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The effect of post-laboratory discussions on student understanding and content retention in entry-level biology courses
No full textAn important part of the science process is sharing and discussing experimental results and
approacheswith peers. Validation of knowledge by experiment replication (each student performing
the sameexperiment, then sharing their results) and the opportunity to evaluate the experimental
approach applied by others is important according to Domin (2009), which could be achieved through
post-lab discussions in the online classroom. Hammond and Moring (2007) listed post-lab discussions
as an important component in an active, inquiry-driven approach to science laboratory education, and
peer-review introduces students to the nature of science according to Trautman (2009). However, such
post-lab peer interactions have not yet been systematically tested in the onlineclassroom until now.The Effect of Post-Laboratory Discussions on Student Understanding and Content Retention in Entry-
Level Biology Courses
April Boulton, Ph.D. and GroTorsethaugen, Ph.D.
University of Maryland University College
Undergraduate Studies - Natural Sciences
Introduction
An important part of the science process is sharing and discussing experimental results and
approacheswith peers. Validation of knowledge by experiment replication (each student performing
the sameexperiment, then sharing their results) and the opportunity to evaluate the experimental
approach applied by others is important according to Domin (2009), which could be achieved through
post-lab discussions in the online classroom. Hammond and Moring (2007) listed post-lab discussions
as an important component in an active, inquiry-driven approach to science laboratory education, and
peer-review introduces students to the nature of science according to Trautman (2009). However, such
post-lab peer interactions have not yet been systematically tested in the onlineclassroom until now.
Domin (2009) suggested that “open-inquiry instruction” is more suitable for older or more experienced
students in regards to the delivery of science content. Many of UMUC’s students are older and bring a
significant amount of life experiences into the classroom so we believe the addition of more “open
inquiry” instruction could be beneficial to our students. In addition, several recent studies address the
effect of pre-lab activities on student understanding of concepts and achievement of course outcomes
(Jones and Edwards, 2010; Gregory and Di Trapani, 2012), but we were unable to locate studies that
directly measure the effectiveness of post-lab discussions. We hypothesized that entry-level biology
students, who participated in post-lab discussions, would perform significantly better on a
standardized assessment than their peers, who did not participate in such post-lab dialogues.
Experimental Design
During the fall 2012 and 2013 semesters we taught 8 BIOL 103 sections (4 each) with a total of 201
enrolled students, as counted at the end of the semesters. In four of the sections (2
sections/instructor) we used the standard BIOL 103 syllabus template, which does not employ post-lab
discussions (control group, n=90 students). For the other four sections (2 sections/instructor) we used
the standard BIOL 103 syllabus template with the added weekly task of participating in a post-lab
discussion (treatment group, n=111 students). See Appendix 1 for post-lab discussion activities and
questions. We examined significant effects between the following variables: differences across sections
in mean performance on the Week 1 assessment (prior to any biology content delivered); differences
in mean performance on Week 1 and 8 assessments between treatment (hereafter abbrev. tx) and
control sections; and detectable differences in student performance as a function of instructor (i.e.,
experimenter error or effect). During Week 1, all students, both control and tx, completed the timed,
standardized assessment to gauge baseline knowledge. In Week 8, after all post-lab discussions had
been completed, students took the same timed, standardized assessment (given in Week 1) to gauge
knowledge retention. The standardized assessment consisted of 25 multiple choice questions
(Appendix 2), which students received 30 minutes to complete through the Fast Test web-site.
Additionally, both groups of students completed a brief survey in Week 8 where they were asked to
rate statements about the effectiveness of the lab activities and post-lab discussions on a scale from 1-
5, from strongly disagree (1) to strongly agree (5); the tx group answered a few additional questions
that pertained to the post-lab discussions (Appendix 3).
Results and Discussion
Our main hypothesis was not supported by the data in that student performance on the standardized
assessment did not significantly differ between control and tx groups (Table 1). Even though there was
a slight improvement on the standardized assessment in Week 8 for both control and tx groups, the
average score in Week 8 was very low (i.e., 59% for control; 61% for tx). Such overall poor
performance on the standardized assessment may indicate that it was too challenging for the average
BIOL 103 student or that 30 minutes was not enough time to accurately answer the questions.
In regards to the opinion survey administered at the semester’s end, there were no significant
differences between tx controlsections in the average ratings for any of the statements that were
included in both tx and control sections (Table 2). Four statements about the post lab discussions were
only included in the survey given to the tx sections where students had participated in the post lab
discussion (Table 3). The majority of students answered that they agreed (4) or strongly agreed (5)
that the post lab discussions had “helped them better understand the scientific method” (75%) and
“the biological concepts covered in the text book and course modules” (74%). Additionally, 74% of
students agreed or strongly agreed that they had “enjoyed discussing their results and comparing
experimental approaches with classmates in the post-lab discussions”.
Only 16% of students agreed or strongly agreed that the post lab discussions were” just more work and
did not benefit their understanding of the lab activities and the corresponding biological concepts”
(Table 2). This sentiment was supported by the fact that both tx and control groups showed an equal
(19%) attrition rate in course enrollment during the semester (Table 1), indicating that students in the
tx group were not more likely to drop BIOL 103 due to the increased workload associated with the
post-lab discussions. So although the tx group (post-lab discussions) did not perform significantly
better on the standardized assessment than their peers in control sections, they still believed that
participation in the post-lab discussions was beneficial.
Based on the number of students enrolled in the course at the end of the semester, on average, 60% of
students participated in the post-lab discussions in the four tx sections. Participation ranged from 42%
to 79% in individual post-lab discussions. The relatively low participation rate may have contributed to
the lack of a tx effect as measured by the standardized assessment. BIOL 103 is a 4 credit course that is
time consuming and challenging for most students to complete in just eight weeks. This may have
decreased the effectiveness of the post-lab discussions because a relatively large portion of the
students either did not participate at all or just invested minimal time and effort in the discussions.
This preliminary analysis did not support our hypothesis. However, future analyses of the data will
focus on analyzing the individual performance of students in tx sections who did diligently participate
in the post-lab discussions versus those who did not. Given the large standard deviations across
treatments (Table 1), we expect that students who participated maximally in the post-lab discussions
will show the hypothesized tx effect when compared to those students who did not participate.
References
Domin DS (2009) “Considering Laboratory Instruction through Kuhn’s View of the Nature of Science”J.
Chem. Educ., 2009, 86 (3), p 274
Gregory SJ, Di Trapani G (2012) “A Blended Learning Approach to Laboratory Preparation,”
International Journal of Innovation in Science and Mathematics Education, 20 (1), p 56
Hammond CN, Mohrig JR, Colby DA (2007) “On the Successful Use of Inquiry-Driven Experiments inthe
Organic Chemistry Laboratory,” J. Chem. Educ., 2007, 84 (6), p 992
Jones SM, Edwards A (2010) “Online Pre-laboratory Exercises Enhance Student Preparedness for
FirstYear Biology Practical Classes,” International Journal of Innovation in Science and
MathematicsEducation, 18 (2), p 1
Kirschner and Meester (1988) “The laboratory in higher science education: Problems, premises,
andobjectives.” Higher Education 17(1), p81
Trautman, N (2009) “Designing Peer Review for Pedagogical Success. What can we learn from
professional science?” Journal of College Science Teaching, 38 (4), p14
Table 1: Mean score (± standard deviation) on the pre- and post-assessment across control and treatment
groups.
Control Treatment
Mean score on standardized assessment for the pre-test
12.0 ± 3.4
(n=97)
11.9 ± 3.1
(n=107)
Mean score on standardized assessment for the post-test
14.8 ± 4.2
(n=69)
15.3 ± 4.0
(n=81)
Table 2: Students ratings of statements in Control and Treatment sections on a scale from 1 (strongly
disagree) to 5 (strongly agree).
Statement Control
(n=67)
Treatment
(n=65)
The lab activities were beneficial in improving my understanding of the
scientific method.
4.5 4.5
The lab activities were beneficial in helping me understand the biological
concepts covered in the text book and course modules
4.5 4.5
I felt well prepared for the lab activities 4.0 4.0
The lab manual was easy to understand and follow 3.8 4.0
The instructor’s weekly feedback on the lab assignments (under the Study
Groups) was useful and helped me understand the lab activities better.
4.6 4.7
A group discussion with my peersbefore the lab activities were performed
would have helped me understand the lab activities better.
3.6 3.6
A more involved group discussion with my peersafter the lab activities were
performed would have helped me understand the lab activities better.
3.4
Table 3: Student opinion on the benefits of study group participation. Number and percentage of students that
rated each statement 1, 2, 3, 4, 5
Statement Average
Rating
1 2 3 4 5 4-5
combined
The post-lab discussions helped me better
understand the process of the scientific
method. (n=65)
4.1
1
(1.5%)
5
(7.7%)
10
(15.4%)
18
(27.7%)
31
(47.7%)
75.4%
The post-lab discussions helped me better
understand the biological concepts covered
in the text book and course modules. (n=65)
4.1
1
(1.5%)
3
(4.6%)
13
(20%)
18
(27.7%)
30
(46.2%)
73.9%
I enjoyed discussing my results and
comparing experimental approaches with
classmates in the post-lab discussions. n=64)
4.1
2
(3.1%)
3
(4.7%)
12
(18.8%)
17
(26.6%)
30
(46.9%)
73.5%
The post-lab discussions were just more
work and did not benefit my understanding
of the lab activities and the corresponding
biological concepts. (n=65)
2.1
25
(42.4%)
16
(27.1%)
8
(13.6%)
8
(12.3%)
2
(3.4%)
14.7%
Appendix 1
POST-LAB QUESTIONS
Administered to Treatment Group Only
Lab 1: The Scientific Method
1. Check out one of these resources to learn more about how oxygen levels affect aquatic life and
how scientists study this topic:
• http://www.teachoceanscience.net/teaching_resources/education_modules/dead_zones/g
et_started/
• http://www.chesapeakebay.net/discover/bayecosystem/dissolvedoxygen
2. Share your hypothesis and proposed experiment from questions 2 and 3 in Lab 1. Compare
your hypothesis and experimental approach to those of your classmates and to what you
learned from the Ocean Science and/or Chesapeake Bay web-site(s). Based on this comparison,
would you change your own hypothesis and/or experimental approach? If yes, explain how. If
no, explain why you still believe your hypothesis and approach is good.
3. How does this Study Group activity mimic the scientific process? What do scientists do after
they have completed an experiment?
Note: When commenting on at least one classmate’s response, provide suggestions for how their
hypothesis and/or experiment could be improved.
Lab 2: The Chemistry of Life
1. List one activity you performed in the lab that was experimental, in nature. Be sure to state the
IV and DV
2. List one activity that was observational (not a true experiment).
Justify both of your answers above.
3. Post your results from the pH activity. Compare your results to a peer’s pH results for similar
compounds—what differences and similarities strike you?
4. Post your results from the calculations in #3 (Experiment 2). Create an analogy to share with
your peers on why the ratio of surface area:volume affects diffusion potential?
Lab 3: Cell Structure and Function
In the "Feedback" note posted above, review the table from Experiment 2: Osmosis Experiment.
1. Did you get the results you predicted in the osmosis experiment? Explain.
2. Compare your results to the table posted. If different, which factors may have influenced your
results?
Then answer one of the following:
1. Explain the difference between osmosis and diffusion, include examples
2. Explain osmosis with an example from your everyday life, include which direction water
molecules are moving and which solutions are hypertonic, hypotonic and/or isotonic in your
example
3. Did the lab activity help you understand osmosis, hypertonic, hypotonic and isotonic solutions
better? Why or why not? What made you understand and remember which solutions are
hypertonic and which are hypotonic? Please share if you found good tutorials or web-sites.
Lab 4: Enzymes
In Experiment 2 question #5, the lab manual asked you to “Design an experiment to determine the
optimal temperature for enzyme function, complete with controls. Where would you find the enzymes
for this experiment? What substrate would you use?”
Here are some additional resources to assist you in your understanding of the problem:
http://www.youtube.com/watch?v=D2j2KGwJXJc
http://staff.jccc.net/pdecell/metabolism/enzymes/enzymes.html#physical
**Share your full experiment here. Be sure to state your hypothesis, control(s), independent and
dependent variables in your description. Reply to at least one peer’s submission with special attention
to how the experimental design relates to optimal temperature ranges for enzyme function.
Lab 6: Taxonomy
Most of you developed really good classification systems for question 3 in Experiment 1 where you had
to pick an additional 10 household items. A few of you had trouble and ended up creating
independent categories for your items, which showed no relationship among them.
1. Share your creation in this conference (pasting your picture or figure directly into the textbox is
preferable over attaching the document).
2. Explain the rules you created to classify the objects.
3. Why might using the function or behavior of animals be more problematic than physical traits
for defining classification rules? Support your answer.
4. Reply to at least one classmate, commenting on their classification system and adding
suggestions for improvement.
Lab 7: Ecology of Organisms
On average, the class data indicated that the seeds sprouted ~90-100% of the time under neutral
conditions (plain water) and only ~ 0-20% of the time in the other two conditions (baking soda vs.
vinegar).
1. State a good conclusion based on the above class average.
2. Did you get the same conclusion as the class overall? Compare your own results with the class
average data: germination percentage for each day, plus length of germinated seedlings on day
7.
3. What are some of the factors that many have influenced the difference in results
4. Which results do you believe are more scientifically valid and accurate—your own or the class
average? Explain why.
