanked and underbanked populations in the United States
No full textThis is a video to accompany a SOARS poster presented in 2023
Recruiting a Diverse Workforce in the Era of Artificial Intelligence
No full textAs artificial intelligence (AI) adoption for recruitment is rapidly institutionalized,
businesses want to identify concerns that may impede AI from recruiting a diverse workforce. A
diverse workforce makes better decisions than a homogenous team by considering different
perspectives. This systematic review used 37 articles to examine concerns that may impact the
adoption of AI for the recruitment of a diverse workforce. The researcher conducted the study
through the lens of the Unified Theory of Acceptance and Use of Technology from a realist
perspective. Empirical and grey literature articles were included in the research. The quality of
the empirical articles was assessed with the Mixed Method Appraisal Tool (MMAT). The quality
of the grey literature articles was assessed with the Authority, Accuracy, Coverage, Objectivity,
Date, and Significance (AACODS) tool. The findings indicated that job applicants prefer humans
over AI in some recruitment phases because AI has accuracy issues and lacks empathy. Job
applicants prefer that a human be involved in final decision making. Secondly, using datasets
may impede the recruitment of a diverse workforce because they are biased and may contain
illegal content. Thirdly, artificial intelligence algorithms may limit workforce diversity because
they are complicated and may include conscious and unconscious biases. Finally, laws and
corporate governance have not kept pace with AI recruitment development.DIVERSE WORKFORCE RECRUITMENT USING AI i
Recruiting a Diverse Workforce in the Era of Artificial Intelligence
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
by
Janine Smith
December 2023
Dissertation Committee:
Dr. Richard Milter, Committee Chair
Dr. James Gelatt, Committee Member
Dr. Lisa Pearo, Committee Member
Date of Oral Defense: November 30, 2023
DIVERSE WORKFORCE RECRUITMENT USING AI ii
Abstract
Title of Dissertation: RECRUITING A DIVERSE WORKFORCE IN THE
ERA OF ARTIFICIAL INTELLIGENCE
Janine Smith
Doctor of Business Administration, 2023
As artificial intelligence (AI) adoption for recruitment is rapidly institutionalized,
businesses want to identify concerns that may impede AI from recruiting a diverse workforce. A
diverse workforce makes better decisions than a homogenous team by considering different
perspectives. This systematic review used 37 articles to examine concerns that may impact the
adoption of AI for the recruitment of a diverse workforce. The researcher conducted the study
through the lens of the Unified Theory of Acceptance and Use of Technology from a realist
perspective. Empirical and grey literature articles were included in the research. The quality of
the empirical articles was assessed with the Mixed Method Appraisal Tool (MMAT). The quality
of the grey literature articles was assessed with the Authority, Accuracy, Coverage, Objectivity,
Date, and Significance (AACODS) tool. The findings indicated that job applicants prefer humans
over AI in some recruitment phases because AI has accuracy issues and lacks empathy. Job
applicants prefer that a human be involved in final decision making. Secondly, using datasets
may impede the recruitment of a diverse workforce because they are biased and may contain
illegal content. Thirdly, artificial intelligence algorithms may limit workforce diversity because
they are complicated and may include conscious and unconscious biases. Finally, laws and
corporate governance have not kept pace with AI recruitment development.
Keywords: Artificial Intelligence, Recruitment, Hire, Diversity, Accuracy, Empathy, Decision
making, Bias, Datasets, Algorithm, Complicated, Laws, Corporate Governance
DIVERSE WORKFORCE RECRUITMENT USING AI iii
© Copyright by
Janine Smith
2023
DIVERSE WORKFORCE RECRUITMENT USING AI iv
Dedication
My dissertation is dedicated to my family, especially my daughters, Mya and Kamilah,
and my grandson, Daniel. To my daughters, thanks for supporting me throughout this journey.
To my new grandson, I am happy that you joined my family. Hopefully, my completion of my
doctoral degree will inspire you to achieve your goals.
DIVERSE WORKFORCE RECRUITMENT USING AI v
Acknowledgments
I am grateful to the entire UMGC family for assisting me with the completion of this major
milestone. Specifically, I want to acknowledge the support of my dissertation committee, which
Dr. Richard Milter chaired. Additionally, I would like to thank my employer for paying my tuition.
The tuition assistance program is exceptional. Last, but not least, I would like to acknowledge
the support of my cohort, the COVID cohort. We voluntarily met throughout the program to
collaborate and support each other’s goal of completing the program. Truly, this is an awesome
group of people to be associated with.
DIVERSE WORKFORCE RECRUITMENT USING AI vi
Table of Contents
Recruiting a Diverse Workforce in the Era of Artificial Intelligence .................................... i
Abstract ........................................................................................................................... ii
Dedication ...................................................................................................................... iv
Acknowledgments ........................................................................................................... v
Table of Contents ........................................................................................................... vi
List Of Tables ................................................................................................................. ix
List Of Figures ................................................................................................................. x
Chapter 1: Introduction and Overview of the Management Problem ............................... 1
Background and Overview .......................................................................................... 3
Notable Names in AI Development .......................................................................... 3
Industrial Revolution Periods ................................................................................... 5
Types of Artificial Intelligence .................................................................................. 7
Investment in Artificial Intelligence ........................................................................... 7
Artificial Intelligence Failures and Successes .......................................................... 8
Recruitment ............................................................................................................14
U.S. Diversity..........................................................................................................16
Problem Statement and Significance of the Problem .................................................20
Purpose of the Study and The Research Question ....................................................20
Research Question .................................................................................................21
Significance of the Study ............................................................................................22
Definitions and Terminology .......................................................................................23
Chapter Summary ......................................................................................................24
Organization of the Dissertation .................................................................................24
Chapter 2: Scoping Literature Review and Theoretical Framework ...............................25
Literature Review .......................................................................................................25
Diverse Workforce ..................................................................................................25
Recruitment ............................................................................................................30
Social Networking Impact on Recruitment ..............................................................30
Artificial Intelligence Facial Recognition Accuracy Issues .......................................32
Theoretical Frameworks ............................................................................................34
UTAUT Overview ...................................................................................................34
Studies that Used UTAUT ......................................................................................36
UTAUT Inconsistencies ..........................................................................................38
Conceptual Framework for This Research .................................................................39
Other Frameworks Considered ..................................................................................40
DIVERSE WORKFORCE RECRUITMENT USING AI vii
Technology Acceptance Model ...............................................................................40
Unified Theory of Acceptance and Use of Technology 2 (UTAUT2) .......................41
Chapter Summary ......................................................................................................41
Chapter 3: Method .........................................................................................................42
Research Design and Methodology ...........................................................................42
The Evidence-Based Research Framework ...........................................................42
Systematic Reviews ...............................................................................................43
Systematic Review Process ...................................................................................45
Research Question and Methodology .....................................................................46
Search Strategy ......................................................................................................47
Search Process and Terms ....................................................................................47
Inclusion and Exclusion Criteria ..............................................................................48
Method of Quality Appraisal of the Included Studies ...............................................49
PRISMA Diagram ...................................................................................................51
Data Extraction .......................................................................................................53
Analysis and Synthesis Methodology .....................................................................54
Method of Synthesis ...............................................................................................54
Coding Process ......................................................................................................56
Subject Matter Experts ...............................................................................................57
Subject Matter Expert One .....................................................................................57
Subject Matter Expert Two .....................................................................................57
Chapter Summary ......................................................................................................58
Chapter 4: Analysis and Findings ..................................................................................59
Search Results ..........................................................................................................59
Description of the Dataset ..........................................................................................60
Results of the Quality Appraisal of the Dataset ..........................................................61
Coding .......................................................................................................................62
Findings .....................................................................................................................63
Finding 1: Job Applicants Prefer Humans over AI in Some Recruitment Phases ....65
Finding 2: Datasets May Impede the Recruitment of a Diverse Workforce .............68
Finding 3: Artificial Intelligence Algorithms May Limit Workforce Diversity ..............70
Finding 4: Laws and Corporate Governance Have not Kept Pace with AI
Recruitment Development ..................................................................................................72
CERQual ...................................................................................................................74
Finding 1: Job Applicants Prefer Humans over AI in Some of the Recruitment
Phases ...............................................................................................................................76
Finding 2: Datasets May Impede the Recruitment of a Diverse Workforce .............76
DIVERSE WORKFORCE RECRUITMENT USING AI viii
Finding 3: Artificial Intelligence Algorithms May Limit Workforce Diversity ..............77
Finding 4: Laws and Corporate Governance Have not Kept Pace with AI
Recruitment Development ..................................................................................................77
Revised Conceptual Model ........................................................................................77
Chapter Summary ......................................................................................................79
Chapter 5: Conclusions and Recommendations ............................................................80
Review of the Research .............................................................................................80
Addressing the Research Question ............................................................................80
Management Implications and Recommendations .....................................................82
Recommendations to Address Job Applicants Preferring Humans Over AI in Some
Recruitment Phases ...........................................................................................................83
Recommendations to Address Datasets and Algorithms Impeding the Recruitment
of a Diverse Workforce .......................................................................................................84
Recommendations to Address Laws Not Keeping Pace With AI Recruitment
Development ......................................................................................................................84
Study Limitations........................................................................................................85
Areas for Future Research .........................................................................................85
Final Summary ...........................................................................................................86
References ....................................................................................................................88
Appendix A .................................................................................................................. 116
Appendix B .................................................................................................................. 117
Appendix C .................................................................................................................. 118
DIVERSE WORKFORCE RECRUITMENT USING AI ix
List Of Tables
Table 1 U.S. Racial Groups and Percentage of U.S. Population ...................................17
Table 2 PICOC .............................................................................................................21
Table 3 Search Strings Used in the Study ....................................................................48
Table 4 MMAT Quantitative Analysis Template ............................................................50
Table 5 AACODS, Grey Material, Assessment Template .............................................51
Table 6 Search Results Template .................................................................................53
Table 7 Research Dataset Descriptor Template ...........................................................54
Table 8 Search Results ................................................................................................59
Table 9 Dataset Descriptor Results ..............................................................................61
Table 10 Findings, Categories, and Codes Counts .......................................................63
Table 11 Studies Supporting Findings ..........................................................................64
Table 12 CERQual Component Definitions ...................................................................75
Table 13 CERQual Confidence Rating .........................................................................75
Table 14 CERQual Findings Ratings ............................................................................76
DIVERSE WORKFORCE RECRUITMENT USING AI x
List Of Figures
Figure 1 UTAUT Framework .........................................................................................36
Figure 2 Initial Conceptual Framework .........................................................................40
Figure 3 Evidence-Based Management Information Sources .......................................43
Figure 4 Quality of Evidence Pyramid ...........................................................................45
Figure 5 PRISMA Protocols Template ..........................................................................52
Figure 6 PRISMA Results for Research Articles ...........................................................60
Figure 7 Revised Conceptual Model .............................................................................78
DIVERSE WORKFORCE RECRUITMENT USING AI 1
Chapter 1: Introduction and Overview of the Management Problem
Artificial Intelligence (AI) permeates many facets of our lives (e.g., healthcare, loan
decisions, and law enforcement) (Suzanne-Mayer, 2019; West & Allen, 2018). With each AI
integration success story (e.g., Unilever recruiting their most diverse class while reducing
recruitment time and costs), organizations are interested in using AI to give their businesses a
competitive advantage (Feloni, 2017). Investment in AI initiatives has steadily increased since
2013. The most dramatic increase is forecasted between 2022 and 2023. The International Data
Corporation forecasts that $154 billion will be spent in 2023 on AI, representing a 26.9 percent
spending increase from 2022 (Shirer, 2023).
