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Role of national ecosystems of innovation in competitiveness of corporations in global economy
No full textThe increasing dispersal of knowledge and technical expertise across nations is
leveling the field of traditional competitive advantages. Scholarly work supports the
view that a nation’s capacity to innovate and commercialize new technology products
plays a central role in the growth and competitiveness of its firms. While market
forces are important, national policies play a significant role in encouraging or
inhibiting those forces and influence corporate strategies. Each country evolves its
own innovation profile and the firms operate within a framework of a national system
of innovation in which they are embedded.
The conceptual framework developed in this paper depicts linkages between different
elements of the national innovation system and is based on the concept of the ideainnovation
chain by Hage & Hollingsworth (1997), MONIT studies in OECD (2002)
and Romer model (1990) of endogenous growth. The structuring of various
components of the conceptual framework would serve as a device to understand
relationship between institutional context, organizations and overall performance.
Four levels of analysis are reflected in the conceptual model: meta-institutions,
national institutional frameworks, sectoral resources, and innovation performance
indicators.
The dissertation explores the factors that enhance innovative activity through a
national system of innovation with particular reference to India in light of the
experiences of innovation systems in other countries with special reference to USA
(for its high level of innovation) and Japan (for its ability to outstrip developed
economies). The effects of the economic liberalization on Indian industry sectors and
companies are examined and broader implications on the practice of management are
discussed.The Role of National Ecosystems of Innovation
in Competitiveness of Corporations in Global Economy
Subash Bijlani
A Thesis
Submitted to the
Graduate Faculty
of
University of Maryland University College
In Partial Fulfillment of
The Requirements for the Degree
of
Doctor of Management
Dissertation chair
Dr. Michael A. Evanchik
April, 2010
i
ii
To my parents Khanchand and Jassie,
whose sacrifices and support helped me achieve my dreams.
To my wife Shireen,
son Nikhil & his wife Angela,
daughter Nivedita & her husband Varun
whose encouragement helped me complete the doctoral journey.
iii
Table of Contents
Acknowledgements iv
Abstract vi
Executive Summary viii
Chapter 1. Introduction 1
Chapter 2. Literature Review
2.1 Introduction 20
2.2 Economics and innovation
2.3 Innovation systems in a global economy
2.4 Regional, sectoral, and national perspectives
2.5 National systems of innovation
2.6 Institutional architecture and organizational structures
2.7 Measuring innovative performance
Chapter 3. Conceptual framework 54
Chapter 4. Effects of the model on individual Indian firms 67
Chapter 5. Benefits to Indian firms from the recommendations 87
Chapter 6. Implications of the conceptual model on management 106
References 129
Appendices
Appendix 1: Expert feedback: Summary of experts’ evaluation 151
Appendix 2: Action on expert comments and feedback 152
Appendix 3: Sample letter to experts 157
Appendix 4: Web of Science activity 158
iv
Acknowledgements
I am deeply indebted to the Chair of my research committee, Dr Michael Evanchik,
for his guidance in bringing focus to my dissertation topic and his painstaking efforts
in going through my several drafts. He has been of enormous support and a source of
great encouragement. Dr. Evanchik’s comments, together with those of Dr Yung Chi
Sung in initial stages, helped me with critical reviews, develop the conceptual model
and with keeping on track.
My expert commentators – Prof. Rishikesha T. Krishnan, Indian Institute of
Management, Bangalore, Mr. Lemuel Lasher, Computer Sciences Corporation, Dr. R.
A. Mashelkar, FRS, CSIR Bhatnagar Fellow, Dr Sudhendu Rai, Xerox Corporation,
Dr. Sujai Shivakumar, The National Academies, and Mr. Vandy Van Wagener,
Evergreen Innovation Partners - provided valuable direction and several mid-course
corrections. I am grateful for their time in reading my draft and providing outstanding
feedback in writing and over many phone calls.
I liken the academic courses of Doctoral of Management program at UMUC as
drinking from a fire hose and I want to acknowledge my gratitude to the faculty who
saw me through these courses: Dr. Michael Frank (Foundations of Management
Theory and Strategic Thinking), Dr. Claudine SchWeber (Leadership, Enterprise
Change and Virtual Management), Dr. Saad Laraqui (International Finance and Global
Operations), Dr. Yung-Chi Sung (Research Methods), Dr. John Saunders (Enterprise
v
Continuity and Information Assurance), and Dr. Thomas Mierzwa (Innovation and
Sustainable Development).
Cynthia Thomes in Information and Library Services helped me greatly with
understanding and using library tools.
vi
Abstract
The increasing dispersal of knowledge and technical expertise across nations is
leveling the field of traditional competitive advantages. Scholarly work supports the
view that a nation’s capacity to innovate and commercialize new technology products
plays a central role in the growth and competitiveness of its firms. While market
forces are important, national policies play a significant role in encouraging or
inhibiting those forces and influence corporate strategies. Each country evolves its
own innovation profile and the firms operate within a framework of a national system
of innovation in which they are embedded.
The conceptual framework developed in this paper depicts linkages between different
elements of the national innovation system and is based on the concept of the idea-innovation
chain by Hage & Hollingsworth (1997), MONIT studies in OECD (2002)
and Romer model (1990) of endogenous growth. The structuring of various
components of the conceptual framework would serve as a device to understand
relationship between institutional context, organizations and overall performance.
Four levels of analysis are reflected in the conceptual model: meta-institutions,
national institutional frameworks, sectoral resources, and innovation performance
indicators.
The dissertation explores the factors that enhance innovative activity through a
national system of innovation with particular reference to India in light of the
vii
experiences of innovation systems in other countries with special reference to USA
(for its high level of innovation) and Japan (for its ability to outstrip developed
economies). The effects of the economic liberalization on Indian industry sectors and
companies are examined and broader implications on the practice of management are
discussed.
viii
Executive Summary
There is a revival of interest in the issue of what causes the rise and fall of the wealth
of nations. The concern with competitiveness has led to creation of national
comparative indices such as the Global Competitive Report by World Economic
Forum (WEF), World Competitive Report by the Institute for Management
Development (IMD), and measures of changes in countries’ competitiveness such as
the relative price or cost indices published by the International Monetary Fund (IMF).