5. Discuss why germination rates matter in nature.
Appendix 2
BIOL 103 Standardized Assessment
Directions:
Pre-test Version
To help me gauge the strengths of our class, which vary from semester to semester, please make your best
attempt at answering the 25 questions in the pre-lab quiz below. You will automatically earn all 10 pts, if it is
obvious that you made an earnest attempt. If I see evidence of random answer selection, then points will be
deducted as necessary. Remember: you’re being graded on your honest attempt at all 25 questions, not just
the number of correct answers.
You have exactly 30 minutes to complete it once you begin the quiz. Once you start, you may not stop at any
time, nor return to it at a later date. You may not consult the internet or any person while taking this quiz as
it is supposed to reflect your knowledge of various areas in the field of biology. In the unlikely event that you
lose power while taking the quiz (don’t start it during a thunder storm!), you can use your personalized “Crash
Code” to get back into the quiz. You will be provided with this Crash Code before you start the quiz, so
remember to write it down! Once power returns and you log back in you will still have the remaining time left
to complete the test (if you were 10 minutes into the test, you will have 20 minutes left to complete the test).
If this does happen you will need to send me an e-mail to explain what happened as I will see that you logged
in twice.
Finally, you cannot progress to the next question, until the current question has been answered. This also
means that you will not be permitted to return to any one question at the end of the quiz. Thus, you will not
be able to skip questions and return to them later, so do your best the first time you view a question.
Post-testVersion
Each student took a similar version of this quiz at the semester’s start. Now that you have worked through
the bulk of material in BIOL 103, I would, again, like to test your understanding of the laboratory concepts we
covered throughout the semester. This time, you can earn up to 25 pts on this quiz, which is based entirely on
your correct answers. Be sure to try your best for each question, and do not leave any answers blank.
You have exactly 30 minutes to complete it once you begin the quiz. Once you start, you may not stop at any
time, nor return to it at a later date. You may not consult the internet or any person while taking this quiz.
Plagiarism will result in a failing grade. In the unlikely event that you lose power while taking the quiz (don’t
start it during a thunder storm!), you can use your personalized “Crash Code” to get back into the quiz. You
will be provided with this Crash Code before you start the quiz, so remember to write it down! Once power
returns and you log back in you will still have the remaining time left to complete the test (if you were 10
minutes into the test, you will have 20 minutes left to complete the test). If this does happen you will need to
send me an e-mail to explain what happened as I will see that you logged in twice.
Finally, you cannot progress to the next question, until the current question has been answered. This also
means that you will not be permitted to return to any one question at the end of the quiz. Thus, you will not
be able to skip questions and return to them later, so do your best the first time you view a question.
Lab 1: The Scientific Method
A scientist is observing that a pond located downstream from a farm is filled with green algae. This pond has
been previous years been clear without any visible signs up algae growth. The scientist asks the farmer if he has
made any changes in his agricultural practices this year and the farmer tell her about this new great fertilizer
called RapidGrowth that he has started using. The scientist is wondering if the new fertilizer might be the cause
of the algae growth in the pond. She designs an experiment to find an answer to this question.
Which of the following would be the best hypothesis for his experiment?
a) Does the RapidGrowth fertilizer leaking from the farm field cause an increase in algae growth in the
pond?
b) The RapidGrowth fertilizer is bad for the pond
c) The RapidGrowth fertilizer causes an increase in green algae growth in the pond
d) Fertilizers will lead to an increase in algae growth in ponds because of the increase in nutrients running
of the field
Correct answer: C
A biology student has designed an experiment to study how different oxygen levels affect fish. Average oxygen
levels measured in natural bodies of water are 5 mg/L. He sets up five aquariums with the following oxygen
levels: 0 mg/L, 3 mg/L, 5 mg/L, 7 mg/L and 10 mg/L. He puts 20 fish of the same species in each aquarium and
counts the number of fish in the tank every week over a 2 month period.
Which oxygen tank is the control in this experiment?
a) 0 mg/L
b) 3 mg/L
c) 5 mg/L
d) 10 mg/L
Correct answer: C
A biology student has designed an experiment to study how different oxygen levels affect fish. Average oxygen
levels measured in natural bodies of water are 5 mg/L. He sets up five aquariums with the following oxygen
levels: 0 mg/L, 3 mg/L, 5 mg/L, 7 mg/L and 10 mg/L. He puts 20 fish of the same species in each aquarium and
counts the number of fish in the tank every week over a 2 month period.
What is the dependent variable in this experiment?
a) Oxygen levels
b) 20 fish of the same species
c) 2 months
d) Number of fish counted every week
Correct answer: D
Which of the following statements are *NOT* true?
a) Scientists share information about their research projects through publications, meetings, web-sites
and personal communication
b) Science depends on observation and measurements that can be verified by others
c) The details of the experimental design deve
Improving DoD acquisitions through performance based contracting
No full textPerformance Based Contracting (PBC) has
been widely used commercially to achieve
greater cost savings, remove contractual risk
and improve performance outcomes. The
U.S. DoD relies on military simulators for
meeting training objectives. This dissertation
explores how the DoD can transition from
commercial PBC practices for the acquisition
of training systems by reducing risks in training
quality and maintaining cost controls.Improving DoD Acquisitions
Through Performance Based Contracting
William P. Rebarick
University of Maryland University College
Email and Phone: [email protected] 407-808-0690
Performance Based Contracting (PBC) has
been widely used commercially to achieve
greater cost savings, remove contractual risk
and improve performance outcomes. The
U.S. DoD relies on military simulators for
meeting training objectives. This disserta-tion
explores how the DoD can transition from
commercial PBC practices for the acquisition
of training systems by reducing risks in train-ing
quality and maintaining cost controls.
The Evidence Based Research method employed in this dissertation consisted of a systematic literature
review and a series of steps for reviewing, evaluating and classifying evidence on the subject relevant to
PBC within the DoD for acquisition of military training systems. The basic premise of this research is that a
collaborative process in the contractual relationship between the DoD and contractors is a legitimate and
sustainable governance mechanism. From this premise, this evidence based research develops a typology of
interactive relationships to illustrate that government acquisition through PBC power and the training value to
the military can be met in terms of:
Significant PBC Practices
• PBC when managed through metric-based
requirements, can improve performance, manage
cost impacts, and reduce risks.
• Contract definition at the onset is critical to ensure
that during the performance of the contract risks and
costs can outperform traditional contracting methods
all the while improving the effectiveness of the
training.
• Studies have shown favorable results in other
industries and have implied that the results are
universal and easily transferable to public contracting.
• Cost savings, taken as a whole transaction, found
that PBC can reach its penultimate goal, which is to
significantly improve performance through savings.
• Collaboration and reciprocity is needed to show that
and advanced modeling of PBC as a tool can be
utilized by DoD and can be as effective as utilized in
other private industries.
Any model of performance-based contracting for DoD
contracting should be comprehensive and exhaustive
and thus capable of summing all the various approaches
currently being utilized by the defense contractor
community
PBC has proven to reduce risks, improve efficiencies
and increase learning when applied to military training
systems. Evidence reflects that DoDs support of the
collaborative use of PBC as an acquisition methodology
for military training virtual reality systems and devices
would yield improved learning, reduced risk and lower
costs.
The research finds that multiple theories espouse the foundations on
why PBC works in certain acquisition models. There is a laissez-faire
ideology celebrated in the free market that is not in congruence with the
concentration of power of a utilitarianism government such as the DoD.
Further, a typology that demonstrates government sovereign power
over specifying requirements (specification-reactive or prescriptive-based)
and the economic and performance advantages of jointly
developing requirements when a specification is performance based,
are at their optimum when the collaborative governance is implemented.
Government power through specification influence and training
effectiveness are the rationales underpinning the conceptualized
findings.
• Efficiency • Effectiveness • Flexibility
• Knowledge transfer • Core competency leveraging • Innovation
1. Does Performance Based Contracting for
military training systems as an acquisition
methodology save the DoD money and still
be the best value?
2. Does specification driven contracting have
a role in military training systems or should
contracting for performance be used exclu-sively?
3. How can Performance Based Contracting
reduce cost, schedule and performance
risks for the DoD?
4. Can PBC as an acquisition method im-prove
the training efficacy of the military?
Introduction Discussion
Conclusion
Theoretical Framework
Methodology
Findings
Research Questions
High High
Low Low
7. Contractor meets strict design
specification; penalties occur on
deviations from design
6. Contractors are paid for combinations
of Inputs, Process Outputs, Quality and
Outcome
5. Contractors are paid for Outputs only
4. Contractors earn Output, Quality and
Outcome Incentives
3. Contractors must meet Output, Quality
& Outcome performance standards
2. Contractors and DoD collaborate on
learning objectives for military training
systems
1. Contractor builds military training
systems to meet DoD Learning
Objectives
Contractor Technical Risk
DoD Performance & Cost Risk
US DoD
Training Needs
Requirements
& Objectives
for Training
Defined Metrics
for Training
Optimization
Virtualized
Environment
Needs
Virtual Training
Systems + Improved
Training Processes
Inputs Process Outputs Results
Transaction Cost
Economics Theory
Public
Management
Theory
Systems
Theory
Principal-Agent
Theory
Competency
Theory
Collaboration
Theory
Foundational Theory Enablers
The PBC Systematic Approach
For Acquisition of Virtual Training Systems
Quality
Assurance
Metrics
Collaborative
Acquisition
Process (PBC)
Cost
Reductions
Risk
Mitigations
Improved
Performance
DoD Acquisition Agency Defense Contracto
Understanding the role of strategic management as a response to discontinuity the amtrak approach to survival
No full textHypothesis Statement: Managers can positively effect the overall performance of organizations experiencing discontinuity by employing broader strategic management frameworks with strong linkages between planning, execution and organizational capabilities and also by integrating and developing key factors of leadership, organization, and culture.Understanding the Role of Strategic Management as a Response to Discontinuity: The Amtrak Approach to Survival Dee K. Waddell Candidate for the Degree of Doctor of Management University of Maryland University College
•Traditional strategy theory and models are ineffective and unpredictable in organizations experiencing discontinuity due to the overwhelming focus of research on stable and predictable environments.
•Employing broader strategic management frameworks that include linkages between other factors such as leadership, organization and culture can positively effect overall performance in discontinuity.
•Inclusion of strategic management activities at all levels of the organization affords increased opportunity for emergent and entrepreneurial creation of new strategies and exploitation of discontinuities.
Findings and Conclusion
Overview of the Research
Purpose of the Research
•Understand the role of strategic management in organizations with discontinuities
•Extend scholarship in the strategic management field with application value for organizations and managers experiencing discontinuity
Scope
•Investigate the role of strategic management and effect on overall performance in organizations experiencing discontinuity
•Examine related factors that may enhance the role of strategic management and it’s effect on overall performance in organizations experiencing discontinuity
•Discuss recent approach to survival and growth by Amtrak and highlight and contrast research conclusions
Significance to Management
•In the context of significant economic, social and political crises or “discontinuities” around the world, it seems difficult for managers and organizations to leverage traditional strategy theories and models to enable positive strategic responses in these turbulent environments that may be critically required for survival.
•This study provides evidence, based on scholarly literature, for practicing managers that employing broader strategic management frameworks that include linkages to these organizational factors can positively affect overall performance in discontinuity.
Research Questions
RQ1: Based on scholarly literature, what effect does employing strategic management have on overall performance in organizations experiencing discontinuity?
RQ2: Based on scholarly literature, what factors may enhance the contribution of employing strategic management on overall performance in organizations experiencing discontinuity?
Hypothesis Statement
Managers can positively effect the overall performance of organizations experiencing discontinuity by employing broader strategic management frameworks with strong linkages between planning, execution and organizational capabilities and also by integrating and developing key factors of leadership, organization, and culture.
1.Traditional strategy theory and models are ineffective and unpredictable in turbulent and discontinuous environments (Ansoff, Chaffee, Chakravarthy, Mason, Mintzberg, Prahalad & Hamel)
2.Issues and opportunities from turbulence and discontinuity are “management problems” and traditional frameworks of strategic management need to evolve (Ansoff, Bell, Camillus, Chakravarthy, Drucker, Mason, Prahalad)
3.Strategic frameworks with strong linkage between planning, execution and organizational capabilities have higher potential for contribution to performance in organizations experiencing discontinuity (Abell, Ansoff, Camillus, Chakravarthy, De Geus, Furrer et.al., Hamel & Prahalad, Nag et.al., Mintzberg, Senge)
4.Inclusion of strategic management activities with lower levels affords increased opportunity for emergent and entrepreneurial creation of new strategies and exploitation of discontinuities (Camillus, Chakravarthy, De Geus, Floyd & Wooldridge, Hamel & Prahalad, Huy et.al., Mintzberg, Spreitzer & Quinn, Senge)
5.Strategic management frameworks, leadership and organizational culture are interdependent (Abell, Ansoff, Camillus, Chakravarthy, De Geus, Furrer et.al., Hamel & Prahalad, Nag et.al., Mintzberg, Senge)
6.Leadership factors, including cognition, competency, social-skills, and style (anticipatory, collaborative, transparent, transformative, etc.), positively contribute to performance in organizations experiencing discontinuity, particularly with senior leadership (Abell, Camillus, Chakravarthy, De Geus, Floyd & Wooldridge, Hamel & Prahalad, Harper & Glew, Hart, Huy et.al., Mintzberg, Spreitzer & Quinn, Senge)
7.Organizational and cultural factors, including learning, adaptive, collaborative, empowering, reflective, among others positively influence responses and overall organizational performance (Abell, Camillus, Chakravarthy, De Geus, Hamel & Prahalad, Hart, Mintzberg, Senge)
Research Propositions
Definition of Key Terms
•Strategy is primarily a planning process (aka. Strategic Planning) that determines the long-term goals and objectives for an organization and then determines the specific actions and resources required to carry out the goals and objectives (Chandler, 1962). More specifically, strategy is analytically focused on optimal decision making in the context of desired goals and objectives of the firm.