Key business resources include human, financial, intellectual, and physical. Klepić
(2019) reported that human resources impact business performance more than other corporate
resources. The lack of a fully staffed workforce is causing some corporations to lose revenue
(Franzino et al., 2018). The understaffed workforce woes continued as of November 2023, with
the U.S. Bureau of Labor Statistics reporting 9.6 million job vacancies in September 2023, an
increase from 9.5 million in August 2023 (U.S. Bureau of Labor Statistics, 2023).
Recruitment for the best candidates is competitive, making workforce recruitment a top
business concern (Hmoud & Laszlo, 2019; Marr, 2021; Maurer, 2023; Zielinski, 2023).
Therefore, businesses are integrating AI into their recruitment process to get a competitive
advantage. Approximately 25 percent of predominantly large businesses have integrated AI
into their recruitment process, according to the Society of Human Resource Management
(SHRM, 2022). These businesses have realized cost reduction and time savings (Upadhyay &
Khandelwal, 2018).
According to Herring (2009), businesses want a diverse workforce, not only because it is
the right thing to do but because diverse workforces are more profitable than those that are
homogenous. Rock & Grant (2016) identified why diverse workforces are profitable, reporting
that a diverse workforce tends to be smarter than a homogenous workforce by considering
DIVERSE WORKFORCE RECRUITMENT USING AI 2
diverse perspectives in decision making. However, there are concerns about utilizing AI to reach
these goals.
Artificial Intelligence algorithms aim to mimic human behavior (e.g., speaking and
problem-solving) (Jarrahi, 2018). Human behavior that AI may embody is implicit or explicit bias.
One benefit of AI is identifying patterns in large datasets (Barocas & Selbst, 2016; G. S. Collins
& Moons, 2019; Himeur et al., 2021). Some of the patterns learned by AI have resulted in
adverse outcomes. An adverse example reported by (Angwin et al., 2016) was the significant
racial disparities for an AI application that predicts if a person criminally charged will re-offend.
The AI application wrongly predicted that black defendants would re-offend at almost twice the
rate as whites. Unfortunately, additional AI problems are reported.
Moral, ethical, and privacy issues have also been raised regarding AI usage for
recruitment (Rodney et al., 2019). Business leaders shared concerns about needing to
understand AI algorithms. Approximately 34,000 people, including notable technology
entrepreneurs (e.g., Elon Musk, Apple co-founder Steve Wozniak, and Andrew Yang), signed
an open letter posted online on March 29, 2023. The letter suggested a pause to consider the
risks of large-scale AI systems. It warns that "human-competitive intelligence can pose profound
risks to society and humanity" (Bengio et al., 2023, para 2). The
The Investigation of Leadership Behaviors and Organizational Outcomes: A Systematic Review
No full textIn any organization, leaders are responsible for ensuring their practiced leadership behaviors are conducive to organizational success, regardless of the barriers. From the mere beginnings of the behavioral theory of leadership, an individual was deemed a leader if their behaviors could be taught and learned. In contradiction to the trait and great man theories, a leader's behavior determines their acknowledgement. Since the 1950s, research on leadership and leadership behaviors has greatly increased. However, the vast number of leadership behaviors can make it challenging one to know which behaviors are most effective to learn and practice.
This dissertation investigated which leadership behaviors most effectively promote productivity and performance. This study first explored a vast amount of research regarding leadership styles and behaviors. Once leadership behaviors were identified, a deeper search was conducted to determine which of these behaviors most influence the organizational outcomes, productivity, and performance.
A systematic review was conducted to organize the research process, develop a research question, identify specific criteria for inclusion and delimitations, and synthesize findings to identify findings that address the research question. The research question was, "What leadership behaviors most influence productivity and performance?" This study focused on leadership behaviors ranging from 1950 to 2022, from peer-reviewed scholarly journals in several databases to maximize the identification of leadership behaviors over time. The search resulted in 45,031 articles. After screening for eligibility of inclusion and exclusion criteria, 46 articles remained later appraised using the TAPUPAS framework. This comparison identified 21 quality pieces of evidence utilized to synthesize findings and identify three themes using ATLAS ti. These themes were utilized to address the research question. The themes led to the providing relational and task-oriented behaviors and critical information regarding the needs of followers and their influence on how leadership behaviors are practiced.LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES i
ABSTRACT
Title of Dissertation:
THE INVESTIGATION OF LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES: A SYSTEMATIC REVIEW
Envia Malone,
Doctor of Business Administration, 2023
In any organization, leaders are responsible for ensuring their practiced leadership behaviors are conducive to organizational success, regardless of the barriers. From the mere beginnings of the behavioral theory of leadership, an individual was deemed a leader if their behaviors could be taught and learned. In contradiction to the trait and great man theories, a leader's behavior determines their acknowledgement. Since the 1950s, research on leadership and leadership behaviors has greatly increased. However, the vast number of leadership behaviors can make it challenging one to know which behaviors are most effective to learn and practice.
This dissertation investigated which leadership behaviors most effectively promote productivity and performance. This study first explored a vast amount of research regarding leadership styles and behaviors. Once leadership behaviors were identified, a deeper search was conducted to determine which of these behaviors most influence the organizational outcomes, productivity, and performance.
A systematic review was conducted to organize the research process, develop a research question, identify specific criteria for inclusion and delimitations, and synthesize findings to LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES ii
identify findings that address the research question. The research question was, "What leadership behaviors most influence productivity and performance?" This study focused on leadership behaviors ranging from 1950 to 2022, from peer-reviewed scholarly journals in several databases to maximize the identification of leadership behaviors over time. The search resulted in 45,031 articles. After screening for eligibility of inclusion and exclusion criteria, 46 articles remained later appraised using the TAPUPAS framework. This comparison identified 21 quality pieces of evidence utilized to synthesize findings and identify three themes using ATLAS ti. These themes were utilized to address the research question. The themes led to the providing relational and task-oriented behaviors and critical information regarding the needs of followers and their influence on how leadership behaviors are practiced.
Keywords: leadership, leadership behaviors, leadership styles, productivity, performance, organizational outcomes, Lewin’s three-step model of change, Behavioral theory of leadership
LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES iii
THE INVESTIGATION OF LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES: A SYSTEMATIC REVIEW
By
Envia D. Malone
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
2023
LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES iv
LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES v
© Copyright by
Envia D. Malone
2023
LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES vi
Dedication
Even when one travels a path alone they still benefit from tools that lighten the load and help navigate their journey. I have had the pleasure/honor of packing my bag with various tools from several people, which helped me get to where I am now. For this, I dedicate my completed dissertation to these valuable tools. My first set of tools was motivation and drive for learning, knowledge, and education from my Dad, Gerard Juste. These tools guided my academic excellence and drove my desire and ability to pursue such an accomplishment. It was also the encouraging words like, "Go for the Gusto," that often repeated in my mind, written on a note (dollar bill) after my undergraduate commencement. I still have that note today, kept safely tucked away. The guidance and role modeling that others exhibited in their pursuit of education greatly assisted me, namely his Rameau family: my older cousins Claude Jones, Judith DeVastey, Johannie Escarne & Dr. Jacfrantz Guiteau. When I was just a child, watching them excel toward their goals of becoming doctors, lawyers, and journalists was inspiring. I knew I could be like them one day.
Some of the most necessary tools of perseverance and resilience, I obtained from my mother, Patricia Taylor. These tools helped me to keep fighting through harrowing trials and the capacity to bounce back from even the most daunting experiences. Last, Ms. Blakely Pomietto, who served as my undergraduate advisor, gave me the last set of tools. When my grades slipped, and my enrollment at the University of Maryland was on the line, it was her support and guidance, which assisted me through the completion of my undergraduate degree; I finished my undergraduate degree and now able to write this dedication, for this accomplishment. I thank you all for the tools you instilled, gave, or showed me that allowed me to get where I am today. Thank you all! LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES vii
Acknowledgements
I want to first thank Dr. Jim Gelatt for being a supportive and encouraging mentor. Your zeal towards my topic of choice and our jovial conversations regarding the direction of leadership alleviated the pressure of what was next. I want to thank Dr. Schuyler Jarrow for being an insightful second mentor, providing your own perspective, which empowered me to think more deeply about my research. I want to thank my cohort, Dr. Alla Levin, Dr. Rosemary Ascencio, Dr. Nicolas Gingue, Dr. Ed Sierra, Dr. Dima Brown, Dr. Lynda Aldana, Dr, Edmund Gyandoh, and Dr. Kenneth Washington. I specifically want to acknowledge my doctoral pals, my cohort “family,” who since the day we walked into our first residency had been a team of intellectually minded individuals who not only supported each other but also provided friendship that shall last forever. Without each of you, this journey may have been almost impossible.
Lastly, I want to thank my family and friends for their patience in my limited availability time with their supportive words, calls, and text messages along this journey.
LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES viii
LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES ix
Table of Contents
ABSTRACT .................................................................................................................................... i
INVESTIGATING LEADERSHIP AND ORGANIZATIONAL OUTCOMES: LEADERSHP BEHAVIORS: PAST, PRESENT, & FUTURE-A SYSTEMATIC REVIEW ............................. iii
Dedication ..................................................................................................................................... vi
Acknowledgements ....................................................................................................................... vii
Table of Contents ........................................................................................................................... ix
List of Tables ............................................................................................................................... xiii
List of Figures .............................................................................................................................. xiv
Chapter 1: Introduction and Overview of the Management Problem ............................................. 1
Background and Overview ................................................................................................. 2
Problem Statement and Significance of the Problem ......................................................... 3
Ambiguity in leadership-related definitions ........................................................... 4
Lack of consideration across existing behaviors and theories ................................ 5
Omission of leadership behaviors ........................................................................... 5
Purpose of the Study and The Research Question .............................................................. 6
Research Question .................................................................................................. 6
Significance of this Study ................................................................................................... 7
Definitions and Terminology .............................................................................................. 8
Behavior .................................................................................................................. 8
Behavioral Taxonomy ............................................................................................. 8
Culture..................................................................................................................... 8
Leadership ............................................................................................................... 9
Leadership Behaviors .............................................................................................. 9
Leadership Style ...................................................................................................... 9
Productivity ............................................................................................................. 9
Performance ............................................................................................................ 9
Trait theory............................................................................................................ 10 LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES x
Transformational leadership ................................................................................. 10
Transactional leadership ....................................................................................... 10
Chapter Summary ......................................................................................................................... 10
Organization of the Dissertation ................................................................................................... 11
Chapter 2: Scoping Literature Review and Theoretical Frame .................................................... 13
Literature Review......................................................................................................................... 13
Leadership ......................................................................................................................... 13
Historical Timeline of Leadership Behaviors ................................................................... 14
Trait/Skill Based Leaders ...................................................................................... 16
Great Man Theory ................................................................................................. 16
Trait Theory .......................................................................................................... 16
Behavioral Based Leaders ..................................................................................... 16
The Ohio State Leadership Studies ....................................................................... 16
Michigan Leadership Studies ................................................................................ 18
Blake and Mouton Managerial Grid ..................................................................... 19
James Burnes ........................................................................................................ 23
Ekvall and Arvonen: Scandinavian Study ............................................................ 28
Yukls Behavioral Taxonomy ................................................................................ 28
Other Behaviors .................................................................................................... 31
Workplace Outcomes ........................................................................................................ 33
Productivity ........................................................................................................... 33
Performance .......................................................................................................... 34
Theoretical Framework ................................................................................................................. 35
Behavioral Theory of Leadership ..................................................................................... 36
Lewin’s Three-Step Model of Change .............................................................................. 36
Unfreeze ................................................................................................................ 37
Change .................................................................................................................. 38
Refreeze ................................................................................................................ 38
Conceptual Framework ................................................................................................................. 40 LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES xi
Chapter Summary ......................................................................................................................... 41
Chapter 3: Method ........................................................................................................................ 42
Evidence-Based Research ................................................................................................. 42
Systematic Review ............................................................................................................ 43
Systematic Review Process................................................................................... 43
Data Extraction ..................................................................................................... 51
PRISMA ................................................................................................................ 52
Analysis and Synthesis Methodology ................................................................... 54
Chapter Summary ......................................................................................................................... 57
Chapter 4: Analysis and Findings ................................................................................................. 58
Review of the Research Question ..................................................................................... 58
Description of the Data Set ............................................................................................... 58
Data Extraction ................................................................................................................. 60
Results of coding............................................................................................................... 62
Level One Coding: Text Codes............................................................................. 62
Level Two Coding (Descriptive Themes)............................................................. 63
Level Three Coding (Analytical Themes) ............................................................ 65
Results of the Synthesis of Articles .................................................................................. 67
Revised Conceptual Framework ................................................................................................... 75
Chapter Summary ......................................................................................................................... 76
Chapter 5: Conclusion and Implications ....................................................................................... 78
Review of the Research .................................................................................................... 78
Answer to the Research Question ..................................................................................... 79
Implications for Practice ................................................................................................... 79
Recommendations for Management ................................................................................. 80
Limitations of the Study.................................................................................................... 87
Areas of Future Research .................................................................................................. 88
Summary and Conclusion ............................................................................................................. 91 LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES xii
Appendix A ................................................................................................................................ 938
TAPUPAS Criteria Results ....................................................................................................... 1188
Appendix B ............................................................................................................................... 1199
Data Extraction Charts .............................................................................................................. 1199
LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES xiii
List of Tables
Table 1: Search Strategy Database, Journals & Engines
45
Table 2: Search Strings
46
Table 3: Inclusion & Exclusion Criteria
46
Table 4: TAPUPAS
48
Table 5: TAPUPAS Scoring Breakdown
49
Table 6: Articles Included in Qualitative Synthesis
50
Table 7: Data Extraction Table
51
Table 8: Thematic Synthesis Steps
54
Table 9: Level One Text Codes
62
LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES xiv
List of Figures
Figure 1: History of Leader Behaviors
15
Figure 2: Blake and Mouton Managerial Grid
21
Figure 3: Lewin's Three-Step Change Model
37
Figure 4: Conceptual Framework: Lewin's Three-Step Model with Research Variables
41
Figure 5: Systematic Review Process
44
Figure 6: PRISMA
53
Figure 7: Text Codes to Analytical Themes
54
Figure 8: Level One NVivo Coding Example
55
Figure 9: Descriptive Theme: Communication Based on Text Codes
56
Figure 10: Analytical Themes with Descriptive theme
57
Figure 11: PRISMA (again)
59
Figure 12: Industries Found within Evidence
60
Figure 13: Locations from Appraised and Synthesized Evidence
61
Figure 14: Leadership Survey Tools Used in Studies
61
Figure 15: Text Codes to Descriptive Themes
64
Figure 16: Descriptive themes to Analytical Themes
66
Figure 17: Conceptual Framework (again)
76
LEADERSHIP BEHAVIORS AND ORGANIZATIONAL OUTCOMES 1
Chapter 1: Introduction and Overview of the Management Problem
Leaders, leadership, leadership styles, and leadership behaviors have been recurring topics of conversation in management discussions for years. In lieu of these conversations, some researchers have questioned if leadership affects the success of an organization. Behrendt et al. (2017) acknowledged, “over 100 years of leadership research has yielded strong evidence that an organization’s success depends upon the manager’s leadership” (p. 229). In 2012, Yukl indicated, “An important objective in much of the leadership research has been to identify aspects of behavior that explain leader influence on the performance of a team, work unit, or organization” (p. 66). So, what is leadership? Stogdill (1950), an Ohio State Leadership Studies scholar, defined leadership as a "process (act) of influencing the activities of an organized group in its effort toward goal setting and goal achievement" (Silva, 2016, p. 2).
The leader e
Best Practices for Developing Cybersecurity Graduates for the Global Cybersecurity Workforce
No full textThe U.S. National Institute of Standards and Technology (NIST) identified that approximately 1.8 million cybersecurity positions were vacant in 2021 because of a lack of professionals with the required skill sets and who remained in their jobs long enough to contribute to their organizations’ cybersecurity needs. Also shown was the rising global need to develop a sustainable pipeline of cybersecurity professionals. Organizations of all types were increasingly dependent on information technology and internet-connected devices, subject to numerous and frequent threats to their IT systems. University graduates with the required cybersecurity skills were not available in sufficient numbers to meet the cybersecurity needs of organizations. As a result, the cybersecurity work of organizations was hampered. An evidence-based approach was used to examine the gap between the need for university-prepared cybersecurity professionals and the availability of skilled cybersecurity professionals who remained in their positions. Using the CIMO method, the research question for this dissertation was: What are the best practices for developing university graduates for the global cybersecurity workforce? A systematic review of the literature, using thematic analysis, was conducted to investigate how managers could deal with this cybersecurity workforce deficit. The systematic review findings based on coding, supported by 28 relevant studies, identified three main findings/recommendations: (a) implementing an organizational learning environment using organizational learning theory (OLT), demonstrated by an apprenticeship strategy program; (b) the need for a global cybersecurity management skill set supported by inhouse skills training institutes; and (c) the need for an enduring cybersecurity pipeline, exemplified by an internal promotion strategy. Risks to implementation of these recommendations also is provided.DEVELOPING CYBERSECURITY WORKFORCE i
Abstract
Title of Dissertation:
BEST PRACTICES FOR DEVELOPING CYBERSECURITY GRADUATES FOR THE GLOBAL CYBERSECURITY WORKFORCE
Emeka Ejikeme,
Doctor of Business Administration, 2023
The U.S. National Institute of Standards and Technology (NIST) identified that approximately 1.8 million cybersecurity positions were vacant in 2021 because of a lack of professionals with the required skill sets and who remained in their jobs long enough to contribute to their organizations’ cybersecurity needs. Also shown was the rising global need to develop a sustainable pipeline of cybersecurity professionals. Organizations of all types were increasingly dependent on information technology and internet-connected devices, subject to numerous and frequent threats to their IT systems. University graduates with the required cybersecurity skills were not available in sufficient numbers to meet the cybersecurity needs of organizations. As a result, the cybersecurity work of organizations was hampered. An evidence-based approach was used to examine the gap between the need for university-prepared cybersecurity professionals and the availability of skilled cybersecurity professionals who remained in their positions. Using the CIMO method, the research question for this dissertation was: What are the best practices for developing university graduates for the global cybersecurity DEVELOPING CYBERSECURITY WORKFORCE ii
workforce? A systematic review of the literature, using thematic analysis, was conducted to investigate how managers could deal with this cybersecurity workforce deficit. The systematic review findings based on coding, supported by 28 relevant studies, identified three main findings/recommendations: (a) implementing an organizational learning environment using organizational learning theory (OLT), demonstrated by an apprenticeship strategy program; (b) the need for a global cybersecurity management skill set supported by inhouse skills training institutes; and (c) the need for an enduring cybersecurity pipeline, exemplified by an internal promotion strategy. Risks to implementation of these recommendations also is provided.