The idea of the national systems of innovation (NSI) was developed by a number of
neo-Schumpeterian, or evolutionary, economists to explain why certain national
economies achieved competitive success in certain historical periods and how certain
countries were able to surpass them at other times. The central premise of NSI
approach is that changes in institutional paradigms determine the way a society
encourages or inhibits innovation. Studies show that government policies affect
national competitiveness, through supporting the infrastructure and collective
governance outside the scope of individual firms and facilitating the formation of
linkages, networks, and interactive connections. Innovation process is embedded in a
seamless web of social forces that enable and constrain the innovative behavior of the
firm. The competition for economic leadership has led countries to introduce a range
of mechanisms to improve their competitiveness.
ix
While several definitions of NSI are found in literature, its conceptual framework
provides a basis for understanding of various factors and their linkages in enhancing
national innovation. It assists in formulation of hypothesis and identifying areas of
research. The conceptual model in this dissertation suggests an idea-innovation cycle
to highlight the influence of institutions on the process of innovation through the
organizations involved, the linkages of the institutional framework to the supporting
institutions, the importance of culture, legacies and path dependencies and how
enhanced innovative performance in turn affects national policies and institutional
frameworks. Institutions help structure incentives and supply of resources under which
firms develop their competencies for innovation. This, in turn, leads to changes in
economic and social environment that create a new ambience for emergence of new
frameworks.
The research question focuses on how innovative activity can be enhanced through a
national system of innovation with particular reference to India in view of the
experiences of innovation systems in USA (for its high level of innovation) and Japan
(for its ability to outstrip developed economies). The proposed hypothesis is that
opening of Indian economy to internal and external competition – reflected in
elimination of industrial licensing, lowering of tariff walls, permitting FDI in
manufacturing and service sectors, and reforms in the financial, educational and
administrative sectors – enhances innovation measured by proxy indicators such as
patents, export of high technology products, FDI flows, and formation of new
enterprises.
x
This study would help policy makers introduce policies to suit their national contexts
and the firms in making location decisions to strengthen global innovatory
competitiveness following the eclectic paradigm of MNE activity. To industry
associations, it would provide an understanding to help them advocate framing and
implementation of appropriate legislation.
1
Chapter 1
Introduction
The opening up of national economies and trade liberalization over last three decades
and the emergence of new economies have led to global dispersal of knowledge and
technical expertise. They are leveling the field of traditional competitive advantages.
The increasing number of patents granted to foreign companies by the U.S. Patent and
Trademark Office (Patel, 1995) and the relationship between number of patents issued
in the US to various foreign companies and their shares of world exports are a
reflection of this trend. (Soete, 1981).
To businesses and policy makers, the engaging question about innovation is not what,
but how innovation can be sparked and sustained. The notion of systems of innovation
has been studied over last two decades to understand the social fabric that encourages
and supports these developments (Schmoch, Rammer, & Legler, 2006). It has been
used, on the one hand, to explain how institutions and organizations interact to
generate and use technology. On the other, it has been used to understand how
innovation impacts trade and diffusion of information and knowledge across borders
and is, in turn, influenced by the globalization of markets (Meeus & Oerlemans,
2005).
2
Traditionally, profits have derived from wage cost advantage (e.g., lower wage rates,
greater intensity of work) and market positions (e.g., higher final product price, lower
input costs). In this classical view, competitive edge, and therefore profit, arises
through exchange and distribution and, consequently, the way production is organized.
This has been the dominant perspective of most economists over the last two
centuries, from neo-Ricardians to post-Marxists. It is a zero-sum game in which gains
are limited as costs are driven ever-lower and protected markets get eroded. Profits are
squeezed and the rewards of ‘economies’ are passed on to workers and suppliers.
In more current view, profits are increasingly driven by technological change.
According to Cantwell (1999), the capacity to innovate and commercialize new
technology products plays a central role in the growth and competitiveness of firms
and wider economies, and to the trade balances of national economies. This is the
perspective of Schumpeter (1939) who introduced the idea – far-reaching at the time –
that macroeconomic equilibrium is being constantly destroyed by entrepreneurs’
innovations. Schumpeter (1939) argued that the innovation and technological change
of a nation comes from the entrepreneurs who are the vanguard of innovations.
Successful innovations force existing technologies and means of production to lose
their positions and disturb the normal flow of economic life. Innovation is a positive-sum
game, in which the economic pie keeps getting bigger- ‘the rising tide’ lifts all
boats. Both historical and recent evidence accords well with this model (Cantwell,
1989, 1992).
This macro-economic perspective is also supported by the concept of ‘disruptive
technology’ introduced by Clayton Christensen in his article he coauthored with
3
Joseph Bower (Christensen & Bower, 1995) and further developed in his book
(Christensen, 1997). The term was later replaced by the term ‘disruptive innovation’
(Christensen & Raynor, 2003). Christensen’s theory of disruptive innovation
describes a process by which products and services cause threat to existing market
leaders by competing from unexpected directions and displace established competitors
e.g., replacement of film photography by digital photography and fixed line telephony
by cell phones. It reinforces the identification of radical technical change in the study
of innovation by economists and connects with Schumpeter’s idea of the destruction
of macroeconomic equilibrium by entrepreneurs’ innovations.
Technological innovation was at the heart of the leadership of Britain in the Industrial
Revolution in the late 18th and middle of 19th century. This was due to ‘ecology’ of a
number of factors. The technological and economic gap Britain opened up with other
countries was based on the invention of the steam engine and a slew of related product
and process innovations and institutional frameworks. The development of factory
system which hadn’t existed before this time couldn’t have developed without better
transportation which couldn’t have existed without the growth of the iron industry,
which couldn’t have grown without steam engines. These developments also
coincided with decline of feudalism that freed farm labor for industrial jobs and the
guild system that gave freedom to setting up new businesses. At the time, the social,
political, and legal conditions were particularly favorable to change. Property rights,
such as patents on mechanical improvements, were well established. The stable rule of
law in Britain meant earnings were safer, the government’s free-market approach
permitted ideas to flourish with little interference or regulation (Mokyr, 1998, pp. 1-
127).