•Strategic Management is a more holistic view of strategic activities and behaviors within organizations that enable enhanced performance results in competitive environments. This includes: (a) the development and management of strategies, (b) organizational and management capabilities and behaviors and (c) the management of execution and implementation activities which drive organizational actions and enhanced performance results (Ansoff, 1988). More specifically, strategic management is an action-focused organizational process encompassing a broad range of activities and behaviors, which also incorporates the key tenets of strategy as defined.
•Discontinuity refers to internal and external turbulent forces, both controllable and uncontrollable, that influence changes in the environment disrupting stability and predictability impacting and creating challenges for organizations and management. These can include a wide variety of turbulent environmental forces including but not limited to: (a) social, (b) political, (c) economical, (d) organizational, and (e) philosophical that create challenges for organizations and management (Bell, 1999; Drucker, 1978;Prahalad, 1998).
Research Approach and Argumentation
Key Literature
•Abell, D. F. (2006). The future of strategy is leadership. Journal of Business Research, 59(3), 310.
•Ansoff, I. (1990). General management in turbulent environments. The Practising Manager, 11(1), 6.
•Bell, D. (1999). The coming of post-industrial society : A venture in social forecasting (Special anniversary ed.). New York: Basic Books.
•Camillus, J. C. (1997). Shifting the strategic management paradigm. European Management Journal, 15(1), 1.
•Chakravarthy, B. (1997). A New Strategy Framework for Coping with Turbulence. Sloan Management Review, 38(2), 69-82.
•De Geus, A. (2002). The living company. Boston: Harvard Business School Press.
•Drucker, P. (1978). The age of discontinuity. New York, NY: Harper Colophon.
•Furrer, O., Thomas, H., & Goussevskaia, A. (2008). The structure and evolution of the strategic management field: A content analysis of 26 years of strategic management research. International Journal of Management Reviews, 10(1), 1-23.
•Hamel, G., & Prahalad, C. K. (1989). Strategic intent. Harvard Business Review, 67(3), 63-78.
•Mason, R. B. (2007). The external environment's effect on management and strategy. Management Decision, 45(1), 10.
•Mintzberg, H. (1994). The rise and fall of strategic planning: Reconceiving roles for planning, plans, planners. New York: Free Press.
•Nag, R., Hambrick, D. C., & Chen, M. (2007). What is strategic management, really? inductive derivation of a consensus definition of the field. Strategic Management Journal, 28(9), 935-955.
•Prahalad, C. K. (1998). Managing discontinuities: The emerging challenges. Research Technology Management, 41(3), 14.
•Prahalad, C. K., & Hamel, G. (1994). Strategy as a field of study: Why search for a new paradigm? Strategic Management Journal (1986-1998), 15 (SPECIAL ISSUE), 5.
Conceptual Framework
Amtrak Approach to Survival
•Constant state of discontinuity since incorporation in 1971
•Approach beginning in 2008 sought strategic growth and re-invention of passenger rail; strategic guidance provided in 2009
•Developed approach to enhance leadership and organizational capabilities across organization with “Safe-2-Safer” program in 2009
•Resolved organizational friction through new agreements with management and labor in 2010
•Selected strategic management framework and process in 2010, publishing first-ever Amtrak Strategic Plan in 2011. Employed inclusionary and consensus-building processes as key part of framework and process
•Sustained focus on strategy execution, leadership and organizational development as outlined in strategic plan (From 2012 to current)
•Achieved highest level of organizational performance in company history
Implications for Management
•Managers should select and commit to a strategic management framework and process that provides direction and cohesion to the organization in discontinuity.
•Managers should earnestly seek consensus and inclusion of lower organizational levels in strategic management process.
•Organizations should seek to develop and enhance leadership capabilities at all levels of organization with particular focus on style, including anticipatory, collaborative, transparent, and transformative.
•Organizations should seek to develop and enhance organization and culture to become learning, adaptive, collaborative, transparent, accountable
Theoretical Lens – Activity Theory (Vygotsky, 1978) The activity theory lens re-conceptualizes strategic management in the context of activity and links outcomes of individual actors and their activities and behaviors in a broader social context
Volunteer management volunteer motivation and the tactics for making the most of a volunteer workforce
No full textThe Purpose of this research is to explore the unique dynamics associated with the volunteer workforce and to identify best practices and the most productive strategies for managing the volunteer workforce.
The Scope of this study is to examine existing research literature on volunteerism and identify the human resource management strategies that will lead to the acquisition, retention, development, and productivity of the volunteer workforce.In recent years, volunteer participation has expanded beyond the traditional manner in which organizations consider volunteerism.
Volunteers are now involved at all levels of organizations doing much more than menial activities; they are now serving roles such as managers, board members, and decision makers.
Identifying and capitalizing on the volunteer’s motivations for serving as a volunteer is an imperative for ensuring the volunteer has a rewarding work experience.
Strategies for acquiring, developing, and maintaining a volunteer workforce has become challenging due to the competition for volunteers.
The Purpose of this research is to explore the unique dynamics associated with the volunteer workforce and to identify best practices and the most productive strategies for managing the volunteer workforce.
The Scope of this study is to examine existing research literature on volunteerism and identify the human resource management strategies that will lead to the acquisition, retention, development, and productivity of the volunteer workforce.
Volunteer Management
Volunteer Motivation and the Tactics for Making the Most of a Volunteer Workforce
Michael D. WhiteAdvisors: Dr. Deborah M. Wharff& Dr. Eric B. Dent
Fall 2013
Purpose and Scope of Research
Personal Reasons for Research Topic
Importance to Management Practice
Most Important Theoretical Frameworks
Line of Argument
Research Question
Research Propositions
Warrants
Primary Practitioner Scenario
Conceptual Framework
Main Literature Themes and Authors
Conclusions
Volunteering has been a consistent activity throughout my life no matter my profession or my geographic location. I have always been part of a church that required many different types of voluntary service as well as volunteering for military service. With nearly 16 years as a senior pastor, much of my time has involved motivating and leading volunteers. Recently, as a working professional, my voluntary activities are now positions of leadership for the different organizations that I serve enabling me to coordinate and manage volunteers and assess motives for volunteering. With volunteerism being an integral part of my life and management my academic passion, volunteer management is the natural direction for my study.
What are the essential strategies for managing a volunteer workforce given that each volunteer has unique motivation(s) for their voluntary activities?
Motivation Theory
Theory of Human Motivation (Maslow, 1943)
Motivation-Hygiene Theory (Herzberg, 1966)
Social Exchange Theory (Blau, 1967)
1.Organizations that require the utilization of volunteers do not fully utilize its volunteer workforce to its full potential.
2.Strategies for acquiring, developing, and maintaining a volunteer workforce differ from the paid workforce.
3.People have different motives for volunteering their time and talents.
4.Understanding the volunteer’s motives is essential to the effective utilization of the volunteer workforce.
5.Managers of volunteers have an influential role in ensuring their organization has a productive, satisfied, and motivated workforce.
Voluntary activity has changed over the years and organizations face the challenge of recruiting and retaining the volunteer workforce they need to accomplish its mission. Volunteers’ motives continue to be the driving force for their voluntary activity, however if their voluntary experience is not satisfying, they will not continue to serve that organization. Therefore, organizational managers are responsible for acquiring, developing, and retaining the most appropriate volunteer workforce in order to accomplish the organization’s mission, while offering a volunteer a work experience that is satisfying and fulfilling to the volunteer.
1.Currently, organizations are relying more on a volunteer workforce than in the past due to changes in the economy and unique needs of the organization.
2.Organizations are not making the most of the volunteer workforce, therefore deterring the organization and volunteer of real satisfaction.
3.Assessing individual motives for volunteering increases his or her performance and productivity needed to accomplish the mission.
4.Organizations and managers of volunteers must engage in empirically proven strategies for the acquiring, developing, and maintaining the volunteer workforce that enhances mission success.
Data:Competition for quality volunteers has evolved resulting in the need for organizations to develop strategies for acquiring, developing, and maintaining its volunteers.
Warrant:Different people require different management approaches and as volunteers possess different motivations for their volunteer activity, managers of volunteers require flexible strategies and tactics for ensuring the volunteers have a positive volunteer experience.
Claim:Volunteer management strategies that offer a satisfying voluntary experience increase the success of the organization’s mission.
Theme 1:Characteristics and Attributes of Volunteers
Sample of Authors: Dutta-Bergman, (2004); Bussell& Forbes, (2002); Randle & Dolnicar,(2009); Wilson & Musick, (1999)
Theme 2:Volunteer Motivation
Sample of Authors: Clary, Snyder, Ridge, Copeland, Stukas, & Miene, (1998); Omoto & Snyder, (1995); Pauline & Pauline, (2009); Sills, (1980); Yeung, (2004)
Theme 3:Practices and Strategies for Volunteer Management
Sample of Authors: Brudney (1999); Chacón, Vecina, & Dávila (2007); Cuskelly, Taylor, Hoye, & Darcy, (2006); Fisher & Ackerman, (1998); Warner, Newland, & Green, (2011)
1.Organizations that develop a strategy for volunteer management includes tactics for acquiring, developing, and maintaining a volunteer workforce that will achieve enhanced organizational success.
2.Understanding a volunteer’s motivation will increase the opportunity for the volunteer to contribute to an organization’s mission in a meaningful way.
3.Volunteer managers and HR practitioners must work together to develop strategies for acquiring, developing, and maintaining a volunteer workforce that aligns with the organizational mission and its human capital plan
Executive succession in state and local governments: An examination of the factors that influence effective leadership transition and positive organizational performance
No full textThe disruptions caused by recurring leadership successions have long been a problem in just about any public or private organization. This study is focused on investigating the factors that influence successful leadership transition and positive organizational performance within state and local governments. Frequent leadership changes often leave employees uncertain about their futures and unclear about how the new leader’s goals and priorities will affect current organizational roles and priorities. The existing academic literature clearly supports the proposition that leadership succession generates workplace uncertainty and organizational instability and can weaken existing organizational processes. Therefore, new leaders should take the time to understand the factors that lead to greater succession success and how they might take steps to maintain, or even improve organizational performance during executive succession.
This dissertation shows how incoming leaders can create a more effective transition for their administrations, while positively influencing existing organizational performance. This study shows how successor state and local government leaders can successfully integrate entirely new administrations while reducing performance disruptions. A number of independent variables are identified that have been shown to have a significant impact on the success of leadership transitions and organizational performance. The research findings and implications of this research will serve to provide new leaders with additional strategic options that they can use to minimize the inherent organizational complexity, instability, and uncertainty that is typically associated with executive successions.RUNNING HEAD: Executive Succession in State and Local Governments
Executive Succession in State and Local Governments: An Examination of the Factors that Influence Effective Leadership Transition and Positive Organizational Performance
By
Edward A. Jenkins
Dissertation submitted to the Faculty of the Graduate School of the
University of Maryland University College, in Partial Fulfillment of
The Requirements for the Degree of
Doctor of Management
Prepared for
Dr. David Andersen and Dr. Eric Dent
Spring 2013
EXECUTIVE SUCCESSION IN STATE AND LOCAL GOVERNMENTS - 1 -
Abstract
The disruptions caused by recurring leadership successions have long been a problem in just about any public or private organization. This study is focused on investigating the factors that influence successful leadership transition and positive organizational performance within state and local governments. Frequent leadership changes often leave employees uncertain about their futures and unclear about how the new leader’s goals and priorities will affect current organizational roles and priorities. The existing academic literature clearly supports the proposition that leadership succession generates workplace uncertainty and organizational instability and can weaken existing organizational processes. Therefore, new leaders should take the time to understand the factors that lead to greater succession success and how they might take steps to maintain, or even improve organizational performance during executive succession.
This dissertation shows how incoming leaders can create a more effective transition for their administrations, while positively influencing existing organizational performance. This study shows how successor state and local government leaders can successfully integrate entirely new administrations while reducing performance disruptions. A number of independent variables are identified that have been shown to have a significant impact on the success of leadership transitions and organizational performance. The research findings and implications of this research will serve to provide new leaders with additional strategic options that they can use to minimize the inherent organizational complexity, instability, and uncertainty that is typically associated with executive successions.
Key Words: executive succession, organizational performance, leadership transition, succession planning, public sector, government
EXECUTIVE SUCCESSION IN STATE AND LOCAL GOVERNMENTS - 2 -
© Copyright by
Edward A. Jenkins
2013
EXECUTIVE SUCCESSION IN STATE AND LOCAL GOVERNMENTS - 3 -
Dedication
To my amazing wife Marjorie, who never wavered in her support and encouragement in my efforts to pursue my dreams, even at the expense of time with her and the children during evenings and weekends over the three years that it took to complete this journey.
To my incredible children Kendall, Anaya, and Angelina, who selflessly sacrificed numerous evenings and weekends with me so I could complete work assignments.
To my mother Laverne, who sacrificed for most of her life so that her children might grow up to accomplish their dreams. She inspires me to always reach a little further than I can see, and that with God all things are possible. A special thanks to my brother Brian and sister Daphane for never being any further away than a phone call.