Keywords: advanced persistent threats (APTs), confidentiality, integrity, and availability (CIA), cybersecurity job(s), distributed denial of service (DDoS), university graduate. DEVELOPING CYBERSECURITY WORKFORCE iii
BEST PRACTICES FOR DEVELOPING CYBERSECURITY GRADUATES FOR THE GLOBAL CYBERSECURITY WORKFORCE
By
Emeka Ejikeme
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
2023
DEVELOPING CYBERSECURITY WORKFORCE iv
© Copyright by
Emeka Ejikeme
2023
DEVELOPING CYBERSECURITY WORKFORCE v
Dedication
This dissertation is dedicated to God almighty, who helped me through this great accomplishment. I also want to dedicate this to My wife (Success Ejikeme), my children, my church family, and the entire Ejikeme family for all the moral support during my doctorate journey.
DEVELOPING CYBERSECURITY WORKFORCE vi
Acknowledgment
I want to acknowledge the scholarly guidance I received from my dissertation mentors, Dr. Edwards (primary) and Dr. Bouchard. Thank you for keeping me on track while conducting this research. I also want to acknowledge my cohort members for their wonderful team spirit. Knowing all of you has been a gift and blessing. I would also like to recognize the entire doctoral faculty and staff of UMGC for all the moral and academic assistance.
DEVELOPING CYBERSECURITY WORKFORCE vii
Table of Contents
Abstract ....................................................................................................................................................... i
Dedication .................................................................................................................................................. v
Acknowledgment ..................................................................................................................................... vi
Table of Contents .................................................................................................................................... vii
List of Tables ............................................................................................................................................ xi
List of Figures .......................................................................................................................................... xii
List of Abbreviations .............................................................................................................................. xiii Chapter 1: Introduction and Overview of the Management Problem ............................................. 1
Background and Overview ...................................................................................................................... 1 Problem Statement and Significance of the Problem ..................................................................... 3
The Purpose of the Study and Research Question............................................................................... 4
Importance to Management Practitioners ............................................................................................. 4
CIMO and Research Question (RQ) ...................................................................................................... 5
The Rationale for the Study .................................................................................................................... 6 Discussion of Concepts ................................................................................................................... 7 Definitions and Terminology .......................................................................................................... 8
Chapter Summary .................................................................................................................................... 9
Organization of the Dissertation ............................................................................................................. 9
Chapter 2: Scoping Literature Review and Theoretical Framework .............................................. 10
Theoretical Frameworks ........................................................................................................................ 10
The Five Disciplines of Learning Organizations ............................................................................... 11
Background of Organizational Learning Theory ............................................................................... 17 DEVELOPING CYBERSECURITY WORKFORCE viii
The Literature Landscape or Scoping Literature Review ................................................................ 19
The Importance of the Cybersecurity Workforce in Global Business Management ............. 20
Developing University Graduates to Bridge the Cybersecurity Workforce Pipeline .................. 21
Using Workplace Learning to Improve the Cybersecurity Workforce .......................................... 23
Chapter Summary .................................................................................................................................. 25 Chapter 3: Method ........................................................................................................................ 27
Review Design and Methodology ........................................................................................................ 27
The Evidence-Based Research Framework ........................................................................... 28
Systematic Reviews ............................................................................................................... 29
Systematic Review Process ................................................................................................... 31
Method of Quality Appraisal of the Included Studies ...................................................................... 32
Search Strategy ....................................................................................................................................... 33
PRISMA Diagram ................................................................................................................. 35
CERQual Description ............................................................................................................................. 36
Analysis and Synthesis ........................................................................................................................... 38 Chapter Summary ......................................................................................................................... 39 Chapter 4: Analysis and Findings ................................................................................................. 40
Description of the Data Set ................................................................................................................... 40
Study Selection ....................................................................................................................................... 41
Results of Quality Appraisal of the Data Set ......................................................................... 43
Coding and Thematic Synthesis Results ............................................................................... 44
Findings and Discussion ........................................................................................................................ 44
Presentation of Themes/Findings, Including their CERQual Assessments .................................. 45 DEVELOPING CYBERSECURITY WORKFORCE ix
Finding I: Organizational Learning Environment ............................................................................ 46
Finding II: Global Cyber Security Management Skill Set ............................................................... 49
Finding III: Cybersecurity Workforce Pipeline ................................................................................. 52
Summary of Themes/Findings .............................................................................................................. 54
Revised Conceptual Model/ Framework ............................................................................................. 57
Chapter Summary .................................................................................................................................. 58 Chapter 5: Conclusions and Implications ..................................................................................... 59
Review of the Research ......................................................................................................................... 59
Answer to the Research Question ........................................................................................................ 60
Management Implications ..................................................................................................................... 60
Management Implication 1 .................................................................................................................... 60
Management Implication 2 .................................................................................................................... 61
Management Implication 3 .................................................................................................................... 62
Management Recommendations .......................................................................................................... 62
Recommendation 1: Implement an Apprentice Strategy Program ........................................ 62
Recommendation 2: Require and Update Education and Training for Existing Employees 63
Recommendation 3: Promote Employees from Within the Organization .............................. 63
Risk of Implementation of These Recommendations ....................................................................... 64
Limitations of the Study ........................................................................................................................ 65
Areas for Future Research ..................................................................................................................... 66
Final Summary and Conclusion ........................................................................................................... 68
References ............................................................................................................................................... 70 Appendix A .................................................................................................................................. 91 DEVELOPING CYBERSECURITY WORKFORCE x
Appendix B ............................................................................................................................................. 95 Appendix C ................................................................................................................................ 105
Appendix D ........................................................................................................................................... 107 Appendix E ................................................................................................................................ 108 Appendix F................................................................................................................................. 115 Appendix G ................................................................................................................................ 116 Appendix H ................................................................................................................................ 117
DEVELOPING CYBERSECURITY WORKFORCE xi
List of Tables
Table 1 CIMO Framework ……………………………………………………………………….6
Table 2 Database Aggregator or Database, Search Strings, and Keywords ..………………….34
Table 3 Inclusion and Exclusion ………………………………………………………………..35
Table 4 CERQual Rating Sheet …………………………………………………………………38
Table 5 Data Extraction Search Result ………………………………………...……………….41
Table 6 Combined Themes/Findings ……………………………………………...…………….46
DEVELOPING CYBERSECURITY WORKFORCE xii
List of Figures
Figure 1 The Five Disciplines of Learning Organizations ………...…………………………….17
Figure 2 Conceptual Framework ....……………………………………………………………. 24
Figure 3 PRISMA Diagram (blank) ..……………………………………………………......…. 36
Figure 4 PRISMA Diagram ..…………………….………………………………………………42
Figure 5 Revised Conceptual Model ..…….………….………………………………………….58
.
DEVELOPING CYBERSECURITY WORKFORCE xiii
List of Abbreviations
ACM-Association for Computing Machinery
APTs-Advanced Persistent Threats
CIA-Confidentiality, Integrity, and Availability
CompTIA-Computing Technology Industry Association
DDoS- Distributed Denial of Service
EBMgt-Evidence based Management
EBPs- Evidence-Based Practices
(ISC)²- International Information System Security Certification Consortium
IT-Information Technology
JTF-Joint Task Force
NICE-National Initiative for Cybersecurity Education
NIST-National Institute of Standards and Technology
OLT-Organizational Learning Theory
TPB-Theory of Planned BehaviorDEVELOPING CYBERSECURITY WORKFORCE 1
Chapter 1: Introduction and Overview of the Management Problem
Computers and information technology-based devices connected to the internet are widely used in modern global business management for secure, faster communication and data management (Cabot & Gagnon, 2021). It is a significant concern to protect critical business management information, such as trade secrets and business models (Al Harrack, 2021). Cyberattacks in information security affect business management confidentiality, integrity, and availability (CIA), causing the loss of sensitive data and other essential resources (Callen & James, 2020). Also, according to Callen and James (2020), cyberattacks such as ransomware, distributed denial of service (DDoS), malware, and nationally sponsored advanced persistent threats (APTs) could disrupt the supply chain in business management. An inevitable aspect of the importance of information technology in today's business management communication is an increased demand for skilled cybersecurity professionals globally (Furnell, 2021).
Today's global business management and activities are predominantly carried out with computer devices and internet connections (Lopez-Sintas et al., 2020). Internet usage provides global connectivity in business management transactions and vulnerability challenges to cyberattacks (Daniel et al., 2022). The 2020 COVID-19 pandemic changed how businesses are managed globally and once again proved the importance of cybersecurity talent management (Fernandes et al., 2022). Therefore, the need for management to be able to hire a skilled cybersecurity workforce to cover the ever-increasing workforce gap is crucial.
Background and Overview
Organizations worldwide include information security as an essential part of their business management, increasing the demand for qualified cybersecurity professionals because of the importance of securing important business and management data (Haviland & Robbins, DEVELOPING CYBERSECURITY WORKFORCE 2
2021). Cybersecurity skills development through four-year university degree programs prepares cybersecurity students with the skills needed relative to the labor market. However, recent global evaluations of cybersecurity skills requirements identified a need for more new university graduates with the professional skills to protect business management data in the private and public sectors (Maennel, 2020).
Cybersecurity is an essential field with a significant deficit in its employment market. The continued increase in successful attacks against critical infrastructures in the government and private sectors can be traced to the large deficit in the cybersecurity workforce gap (De Zan, 2020). The global online connection in business management calls for a workforce pipeline for more skilled cybersecurity professionals that will help protect sensitive information from cybercriminals that could cause critical disruption in the flow of information, goods, and services (Chang et al., 2020). Therefore, this dissertation explored the global gap in the cybersecurity workforce that has become a global business management challenge.
The Cybersecurity Workforce.
The cybersecurity workforce is a part of the information technology (IT) field that focuses on applying cybersecurity skills to secure information and data in internet-connected devices, such as computers, tablets, smartphones, hospital equipment, and industrial equipment used for everyday business management (Daswani & Elbayadi, 2021). Almost every small and large business globally wants to be represented online for an increased share of its market. Information technology and cybersecurity involve securely transmitting information or data electronically and digitally from one point to another (Moalim, 2021). Transmission of information/data helps broaden the global business product portfolio and impacts the demand for the cybersecurity workforce. The World Wide Web (WWW) provides a platform for fast DEVELOPING CYBERSECURITY WORKFORCE 3
international data transmission for business management at the speed of light and sound through information technology capabilities (Aruleba & Jere, 2022). Cybersecurity ensures that the information transmitted is secure to avoid breaches that add substantial costs to public or private sectors. Using the internet and online services in business management transactions is an evolving area of practice
THE impact of IT governance frameworks on collaboration between interdisciplinary healthcare teams: A narrative review
No full textThis video accompanies a SOARS poster presented in 2023
Building a solid foundation: Succession planning practices, improving knowledge management and employee retention within higher education institutions (HEIS)
No full textThe business management problem addressed in this study results from the need for succession
planning practices in Higher Education Institutions (HEIs). This systematic qualitative review
examined which succession planning practices improve knowledge management and employee
retention within HEIs. Despite the growing number of baby boomer retirements and the
unexpected exit of key leaders, succession planning is still not a top priority for HEI leaders.