Historical
Great
Britain
4
The Second Industrial Revolution began mid-nineteenth century and centered on the
United States and Germany. They overtook Britain at the end of the 19th century,
followed by then ‘newly industrializing countries’, such as Netherlands, Sweden,
Switzerland, and Italy, even though many early innovations were made in Britain. The
national innovation systems in Germany and the USA had grown more suited to the
diffusion and exploitation of new applications in areas such as precision engineering,
electric trains, and skyscrapers. The main institutional advantages of Germany and the
USA were the professionalization of engineering and management, the introduction of
full time, salaried managers, new management structures, new forms of ownership,
for example, the limited liability company; specialized management functions such as
accounting and marketing; in-house R&D, the introduction of changes in production
organization such as division of labor, and automation, all of which increased the flow
of products through the system (‘Fordism’). Equally, there were developments in
education, especially in science and technology, with new institutions such as the
Technische Hochschulen in Germany and the Institutes of Technology in the USA
(Miozzo & Walsh, 2006, p.144).
In US the enabling social environment was provided by the “Reconstruction
Amendments” in the decade after the Civil War. These included the Thirteenth
Amendment, outlawing slavery, the Fourteenth Amendment to guarantee citizenship
for all people born or naturalized within U.S. and the Fifteenth Amendment granting
the vote for all men regardless of race. The Civil Rights Act of 1875 forbade
discrimination in the service of public facilities. These initiatives brought a wider
cross-section of community into economic activity. The rapid expansion of American
USA
5
industry that followed was supported by a legislative framework that included the
Civil Service Act, making competitive examination for government jobs compulsory,
the Interstate Commerce Act, allowing free movement of goods between states, and
the Sherman Antitrust Act that outlawed monopolies.
The stringent provisions of the Sherman Antitrust Act passed in 1890 made
agreements among firms for the control of prices and output liable to prosecution. The
firms resorted to mergers to control prices and markets. The influence of antitrust
policy extended to industrial research as firms increased reliance on industrial research
and innovation to offset the effects of antitrust prosecution. Industrial research
supported corporate diversification and the use of patents helped steer clear of the
Antitrust law. The research laboratories focused on creating intellectual property by
in-house research and also scanned the environment to acquire new technologies.
By the end of 19th century, American industrial production and per capita income was
ranked No.2 in the world behind Great Britain and became the most powerful
economy by mid 20th century (Woloch & Johnson, 2008).
Japan was responsible in the post-World War II period for the more successful
diffusion of technology and applications than the USA, even though much of the
original science and technology and some innovation had been carried out in the USA.
It helped Japan open up a technological gap with other countries (Freeman 1987).
Japan has gone through two periods of economic development since the mid-nineteenth
century. The first began in the Meiji period (1868-1912) and continued till
Japan
6
the World War II. Western-based education system was made available and students
were sent to the United States and Europe. More than 3,000 Western teachers were
hired to teach science, mathematics, technology, and foreign languages in Japan. The
government built infrastructure and introduced land reforms.
The impact of World War II on the Japanese economy was devastating. World War II
wiped out many of the gains Japan had made since 1868. The second period of
economic development began in 1945 after the World War II and continued into mid-
1990s. During both periods, the Japanese government encouraged economic change
by setting national goal to make Japan powerful and wealthy so that its independence
could not be threatened.
In the process of catching up, Japan followed a dual track: encouraging importation of
advanced technology and developing a strong domestic technology base. The key
features of the Japanese NIS in this period were: government promotion of innovation
and strategic industrial policy through restriction of imports and direct investment -
through the Ministry of International Trade and Industry (MITI), mass education to
create skilled workforce, the network of firms, keiretsu, a close relationship between
suppliers and customers, and new production practices such as the Just-in-Time (JIT)
system and fast die changes (Miozzo and Walsh, 2006, p.144).
An important consequence of restrictive investment policy in the 1950s and 1960s was
that the Japanese industries remained mostly in the hands of Japanese shareholders.
FDI in Japan continued to be low even after capital liberalization in the 1970s. Foreign
firms could exploit their superiority in Japan mainly by selling their technology
7
(Odagiri & Goto, 1993). To evaluate, adapt, and improve imported technology, those
who imported technology, also invested in their own R&D. Blumenthal (1976) and
Odagiri (1983) found a significant correlation between the amount of royalty
payments for imported technology by Japanese firms and their R&D expenditures.
While internal markets – both for products and services – were protected, an export
led growth led the Japanese companies to compete aggressively in the international
markets. As a latecomer to modernization, Japan was able to avoid some of the trial
and error earlier needed by other nations to develop industrial processes. In the 1970s
and 1980s, Japan improved its industrial base through technology licensing, patent
purchases, and imitation and improvement of foreign inventions. In the 1980s,
industry stepped up its research and development, and many firms became famous for
their innovations and creativity. Institutional changes were significant in the rise of
Japan’s competitiveness in world markets (Freeman, 1987).
After independence from nearly two centuries of the British colonial rule in 1947,
attaining economic independence through self-reliance in economic development was
the main driver of early policy makers in India. The British dominance had taken place
through the ascendancy of East India Company that began t
Final Edition of the DE Oracle @ UMUC - DE Oracle
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An Online Learning Magazine for UMUC Faculty
Center for Support of Instruction
Final Edition of the DE Oracle @ UMUC
CSI Staff
Staff Writer
Center for Support of Instruction
Published: November-December 2012
Category: » Events
"When you know better, you do better."