To my dearly departed aunt Evelena and uncle A.W. who consistently demonstrated their love for God, and served as outstanding role models for me as I continued to grow and mature.
To Reverend Curtis Jenkins who was an outstanding father figure to my brother and me growing up. Uncle Curtis always had time to step in and “straighten us out” as teenagers when we acted a little older than our actual ages. Thank you for living your life for God and always providing an example of what a father and husband should be.
EXECUTIVE SUCCESSION IN STATE AND LOCAL GOVERNMENTS - 4 -
Acknowledgements
This paper would not be possible without the love and support of my family who endured the program as much as I did by allowing me the time to complete my studies. I would like to thank my Lord and Savior Jesus Christ who deserves all the honor and glory. This dissertation would also not have been possible without the hands-on support of the staff and faculty of the University of Maryland University College (UMUC). There are too many individuals to mention by name but suffice it to say that there was never any request too large or too small that they did not try to accommodate if it was within their power.
The most amazing journey for me in this Doctoral program was my transition in learning to think like a scholar practitioner. UMUC must have designed this program to push us to the brink of insanity by constantly challenging us to read more in less time, write more in less time, and learn to quickly recall pertinent academic studies, facts, and figures. Special thanks to Dr. William Brent for his encouragement and support during this process. I would also like to acknowledge Dr. Eric Dent and Dr. David Andersen for their patience, guidance, and support.
EXECUTIVE SUCCESSION IN STATE AND LOCAL GOVERNMENTS - 5 -
Table of Contents
CHAPTER 1 .................................................................................................................................. 8
INTRODUCTION .......................................................................................................................... 8
Background .................................................................................................................................... 8
Purpose of the Study ..................................................................................................................... 10
Statement of the Problem .............................................................................................................. 11
Significance of the Problem .......................................................................................................... 13
Research Questions ....................................................................................................................... 15
Definitions.................................................................................................................................... 16
Summary ...................................................................................................................................... 17
Concept Paper Organization ......................................................................................................... 19
CHAPTER 2 ................................................................................................................................ 21
LITERATURE REVIEW ............................................................................................................. 21
Introduction to the Literature Review ........................................................................................... 21
Executive Succession Research .................................................................................................... 23
Organizing Scheme ....................................................................................................................... 31
The Succession Event ............................................................................................................... 33
The Leadership Impact ............................................................................................................. 37
The Performance Effect ............................................................................................................ 41
State and Local Government Leadership Issues ........................................................................... 43
State and Local Government Performance Issues ........................................................................ 46
Factors that Influence Successful Transitions............................................................................... 51
Succession Planning...................................................................................................................... 55
Succession Process Outline ...................................................................................................... 58
Succession Process Results ....................................................................................................... 59
Successful Succession Strategies .................................................................................................. 60
Summary ...................................................................................................................................... 62
CHAPTER 3: ............................................................................................................................... 65
CONCEPTUAL FRAMEWORK ................................................................................................. 65
Introduction to the Conceptual Framework .................................................................................. 65
The Message in the Literature Review ......................................................................................... 65
Conceptual Framework Design and Description .......................................................................... 68
CHAPTER 4: ............................................................................................................................... 78 EXECUTIVE SUCCESSION IN STATE AND LOCAL GOVERNMENTS - 6 -
METHODOLOGY ....................................................................................................................... 78
Introduction .................................................................................................................................. 78
Evidence-Based Research ............................................................................................................. 79
Relevant Scholarly Evidence ........................................................................................................ 81
Methodology Construction ....................................................................................................... 82
Research Question Formulation ................................................................................................ 82
Systematic Review .................................................................................................................... 83
Critical Evaluation .................................................................................................................... 84
Summary of Results .................................................................................................................. 84
Relevant Research Evidence ..................................................................................................... 85
Conceptual Categories .............................................................................................................. 86
Contextual Variables ................................................................................................................. 88
Important Selected References ................................................................................................. 90
Performance Measurement Discussion ..................................................................................... 91
Presentation and Discussion of the Expert Panel .......................................................................... 93
Introduction of Expert Panel Members ..................................................................................... 94
Feedback from Expert Panel Members ..................................................................................... 95
Reaction to Expert Panel Member Contributions ..................................................................... 98
Summary ...................................................................................................................................... 99
CHAPTER 5 ............................................................................................................................... 101
ANALYSIS and DISCUSSION ................................................................................................. 101
Introduction ................................................................................................................................ 101
Presentation of Findings ............................................................................................................. 102
Succession Event Construct .................................................................................................... 103
Leadership Impact Construct .................................................................................................. 104
Performance Effect Construct ................................................................................................. 105
Contingency Construct ........................................................................................................... 106
Succession Planning Construct ............................................................................................... 107
Presentation of Research Questions & Conclusions ................................................................... 109
Research Question #1 ............................................................................................................. 109
Research Question #2 ............................................................................................................. 111
Alternative Perspectives.............................................................................................................. 114
Summary .................................................................................................................................... 115
CHAPTER 6 ............................................................................................................................... 118
OVERALL CONCLUSIONS, IMPLICATIONS, AND ............................................................ 118
RECOMMENDATIONS FOR FUTURE STUDY .................................................................... 118 EXECUTIVE SUCCESSION IN STATE AND LOCAL GOVERNMENTS - 7 -
Introduction ................................................................................................................................ 118
Overall Conclusions .................................................................................................................... 119
Implications for Management ..................................................................................................... 121
Implications of Trends ................................................................................................................ 122
Succession Planning ............................................................................................................... 122
Bond Credit Rating ................................................................................................................. 123
Limitations ................................................................................................................................. 123
Areas for Future Research .......................................................................................................... 125
Summary .................................................................................................................................... 126
Appendix A&B: Subject Matter Expert Evaluation & Feedback Forms .................................... 136
EXECUTIVE SUCCESSION IN STATE AND LOCAL GOVERNMENTS - 8 -
CHAPTER 1
INTRODUCTION
Background
One of the greatest challenges facing state and local governments is the problem of executive succession and the impact that changes in leadership have on organizational performance. Organizational employees subjected to frequent leadership transitions are often faced with the fear and uncertainty caused by not knowing exactly how changes in leadership will affect organizational norms, specific work responsibilities, and how new leadership could potentially change the direction of an organization (Buoziute-Rafanaviciene, Pundziene, & Turauskas, 2009; Bynander & ’t Hart, 2006; Grusky, 1960; Haveri, 2006; Schall, 1997). This dissertation explores the factors that influence successful executive succession events and how changes in leadership influence organizational performance.
The study of executive succession began as a transitional field of study that evolved after years of basic study focusing on organizational leadership and management (Kesner & Sebora, 1994). Kesner and Sebora (1994) argued that the systematic social scientific study of leadership did not really begin until the early 1930’s, and subsequent years of cumulative academic research has led to the study of executive succession research which has revealed a great deal about the subject to date. The academic focus on executive succession and its implications as it relates to organizational performance was actually pioneered by seminal academic researchers such as Oscar Grusky during the 1960s (Kesner & Sebora, 1994).
Up until around the late 1980s to early 1990s, the majority of these studies were concerned with leadership traits and characteristics and how personal leadership qualities influenced organizational performance. However, during the early 1990s, the academic focus of EXECUTIVE SUCCESSION IN STATE AND LOCAL GOVERNMENTS - 9 -
study began to shift towards leader relationships, organizational vision, political skill, and even looking at external factors such as organizational environment (House & Aditya, 1997). Many academic researchers also studied whether the leadership transition had a better chance of succeeding based on whether the successor leader was promoted from inside the organization or was brought in from outside the organization (Kesner & Sebora, 1994). Yet what is clearly supported across the academic literature is that the impact of leadership does matter, and that new leaders should be aware of how difficult leadership transitions can be for the organization (Boyne, James, John, & Petrovsky, 2011; Virany, Tushman & Romaneli, 1992). Schall (1997) argued that there are in fact barriers that new leaders need to overcome if their leadership transitions are to be successful. As a matter of fact, there is very limited academic literature that focuses on the aspects of executive succession specifically within the context of the public sector (Shall, 1997).
In order to begin to fill the void in the academic literature concerning the effects of leadership transition on organizational performance, this study focused on exploring the factors that influence effective leadership transition and organizational performance within state and local government. This research reviewed the existing academic literature on the topic of succession management, as a way of providing additional insight towards understanding the factors that influence the leadership succession process. Through this investigation and analysis, this study identified how the current executive succession research when considered as a whole, can shed light on our understanding of various ways that executive succession impacts employee performance and the factors that influence such results. According to Grusky (1960) organizational change is inevitable and is likely the one constant that exists among organizations. This dissertation investigated leadership transitions within state and local governments in an EXECUTIVE SUCCESSION IN STATE AND LOCAL GOVERNMENTS - 10 -
effort to better understand what the academic literature had to say about limiting the disruptive effects of such changes on organizational performance. This research has paid special attention to the existing internal and external environments
Alumni resource development for community colleges: A fundraising management model
No full textCommunity colleges are increasingly turning to fundraising to fill the financial gaps created by declining federal and state appropriations. Thus, community colleges are looking to expand their financial coffers through entrepreneurial partnerships and efforts such as targeting alumni. Typically, community colleges have very small alumni programs focusing their fundraising efforts in other areas.
This study outlines effective elements for an alumni resource development program through a four-step managerial decision-making process and the Flexible Leadership Theory (FLT). Strategic elements include leadership commitment, strategic planning, institutional collaboration, staffing, foundation boards, and garnering alumni engagement and community relationships. One key component of leadership in developing the alumni resource development program is recognizing and balancing institutional needs with alumni needs. FLT offers leadership the opportunity to combine innovation with the process of adapting the alumni resource development program. Community colleges in 2011 raised close to 7.8 billion that four-year institutions raised from alumni. This study breaks ground for future research on alumni-giving in the community college arena, including strategies to promote alumni as advocates and volunteers for community colleges, and for community college leadership to view their alumni as a financial resource that can help close the fiscal gaps that community colleges face in continuing their mission of access.ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES: A FUNDRAISING MANAGEMENT MODEL
Steven Meneses
A Thesis
Submitted to the
Graduate Faculty
of the
University of Maryland University College
in Partial Fulfillment of
The Requirements for the
Doctor of Management
Degree
Charlene Nunley, Ph.D.
Mary Ellen Duncan, Ph.D.
2013 ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
ABSTRACT
Community colleges are increasingly turning to fundraising to fill the financial gaps created by declining federal and state appropriations. Thus, community colleges are looking to expand their financial coffers through entrepreneurial partnerships and efforts such as targeting alumni. Typically, community colleges have very small alumni programs focusing their fundraising efforts in other areas.
This study outlines effective elements for an alumni resource development program through a four-step managerial decision-making process and the Flexible Leadership Theory (FLT). Strategic elements include leadership commitment, strategic planning, institutional collaboration, staffing, foundation boards, and garnering alumni engagement and community relationships. One key component of leadership in developing the alumni resource development program is recognizing and balancing institutional needs with alumni needs. FLT offers leadership the opportunity to combine innovation with the process of adapting the alumni resource development program. Community colleges in 2011 raised close to 7.8 billion that four-year institutions raised from alumni. This study breaks ground for future research on alumni-giving in the community college arena, including strategies to promote alumni as advocates and volunteers for community colleges, and for community college leadership to view their alumni as a financial resource that can help close the fiscal gaps that community colleges face in continuing their mission of access.
ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
ii
© COPYRIGHT BY
Steven MenesesSteven Meneses Steven Meneses Steven MenesesSteven Meneses Steven MenesesSteven MenesesSteven MenesesSteven Meneses Steven Meneses
2013 ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
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DEDICATION
This study is dedicated to my beautiful wife Natalie and my two glorious children, Isabella and Massimo. Their support and patience over the term of completing this endeavor was never wavering. This testimony of their family faith, love, and benevolence gave me the strength to endure. Muchas Gracias, mis seres queridos.
ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
iv
ACKNOWLEDGMENTS
I am sincerely indebted to those who have inspired, encouraged, motivated, and supported me through this doctoral degree journey. I wish to sincerely thank the University of Maryland University College for developing the Doctor of Management in Community College Policy and Administration degree. The opportunity to enter the community college arena and continue the community college mission of access is a world that has been opened to me, thanks to these program leaders and my dissertation advisors, Dr. Mary Ellen Duncan and Dr. Charlene Nunley. Likewise, thanks to all my classmates of this first cohort in the program for all the scholarship and fun at the residences. To my leadership mentor, Dr. Roland Livingston, who infused pertinent leadership insights through many discussions over the term of completing this program, my thanks.
I am eternally grateful to my wife, daughter, and son, my trinity. Their love has brought me unforeseen joy for a greater purpose in life. Finally, gratitude to my mother, who is a first generation Ukrainian American and an artist who gave me inspiration to go beyond what was presented in front of me. My father, who came to this country from Mexico with no formal education beyond high school, offered his family his example of hard work and a never-ending determination to encourage me to do my best, and he stressed education as a way to further success in my life. Muchas Gracias. дуже дякую (Duzhe diakuiu).