Additionally, a loss of knowledge occurs when leaders and employees retire or leave the
organization unexpectedly before sharing knowledge to prepare the next generation of leaders.
Knowledge not transferred throughout an organization leads to lower productivity and employee
morale, often leading to lower employee retention. Through a qualitative systematic review
process, this dissertation provides an overview of the research problem, a theoretical framework,
a literature landscape review, and a description of the methods utilized during the study review
process. The review discusses the findings from the thematic coding process and a synthesis of
the literature, identifying which succession planning practices improve knowledge management
and employee retention. Based on the thematic findings, this study’s recommendations include:
(1) HEI Presidents and Boards of Trustees should incorporate succession planning into HEIs’
vision (2) HEIs should implement a robust Human Resource Management (HRM) process to integrate succession planning into their practices, and (3) HEI succession planning and
organizational culture must be aligned for succession planning to be effective.is study’s ’discouraged, often ending with ‘We got this ’Succession Planning into the HEI’s Vision
ship roles during a predecessor’s exit, thus maintaining “right” succession plan or tailoring succession practices to fit an organization’s structure, industry’s continual growth (Fuentes, 2020). Enterprises face the complexities of training and may fill a position temporarily or permanently based upon the Board of Directors’ selection – one that “fits” theirconsidered nepotism or a threat to the current leader’s competence and job security (Stripling,
practices that “fit” the traditional academic campus culture. At the very least, such an –
nization’s people perspective, focusing on leadership’s responsibility for subordinates' personal and professional HEIs. Figure 1 offers the CIMO model used to develop this dissertation’s research question. In HEI’s
– company’s future over the long
– an organization’s use of an extensive range of human resource –
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building a succession program that fits the organization’s culture, structure, and function.
leaders’ efforts to build a successful succession planning program.’ ’s
For this scoping literature review, HEIs are defined according to Bamber and Elezi’s in some universities. The selection of Bamber and Elezi’s HEI definition is relevant
how it can benefit the organization. Rothwell (2010) stated, “succession planning is the process of developing talent to meet the needs of the organization now and in the future” (p. 33the President’s role in their absence. Although thisdirection and considers the employee’s perspective. Researchers claim that in the Udefined KM as “a systematic process of a renewing all forms of knowledge” (p. 43267). The most significant number of KM articles Organizations’ internal departments must collaborate effectively for knowledge
industries. However, ‘knowledge transfer,’ ‘knowledge exchange,’ and ‘knowledge sharing’ are Masa’deh’
leader in 1970 when he published the essay ‘The Servant as Leader.’ Greenleaf is known for saying, “The servant leaders are servants first…it begins with the natural feeling that a leader is a servant” (Greenleaf.org, 2022). Greenleaf founded the Gree Spears’ ‘Character and Servant Leadership: Ten characteristics of effective, caring leaders’ (members perform at their optimal potential. Spears, as cited in Song (2018), stated that “90% of first and then to lead” (p. 88). Based on the core values of servant leadership, the necessity to understand how today’s decisions impact the future (Greenleaf, 2002; Spears, 2010).004) states, “The development of servant leadership as a theory has been a slow process as researchers struggle to articulate an adequate theoretical infrastructure” (p. 1).
answering the study’s research question. The following sections discuss how servant leadeleaders’ attitudes toward the servant leadership stafter Moses’ deat
Servant leadership enhances KM through persuasion by encouraging employees’ Employee turnover increases HEIs’ costs while decreasing employee morale (O’Connell organization’s ability to deal with a crisis to avoid adverse outcomes while becoming stronger
leader’ssupport for succession planning to improve HEIs’ knowledge management and increase ding to Briner et al. (2009), “EBMgt is other organizations’ practitioners” (p.
based management avoids reliance on leaders’ or managers’ personal
sided or chosen to fortify the researcher’s assumptions (Xia“stakeholders,” practitioners, and subject matter exp explicitly adopts this inclusive approach to avoid an “ivory tower” answer to the research which may have been missed by database searches” (p. 104). Subject Matter
’shouldn’t just look Southern California’s (USC) database to obtain articles about organizational and structural issues Meline (2006), the general guidelines for establishing inclusion/exclusion criteria include “(a) cultural and linguistic range, and (f) methodological quality” (p●
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●“higher education institutions.” For example, grouping similar terms that might be used for HEIs S1
(“higher education institutions*” OR “college*” OR “university*”) AND (“succession planning*” OR “succession planning strategies*) AND (“knowledge management*”) AND (“turnover*” OR “departure*” OR “mass exodus*”) AND (“profitability*” OR “profit*” OR “performance*”)
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S3
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S4
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S5
(“higher educat*” OR “college*” OR “university*”) AND (“succession plan*” OR “succession planning strat*) AND (“knowledge manag*”) AND (“turnover*” OR “departure*” OR “mass exodus*”) AND (“profitable*” OR “profit*” OR “perform*”) NOT Nursing Ed*OR Pharmacy
S6
AB (“higher educat*” OR “college*” OR “university*”) AND (“succession plan*” OR “succession planning strat*) AND (“knowledge manag*”) AND (“turnover*” OR “departure*” OR “mass exodus*”) AND (“profitable*” OR “profit*” OR “perform*”) ) NOT ( nurse* OR nursing ed*OR
S7
AB (“higher educat*” OR “college*” OR “university*”) AND (“succession plan*” OR “succession planning strat*) AND (“knowledge manag*”) AND (“turnover*” OR “departure*” OR “mass exodus*”) AND (“profitable*” OR “profit*” OR “perform*”) ) NOT ( nurse* OR nursing ed*OR investigation was conducted using Gough’s (20(Long et al., 2006). Sources that received an overall score of less than nine (“low”) were
study, information was extracted from the text of each source’s abstract, introduction, results, extracted from the sources. The analysis is a process of assigning qualitative labels (“codes”) to
researcher’s initial assumptions. Any emerging inductive codes were summarized in Chapter 4. ●
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●
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Next, the coded text was categorized, also known as “ oding” (Thomas & Harden, synthesis process is meant to illuminate “themes” that allow the reviewer (and the
transferred to another” (p. 8). Thus, through the thematic synthesis process, the researcher
used to answer this study’s research question: Leader’sdescriptive label or “code” from the researcher’s deductive co
For instance, the servant leadership quality “Influence” was also recognized as “Persuasion” since this word has a similar meaning and is more commonly used. “Building Community” was shortened to “Community,” reducing the chance of missing instances of this y, “Communication.” Such code groupings are logical if the merger does not change the conveys information about the influence of an employee’s behavior on his/her compensation, original code, “ ommitment,” was split so that some of its elements fell in the Leadership categories “Human Resources,” “Training and Development,” and “Turnover” each contain a connection between the effectiveness of the organization’s human resources function and the success of the organization’s succession practices and retention initiatives. Similarly, the axial categories “Communication” and “Employee Behavior” and succession planning. Finally, the “Leadership” categor
1.
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3.in their “generativity mindset.” organization’s agility and effectiveness, bringing with them new ideas and practices proven ’ng employees’ perceptions of the daily work environment. The evidence comprising retention. A general perception that “all employees matter” creates a supportive organizational succession planning, the organization’s vision and mission are halSuccession Planning into the HEI’s Vision
HEI’s vision for SP is demonstrated when the ’candidates’and development of employees are essential to an HEI’s organizational stability for the next /Trustees’The first phase of the KM life cycle is ‘’build’ or ‘building.’ Building knowledge from an
The second phase of the KM life cycle is ‘hold’ or ‘holding.’ Holding involves creating The third KM life cycle phase is ‘pool’ or ‘pooling.’ Pooling relates to the coordination,
The final KM life cycle phase is ‘apply’ or ‘applied.’ Knowledge is practical when
the organization’s output. —goals for the employee’s development. appropriately. Denning (2001) stated that storytelling “enabled the management of a large that the organization has to do” (p. 51). workforce within HEIs. According to Adeoye and Hope (2020), “organizational culture plays a defined, it can give an organization a competitive advantage” (p. 143).
against the organization’s best practices or create work challenges can harm employee retention’planning practices have on types of HEIs’ knowledgestablishing succession planning processes needed to be seen as part of their HEI’s strategic [Master’s thesis, UMEA University].
Aboramadan, M., Dahleez, K., & Hamad, M. (2020). Servant leadership and academics’ –
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retention by matching corporate culture with employee’s values: A correlation study. –
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Kruse, S. D. (2020). Department chair leadership: Exploring the role’s demands and tensions. –
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Stokes, P., Diochon, P., & Otter, K. (2021). “Two sides of the same coin?” Coaching and –
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Shared Leadership Within Global Virtual Teams
No full textShared Leadership Within Global Virtual Team
Should the United States ratify the United Nations Convention on International Settlement Agreements Resulting from Mediation?
No full textThe United States has signed, but not yet ratified the United Nations Convention on International Settlement Agreements Resulting from Mediation, which is also known as either the Singapore Convention on Mediation or simply the Singapore Convention. This paper will consider if the United States should proceed to ratify that multilateral treaty.1
UMGC Working Paper – Number 2023-01
Should the United States ratify the United Nations Convention on International Settlement Agreements Resulting from Mediation?
Damien P. Horigan, Collegiate Professor
UMGC Asia, Okinawa
[email protected]
June 2023
Abstract
The United States has signed, but not yet ratified the United Nations Convention on International Settlement Agreements Resulting from Mediation, which is also known as either the Singapore Convention on Mediation or simply the Singapore Convention. This paper will consider if the United States should proceed to ratify that multilateral treaty.
Keywords
Alternative Dispute Resolution, Business Law, Commercial Mediation, International Law
2
Introduction
This working paper looks at whether or not the United States (US) should ratify a multilateral treaty that the country has already signed. Ratifying this treaty would transform the US from a signatory to a party. In other words, the US would officially join the treaty upon ratification.