― Maya Angelou
As UMUC prepares to embark on an exciting new strategic plan with expanded goals for teaching and
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A Rose by Any Other Name: The Use of Honorifics in University Adult Education - DE Oracle
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An Online Learning Magazine for UMUC Faculty
Center for Support of Instruction
A Rose by Any Other Name: The Use of Honorifics in University Adult
Education
Linda Di Desidero
Professor
School of Undergraduate Studies
Published: November-December 2012
Category: » Online-pedagogy » Classroom-communication
(NOTE: This research has been supported by a UMUC Faculty Research Grant)
Introduction
One of the decisions that professors of adult students immediately face is: How should your students
address you? And how should you address them? Do you want to be on a first-name basis with your
students, or do you prefer that they use an honorific, such as "Dr." or "Ms." or "Professor"? While this
question may seem like a minor one, the way in which students and professors refer to each other is
crucial to creating a strong classroom environment—on campus or online—in which collegial
relationships are transparent and in which the lines of authority are clearly drawn.
As someone who studies language and communication, I have been intrigued by these and related
questions throughout my long teaching career. Many professors grapple with this issue: While you want
to assert your authority and your expertise as a professor, you don't want to seem condescending
—particularly to adult students—by according yourself with a title (albeit one that you have earned).
With adult students, you would think that a first-name basis would be fine. We are all adults, after all,
and many adult students have had more life experience than their professors have had. But I am
always surprised to find that many students are not comfortable when they are on a first-name basis
with the professor. I recently discovered an explanation for their discomfort by analyzing the discussion
board conversations in my online classroom using a theoretical framework from studies of language in
social interaction.
This short article offers a brief summary of facework as an identity resource, applying its concepts to
the discussions in my capstone class to explain student behavior associated with the use of honorifics
in student-faculty interaction.
Face and Identity
Identity is complex; it is formed via symbolic communication with
others within and across diverse contexts, cultures, and channels.
Establishing identity helps individuals interpret experience and
create meaning. While individuals display specific aspects of identity
in specific social situations, the framing of individual identity in a
situation is embedded within and dependent upon discourse
practices (Fairclough 2001; De Fina, et al., 2006). Thus, the drive to
create, construct, enact, and display identity may be understood as
the basis for the discursive choices that individuals make as they
interact.
In the online university classroom, negotiating and enacting identity
A Rose by Any Other Name: The Use of Honorifics in University Adult Education - DE Oracle
via symbolic communication is typically limited to different forms
of writing, much of it on the discussion board. The social practice
of writing in the online discussion frames both the ways in which
individuals present themselves as well as the ways in which they
help to define and build the online class community (and
community identity). Because the class discussion board invites students to negotiate and enact
complex identities, it constitutes a rich environment in which to observe, analyze, and understand the
ways in which students implement particular discourse strategies that help them both to display their
own identities and to engage with the enacted identities of others.
A central way in which individuals manage identity in discourse is through the concept of "face" and the
discourse actions of facework. "Face" may be viewed as our public self-image; it is the view of
ourselves that we present to others and that we and they act upon in specific contexts (see Goffman,
1959; Brown & Levinson, 1987; Ting-Toomey, 2004; Domenici & Littlejohn, 2006). "Face" is mutable,
fluid, and variable. In given situations, face accrues and evolves as community members enhance
concepts of individual and collective face over time.
In a classroom group, students conduct facework to establish, honor, and affirm the positive values of
both the individual face and the group face—in this case, the face of students in a particular class or
major. People use facework to enhance their own faces and to respond to the facework of other
individuals with supportive or non-supportive facework strategies.
All individuals have two general face needs that appear to conflict: (1) independence, or the need to
operate autonomously, unimpeded by others; and (2) involvement, the need to be seen as connected
to a group, an identity, or an idea. As individuals use facework strategies to enact and display identity,
they are constantly negotiating these two needs (Scollon, et al., 2012).
All communication presents potential risks or threats to face. Individuals typically draw on one of two
types of culture-driven discourse strategies to address these threats: solidarity strategies and
deference strategies. Individuals can express solidarity in conversations by claiming common ground
and by expressing agreement with the speaker. Individuals can express deference by hedging or
apologizing, by flattering, and by using honorifics (or formal titles of address such as "Dr." or
"Professor").
An individual's selection of discourse strategies in a particular situation is also informed and constrained
by perceptions of power and social distance. When there are asymmetrical social relations between
individuals, one person may "talk down" to the other person, who may be expected to reciprocate by
"talking up" to the other, depending on the context.
As communication acts and relations continue, individuals may engage in preventive facework designed
to protect from threats to self-face or group-face, or they may engage in restorative facework designed
to rebuild face after an attack. The Western concept of "saving face" is related to these goals.
So how does this framework help us understand what happens in the online classroom when students
and professor address each other?
Honoring the Face of the Professor
Patterns of facework strategies are reflected in and influenced by student perceptions of power and
authority in the online classroom. Students' facework is constrained by these perceptions. In order to
understand how this happens, I analyzed the facework of students in their discussion board postings in
my recent online class, COMM 495: Senior Seminar in Communication Studies.
When I teach face-to-face, I typically introduce myself to the class with something like: "Hi, everyone.
My name is Dr. Linda Di Desidero. Feel free to call me Linda, or Dr. Di, or Professor—whatever makes
A Rose by Any Other Name: The Use of Honorifics in University Adult Education - DE Oracle
you feel comfortable." This puts the ball squarely in the student's court: Each student can make the
choice, and I won't have to do it myself. However, when I teach online, it's up to me to assert how I
would like to be addressed.
The given authority in this specific class was the professor (me). I saw these senior scholars as
competent and talented adults, and I did not want to emphasize my authority and the social distance
between us by using my title. I consistently used my first name ("Linda") in signing the class
announcements and in signing my individual discussion board posts to students.
I was rather perplexed to see that most students continued to address me as "Dr. Di Desidero" or
"Professor" persistently throughout the course. I had anticipated that, eventually, they would feel a
reduced social distance between us and become comfortable enough to address me by my first name.
Almost none of them did.
The persistence of most students in using a term of deference with me has led me to doubt my own
facework strategy of using my first name with them. While my facework in this regard—the decision to
use my first name and not my title—had been grounded in a motivation to reduce distance and threat
to face as well as to create an atmosphere that would be inviting to senior scholars in a seminar
setting, it did not work that way at all. In fact, my own facework had the opposite effect: I only
succeeded in presenting continued threats to face by persisting in using my own first name and in
resisting their attempts to defer to me.