S. M.
ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
v
TABLE OF CONTENTSTABLE OF CONTENTS TABLE OF CONTENTSTABLE OF CONTENTSTABLE OF CONTENTS TABLE OF CONTENTS TABLE OF CONTENTS
Chapter
1 STATEMENT OF PROBLEM .................................................................................. 1
Statement of Purpose ................................................................................................. 3
Context ....................................................................................................................... 5
Theoretical Base......................................................................................................... 7
Research Questions .................................................................................................... 9
Definition of Terms.................................................................................................... 9
Significance................................................................................................................ 10
2 REVIEW OF LITERATURE .................................................................................... 14
History of Community College Private Support ........................................................ 16
Private Fundraising in Community Colleges ............................................................. 18
Comparing Two-Year and Four-Year Alumni Programs .......................................... 21
Best Practices: Examples of Community College Alumni Development and Fundraising .......................................................................................................... 24
Application of Management Theory to Community College Alumni Programs ....... 26
Presidential Leadership ........................................................................................ 26
Community Relationship Building ...................................................................... 29
Foundations .......................................................................................................... 30
Strategic Planning/Institutional Planning ............................................................ 31
Alumni Database Information.............................................................................. 32
Summary .................................................................................................................... 33
3 CONCEPTUAL MODEL .......................................................................................... 36
Thesis ......................................................................................................................... 36
The Barriers ............................................................................................................... 38
Barrier One: Leadership Commitment................................................................. 39
Barrier Two: Institutional Support ....................................................................... 41
Barrier Three: Lack of Alumni Database Information ........................................ 42
Barrier Four: Inadequate and Poorly Trained Staff ............................................. 43
Effective Alumni Resource Development Elements ................................................. 44
Presidential Commitment..................................................................................... 44
Tactical Management Planning............................................................................ 45
Institutional Collaboration ................................................................................... 46
Alumni and Community Relationships ................................................................ 46
Institutional Market Branding .............................................................................. 48
Institutional Approach for Success ...................................................................... 48
Clearing the Barriers ............................................................................................ 50
Fundraising Staff and Foundation Board Members ................................................... 51
Summary .................................................................................................................... 54 ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
vi
Chapter
4 RESEARCH METHODOLOGY............................................................................... 56
Examination of the Research Literature .................................................................... 56
Literature Analysis Approach .............................................................................. 60
Systematic Analysis Approach .................................................................................. 64
Expert Panel Participants ........................................................................................... 65
Summary .................................................................................................................... 67
5 ANALYSIS AND DISCUSSION.............................................................................. 69
Expert Panel Participant Findings .............................................................................. 70
Summary of Comments by Expert Panel Participants ......................................... 71
Review of Research Questions .................................................................................. 73
Research Question 1 ............................................................................................ 74
Research Question 2 ............................................................................................ 75
Research Question 3 ............................................................................................ 76
Research Question 4 ............................................................................................ 77
Summary .................................................................................................................... 78
6 CONCLUSIONS AND IMPLICATIONS ................................................................. 79
Business Management Approach: Tactical (Strategic) Planning and Decision-making Management Planning ............................................................. 79
Leading and Motivating ....................................................................................... 82
Four-step Managerial Decision-making Process ....................................................... 84
Identifying the Opportunity ................................................................................. 84
Generating Alternatives ....................................................................................... 84
Selecting the Alumni Resource Development Program ...................................... 84
Implementing ....................................................................................................... 85
Collaborating with Institution .................................................................................... 86
Foundation Support .................................................................................................... 87
Staffing ....................................................................................................................... 90
Institutional Market Branding .................................................................................... 91
Alumni and Community Relations ............................................................................ 92
Conclusions ................................................................................................................ 95
Implications for Practice ............................................................................................ 96
Recommendations for Further Research .................................................................... 98
Summary .................................................................................................................... 98
REFERENCES ..........................................................................................................100
Appendix A: Sample Evaluation Form ........................................................................................108 ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
vii
LIST OF TABLESLIST OF TABLES LIST OF TABLESLIST OF TABLES LIST OF TABLESLIST OF TABLESLIST OF TABLES LIST OF TABLESLIST OF TABLES
Table
1 List of Keywords........................................................................................................ 58
2 Classifications and Coding of Literature ................................................................... 61
3 Literature Evaluation Table ....................................................................................... 61
ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
viii
LIST OF FIGURESLIST OF FIGURES LIST OF FIGURESLIST OF FIGURES LIST OF FIGURES LIST OF FIGURESLIST OF FIGURESLIST OF FIGURESLIST OF FIGURES
Figure
1 Voluntary support of higher education by Council for Aid to Education (2011) ...... 19
2 A conceptual model for alumni resource development programs ............................. 37
3 Flow of strategic management ................................................................................... 49
4 Conceptual model for effective outcomes ................................................................. 53
5 Four-step managerial decision-making process ......................................................... 83
ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
1
Chapter 1
STATEMENT OF PROBLEM
As budgets shrink due to state government and local municipalities pulling back on financial support to community colleges, many institutions have begun to search for alternative sources of revenue to increase their coffers. A simple solution would be to raise tuition, but most community colleges adhere to a mission of serving the community through open access and affordable tuition; therefore, significantly raising tuition would compromise mission goals. As a result, many community colleges are looking for alternative strategies to increase institutional resources. Among these is the concept of private fundraising. Alumni fundraising, though in its infancy in most community colleges, offers a viable option for enhancing the institutional resources needed to support important institutional objectives. Thus, a literature is beginning to develop in the area of community college fundraising.
According to Ryan (2003), scholars have recently conducted a number of studies that survey those responsible for fundraising on their campuses. A number of these studies discuss challenges development offices face, practices that are most successful, and issues emerging within the field (p. 95). Research conducted by Jackson and Glass (2000) targeted the resource development practitioners at a North Carolina community college, revealing five challenges faced by community college development offices. The first challenge is image; the perception is that the district in which the community college operates is fully funded by state and federal funds. The second is leadership; the community college president needs to be an engaged partner in the resource development process. In the third challenge, management brings ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
2
accountability and provides good stewardship in the process. The fourth is the development officer position, which needs to be senior-level and part of the strategic planning of the institution. The fifth and last challenge is technology; as software and social media platforms evolve, so must technology. Combinations of these challenges are part of the emerging trends that alumni resource development at community colleges is facing. According to Ryan, Jackson and Glass, and others, the importance of this aspect of institutional fundraising is becoming a pertinent ingredient for success at two-year institutions.
This chapter describes the need to fill the fiscal gaps that community colleges have experienced because of declining financial support from state and federal sources. In most cases, community college districts that serve taxpayers struggle with increased taxes and tuition; therefore, the alumni model for fundraising is of critical importance to meet the institutions’ needs in serving their communities. In addition, Strout (2006) mentions that community colleges are realizing how fundraising from private individuals is mandatory. Thus, many community college development officers are targeting or want to target alumni for support as the catalyst in locating private donors.
Many community colleges recognize this need and some have positioned themselves to garner alumni support. Monroe Community College (MCC) in Rochester, New York has developed one of the more successful combined alumni program and fundraising initiatives in the country. One element that MCC has effectively developed is its foundation board, which is comprised of 25% alumni. The foundation board has an alumni council targeting alumni representation to be included in many of the institution’s activities. This type of engagement and collaboration from the institution provides a sense of purpose for the alumni. According to Pastorella (2003), “fundraising studies relating to alumni giving have shown a significant ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
3
increase in the giving rate among alumni who have been recently engaged…” (p. 76). New ways to develop and solicit alumni resources through eventful alumni engagement such as bringing alumni onto the foundation board as active members or developing distinguished alumni recognition programs and using social media platforms to keep alumni abreast of their institution’s continuing successes are all avenues of alumni engagement.
In another example of alumni engagement, Michael Wall, Director of Alumni Relations at Anoka-Ramsey Community College, states, “Alumni relations are about connection” (Currents, 2007, p. 36). Anoka-Ramsey Community College displayed its commitment to alumni by showing them that the college was in the business of fostering relationships. The institution offered a variety of specific events that not only were aimed at alumni but also included the institution. Collectively over time, alumni were interacting with students at events such as business networking lunches and career mentoring events. This example illustrates that through connecting with campus resources, alumni can become engaged with the college. Given the financial uncertainty many institutions see on the horizon, there is a critical call for development offices to plan ways to cultivate and engage alumni in the fabric of their community college.
Statement of Purpose
The purpose of this dissertation was to design an alumni development model that can be adopted by community colleges across the country. Drawing on research conducted in four-year college alumni fundraising and on the more limited literature of two-year college fundraising, the model can be incorporated into alumni resource development for community colleges. The elements of best practices, the decision-making management process, and leadership theory were identified during the development of this model. However, the limited body of literature and ALUMNI RESOURCE DEVELOPMENT FOR COMMUNITY COLLEGES
A FUNDRAISING MANAGEMENT MODEL
4
research regarding community college alumni resource development did not pinpoint any one set of success factors
Managing collaboration in multisite social service organizations: A model for sustainable change
No full textIn a rapidly changing world, collaboration will no longer be an initiative but a driver of the success of a social service enterprise. The internal organizational structure of the multisite social service organization must embrace a flexible and collaborative process of implementing change to remain current in serving community needs. With this process, the use of intraorganization collaboration will drive programmatic change to better serve changing community needs. Given the challenges in today’s complex work environment, organizations must leverage their internal resources to strengthen their core operating systems and find plausible ways to adapt and respond to the demanding and changing needs of clients. The purpose of this study is to explore if by using a collaborative decision-making model, social service nonprofit organizations with multiple sites will be more effective in implementing sustainable change and therefore more effective in providing services that are responsive to their community. Using evidence-based research, this dissertation expands the body of knowledge on the use of collaboration in implementing change in social service organizations. To accomplish this effort, this study uses a theoretical lens grounded in the major themes and constructs on collaboration and change in the field of management. The research found that applying collaboration to decision making adds value to the process of creating sustainable change.
The research concludes that multisite nonprofit social service providers are more effective in creating sustainable change when using a collaborative decision-making model. This dissertation will show culturally diverse social service organizations with multiple sites how to collaborate for sustainable change by using a collaborative decision-making model. Given its practicality, this model is also transferable to other organizations, both nonprofit and for profit.Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 1
Managing Collaboration in Multisite Social Service Organizations:
A Model for Sustainable Change
Reynard Eaglin, Jr.
A Thesis
Submitted to the
Graduate Faculty
of
University of Maryland University College
in Partial Fulfillment of
the Requirements for the Degree
of
Doctor of Management
Faculty:
Sharon G. Hadary, DBA
Dennis Winters, PhD
March 27, 2013
Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 2
Abstract
In a rapidly changing world, collaboration will no longer be an initiative but a driver of the success of a social service enterprise. The internal organizational structure of the multisite social service organization must embrace a flexible and collaborative process of implementing change to remain current in serving community needs. With this process, the use of intraorganization collaboration will drive programmatic change to better serve changing community needs. Given the challenges in today’s complex work environment, organizations must leverage their internal resources to strengthen their core operating systems and find plausible ways to adapt and respond to the demanding and changing needs of clients. The purpose of this study is to explore if by using a collaborative decision-making model, social service nonprofit organizations with multiple sites will be more effective in implementing sustainable change and therefore more effective in providing services that are responsive to their community. Using evidence-based research, this dissertation expands the body of knowledge on the use of collaboration in implementing change in social service organizations. To accomplish this effort, this study uses a theoretical lens grounded in the major themes and constructs on collaboration and change in the field of management. The research found that applying collaboration to decision making adds value to the process of creating sustainable change.
The research concludes that multisite nonprofit social service providers are more effective in creating sustainable change when using a collaborative decision-making model. This dissertation will show culturally diverse social service organizations with multiple sites how to collaborate for sustainable change by using a collaborative decision-making model. Given its practicality, this model is also transferable to other organizations, both nonprofit and for profit. Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 3
Keywords: Collaboration, Programmatic Change, Change, Multisite Social Service Nonprofit, Social Service Nonprofit, Multisite Nonprofit, Nonprofit organization (NPO), Organizational culture, Management, Modern-day organizations, and Stakeholders
Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 4
Memorial Dedication
This dissertation is dedicated to the loving memory of my grandmother,
Evina R. Joseph.
I hope that you are proud of what you helped create, and may you continue to live on
through all of the good that I do with my life.
Thank you for always believing in me and for being my very first teacher.
Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 5
Acknowledgements
First, I acknowledge my spiritual relationship with God who sustains me, protects me, and blesses me. God, I thank you for strengthening me through all of life’s challenges, and I know that I could not have accomplished this dissertation without my faith and will to succeed.
Thanks to my family in Louisiana, who provided words of encouragement via phone calls and text messages, great food during breaks, and prayers throughout the DM journey—
Aunt Emma, Aunt Bridget, Amy, Michelle, Elaine, Angel, LaQuisha, Kenny, James Bobby I, James Bobby II, Gerren, Sr. Timothy, Courtney, Matthew, and Kelli—I love you all.
To my grandmother, Bertha Guillory Eaglin, who passed away during my DM journey—I will miss your sense of humor, advice, awesome conversations, and warm hugs. Thank you for always being a part of my life and loving me with such an open heart.
I want to thank my goddaughter, Maryanna Morgan Malveaux, who tells me that I am awesome. I am so looking forward to your amazing future.
To Kaitlyn, Heaven, Gerren, Jr.—you three make me a proud uncle, and I hope that I serve as an example of what can be accomplished with faith in God and belief in self.
I would like to express sincere gratitude to Dr. Sharon G. Hadary and Dr. Dennis Winters for seeing me through this program. Thank you sharing your experience, enthusiasm, insightful questions, and thoughtful suggestions to keep me focused and moving along. This dissertation is the result our collaborative effort—an example of how collaboration makes the process of working together better.
Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 6
Thanks to University of Maryland University College Doctor of Management program professors who, when needed, offered words of encouragement: Dr. G. David Andersen, Dr. Kriesta. Watson, Dr. Elaine. LaBach, and Dr. Subash Bijlani.