The multilateral treaty here is called the United Nations (UN) Convention on International Settlement Agreements Resulting from Mediation, which is also popularly known as either the Singapore Convention on Mediation or simply the Singapore Convention.1 As its formal name suggests, this treaty deals with settlement agreements2 that are the product of mediation, which is a method for ending disputes. The purpose of the treaty is to make it easier for a party to legally enforce a settlement agreement if the other party has refused to abide by the agreement.
Although the US has not ratified the UN Convention on International Settlement Agreements Resulting from Mediation as of the writing of this working paper, the treaty itself has come into effect because enough countries have ratified it.
ADR
1 Timothy Schnabel, The Singapore Convention on Mediation: A Framework for the Cross-Border Recognition and Enforcement of Mediated Settlements, 19 Pepp. Disp. Resol. L.J. 1 (2019); Nadja Alexander, The Singapore Convention: What happens after the ink has dried?, 30 Am. Rev. Int'l Arb. 235 (2019); Robert Butlien, The Singapore Convention on Mediation: A brave new world for international commercial mediation, 46 Brooklyn J. Int'l L. 183, (2020); Mary Walker & Lim Tat, The Introduction of The United Nations Convention on International Settlement Agreements Resulting from Mediation: The Third Piece in the International Framework of Dispute Resolution, 15 DRI 153 (2021); Natalie Y. Morris-Sharma, The Singapore Convention is live, and Multilateralism is, alive!, Cardozo J. Conflict Resol. 1009 (Summer 2019).
2 Settlement agreements arising out of mediation are not to be confused with agreements to mediate. 3
Alternative Dispute Resolution, or ADR, simply refers to alternatives to litigation i.e., alternatives to suing someone in court.3 ADR provides parties with more control over the process of dispute resolution than they would have in litigation. Potentially, using ADR instead of litigation could also help to preserve the underlying business relationship between the parties.
There are various forms of ADR, but arbitration,4 mediation, and negotiation are among three of the most common ways.5 The varieties of ADR can be viewed as a continuum.6 At one end of the continuum, there is negotiation; at the other, there is arbitration.7 Mediation falls somewhere in the middle.8
Negotiation is merely the two sides to a dispute communicating directly to find a mutually acceptable outcome. The process is inherently private. No outsider is needed.9
Arbitration involves the selection of either a single arbitrator or a panel of arbitrators usually three in number. An arbitrator is a neutral person who acts somewhat like how a judge acts in litigation. Many arbitrators are lawyers while others come from different professions such as engineering. Procedure in arbitration is typically less formal and somewhat quicker than in
3 Legal Information Institute, Cornell Law School, Alternative Dispute Resolution, WEX
https://www.law.cornell.edu/wex/alternative_dispute_resolution (last visited June 6, 2023).
4 Unlike in the United States, in the United Kingdom arbitration is not considered to be ADR per se. Instead, British sources tend to lump arbitration together with litigation. Thomson Reuters, Alternative dispute resolution (ADR), PRACTICAL LAW (2023), https://uk.practicallaw.thomsonreuters.com/0-107-6391?transitionType=Default&contextData=(sc.Default)&firstPage=true.
5 Some other forms of ADR include conciliation, dispute resolution boards, executive tribunal/mini-trial, and early neutral evaluation/expert evaluation.
6 Brian Lucas, Alternative dispute resolution for business in developing countries, GSDRC HELPDESK RESEARCH REPORT NO. 1148, UNIVERSITY OF BIRMINGHAM (Oct. 13, 2014), https://gsdrc.org/publications/alternative-dispute-resolution-for-businesses-in-developing-countries/.
7 One might say that litigation exists just beyond arbitration although litigation, of course, is not a form of ADR.
8 There are several hybrid forms of ADR such as Med-Arb and even Arb-Med. Katie Shonk, What is Med-Arb?, PROGRAM ON NEGOTIATION, HARVARD LAW SCHOOL (May 11, 2023), https://www.pon.harvard.edu/daily/mediation/what-is-med-arb/.
9 Be that as it may, lawyers can be involved in negotiations. 4
civil litigation. Arbitration rarely has an appellate option.10 Moreover, the process is normally private. The result is an arbitral award11 that is usually binding on the parties.12 For these and other reasons arbitration has become a fairly widespread method for resolving international commercial disputes notably in certain Asian countries13 other than Japan.14
Mediation
Mediation15 is one of the major forms of ADR found around the globe today.16 It normally involves using a neutral person, a mediator, who seeks a resolution to a dispute. Although mediation is generally seen as an alternative to going to court, there is a special version of mediation known in the US as court-annexed mediation,17 which is a means of settling a case that has already been filed in court. Japan has something along these lines.18
10 Appealing International Arbitration Awards, ACERIS LAW (2023), https://www.acerislaw.com/appealing-international-arbitration-awards/.
11 Arbitrators might ask if the parties can settle the matter. If this does not work, then the arbitration would proceed. This is reminiscent of how judges will typically ask the parties before the trial begins if settling the case might be possible.
12 Terence Wong & Jacob Harding, A Fantastic Beast Called "Non-Binding Arbitration", MONDAQ (Sept. 22, 2021), https://www.mondaq.com/unitedstates/arbitration-dispute-resolution/1113800/a-fantastic-beast-called-non-binding-arbitration-.
13 An illustration of this phenomenon is the Asia Pacific Regional Arbitration Group, or APRAG, which has member institutions from different countries. ASIA PACIFIC REGIONAL ARBITRATION GROUP, https://www.aprag.org/ (last visited June 6, 2023).
14 International commercial arbitration appears to be less common in Japan than in, say, nearby South Korea. In particular, the Japan Commercial Association is not nearly as busy as the Korean Commercial Arbitration Board. Markus Altenkirch, Maria Barros Mota, and Christian Wilke, Arbitration Statistics 2021 – Have the numbers of arbitration proceedings reached their ceiling?, GLOBAL ARBITRATION NEWS, BAKER MCKENZIE (Nov. 23, 2022),
https://www.globalarbitrationnews.com/2022/11/23/11937/.
15 Legal Information Institute, Cornel Law School, Mediation, WEX, https://www.law.cornell.edu/wex/mediation (last visited June 6, 2023).
16 For example, several national mediation bodies belong to the Asian Mediation Association or AMA. ASIAN MEDIATION ASSOCIATION, https://asian-mediationassociation.org/home/ (last visited June 6, 2023).
17 See, e.g., HAWAII STATE JUDICIARY, Mediation (2023), https://www.courts.state.hi.us/services/alternative_dispute/DRP_mediation.
18 In fact, Japan has court mediation, administrative mediation, and non-governmental mediation. Hiroya Yamazaki, Sarah Martin, and Eriko Kadota, Commercial mediation in Japan (May 24, 2022), LINKLATERS, 5
If a dispute is resolved through mediation, then a settlement agreement is the expected outcome. Ideally, a settlement agreement should be in writing. A settlement agreement is a type of contract. As a result, a settlement agreement can be enforced just as any contract would be enforced in the absence of the Singapore Convention. Likewise, a settlement agreement could be challenged like any contract on grounds such as party incapacity.
The terms of settlement agreements are frequently confidential. If the agreement is not honored, then a claim for breach of contract can be filed.19 Ironically, this means a lawsuit arising out of mediation. Because court cases are matters of public record in much of the world, such a lawsuit would destroy confidentiality.
Mediation can be viewed as an alternative to not only litigation but also arbitration.20 Commercial arbitration is usually based on an arbitration clause21 found in a contract that relates to a dispute between businesses.22 There is even something called court-annexed arbitration, which applies to cases already filed in a court.23 As such, it is different from traditional arbitration because it is less of a party-driven process.
The key difference between mediation and either arbitration or litigation is that mediation is purely consensual. A mediator acts as neither a judge rendering a judgment nor as an arbitrator issuing an award. In other words, unlike judges and arbitrators, mediators do not impose
https://www.linklaters.com/en/insights/publications/commercial-mediation-a-global-review/global-guide-commercial-mediation/japan.
19 Naturally, this assumes a particular situation where the Singapore Convention does not apply.
20 Legal Information Institute, Cornell Law School, Arbitration, WEX, https://www.law.cornell.edu/wex/arbitration (last visited June 6, 2023).
21 Arbitral bodies often provide model clauses that can be used when drafting contracts. See, e.g., AMERICAN ARBITRATION ASSOCIATION, Clauses (2023), https://www.adr.org/clauses.
22 Parties could potentially agree to some form of ADR even if it were not originally provided for in the contract.
23 See, e.g., HAWAII STATE JUDICIARY, Arbitration (2023), https://www.courts.state.hi.us/services/alternative_dispute/drp_arbitration. 6
decisions. Rather, a mediator is a neutral individual who seeks to find a creative resolution to a dispute that both sides can accept.24 This is a special talent.25 Occasionally, two or more mediators are used. Regardless of the number of neutrals or the exact style of mediation,26 mediators help parties to reach amicable settlements.
Mediation has the advantages of being potentially cheaper, faster, more flexible, and less adversarial than either arbitration or litigation. This is significant because arbitration has been criticized for having become too much like litigation.27 On a related note and perhaps counterintuitively, arbitration sometimes proves to be more expensive than litigation.28
Because mediation is a consensual process, even more so than arbitration, settlement agreements resulting from commercial mediation are generally followed by the parties.29 Nonetheless, there is still the possibility of a party reneging on promises made in a settlement agreement. For example, a company might come under new management/ownership that wishes to disregard a particular settlement agreement for some reason.
International mediation
24 While some mediators are lawyers, it is certainly not a requirement.
25 Program on Negotiation, What Makes a Good Mediator?, HARVARD LAW SCHOOL (May 29, 2023), https://www.pon.harvard.edu/daily/mediation/what-makes-a-good-mediator/.
26 Although mediation is often facilitative, alternatively, it can be either evaluative or directive in nature.
27 Todd B. Carver & Albert A. Vondra, Alternative Dispute Resolution: Why It Doesn’t Work and Why It Does, HARVARD BUSINESS REVIEW (May-June 1994), https://hbr.org/1994/05/alternative-dispute-resolution-why-it-doesnt-work-and-why-it-does.
28 The arbitrator, or panel of arbitrators, ultimately needs to be paid for by the parties. By contrast, judges receive government salaries. Furthermore, the filing fees charged by arbitral institutions can be significantly higher than court filing fees. On top of all that, parties often retain counsel for arbitration matters just like they would for litigation.