Some students seemed unfazed by my ill-advised attempts to reduce social distance, and they simply
addressed me by my title throughout the course, in all discussions. But some students were clearly
confused by how best to honor my face—that is, they did not know if they should continue to defer to
me, or if they should honor my obvious breach of power distance and begin to address me by my first
name, even though it seemed to flout some of the cultural constraints against this behavior. Not
wanting to insult me by using my first name, and not wanting to insult me by not behaving as I clearly
wanted them to, these students stopped using a form of address with me altogether. They did not
address me by name in discussion board postings or in other messages at all.
Several students employed additional facework strategies to honor the face of the professor in their
posts. In addition to using my title, some students displayed deference by acknowledging my need for
autonomy. For example, Sarah posted "Thank you for your time" following every post that she made to
me. She did not post such a message to her peers.
Conclusion
What does this brief analysis mean for adult education? The implications here are that the
undergraduate adult students in this particular capstone course preferred to behave within the
traditional boundaries delineated by a cultural recognition of the professor's authority within the
classroom. My experience in this class leads me to understand that professors may need to provide
students with the comfort of a certain degree of social distance. Professors can cooperate with their
students in facework that allows the students to defer to the professor's authority. A student's refusal
to engage with a professor on a first-name basis should not be viewed as defiance, but rather as a sign
of respect and honor.
Selected References
Brown, P., & Levinson, S. (1987). Politeness: Some universals in language usage. Cambridge, UK:
Cambridge University Press.
De Fina, A., Schriffrin, D., & Bamberg, M. (2006). Discourse and identity. Cambridge, UK: Cambridge
University Press.
Domenici, K., & Littlejohn, S.W. (2006). Facework: Bridging theory and practice. Thousand Oaks, CA:
A Rose by Any Other Name: The Use of Honorifics in University Adult Education - DE Oracle
Sage.
Fairclough, N. (2001). Language and power. Harlow, UK: Pearson Limited.
Fowler, R., Hodge, B., Kress, G., & Trew, T. (1979). Language and control. London, UK: Routledge &
Kegan Paul.
Fowler, R., & Kress, G. (1979). Critical linguistics. In R. Fowler, et al., Language and control (pp.
185-213). London, UK: Routledge & Kegan Paul.
Foucault, M ([1978] 1990). The history of sexuality, vol. 1. (R. Hurley, Trans.). New York, NY: Vintage.
Goffman, E. (1959). The presentation of self in everyday life. New York, NY: Anchor/Doubleday.
Goffman. E. (1967). Interaction ritual: Essays on face-to-face behavior. New York, NY:
Anchor/Doubleday.
Lakoff, G., & Johnson, M. (1980). Metaphors we live by. Chicago, IL: University of Chicago Press.
Maltz, D.N., & Borker, R.A. (1982). A cultural approach to male-female miscommunication. In J. J.
Gumperz (Ed.), Language and social identity (pp. 196-216). Cambridge, UK: Cambridge University
Press.
Scollon, R., Scollon, S., & Jones, R. (2012). Intercultural communication: A discourse approach. West
Sussex, UK: Wiley-Blackwell.
Ting-Toomey, S. (2004). The matrix of face: An updated face-negotiation theory. In W. Gudykunst
(Ed.), Theorizing about intercultural communication (pp. 71-92). Thousand Oaks, CA: Sage.
Ting-Toomey, S., & Kurogi, A. (1998). Facework competence in intercultural conflict: An updated
face-negotiation theory. International Journal of Intercultural Relations, 22(2), 187-225.
About the Author(s)
Linda Di Desidero is the director of the Leadership Communication Skills Center at Marine Corps University in Quantico, VA.
She was formerly the academic director of the Communication Studies & Professional Writing program at UMUC, where she
still teaches courses in theory, sociolinguistics, grammar, technical writing, and gender and language. She holds a PhD in
linguistic theory from Northwestern University as well as EdM and BA degrees in English, German, and English education from
Rutgers University. For the past several years, Di Desidero has served on the executive board of the College English
Association-Middle Atlantic Group, having served for two years as its president and five years as the associate editor of
CEA-MAGazine. In 2012, she was elected to a three-year term on the National Executive Board of the College English
Association. Her recent professional work includes publications, presentations, and grant awards in writing pedagogy, rhetoric
of professional writers, and critical/discourse analytic approaches to literature, language, and film. She has been active in
regional and national organizations such as CEA, NCTE, CCCC, SSCA, and MCA, as well as the international organizations
CASDW and EARLI.