Thanks to the members of my Expert Practitioner Panel: Dr. Sarah C. Stiles, Dr. Melva-Turner-Williams, and Dr. Constance Martel-Broussard. I appreciate the time you took to provide feedback and offer articles, books, and suggestions to improve my dissertation.
I am appreciative of the support from members of my cohort---Brent, Ron, Laura, Alovett, and Lisette—I enjoyed learning and growing with all of you during this program.
I want to thank several other professors, mentors, and friends who supported me from the very beginning of my learning journey: Sr. Kathleen Kane, Sr. Petra Chen, Sr. Maria Klodt, Paul Martel, Sr. Martha Readore, Thaddeus V. Johnson, Dr. Edward Rene’, Kermit V. Thomas, Velma D. Hendrix, Dr. Abul Pitre, Gene T. Jones, Marsha V. Smith, Dr. Bobbie DeCuir, and Dr. Gwendolyn Davis.
Thank you to Ann Prisland with the JAS Group—I appreciate your comments and suggestions on my dissertation and helping to make it complete.
Terrance F. Shaw, my friend of 14 years, thanks for sending me handwritten notes of encouragement when I needed them most. After all these years, I know that I can always count on you to get away and relax for a spell, enjoy a good laugh, and have a great time.
Brian J. Acuavera, thank you for actively listening to me when I needed to flesh out ideas in the final year of the program. I appreciate the suggestions you offered to improve my conceptual model and for not feeding into my madness when I sometimes could not see the forest for the trees.
Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 7
Special thanks to Marvin K. Clark for encouraging me to take the first step of my DM journey and having respect for my desire to pursue this dream and faith in my ability to succeed. Thanks for seeing me through some tough times and providing some fun in the sun when I needed to clear my mind and get away from it all. I am forever grateful for your support.
Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 8
Table of Contents
Abstract ...............................................................................................................................2
Memorial Dedication ...........................................................................................................4
Acknowledgements ..............................................................................................................5
List of Figures ....................................................................................................................10
List of Tables .....................................................................................................................10
Chapter One: Collaborative Decision-Making .............................................................11
Statement and Significance of the Problem .......................................................................11
Importance to Management ...............................................................................................18
Research Question and Propositions ..................................................................................19
Definition of Terms............................................................................................................21
Organization of the Dissertation ........................................................................................23
Limitations .........................................................................................................................25
Researcher’s Perspective ...................................................................................................25
Chapter Two: Literature Review ...................................................................................26
Change Management .........................................................................................................27
Surviving the Challenges of Organizational Change: Rising Above Failure ........27
Connecting Successful Change Initiatives to Collaboration ..................................31
Collaboration: Working Toward a Shared Goal ................................................................37
Cooperation ............................................................................................................38
Coordination ..........................................................................................................40
Collaboration and Decision Making ......................................................................42
Successful Change and Collaboration in Social Service Organizations ............................48
Chapter Three: Conceptual Framework .......................................................................54
Overview of Conceptual Framework .................................................................................55
Conceptual Framework ......................................................................................................56
Use of Collaboration to Improve Change ..........................................................................59
Collaborative Decision-Making Process or Collaborative Change Process ......................64
Lewin and Change Management: Using What Works ..........................................64
Vaill and Permanent White Water: Fluid Organizations and Change ...................68
Senge and Organizational Systems ........................................................................68
Outcomes and Summary ....................................................................................................70
Chapter Four: Methodology ...........................................................................................73
Theory and Practice of Evidenced-Based Research ..........................................................73
Rationale for Selection and Exclusion of Literature ..............................................74 Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 9
Expert Panel Feedback: The Use of Scholarly Collaboration ...........................................82
Chapter Five: Analysis and Discussion ..........................................................................85
Change Management .........................................................................................................85
Collaboration.....................................................................................................................87
Stages of Collaboration ..........................................................................................88
Systems and Organizational Structures .............................................................................90
Research Question: Propositions in Light of Findings ......................................................92
Conclusions ........................................................................................................................96
Consideration of Other Points of View ..............................................................................99
Summary ..........................................................................................................................101
Chapter Six: Conclusions, Implications, and Trends .................................................103
Overall Conclusions .........................................................................................................103
Implications for Management ..........................................................................................103
Culture and Change..............................................................................................104
Implications of Trends .........................................................................................106
Collaboration in the Intersection ......................................................................................107
Collaboration and Innovation ..............................................................................108
Limitations and Areas for Future Research .....................................................................108
Measuring the Collaborative Impact ....................................................................109
Summary ..........................................................................................................................110
Appendix A ......................................................................................................................112
References ........................................................................................................................119
Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 10
List of Figures
Figure 1. Dissertation Process Model. .............................................................................24
Figure 2. Collaborative Decision-making and Change Model. .......................................56
Figure 3. The Building Blocks of Collaboration. ............................................................60
Figure 4. Scholar-practitioner Decision-making Process. ...............................................64
Figure 5. Kurt Lewin’s Force Field Theory. ....................................................................65
Figure 6. Hierarchy of Evidence Pyramid. ......................................................................79
Figure 7. Percentage of Reviewed Literature in Levels 1 Through 5 ..............................80
Figure 8. Number of Reviewed Articles in Levels 1 through 5 .......................................81
Figure 9. Change and CollaborationModel. ...................................................................101
List of Tables
Table 1. A Collaborative Continuum: Components Defining Each Category. ...............62
Table 2. Levels of Evidence in Management Research. ..................................................78
Table A1. Summary of Research. ....................................................................................112
Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 11
Chapter One: Collaborative Decision-Making in Multisite Social Service Organizations
Effective collaborative problem solving requires members of a group to be able to communicate and agree on common processes, moment by moment. Likewise, an organization needs a common language of process to work effectively and collaboratively across organizational units. (Strauss, 2002, p. 32)
Statement and Significance of the Problem
Competition in the nonprofit world has intensified in recent years due to the increasing number of agencies seeking support, the shifting government funding, and the presence of for-profit organizations in human services. Therefore, planning for change must remain a continuous process, enabling nonprofits to evolve and constantly reinvent themselves. The most effective way an organization can achieve the required ongoing change and remain relevant is to become collaborative. In doing so, organizations can provide programs and services that will sustain their operations and ability to survive in a world of constant change. Consequently, collaboration is necessary for multisite nonprofit organizations to continue to exist and build capacity to serve their communities because it is a more effective use of organizational resources (e.g., human resources, financial resources) (Dees, 1998; Schruijer, 2006a; Skloot, 1981).
The topic of collaboration in nonprofit organizations has become increasingly important in light of the need to coordinate and promote internal resources for sustainability. The nonprofit organization is different from its for-profit counterpart in that its responsibility is based on its mission to serve rather than on the goal of generating a profit for its stockholders. Further, the nonprofit reinvests its profits by building its capacity to serve the community. It uses feedback Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 12
from its community stakeholders (e.g., clients) to help change its services to meet specific community social service needs.
Multisite social service nonprofit organizations must be responsive to multiple constituencies and stakeholder groups whose differing interests must be reconciled (Kohm & La Piana, 2003; Tschirhart, 1996). A multisite nonprofit organization is more complex than single-site organizations since it might have sites in multiple communities and states with a wide range of needs. An example of the social service organization reaching beyond county lines is that of the community nonprofit site operating in its own county, jurisdiction, or state with its own set of specific needs while also reporting to a central office in another state. The central office organization might not only be geographically removed, but also out of touch with the needs of the local community. Therefore, the local organization has to ensure the use of collaborative processes to address the wide range of needs of its constituencies, which may differ across counties, regions, or states.
Eschenfelder (2010); Bridgeland (2009); Independent Sector (2008); Lawrence (2009) all argued that, whereas human service needs are increasing, financial support is diminishing. Furthermore, social service nonprofits are being affected by competition from private charities, reductions in funding from the government, and diminished funding from private foundations that support human services. The challenge of securing resources is not new for the nonprofit sector. Organizational leaders and community service organizations have experienced the impact of increased demands from the community combined with limited resources, decreased funding, and increased competition. In addition, many private organizations offer duplicate services with luxury amenities that nonprofits cannot match. Researchers have argued that social service nonprofit managers must be effectively prepared to respond to the constant changes necessary to Running Head: COLLABORATION TO ACHIEVE PROGRAMMATIC CHANGE 13
fulfill their missions and satisfy community needs (Akingbola, 2006; Bryson, 1995; Dees, 1988; Salamon, 2001; Wolf, 1999). One method for addressing increased community needs and securing skills and resources increases the chances that social service organizations will be able to maintain their impact on the community. Eschenfelder (2010) suggested that collaboration is the one strategy that has long been advocated to help nonprofits maximize administrative efficiency and avoid redundant efforts. However, many nonprofit social services have not learned what makes for a successful internal collaborative effort. As a result, internal operational inefficiencies make it even more difficult for social service nonprofits to collaborate with others when the opportunity arises. To this e
A stakeholder view of organizational adaptation to technological change: The case of U. S. state universities, 2003-2012
No full textThis study addressed technological change in the core processes of teaching and
learning in U. S. state universities in the decade from 2003-2012. Institutions of higher
education in the U. S. have faced dramatically complex and rapidly changing operating
environments. In response to these conditions, institutions of higher education have
recognized, adapted to, and adopted new technologies in their core organizational
processes. Technological advances have created the possibility that those core processes
of teaching and learning in higher education may occur as e-learning, rather than
exclusively based in interactions in face-to-face classroom settings.
Recent developments in stakeholder theory focus on identifying and
understanding the nature, range, and intricacy of organizational relationships. The study
showed that stakeholder theory, although created to explain behavior in the private sector,
can also be effective in explain behavior in the public sector. Stakeholder theory was
used to explain how public institutions of higher education interact with their
environments, providing an effective structure for organizing information about systems
of complex relationships.
The research used an evidence-based research process, analyzing published works
that considered instance of institutional adoption of e-learning. Three primary findings
were generated. First, in addition to relationships in the generally accepted primary and
secondary stakeholder categories, hybrid market relationships were found. Second, in the
absence of the profit motive, legitimacy takes prominence over power and urgency in
defining stakeholder salience. Third, interactive stakeholder processes are best described
in terms both of stakeholder engagement and path dependence, not solely in terms of
stakeholder engagement.A stakeholder view of organizational adaptation to technological change:
The case of U. S. state universities, 2003-2012
Robert W. Gould
A Thesis
Submitted to the
Graduate Faculty
of
University of Maryland University College
in Partial Fulfillment of
The Requirements for the Degree
of
Doctor of Management
Supervisory Committee:
Dr. Claudine SchWeber
Dr. Diana Watts
March 22, 2013
ii
Abstract
This study addressed technological change in the core processes of teaching and
learning in U. S. state universities in the decade from 2003-2012. Institutions of higher
education in the U. S. have faced dramatically complex and rapidly changing operating
environments. In response to these conditions, institutions of higher education have
recognized, adapted to, and adopted new technologies in their core organizational
processes. Technological advances have created the possibility that those core processes
of teaching and learning in higher education may occur as e-learning, rather than
exclusively based in interactions in face-to-face classroom settings.
Recent developments in stakeholder theory focus on identifying and
understanding the nature, range, and intricacy of organizational relationships. The study
showed that stakeholder theory, although created to explain behavior in the private sector,
can also be effective in explain behavior in the public sector. Stakeholder theory was
used to explain how public institutions of higher education interact with their
environments, providing an effective structure for organizing information about systems
of complex relationships.
The research used an evidence-based research process, analyzing published works
that considered instance of institutional adoption of e-learning. Three primary findings
were generated. First, in addition to relationships in the generally accepted primary and
secondary stakeholder categories, hybrid market relationships were found. Second, in the
absence of the profit motive, legitimacy takes prominence over power and urgency in
defining stakeholder salience. Third, interactive stakeholder processes are best described
iii
in terms both of stakeholder engagement and path dependence, not solely in terms of
stakeholder engagement.
Keywords: Public higher education, adaptive behavior, technological change, e-learning,
stakeholder theory, stakeholder salience, stakeholder engagement, path dependence
iv
Dedication
To my mother, Beatrice Gould, and my late father, Albert Gould, Hawaii State
Family Court Judge, both of whom always wholeheartedly supported my educational
endeavors, and instilled in me a deep respect of the value and importance of learning
from an early age.
v
Acknowledgments
Many people contributed to the successful completion of this dissertation and
doctoral degree. I very much appreciate the time and expertise that each of them has
shared with me during this process.
I would like to thank each of my faculty members, Dr. James Gelatt, Dr. Michael
Frank, Dr. Diana Watts, Dr. Pearl Steinbuch, Dr. Laura Witz, Dr. John Glennie, and Dr.
Subash Bijlani, for preparing and teaching an outstanding series of courses comprising
the UMUC doctoral curriculum. Dr. Lynda Bourne, CEO, Stakeholder Management
Pty. Ltd., Melbourne, Australia, Dr. Thomas Jones, Boeing Company Endowed Professor
in Business Management, Foster School of Business, University of Washington, and Dr.
James Noland, University of Richmond, each generously offered very helpful and
constructive comments on an early concept paper. Dr. Brett Hamilton, UMUC-Europe,
offered wise counsel on my initial decision to undertake the program.
I would also like to offer considerable thanks to my supervisory committee
members, Dr. Claudine SchWeber and Dr. Diana Watts, both of whom challenged me
throughout to clarify my thought processes and produce the very best possible work. As
well, I would like to thank all of my fellow students in the program; without their support
and advice, it would have been much more difficult to complete the doctoral journey. Dr.