29 Jan O’Neill, The new Singapore Convention: will it be the New York Convention for mediation?, DISPUTE RESOLUTION BLOG (Nov. 19, 2018), http://disputeresolutionblog.practicallaw.com/the-new-singapore-convention-will-it-be-the-new-york-convention-for-mediation/. 7
Mediation is frequently domestic, but it can be used in cross-border disputes. In the public sector, disputes between national governments are sometimes resolved by means of mediation as a form of diplomacy.30 Nevertheless, this paper is about the private sector. While it is true that many cross-border business disputes are resolved through either international commercial arbitration or litigation, some are resolved through mediation instead. Yet, mediation appears to be less popular than arbitration or litigation when it comes to cross-border business disputes.31 Indeed, American businesses often seem to end up using litigation even when American business leaders might claim to prefer ADR. In other words, litigation remains the default option in many situations.32 Indeed, some American lawyers still prefer litigation. Similarly, Japanese companies and Japanese lawyers often prefer litigation in Japanese courts over international commercial arbitration.33
Although mediation,34 like arbitration,35 can be ad hoc, it is frequently arranged through either arbitral institutions or standalone mediation centers. Such bodies have grown in number in recent years.36
30 Department of Political and Peacebuilding Affairs, Prevention and Mediation, UNITED NATIONS, https://dppa.un.org/en/prevention-and-mediation (last visited June 6, 2023).
31 Sometimes a party might assume that any attempt to use mediation by the other side is merely a delaying tactic.
32 Program on Negotiation, Mediation, arbitration, and preferences for alternative dispute resolution mechanisms, HARVARD LAW SCHOOL (Feb. 9, 2023), https://www.pon.harvard.edu/daily/mediation/why-arent-mediation-and-arbitration-more-popular/.
33 Joseph R. Profaizer, Eric W. Dittmann, and Sachiko Taniguchi, The Current International Arbitration Practice and Challenges for Japanese Corporations, PAUL HASTINGS (Jan. 9, 2022), https://www.paulhastings.com/ja/publication-items/client-alerts/the-current-international-arbitration-practice-and-challenges-for-japanese
34 National Center for Mediation, What is Mediation? (2020), https://www.ncmmediators.org/what-is-mediation#:~:text=ad%2Dhoc%20mediation%20is%20one,the%20rules%20of%20such%20institution.
35 Maria Nicole Cleis, Ad hoc arbitration, JUS MUNDI (Dec. 27, 2022), https://jusmundi.com/en/document/publication/en-ad-hoc-arbitration.
36 An example of a relatively young body would be the Japan International Mediation Center, which was opened in 2018 in Kyoto. JAPAN INTERNATIONAL MEDIATION CENTER, https://www.jimc-kyoto.jp/ (last visited June 6, 2023). 8
A settlement agreement resulting from international mediation might have to be enforced in a foreign jurisdiction. Assuming the agreement is viewed as a contract, then difficulties in enforcement can arise. Therefore, having a treaty covering such agreements potentially eases enforcement. Such is the aim of the UN Convention on International Settlement Agreements Resulting from Mediation.37
The inspiration for the Singapore Convention38 is an older multilateral treaty officially called the UN Convention on the Recognition and Enforcement of Foreign Arbitral Awards,39 which is popularly known as either the New York Arbitration Convention40 or simply the New York Convention.41
Over the course of several decades, the New York Convention has fostered the use of international commercial arbitration as a means of resolving cross-border business disputes. Thanks in part to the New York Convention, under certain circumstances, it can be easier to enforce a foreign arbitral award than a foreign court judgment. The hope of its backers is that the Singapore Convention could do something similar for mediation. Nevertheless, detractors can point out that the Singapore Convention has not yet gained anywhere near the almost universal acceptance of the New York Convention.
37 United Nations Convention on International Settlement Agreements Resulting from Mediation, https://uncitral.un.org/sites/uncitral.un.org/files/media-documents/EN/Texts/UNCITRAL/Arbitration/mediation_convention_v1900316_eng.pdf; Singapore International Dispute Resolution Academy, Singapore Management University, Yong Pung How School of Law, SINGAPORE CONVENTION ON MEDIATION, https://www.singaporeconvention.org (last visited June 6, 2023).
38 The Singapore Convention should not be confused with another multilateral treaty with Singapore in its name covering a different topic namely, the Singapore Treaty on the Law of Trademarks, S. TREATY DOC. NO. 110-2.
39 330 U.N.T.S. 3.
40 New York Arbitration Convention, THE NEW YORK CONVENTION, https://www.newyorkconvention.org/ (last visited June 6, 2023).
41 An online version can also be found at: https://uncitral.un.org/sites/uncitral.un.org/files/media-documents/uncitral/en/new-york-convention-e.pdf. 9
Singapore Convention
The Singapore Convention is a multilateral treaty supported by the UN. It is the result of efforts by the UN Commission on International Trade Law (UNCITRAL)42 over about three years from 2015 to 2018. A working group was formed within UNCITRAL. Representatives from dozens of UN member states and nongovernmental organizations took part in the discussions leading to a draft treaty. As one might easily imagine, compromises would have been necessary in order to achieve a broad consensus. UNCITRAL also worked on a model law43 that jurisdictions could choose to adopt.44
The UN General Assembly in New York adopted the draft treaty in a resolution on December 20, 2018.45 The official signing ceremony was held in Singapore on August 7, 2019. A total of 46 member states signed the treaty on its first day. The treaty entered into force on September 12, 2020, after the third country, Qatar, ratified it on March 12, 2020.
As this paper is being written, the number of signatories46 has grown to 55 in total.47 Nevertheless, only eleven member states have become bound by the Singapore Convention so far. Mostly they are relatively small economies. On a positive note, though, they do represent a
42 UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW, https://uncitral.un.org/en/content/homepage (last visited June 6, 2023).
43 A model law could be thought of as a template for legislation.
44 UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation, 2018 (amending the UNCITRAL Model Law on International Commercial Conciliation,
2002), https://uncitral.un.org/sites/uncitral.un.org/files/media-documents/uncitral/en/annex_ii.pdf.
45 U.N. GAOR, 73/198.
46 What is the difference between signing, ratification and accession of UN treaties?, UNITED NATIONS (July 20, 2022), https://ask.un.org/faq/14594.
47 Chapter XXII, Commercial Arbitration and Mediation, UNITED NATIONS TREATY COLLECTION (Status as at: 05-06-2023 09:15:27 EDT), HTTPS://treaties.un.org/pages/ViewDetails.aspx?src=TREATY&mtdsg_no=XXII-4&chapter=22&clang=_en. 10
range of countries with diverse legal and political systems. In any event, they are Belarus, Ecuador, Fiji, Georgia, Honduras, Kazakhstan, Qatar, Saudi Arabia, Singapore, Turkey, and Uruguay. The slow pace of ratification has likely been influenced by the need for governments to focus on other matters of public policy such as dealing with the COVID-19 pandemic.
In addition, the domestic laws of certain countries would have to be changed if they were to adopt the Singapore Convention someday. Japan is one such country.48
It is worth noting here that neither the European Union (EU) as a collective entity nor any individual EU member state has ratified the Singapore Convention. In fact, no EU country has even signed the treaty. While there could be various reasons for this lack of EU participation to date, cross-border commercial mediation within the EU is supported by the European Mediation Directive,49 which predates the Singapore Convention.
Selected provisions
Article 1 of the Singapore Convention requires that there be a written settlement agreement between parties from different nations. The same article excludes settlement agreements involving consumers, family law, inheritance, or employment. The scope is thus limited to international commercial matters. Furthermore, under Article 1, the treaty does not cover either court-related settlement agreements or arbitral awards.
48 Kimimasa Hata, Looking Toward the Establishment of the Singapore Convention on Mediation and the Ratification by Japan, CHUO ONLINE (2021), https://yab.yomiuri.co.jp/adv/chuo/dy/research/20210527_en.php.
49 2008/52/EC. 11
Article 4 requires that both parties must have signed the settlement agreement. More
Death by Overwork: a Systematic Review of Work-Life Balance Approaches in Japanese Firms
No full textThe purpose of this dissertation was to identify approaches used by senior managers that impact work-life balance (WLB) in Japanese firms. The theoretical background provided an overview of management and WLB theoretical approaches, founded in spillover, conflict, and boundary theories, relevant to the WLB management problem in Japan. The literature landscape identified the cultural, economic, and organizational factors that substantially influence WLB policies and practices. The scoping literature review described how contemporary WLB research concepts focus on problems related to employee retention, stress, and workers’ mental and somatic health. The research design and the methodology were derived from the evidence-based practice framework, which used the systematic review process, search strategy (PRISMA), data extraction, quality appraisal process (MMAT), and method of analysis and synthesis (thematic coding, GRADE-CERQual, and Pareto). The main findings indicated that societal approaches, gender approaches, and organizational and policy approaches most significantly impact WLB in Japanese firms. This dissertation recommended reducing traditional overtime practices and expanding women’s access to the workforce through the incorporation of WLB practices.DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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Abstracts
Title of Dissertation:
DEATH BY OVERWORK: A SYSTEMATIC REVIEW OF WORK-LIFE BALANCE APPROACHES IN JAPANESE FIRMS
Jason R.Y. Rankin,
Doctor of Business Administration, 2023
The purpose of this dissertation was to identify approaches used by senior managers that impact work-life balance (WLB) in Japanese firms. The theoretical background provided an overview of management and WLB theoretical approaches, founded in spillover, conflict, and boundary theories, relevant to the WLB management problem in Japan. The literature landscape identified the cultural, economic, and organizational factors that substantially influence WLB policies and practices. The scoping literature review described how contemporary WLB research concepts focus on problems related to employee retention, stress, and workers’ mental and somatic health. The research design and the methodology were derived from the evidence-based practice framework, which used the systematic review process, search strategy (PRISMA), data extraction, quality appraisal process (MMAT), and method of analysis and synthesis (thematic coding, GRADE-CERQual, and Pareto). The main findings indicated that societal approaches, gender approaches, and organizational and policy approaches most significantly impact WLB in Japanese firms. This dissertation recommended reducing traditional overtime practices and expanding women’s access to the workforce through the incorporation of WLB practices.