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Partnership between National Science Foundation and University of Maryland University College: Research about the mentoring program at the University of Maryland University College
No full textThis session will demonstrate the importance of evaluating training using Kirkpatrick’s levels, especially levels one, two and three. Training must be evaluated. Most agencies spend money on level one, but actually training should evaluated using multi-levels.Research about the Mentoring Program at the University of Maryland University College
A Partnership Between National Science Foundation and University of Maryland University College Researchers
Liliana Meneses, Ph.D. Interim Director Human Resource Development and Global Business Programs UMUC
Gwyn Robson, Ph.D. Instructional Systems Developer National Science Foundation Adjunct Professor UMUC
Thank You
Marie Cini, Ph.D. Dean University of Maryland University College (UMUC)
Pamela Witcher, Ph.D. Director of Faculty Development Programs UMUC
Thank You
Husein Abdul-Hamid Associate Vice President of Evaluation and Assessment UMUC
Paul Barsnica Certified Performance Technologist Instructional Technology Office National Science Foundation •
Been around for thousands of years
•
Diversity in Definitions
MENTORING 5
•
Process within contextual setting
•
Relationship
•
Networking, Counseling, Guiding, Instructing, Modeling, Sponsoring
•
Developmental Mechanism
•
Social and Reciprocal
MENTORING THEMES IN DEFINITION UMUC GLOBAL UNIVERSITY
Educating non-traditional students from diverse:
Experiences, Goals, Ages, Vocations, Academic backgrounds,
Locations Course Delivery Method
To Obtain Degrees
Online
Face to Face
Hybrid FACULTY: FULL TIME, NEW , AND ADJUNCT
Practitioners with Advanced Degrees Academic Knowledge and Real Life Experience With diverse vocations, experiences, goals, ages, backgrounds, and locations PROFESSIONAL DEVELOPMENT ALIGNED VISION
Professional Development
•
Aligned to vision of higher education institutions
•
Ultimate goal of preparing faculty member Online interactions enhance professional development
•
Time and Distance no longer barriers ONLINE DEVELOPMENT PROGRAMS
Improve Instructor Performance Spirit of Constructive Dialogue to Exchange Ideas about:
•
Address need for ongoing professional development
•
Encourage scholarship of teaching
•
Enhance student satisfaction Benefits and Impact demonstrated
Through:
•
Improved performance
•
Strengthened teaching
•
Clarification learning needs
•
Retention, Satisfaction, Enhanced caliber of online instructors
•
Greater familiarity with practices, culture
•
Informed personnel decisions
Mission of UMUC’s Mentoring Program
Draw together Two Professionals In Spirit of Constructive dialogue Exchange ideas about Good Teaching
•
Styles
•
Strategies
•
General teaching Philosophies
UMUC’s Online Mentoring Program
Emphasis on Facilitation Skills
Curriculum Redesign and Learning Model
Principles and Implications
•
Faculty Engagement
•
Student Collaboration
•
Active Learning
•
Frequent and Prompt Feedback
•
Time on Task
•
High Expectations
•
Respect for Diversity
Three Key Purposes of Training Evaluation
•
Improve the program
•
Leverage Training Effectiveness
•
Demonstrate the value of Training
EVALUATION OF TRAINING KIRKPATRICK’S FOUR LEVELS
Level 1:Research Questions
To What Degree did…
•
Level 1 Reaction Participants react favorably to mentoring program
•
Level 2 Learning Participants acquire the intended use of the Learning Model
•
Level 3: Behavior Participants apply Learning Model in their classroom
•
Level Four: Results Targeted Outcomes Occur
EMAIL EXPLAINING RESEARCH
Email sent to mentors and mentees (onsite) In BPP program:
•
Telling the group about the research and asking for participation Participation in Study
Seventy Four total Participants
39% of total group
37% of mentees 42% of mentors Level 2 Learning
Level 2 Dashboard with a scale of 0-5
0= Not applicable
1= Little or no understanding of the objective;
2= basic understanding of the objective but can’t demonstrate it;
3=understanding the objective and can demonstrate it with assistance;
4= Can demonstrate the objective without assistance;
5= Can demonstrate the objective and teach others to do it.
0
Not Applicable
1
Little or no understanding of the objective
2
Basic understanding of the objective, but can’t demonstrate it
3
Understands the objective and can demonstrate it with assistance
4
Can demonstrate the objective without assistance
5
Can demonstrate the objective and teach others to do it.
Before the Mentoring
Program
After the Mentoring program
0
1
2
3
4
5
Objectives
0
1
2
3
4
5
Faculty Engagement
Participate fully and frequently in classroom discussions, welcoming student input but offering guidance and commentary to deepen the discussion
Dashboard Mentee Self-Assessment Kirkpatrick’s Level 2 Mentee Self-Assessment of Most Learning Growth
Principles of Learning Model
Before
After
Frequent and Prompt Feedback
2.8
4.4
Faculty Engagement
2.5
3.8
High Expectations
2.8
3.7
Respect for Collaboration and Communication
2.8
3.5 Mentee Self-Assessment of Most Learning Gains
Principles of Learning Model
Before
After
Time on Task
2.8
3.3
Active Learning
4.0
4.3 Level 3 Behavior
Mentors rate mentees on number of times they saw each principle in the Learning Model demonstrated in mentees classroom
Mentees Had Required Drivers for Behavior to Change
Support
Reinforce
OJT
Checklists
Modeling
Encourage
Mentoring
Coaching
Reward
Intrinsic
Paycheck
Accountability
Monitor
Work Review
Dashboard
Observation Mentor Rating of Mentee Using Observed Skill
Observed Skill
Technique Used to Demonstrate Skill
(TUDS)
Unexpected Results
(UR)
Recommendations
(R)
NA Number of Times Mentor Observed Principle in Mentee Classroom
Principles of Learning Model
Total Number of Times in the Classroom
High Expectations
Time on Task
Faculty Engagement
Frequent and Prompt Feedback
Student Collaboration and Communication
Respect for Diversity
Active Learning
89
74
56
56
47
46
4 Number of Times Mentor Made Recommendations on Learning Model Principle
Principles of Learning Model
Number of Times in the Classroom
Student Collaboration and Communication
Faculty Engagement
Time on Task
Frequent and Prompt Feedback
High Expectations
Active Learning
Respect for Diversity
10
6
4
3
1
1
0 Summary
Mentees learned and applied the Learning Model in classroom (Kirkpatrick Levels One and Two)
Mentees made the most growth in Frequent and Prompt Feedback
Mentees made the least growth in Active Learning
Mentors saw High Expectations the most in the mentees’ classroom
Mentors saw Active Learning the least in the mentees’ classroom
Mentors made recommendations the most on Student Collaboration/Communication.
Mentors did not make any recommendations on Respect for Diversity Questions and or Recommendations
Should mentors be given the Learning Model to assess the mentees?
Should students evaluations move toward being student focused and less on content or instructor focused?
Are students confident and committed in applying what they’ve learned to the work situation?
Do students have the required drivers to succeed?