Nick Daher, Webster University, was particularly steadfast in his support during the
lengthy process of the final dissertation rewrites.
Finally, words alone cannot express the thanks that I owe to my wife, Rebekah
vi
Downs. Without her superior patience, good humor, calming presence, and considerable
editing and proof reading skills, it would truly have been impossible for me to complete
this dissertation and the doctoral program.
vii
Table of Contents
Abstract…………………………………………………………………..ii
Dedication………………………………………………………………..iv
Acknowledgments………………………………………………………..v
Table of Contents…………………………………………………………vii
List of Tables………………………………………………………..……xi
List of Figures…………………………………………………………….xii
Chapter 1: Introduction…………………….…………….……...…….….1
Background………………………………………..……..………..1
Significance of the Problem…………………………….………....6
Importance to Management…………………………..…….……..7
Purpose………………………………………………….……..….8
Research question……………………………….……..….…....…9
Chapter 2: Literature Review……………………………......….…....….10
Structure of the Literature Review…………………..…………...10
Topics and Theories………………………………………………10
Introduction and context………………………………….10
Historical development of stakeholder theory…...…..…...12
Stakeholder identification and mapping…..………….…..15
Stakeholder engagement………………………………….20
Stakeholder categorization……………………………..…23
Stakeholder salience…………………………...….….…...23
viii
Stakeholder identification in higher education.……....…..24
Stakeholder identification and sub-groups in U. S. state
universities……………………………………..…26
Stakeholder engagement in U. S. state universities……....32
Technological innovation and operating environments…..33
Technological innovation and higher education…...……..37
E-learning…………………………………………......…..39
Research Proposition Emerging from the Literature
Review……………………………………...…….44
Chapter 3: Conceptual Framework……………………………..………..45
Conceptual Framework and Relevant Literature…………………45
Graphical analysis and synthesis ……………………………..….48
Chapter 4: Research Methodology…………………………………..….51
Evidence-based Research Synthesis in Management Studies…...51
Evidence-based Research Synthesis in This Study……….……..55
Scope………………………………………………………….….57
Time Frame………………………………………….…...57
Specific Institutions…………………………………...…57
Methodology……………………………………….………....….58
Critical Appraisal of the Strength of the Data……..…..….….…..61
Data Extraction and Synthesis………………………….…….…..61
ix
Subject Matter Experts…………………………………………....62
Chapter 5: Analysis…………………………………………………........63
Presentation of Findings and Analysis of Evidence……….….…..63
Market Relationships…………………………………………..….64
Salient Relationships……………………………...…….…….…..66
Interactive Relationships…………………………..…………..….70
Research Question Status……………………………..……..……72
Revised Argument……………………………………..…….……73
Revised Conceptual Framework…………………………………..74
Limitations of the Research………………………………...…..…75
Chapter 6: Conclusions & Implications……………………..……………77
Overall Conclusions…………………………………..……...……77
Practical Implications for Management……………...……….……77
Future Trends and Future Research……………………..…………79
Summary………………………………………………...…………81
Works Cited…………………………….……........................................….82
Appendices………………………………………………………….…….108
Appendix A: Definitions…………………………………………108
Appendix B: Systematic Literature Search Results………………110
Appendix C: Journal Articles Included in Data Set………………112
Appendix D: Summary of Stakeholder Relationship Categories
Observed in Data Set…………………………………..….119
x
Appendix E: Institutions and State Systems Identified in Data
Set…………………………………………………………121
xi
List of Tables
Table 1: The Stakeholder Concept as Theory…………………………….14
Table 2: Stakeholder Groups Identified in Selected Case Studies………..26
Table 3: Selected Stakeholder Groups in U. S. State Universities……..…27
Table 4: Inclusion Criteria…………………………………………..….…60
Table 5: Exclusion Criteria…………………….….…………..…….….…60
xii
List of Figures
Figure 1: Stakeholder View of the Firm…………………………..…..…...17
Figure 2: Basic Two-tier Stakeholder Map………………………..……….18
Figure 3: Stakeholder and Technology Linkages in Higher Education…....43
Figure 4: Proposed Conceptual Framework ………………………….....…49
Figure 5: Revised Conceptual Framework …………………………..….....74
1
Chapter 1: Introduction
Background
Since the 1990s, the operating environment of U. S. higher education has gone
from one that could be characterized as “stable, predictable, and supportive” to one that
has become much more “turbulent, unpredictable, and opportunistic” (Peterson, 2007, p.
173). The 2006 report of the Spellings Commission, prepared at the request of the U. S.
Secretary of Education, identified numerous challenges facing the higher education sector
deriving from these turbulent and unpredictable conditions, including access, cost and
affordability, financial aid, learning, transparency and accountability, and innovation
(U.S. Department of Education, 2006). Overall, there have been many changes in
external conditions, including competition and industry structure (Kinser, 2006), rising
costs (Comm & Mathaisel, 2008), budget cuts (Tucker & Gentry, 2009), technological
change (Wankel & Wankel, 2011), and cultural (Hai-Jew, 2009), social (Smith, 2010,
2011), and ethical concerns (Anderson & Kanuka, 2009). These new circumstances have
impacted organizational processes in U. S. higher education across multiple dimensions.
Institutions of higher education hold a unique position at the center of the
interface of technology and society (Luppicini & Haghi, 2010). They perform complex
social missions, while coping with an overlay of an equally complex involvement in a
competitive market for students and funding (Gould, 2003). Arguably, the central
function of the university is the delivery of knowledge and the development of skills
through the processes of teaching and learning (Brewer & Tierney, 2011). These core
processes, historically comprised only of interactions between faculty and students in
2
face-to-face classroom settings (Brewer & Tierney, 2011), have been in the last decade
and half have been expanded and adapted to include interactions between faculty and
students using technologically driven processes (Allen & Seaman, 2011; Norberg,
Dziuban, & Moskal, 2011).
Advances in technology have brought unprecedented change in the domains of
economics, culture, and society in recent decades (Castells, 2010). The foundation for
technological adaptation in higher education is the “[i]nternet and associated
communication technologies” (Garrison, 2011, p. 2). These communication technologies
employ multiple media, including text, graphics, and audio, and extend the ability for
interaction over both time and distance (Garrison, 2011). The types of technologies
applicable to teaching and learning in higher education can range from the use of
personal response devices (i.e., “clickers”) to provide immediate feedback in a traditional
classroom setting (Terrion & Aceti, 2010) and the use of “Web 2.0” tools, such as blogs,
wikis, social bookmarking, (Porto & Kipta, 2011) and social media (Jootsen & Barth,
2012), to the implementation of massive open online courses (“MOOCs”), registering
multiple tens of thousands of students per course (Thrun, 2012). The most prominent
application of technology to the core processes of teaching and learning in higher
education has involved applying internet-based technologies to the historical face-to-face
classroom experience, creating online learning (Garrison, 2011).
Universities have responded to these conditions, in part, by making significant
changes to how their core services – teaching and learning -- are delivered. The Sloan
Consortium (Sloan-C), the leading non-profit in the field of online learning in U.S. higher
education, defines this process in terms of the proportion of content delivered online. If
3
at least 80% of content is delivered online, then the course is described as involving
online learning. If 30% to 79% of content is delivered online, then the course is
described as blended or hybrid learning. If 0% to 29% of the content is delivered online,
then the course is described as web-facilitated learning. If none of the content is
delivered online, then the course is traditional (Allen & Seaman, 2011). This Sloan-C
definition has been widely accepted in the literature (Brooks, 2012).
The impact of internet-based technologies in U. S. higher education has been
significant; the number of students taking online courses in the U. S. has increased
dramatically over the past decade. Online enrollment, defined as the number of students
taking at least one online course, increased from 1,602,970 in 2002 to 6,142,280 in 2010.
Over this same period, total enrollments at degree-granting secondary institutions only
increased from 16,611,710 to 19,641,140. This means that online enrollments as a
percentage of total enrollments increased from 9.6% to 31.3% (Allen & Seaman, 2011).
A 2011 Pew Research Center survey, done in association with the Chronicle of Higher
Education, of the presidents of 1,055 two-year and four-year private, public, and for-profit
colleges and universities showed that 77% of U. S. institutions of higher education
offer online courses. This number jumps to 89% when four-year public institutions are
considered (Parker, Lenhart, & Moore, 2011). Another 2011 Pew Research Center survey
of a nationally representative sample of 2,142 adults ages 18 and older showed that 46%
of those who had graduated from college in 2000 or later say they have taken a class
online (Parker et al., 2011).
Online, blended/hybrid, and web facilitated delivery modalities have transformed
the overall context of higher education; it has become “difficult to talk about teaching and
4
learning without considering the digital technology that supports the delivery of and
access to education” (Sims, 2008, p. 162). These new technologies simultaneously
represent externally occurring drivers of change and tools for universities to use when
responding to those changes. Accordingly, efforts to adopt new technologies in higher
education are informed by the interactions of multiple intersecting forces (Rossiter,
2007). The recent economic and demographic changes, as well as the technological
factors, have driven an increasing need for organizational response and adaptation (Betts,
Hartman, & Oxholm, 2009). Institutions of higher education have simultaneously been
challenged to adopt the new technologies and to respond to the “new thinking that [new
technology] inspires” (Meyer, 2011, p. 44).
To meet these challenges, institutions of higher education need to develop
institutional abilities that allow them to successfully respond to changing markets (Bok,
2003) and to integrate new practices into existing organizational structures (Ruben, 2007;
Birkenshaw, Hamel, & Mol, 2008; Ng, 2009). The challenges of adopting new
technologies in teaching and learning also offer opportunities for institutions of higher
education opportunities to advance organizational missions and goals (Wildavsky, Kelly,
& Carey, 2011). Multiple, interrelated factors, including enhancing quality,
accommodating technology savvy learners, increasing access and flexibility, developing
technology based skills, and attempts at cost reduction, further complicate the challenge
of adopting technological innovation (Bates & Sangrà, 2011). The complexity of these
factors, and the varied relationships with multiple individuals and groups inside and
outside of the organization, means that the increased incidence of the use of technology
5
in teaching and learning in higher education needs to be understood in the context of
organizational, rather than solely pedagogical, processes (Marshall, 2010).
The organizational processes for adopting the new teaching and learning models
within universities have been impacted by external forces and interactions that are
substantially complex and nuanced. Accordingly, efforts to explain how external forces
impact organizational action under conditions of rapid technological change must be able
to address that complexity.
Recent developments in stakeholder theory focus on identifying and
understanding the nature, range, and intricacy of organizational relationships. While the
original introduction of stakeholder theory (Freeman, 1984) focused on the need for firms
to simply recognize the strategic significance of non-stockholder stakeholders, the theory
has undergone substantial evolution in the intervening three decades. Freeman’s recent
work focuses on the nature and value of collaboration and engagement, rather than co-optation
or appeasement (Freeman, Harrison, & Wicks, 2007; Freeman, Harrison, Wicks,
Parmer, & de Colle, 2010.). These relationship-based approaches to stakeholder
interaction are highlighted both in recent theoretical streams that emphasize processes of
stakeholder identification and mapping (Preble, 2005; Bourne, 2010) and stakeholder
engagement (Svendsen, 1998; Morsing & Schultz, 2006). Stakeholder theory is therefore
well-suited for use in the analysis of relationships between organizations and complex
operating environments.
However, “[a]s originally formulated, stakeholder theory is a theory about
(business) organizations” (Freeman et al., 2010, p. 163). While it has been designed to
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support analysis of organizations in the private sector, the key concepts of stakeholder
theory are clearly applicable to public organizations (Bryson, 2004).
Significance of the Problem
Higher education plays a central role in human capital development, leading to
innovation, and thus to economic development (Aghion, 2008). Institutions of higher
education are part of the fuel of societal innovation, in a “triple helix,” integrating the
roles of the university, industry and government (Etzkowitz, 2008). The importance of
this role is further highlighted by the implications of the on-going global transition to the
knowledge economy (Smith, 2010, 2011).
An increasing volume of new publications and reports on this topic area
emphasize the current relevance of this topic. As noted above, the report of the Spellings
Commission (U.S. Department of Education, 2006) identified numerous challenges
facing higher education in the U.S. U. S. Department of Education, Office of
Educational Technology (2010) argues the need for increased access to technology at all
levels of education to increase long-term productivity. The Gates Foundation emphasizes
the technological innovation in increasing access to higher education (Bill & Melinda
Gates Foundation, 2009), while the New Media Consortium focuses on the educational
application of emerging technologies (Johnson, Adams, & Cummins, 2012). Popular
works such as Kamenetz (2010) and Davidson and Goldberg (2010) chronicle key factors
that characterize changing environmental conditions, addressing the impact of the
relationship between technological and social issues on the higher education sector. As
well, international governmental reports, such as those prepared on behalf of UNESCO
7
(e.g., Altbach, Reisberg, & Rumbley, 2009; Meek, Teichler, & Kearney, 2009),
emphasize the importance of these issues at the global level.
Changes in technology are impacting both organization and pedagogy in higher
education (Massy, 2003; Marshall, 2010; Garrison, 2011). Simultaneously, technological
changes in higher education teaching and learning feed back to society more generally,
impacting society’s ability to understand, create, direct, and implement technological
change and innovation (Rhoades, 2007; Smith, 2010, 2011).