Keywords: work-life balance, Japanese business, Karoshi, management approaches, systematic review DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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BREAK
DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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DEATH BY OVERWORK: A SYSTEMATIC REVIEW OF WORK-LIFE BALANCE APPROACHES IN JAPANESE FIRMS.
By
Jason R.Y. Rankin
Dissertation submitted to the School of Business,
University of Maryland Global Campus, in partial fulfillment
of the requirements for the degree of
Doctor of Business Administration
2023
DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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© Copyright by
[Jason R.Y. Rankin]
2023 DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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Dedication
To my loving wife, Rie, whose unwavering patience and love have been my constant source of strength and motivation throughout this journey. Your belief in me, even in the toughest of times, helped me to achieve my goals. To my children, Alexander, Zeus, Saion, Sena, and Tilana, who has reminded me every day of the importance of family and the joy that it brings. Your laughter and love have been the light that has guided me through the relentless days of study. To my parents, Marla and Ed, who have been my guiding light, constant support, and biggest cheerleaders. You have been my safe harbor in the storm, and your belief in me has been the driving force behind my academic pursuits. Through your unconditional support, I could devote the time and focus needed to complete my doctoral journey.
To my mentor, Dr. Edwards, who has been an invaluable source of guidance and expertise throughout my research. Your direction, feedback, and encouragement are the foundation upon which this dissertation is built. I am forever grateful for your hard work and dedication to my success. DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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Acknowledgments
I want to acknowledge several individuals for their support and guidance throughout this dissertation. First, I am grateful to my primary mentor Dr. Kathleen Edwards whose vast knowledge and vernacular have challenged me to strive for excellence. I thank my secondary mentor Dr. Marcia Bouchard for her insightful feedback and tutelage that guided my dissertation. I want to collectively thank the motivation and inspiration of all the professors whose collective wisdom made the content courses inspiring and instrumental in completing the dissertation process. Special thanks to Cynthia Thomes, the research librarian, for her direct and fast-paced guidance regarding my procurement of relevant literature. Also, special thanks to Dr. Breckon for her leadership and extensive summer seminar support, making the program practical and successful. Super special acknowledgment and sincere thank you to the Doctor of Business Administration (DBA) Academic Program Coordinator, Marina Caminis, for her sparkling presence making virtual residencies informative and enjoyable, and her tireless efforts ensuring the DBA program runs smoothly. I am grateful to my management colleagues, Masahiro Kyoda and Paul Wilkinson, for assisting me with practical experience and practitioner perspectives. I am thankful to my friend and cohort member, Joshua Hearne, for his thoughtful feedback and camaraderie throughout the DBA program. To my cohort members, I have learned from, with, and by your side for the past three years, and I am very proud to have made this journey with you. Finally, I am grateful to my friend and mother, who inspired and encouraged me to start and complete this doctoral journey. DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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Table of Contents
Abstract ........................................................................................................................................... i
Title Page. ..................................................................................................................................... iii
Dedication ...................................................................................................................................... v
Acknowledgments......................................................................................................................... vi
Table of Contents .......................................................................................................................... vii
List of Tables ................................................................................................................................. x
List of Figures ............................................................................................................................... xi
List of Abbreviations .................................................................................................................... xii
Chapter 1: Introduction and Overview of the Management Problem ........................................... 13
Background and Overview ........................................................................................................ 13
Problem Statement and Significance of the Problem ................................................................ 14
Problem Statement ................................................................................................................. 14
Karoshi ................................................................................................................................. 14
Significance of the Problem ................................................................................................... 15
Purpose of the Study and The Research Question .................................................................... 16
Purpose ................................................................................................................................. 16
Research Question ................................................................................................................. 17
Discussion of Concepts and/or Themes .................................................................................... 19
Why Japan? ........................................................................................................................... 19
Economic Snapshot................................................................................................................ 19
Japanese Firms ...................................................................................................................... 20
Cultural perspectives ............................................................................................................. 22
PDCA and Kaizen .................................................................................................................. 24
Ouchi’s Theory Z ................................................................................................................... 25
Definitions and Terminology .................................................................................................... 26
Chapter Summary ...................................................................................................................... 26
Organization of the Dissertation ............................................................................................... 27
Chapter 2: Scoping Literature Review and Theoretical Frame .................................................... 28
Theoretical Framework ............................................................................................................. 28
Theory ................................................................................................................................... 28
Work-Life Balance Theory ..................................................................................................... 31
The Literature Landscape and Scoping Literature Review ....................................................... 33
Literature Landscape ............................................................................................................. 33
Scoping Literature Review..................................................................................................... 34
Conceptual Framework ............................................................................................................. 41
Chapter Summary ...................................................................................................................... 44
Chapter 3: Method ........................................................................................................................ 45 DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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Review Design and Methodology ............................................................................................. 45
Systematic Reviews ................................................................................................................ 47
Search Strategy .......................................................................................................................... 50
Search Process and Terms .................................................................................................... 50
Inclusion and Exclusion Criteria ........................................................................................... 52
PRISMA Diagram .................................................................................................................. 54
Data Extraction ..................................................................................................................... 55
Method of Quality Appraisal of the Included Studies ............................................................ 55
Analysis and Synthesis Methodology ....................................................................................... 56
Method of Synthesis ............................................................................................................... 57
GRADE-CERQual ................................................................................................................. 59
Chapter Summary ...................................................................................................................... 60
Chapter 4: Analysis and Findings ................................................................................................. 61
Review of the Research Question and Management Problem .................................................. 61
Description of the Dataset ......................................................................................................... 62
Results of the Quality Appraisal ............................................................................................... 63
Coding Analysis ........................................................................................................................ 65
Findings .................................................................................................................................... 65
Finding 1 Cultural and Societal Approaches ........................................................................ 66
Finding 2 Gender Approaches .............................................................................................. 68
Finding 3 Organizational Workforce Policy Approaches ..................................................... 72
Summary of Findings ................................................................................................................ 76
Revised Conceptual Model ....................................................................................................... 77
Chapter Summary ...................................................................................................................... 80
Chapter 5: Conclusion and Implications ....................................................................................... 82
Review of the Research ............................................................................................................. 82
Management Problem, Purpose, and Significance ............................................................... 82
Systematic Review .................................................................................................................. 83
Answer to the Research Question ............................................................................................. 84
Management Implications ......................................................................................................... 84
Recommendation 1: Reduce Traditional Overtime Practices ............................................... 84
Recommendation 2: Expand Access for Women to Engage in the Workforce ...................... 86
Discussion ................................................................................................................................ 88
Barriers to or Risk of Implementation of Recommendations ................................................... 90
Limitations of the Study ............................................................................................................ 91
Areas for Future Research ......................................................................................................... 92
Final Summary and Conclusion ................................................................................................ 93
References .................................................................................................................................... 95
Appendix A ................................................................................................................................ 114
Appendix B ................................................................................................................................ 115
Appendix C ................................................................................................................................ 116 DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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Appendix D ................................................................................................................................ 117
Appendix E ................................................................................................................................ 118
Appendix F................................................................................................................................. 119
Appendix G ................................................................................................................................ 121
Appendix H ................................................................................................................................ 122
Appendix I ................................................................................................................................. 124
DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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List of Tables
Table 1 CIMO Method for Constructing Research Question ..................................................... 22
Table 2 Specific RQ Terms and Search String Relevance .......................................................... 54
Table 3 Specific Search Strings and Applicable Database ......................................................... 55
Table 4 Inclusion and Exclusion Criteria and Justifications ....................................................... 57
Table 5 Data Extraction Table .................................................................................................... 58
Table 6 Dataset Composition ...................................................................................................... 66
Table 7 Relevance Scoring .......................................................................................................... 67 DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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List of Figures
Figure 1 Comparison of Large and Medium-Sized Firms in G7 Nations ................................... 26
Figure 2 Conceptual Model for Implementation of WLB in Large Japanese Firms ................ 443
Figure 3 CERQual Assessment Increases the Confidence for Individual Review Findings ...... 63
Figure 4 Pareto Analysis of Cultural and Societal Approaches .................................................. 70
Figure 5 Pareto Analysis of Gender Approaches ........................................................................ 73
Figure 6 Pareto Analysis of Organizational Workforce Policy Approaches .............................. 77
Figure 7 Revised Conceptual Model for Implementation of WLB in Japanese firms ................ 82
DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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List of Abbreviations
Center for Evidence-Based Management – CEBMa
Confidence in the Evidence from Reviews of Qualitative Research – CERQual
Corporate Social Responsibility – CSR
Evidence-Based Management – EBMgt
Evidence-Based Practice – EBP
Evidence-Based Research – EBR
Mixed-Method Appraisal Tool – MMAT
Organization for Economic Co-operation and Development – OECD
Preferred Reporting Items for Systematic Reviews and Meta-Analyses – PRISMA
Research Question – RQ
Small Medium Enterprises – SMEs
Systematic Review – SR
Subjective Well-Being – SWB
Work-Life Balance – WLB
DEATH BY OVERWORK: WORK-LIFE BALANCE IN JAPANESE FIRMS
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Chapter 1: Introduction and Overview of the Management Problem
Background and Overview
During Japan’s post-WWII era, rapid business growth led to untold deaths from overworked employees, or “Karoshi,” as the phenomenon was known (Kanai, 2009, p. 211). Over the past 15 years, studies have kept Japan’s persistent overwork business practices in the spotlight. Chikudate (2009), Lee et al. (2007), and Kuroda and Yamamoto (2013) have argued that Japanese overwork, management approaches, and the demand for longer work hours have led to poor worker health such as cardiovascular disease and mental health problems which have cost workers their lives. In 2009, Chikudate pointed out that the problem Japanese companies had with implementing new management approaches, such as corporate social responsibility (CSR), is the collective hyperopia which results in managers holding unrealistic expectations for workers (p. 174). Lee et al.’s book Working Time Around the World (2007, p. 45), and Kuroda and Yamamoto (2013, p. 61) posited that since Japan’s standard working hours are not extremely high compared to other industrialized nations, the problem stems from outdated Japanese management approaches relying on excessive use of overtime.
According to 2018 government figures, Japan faces an epidemic of unused annual leave. The national workforce averages only 52.4% use of the yearly paid leave available. The average worker only uses about two days of annual leave per year (Japan Ministry of Health, Labour and Welfare, 2018, p. 6). In September 2020, Japan’s Environment Minister, Mr. Koizumi, encountered widespread disapproval and was called on to resign over his p