Recommendations: More role clarification as to what the mentor and mentee responsibilities are:
Who runs the program? Does the mentor make interventions or wait unit the mentee asks
Social networking: The essence of innovation
No full textCollaboration and social networking are key elements for fostering innovation in organizations. They are also essential components of building a knowledge management strategy for an organization. “Social Networking: The Essence of Innovation” will highlight concepts, issues, applications, and trends toward applying social networking, knowledge management, and collaborative principles for increasing innovation. Social network analysis will also be briefly discussed as a way to map knowledge flows and gaps in organizations.Jay Liebowitz
Orkand Endowed Chair in Management and Technology
Graduate School of Management & Technology
University of Maryland University College
[email protected]
Web 2.0: Replaced by the term “social media tools” (making connections between people)
Web 3.0: Semantic Web (making connections with information; content created by computers rather than humans; search engines will be smarter to interpret the context of your request)
Web 4.0: Intelligent Web (uses AI to make decisions; can “reason”; will “think and make” decisions in relation to user searches and content) KMWorld, June 2009
Forrester (Forrester.com) predicts that social networking will account for nearly half of the $4.6 billion market it forecasts for Web 2.0 products by 2013 KM
BI
CI
Strategic
Intelligence September 9, 2009, Credit Union Times
Society of Human Resource Management study (April 2009):
•Organizations that optimize knowledge management are leaders in their fields.
•“While some firms may view knowledge management as nice to have, proactive organizations see it as a key component of an effective business plan.” “About 95% of my assets walk out the front door every evening and my job is to bring them back the next day.”
- Jim Goodnight CEO Of SAS 1 Internal KS and external knowledge acquisition positively complement product innovation (Yang, 2011)
KS and knowledge acquisition are enablers of continuous innovation (Kianto, 2011)
Explicit KS has significant effects on innovation speed and performance, while tacit KS has more significant effects on innovation quality (Wang & Wang, 2011) (Wallace et al., Int. Journal of Info. Mgt., Vol. 31, 2011)
Bibliometric analysis and a content analysis on KM literature based on 21,596 references from 2,771 source publications
27.8% used no identifiable research methods
Of the remaining refereed articles:
•60% employed mainstream social sciences research
•40% used provisional methods as a substitute for more formally defined or scientifically-based research methodologies Benbya and van Alstyne, MIT Sloan Management Review, Winter 2011.
Infosys: 17,000 employee consulting and information technology company in Bangalore
Internal knowledge market called “K-Shop” (with virtual knowledge currency units)
MIT Center for IS Research showed that companies with above-average information reuse experienced 4% higher margins and 12% higher revenue growth in 2009 than companies with below-average reuse. Kane et al., VINE, 2010
Synergy exists between KM and EL through social networking
T. Rowe Price uses a wiki-based collaborative KM tool
Sun Microsystem’s collaborative learning environment includes wiki-driven capabilities with their LMS
Shell’s e-learning integrates KM (web-based expertise dictionary, KS forums, and centers of excellence) “Sharing Tacit Knowledge Online: A Case Study of E-Learning in Cisco’s Network of System Integrator Partner Firms”
Hildrum, Industry and Innovation Journal, 2009
Main conclusion: Advanced e-learning systems—particularly remote laboratories—make possible efficient sharing of tacit knowledge between internationally dispersed technicians
Cisco uses online networks of practice and local communities of practice “Generational differences significantly impact employee attitudes and outcomes in the workplace. If firms are unable to modify their cultures and work environments to adequately meet the needs of their younger generation employees, they will continue to experience high levels of dissatisfaction and turnover.”
- James W. Westerman
and Jeanne H. Yamamura Important as critical success factors for cross-generational knowledge flows:
Shared understanding refers to having a mutual conveyance and agreement of ideas that are shared between two parties.
Reciprocity refers to being willing to share one’s knowledge because given a similar situation, the knowledge recipient would share •Intrinsic worth of knowledge refers to the value and merit of the knowledge being conveyed. A subset of overlapping values to reduce generational gaps is also important to lead to a common, shared understanding.
•Convenient knowledge transfer mechanisms need to exist for cross-generational knowledge flows so that “user adoption” will be enhanced. These knowledge transfer mechanisms could be either codified or personalized approaches to sharing knowledge.
•Interpersonal trust and respect for each other will enhance knowledge sharing as well. KM
BI
CI
Strategic
Intelligence T. Bingham, T&D, August 2009
ASTD and i4cp conducted research on informal learning:
•98% of those surveyed say that informal learning enhances employee performance
•However, 36% dedicated no money to informal learning and 78% dedicated 10 percent or less of the training budget to it
•Web 2.0 Study (ASTD/i4cp/Booz Allen): only a small minority of companies are using Web 2.0 technologies in learning “Yet, in most corporate settings, the informal organization is poorly understood, poorly managed, and often disregarded as inconsequential.”
The Informal Organization (Katzenbach Partners, 2007)
Katzenbach Partners/Booz & Company
The Word Gets Out Fast
“Change” Isn’t a Dirty Word
Collaboration is the Default Mode
Employees are Tapped In
Stories Demonstrate Values 22 23 24 25 26 27 28 K Area
Isolate
Transmitter
Receiver
Carrier
Context
329
133
190
46
Exp. Pr
361
126
171
40
General
378
118
162
42
Process
442
110
109
37
Relation
445
94
121
38
Strategic
396
113
151
38 30 Techniques like SNA can provide added insights into the grapevine effect and can facilitate innovation and informal learning
Cross-generational knowledge flows and knowledge retention & transfer will become increasingly important to organizations
E-Learning will continue to play an important role for stimulating learning and creativity
These areas will add to the strategic intelligence of the organization Question
Behavioral finance: Contributions of cognitive psychology and neuroscience to decision making
No full textBehavioral Finance is a field of study that attempts to explain how and why individuals and groups actually make financial decisions, as opposed to how “rational” theory dictates they should make such decisions. Findings from Cognitive Psychology & Neuroscience relevant to both financial decision making AND general management decision making.Behavioral Finance: Contributions of Cognitive Psychology and Neuroscience to Decision Making
2012 National Business and Economics Society Conference Maui, Hawaii
March 7-10, 2012
James A. Howard, Ph.D. Agenda
1.Overview – Five Paradigms
2.Background: Rules of Thumb/Heuristics Paradigm
3.Background: Rational Being/Theory Paradigm
4.Cognitive Psychology/Behavioral Finance Paradigm
5.Neuroscience Paradigm
6.The Future: The Unconscious Paradigm
7.Conclusion
2 Overview – Five Paradigms
Behavioral Finance (Def): A field of study that attempts to explain how and why individuals and groups actually make financial decisions, as opposed to how “rational” theory dictates they should make such decisions.