U.S. state universities have historically educated a majority of both the
undergraduate and graduate students in the U.S. (McPherson, Gobstein, & Shulenburger,
2010), while facing particular challenges to competitiveness due to ongoing pressures on
public funding for higher education (McPherson, Shulenburger, Gobstein, & Keller,
2009). The ability o
A role for cross-functional teams in community college strategic performance
No full textCommunity colleges today face a challenging mix of flat or declining resources at a time of increasing expectations and demands. Access and affordability, long standing pillars of the community college movement, are threatened by the economic climate as well as the “New Normal” expectations of higher productivity through increased completion rates. This study examined how cross-functional teams could contribute to increased efficiency and effectiveness through the realization of improved strategic performance in community colleges. The analysis examines twenty-one studies from higher education and industry through a lens of context, process, and outcomes to determine those elements that are critical to successful cross-functional teams and improved strategic performance. The synthesis results in a framework for teams that may be employed by community college leaders to create teams that can achieve results despite limited human and financial resources. The study posits that teams can contribute significantly to improved student success as an outcome, but does not definitively establish greater economic efficiency as an outcome.A ROLE FOR CROSS-FUNCTIONAL TEAMS IN
COMMUNITY COLLEGE STRATEGIC PERFORMANCE
Joseph T. Nairn
A Thesis
Submitted to the
Graduate Faculty
of
University of Maryland University College
In Partial Fulfillment of
The Requirements for the Degree
of
Doctor of Management
Mary Kay Shartle-Galotto, Ph.D. and James Tschechtelin, Ed.D.
August, 2013 A ROLE FOR CROSS-FUNCTIONAL TEAMS IN COMMUNITY COLLEGE
STRATEGIC PERFORMANCE
ii
Abstract
Community colleges today face a challenging mix of flat or declining resources at a time of increasing expectations and demands. Access and affordability, long standing pillars of the community college movement, are threatened by the economic climate as well as the “New Normal” expectations of higher productivity through increased completion rates. This study examined how cross-functional teams could contribute to increased efficiency and effectiveness through the realization of improved strategic performance in community colleges. The analysis examines twenty-one studies from higher education and industry through a lens of context, process, and outcomes to determine those elements that are critical to successful cross-functional teams and improved strategic performance. The synthesis results in a framework for teams that may be employed by community college leaders to create teams that can achieve results despite limited human and financial resources. The study posits that teams can contribute significantly to improved student success as an outcome, but does not definitively establish greater economic efficiency as an outcome.
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Dedication
This dissertation is dedicated to my wife, Terri Lynn Shaffer Nairn, who believed in me when I did not, supported me when I despaired, and cheered me on when I most needed it. You are my love, my friend, my everything, always and all ways.
To my children, Caitlin, Thomas, and Craig, who make me proud every day. You are a source of inspiration and hope for me. I love you all more than words can describe.
And finally, to my parents, who sadly did not live to see me complete this journey. I hope I have made you proud. You inspired me and made me who and what I am, thank you.
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Acknowledgments
I would like to acknowledge the support I received from family and friends who accepted that I could not always make time while I completed this process, who graciously allowed me the time and space to finish. I want to thank Dr. Barbara G. Risser, President of Finger Lakes Community College, for her support and encouragement as I traveled this path literally and figuratively. I thank my colleagues at FLCC for their interest and emotional support as I made progress toward this goal.
I want to thank Dr. Mary Kay Shartle-Galotto for her unflagging support, even when I was unsure if I had taken the wrong turn in my work. I appreciate your willingness to take my calls whenever, wherever and to give me advice and needed perspective.
Thank you also to Dr. Jim Tschechtelin, while you joined our group in the latter stage of our journey, your consistent support and unwavering positive attitude made a huge difference. We do indeed become what we think.
The other members of my cohort have become good friends and colleagues, and I thank them all and wish them the best going forward. Rick, Johnnie, Lydia, Ed, Claudia, Trish, and the others who started with us, thank you for your friendship, support, and sharing. Together, we have learned so much.
Finally, this trip would not have been the same without the camaraderie I enjoyed with Terry Keys and Larry Dugan, the other “fun guys” who made every residency an adventure, kept things loose when we needed perspective, and made it through nine epic “road trips.” I may have made it without you two, but it would not have been nearly as much fun!
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© Copyright by
Joseph T. Nairn
2013
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Table of Contents
Chapter
1 INTRODUCTION ..................................................................................................... 1
Statement of Problem ................................................................................................. 1
Statement of Purpose ................................................................................................. 2
Context or Background Related to the Problem ........................................................ 3
Factors That Affect the Success of Cross-functional Teams ..................................... 7
Theoretical Bases ....................................................................................................... 9
Strategic Thinking and Planning .......................................................................... 9
Organizational Culture ......................................................................................... 10
Change Management ........................................................................................... 11
Horizontal Integration/Cross-functional Teams .................................................. 12
Research Questions .................................................................................................... 14
Definition of Terms.................................................................................................... 14
Significance................................................................................................................ 17
Summary .................................................................................................................... 19
2 LITERATURE REVIEW .......................................................................................... 20
Approach .................................................................................................................... 21
Strategic Planning ...................................................................................................... 22
Organizational Culture and Leadership ..................................................................... 24
Change Management ................................................................................................. 27
Cross-functional Teams ............................................................................................. 31
Viewing the Literature through “The New Normal” ................................................. 34
Summary .................................................................................................................... 37
3 CONCEPTUAL MODEL .......................................................................................... 39
Conceptual Model ...................................................................................................... 42
Essential Elements ..................................................................................................... 48
Cross-functional Teams ....................................................................................... 48
Internal and External Inputs ................................................................................. 49
Strategic Planning ................................................................................................ 50
Strategic Performance .......................................................................................... 51
Innovation ............................................................................................................ 51
Summary .................................................................................................................... 52
4 RESEARCH METHODOLOGY............................................................................... 53
Rationale for Systematic Review ............................................................................... 53
Research Design......................................................................................................... 55
Key Words and Search Criteria ................................................................................. 56 A ROLE FOR CROSS-FUNCTIONAL TEAMS IN COMMUNITY COLLEGE
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Chapter
4 Research and Retrieval ........................................................................................ 61
(con’t) Classifying the Research ...................................................................................... 62
Review Process .................................................................................................... 63
Evaluation of Literature Reviewed ............................................................................ 67
Expert Opinions ................................................................................................... 67
Subject Matter Experts ............................................................................................... 76
Experts ................................................................................................................. 77
Summary .................................................................................................................... 78
5 ANALYSIS AND DISCUSSION............................................................................. 82
Expert Panel Analysis and Responses ....................................................................... 82
Overall Comments and Recommendations .......................................................... 87
Response to the Findings of the Expert Reviewers ............................................. 88
Analysis of the Literature Reviewed .......................................................................... 89
Analytical Matrix ................................................................................................. 93
Summary of Studies ................................................................................................. 100
Findings and Tentative Conclusions ........................................................................ 101
Study Limitations ..................................................................................................... 107
Summary .................................................................................................................. 108
6 IMPLICATIONS FOR PRACTICE, AREAS FOR FUTURE RESEARCH AND FINAL CONCLUSIONS ...........................................................................................109
Framework .................................................................................................................110
Context .................................................................................................................110
Process .................................................................................................................111
Outcomes .............................................................................................................112
Implications for Management Practice in Community Colleges ...............................113
Recommendations for Future Research .....................................................................114
Conclusion .................................................................................................................115
APPENDIX A ........................................................................................................................117
REFERENCES ......................................................................................................................118
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i
List of Tables
Table
1 Productivity and the Three Dimension Model ........................................................... 35
2 Key Words and Contextual Application .................................................................... 58
3 Results of Pairing Themes and Key Words ............................................................... 59
4 Literature Relevant to Topics: Qualitative Studies .................................................... 68
5 Literature Relevant to Topics: Quantitative Studies .................................................. 73
6 Literature Relevant to Topics: Expert Opinions ........................................................ 76
7 Analytical Matrix ....................................................................................................... 93
8 Practices of Effective Organizations ........................................................................ 106
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List of Figures
Chapter
1 Higgins’ (2005) Eight S’s strategy execution model in alignment ............................ 4
2 Higgins’ (2005) model with non-aligned elements ................................................... 5
3 The ABCs of strategic planning ................................................................................. 43
4 Integrated Planning process elements ........................................................................ 44
5 Factors influencing strategic performance in community colleges ........................... 45
6 Applying the conceptual model ................................................................................. 46
7 Diagnostic model for cross-functional teams ............................................................ 48
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Chapter 1
INTRODUCTION
Statement of Problem
Community colleges are no strangers to strategic planning and performance. As community resources and centers for workforce development, community education, and traditional higher education activities (e.g., preparation for transfer), community colleges have long engaged in processes of environmental scanning and assessment of strengths, weaknesses, opportunities, and challenges (Bryson, 2004; Cross, 1983; Greer, 1999; Groff & Cope, 1985), while also focusing on satisfying an array of internal and external stakeholders. The current climate of diminishing state support coupled with constrained local resources has resulted in a “new normal” where community colleges and other institutions of higher education must plan to increase efficiency while also maintaining their focus on student success, serving the college’s broader mission (Budd, 2011; Lumina Foundation, 2010), and addressing external and internal standards of accountability.
Higher education is a human resource intensive undertaking and improvements in efficiency require “working harder, often with less” as well as “working smarter, not just harder,” as noted at the 2010 Lumina National Productivity Conference. State and local budgets have been reduced while expectations placed on community colleges have increased. The Obama administration’s 2009 community college initiative recognized the challenges community colleges face, but has not addressed the resource requirements necessary to meet increased demands from financially-constrained families, dislocated workers, underprepared learners, and A ROLE FOR CROSS-FUNCTIONAL TEAMS IN COMMUNITY COLLEGE
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workforce investment boards (Kellogg & Tomsho, 2009). Addressing the gap between demands and available resources involves improving productivity measures, engaging in administrative reforms, and strategically reducing payroll, benefits, and consumables (Lumina Foundation, 2010), while continuing to focus on student success and completion.
Given resource constraints, limits on tuition increases, higher expectations, public and private sector pressures to meet workforce needs, and the mission to return value to the community, community colleges currently face a kind of “perfect storm” in trying to meet their missions (Blose, 2010). Taking the Lumina Foundation’s “working smarter, and often with less” caution, a compelling need clearly exists to examine the community college mission and functions and, through a focus on strategic performance, seek opportunities for operational efficiencies and enhanced student success and completion.
Statement of Purpose
Strategic plans in community colleges and throughout higher education are developed through collaborative and inclusive processes that address issues presented by internal and external stakeholders. The resulting plans often specify goals and activities that are assigned to operational units or divisions. The purpose of this study was to examine how a cross-functional approach, similar to the collaborative and inclusive process of planning, can be realized to facilitate greater efficiency and effectiveness as measures of strategic performance. As community college strategic plans address “student success” and “completion,” cross-functional teams with their shared responsibilities and accountability increase in criticality. Plans that cross divisional lines and areas of responsibility should recognize the important role of cross-functional teams and more horizontally-oriented organizational structures. This study was primarily concerned with examining the connection between cross-functional team strategies and A ROLE FOR CROSS-FUNCTIONAL TEAMS IN COMMUNITY COLLEGE
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the ways in which community colleges can work across functions and divisions to facilitate student success and completion, or strategic performance. While student success and completion may be the college’s superordinate goals, cross-functional teams should also result in cost savings to the institution (efficiency) and provide relief from financial pressures. Together, the emphasis on teaming for effectiveness and efficiency should result in greater strategic performance by the entire college organization.
Context or Background Related to the Problem
Planning is an essential activity for any organization and lends legitimacy through ceremony and engagement. Organizations without plans may be perceived as reactive, directionless, and lacking in vision. Strategic planning adds even greater status and legitimacy to organizations as they set direction and take a long-term view (Goho & Webb, 2003; Mintzberg, 1994). To be successful, community colleges must link the needs of the external stakeholders, noted in the statement of the problem above, with planning for effective decision-making (Goho & Webb, 2003). The plan as a product is critical, but the process of strategic planning is of equal importance. Stakeholder participation throughout the college and community is essential to gaining acceptance of the plan and direction. In this way, the planning process may be “transformative” when strategic planning focuses on the evolution of the college, leading to the ability to adapt to change, greater organizational resiliency, creativity, and recognition of the importance of strategy to the organization (Goho & Webb, 2003).
The process of developing strategic plans in higher education is, as stated above, an inclusive and collaborative process, while the execution of the plan, or strategic performance, falls to the functional units. Leaders of successful community colleges and organizations recognize that execution of the strategy is of equal or greater importance than the formulation of A ROLE FOR CROSS-FUNCTIONAL TEAMS IN COMMUNITY COLLEGE
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the strategy (Higgins, 2005). Higgins’ Eight S’s strategy execution model, based on McKinsey’s Seven S’s first introduced by Peters and Waterman (1982), is a cross-functional approach to implementing strategic change and achieving strategic performance that is drawn from business and industry, with application to higher education. The Eight S’s, as re-conceived by Higgins, are: Strategy and purpose, Structure, Systems and processes, leadership Style, Staff, reSources, Shared values, and Strategic performance. An organization where the elements are aligned for optimal strategic performance appears as:
Figure 1. Higgins’ (2005) Eight S’s strategy execution model in alignment A ROLE FOR CROSS-FUNCTIONAL TEAMS IN COMMUNITY COLLEGE
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Where the elements are not aligned, because of a change in leadership, a poorly communicated change in strategy, or weak internal communications, the model appears as:
Figure 2. Higgins’ (2005) model with non-aligned elements
The eighth “S” in the model, Strategic Performance, is derived from the other seven S’s and is an overall measure of organizational success. Performance can be quantified at any