Findings from Cognitive Psychology & Neuroscience relevant to both financial decision making AND general management decision making
3 Knowledge Accumulation/Evolution – Financial/General Decision Making
4 Background: Rules of Thumb/Heuristics Paradigm
5
•Finance considered a proto science, based on experience, heuristics, simple analytics from 1800s through 1940s
•Mental shortcuts-Bounded rationality (Simon)
•Predominant influence on financial decision making through mid 1940s
•Especially relevant when uncertainty, lots of information, urgency Some Useful Heuristics
•Pareto Principle
•Use the Best (copy/benchmark)
•Take the First Recognized
•Fast & Frugal Trees (Checklists)
•Finance-Related
oPayback Criterion
o1/N (allocate an average amount)
oFull Cost Pricing
oGraham & Dodd Investment Rules
oLivermore Trading Rules
6 Background: Rational Being/Theory Paradigm
7
•Borrow Von Neuman & Morgenstern (1944) theory of expected utility (EU)
•Assumes individuals make decisions according to EU (rational)
•“Rational” decision maker makes decisions that represent Completeness (can rank order all alternatives), Transitivity (B>A, C>B, then C>A), Continuity (if A>B & B>C, then there will be a combination of A & C where individual is indifferent to B
•Golden age of Financial Theory (1950-1972): Modern Portfolio Theory, Theory of Capital Structure and Dividends, Capital Asset Pricing Model, Efficient Markets Hypothesis, Black-Scholes Option Pricing Model Expected Utility - Example
8
Risk Averse Decision Maker: U(EP=3000) > U(P) or U(3000) > U (.50*1000 + .50*50000) The utility of the expected prospect/gamble [U(EP=3000)] is greater than the utility of the gamble [U(P)]. The point on the curve where expected utility (EU) intersects the curve is the point where the individual is indifferent between that amount for certain and a gamble that pays either 5,000, each with a probability of .50. Note that this amount is less than the expected value of $3,000 because the individual is risk averse. Cognitive Psychology/Behavioral Finance Paradigm
9
•Slovic JF (1972) paper on the importance of emotions in decision making and the fact that theory ignores influences of emotions
•Psychologists Kahneman & Tversky development of Prospect Theory (1973, 1974, 1981), based on experiments that decision behavior violates rational assumptions of EU Violations of Rational Assumptions Cognitive Psychology
•Biases - Excessive Optimism - Overconfidence - Confirmation - Illusion of Control - Hindsight - Conservatism
•Heuristics - Representativeness - Availability - Anchoring - Affect
•Framing Effects - Glass Half Empty/ Half Full - Loss Aversion - Aversion to a Sure Loss
10 Biases and Heuristics Framework- (As Counterpart to Traditional Finance’s Asset Pricing Framework)
Biases are the predispositions to commit specific types of errors
Think of heuristics as information processing shortcuts (rules of thumb) that mainly result from one’s experiences in a field of work. Of course, such simplifying shortcuts are great- until we consider that heuristics, by nature, are imperfect; and consequently, will result in biases and errors.
Behavioralists argue that both heuristics and biases are in fact systematic and can last for long periods of time and can affect the prices of investments for long periods of time.
11 Biases
Excessive Optimism
When people overestimate how frequently they will experience favorable outcomes, and underestimate how frequently they will experience unfavorable outcomes
Overconfidence
When people make mistakes more frequently than they believe and view themselves as better than average
Confirmation
When people attach too much importance to information that supports their views relative to information that runs counter to their view
Illusion of Control
When people overestimate the extent to which they can control
outcomes.
Hindsight
When subjects, after learning the eventual outcome, give a much higher estimate for the predictability of that outcome than subjects who predict the outcome without advance knowledge
Conservatism
Shows as an attachment to past analyses, practices, beliefs, and commitments even when they start to prove erroneous, counterproductive, even unsustainable
12 Heuristics
Representativeness
When people try to determine the probability that a data set A was generated by a model B, or that an object A belongs to class B, they often use the representativeness heuristic. This means they evaluate the probability by the degree to which A reflects the essential characteristics of B.
Availability
When people rely on information that is readily available and intuitive relative to information that is less salient and more abstract
Anchoring
When people form an estimate by beginning with an initial number and adjusting to reflect new information or circumstances. However, they tend to make insufficient adjustments relative to that number, thereby leading to anchoring bias
Affect
When people base their decisions primarily on intuition, instinct, and gut feeling
13 Framing
Framing effects in decision situations arise when different imagery and
descriptions of the same problem highlight different aspects of the outcomes.
People generally evaluate acts based on the direct consequences of the act, such as the money lost or gained. That is, people generally evaluate acts in terms of a mental account, which includes only the direct consequences of the act. In other words, choices (decisions) more often than not depend on the manner in which alternatives are framed (described) and presented to us; a no-no proposition in expected utility theory. The frame that a decision maker adopts is controlled partly by the formulation of the problem and partly by the norms, habits, and personal characteristics of the decision maker.
14 Framing
Glass Half Empty/Half Full
Preference for an option depends upon whether choices are couched in terms of probabilities of success or failure
Aversion to a Sure Loss
When subjected to a loss from a starting endowment, there is a tendency to hold the investment/project until break even, irrespective of whether the outlook is positive or negative for future performance.
Risk Aversion
When there is a gain, the tendency is to take the small gains (too soon) with the idea one is now playing with house money.
15 The Effect of Emotion
Herding/Bubbles - Research conducted to explain the formation and bursting of bubbles provides strong support for the position that humans are motivated to follow the path that the herd is on in circumstances where emotions run high or where there are perceived risks/costs with deviating from the path being taken by most.
Example: Parker & Prechter (2007) analyze a number of stock market bubbles and crashes and conclude that cycles of optimism and pessimism feed on each other, resulting in extreme levels of optimism and eventual reverses in asset prices. When the optimism has run its course and asset prices decline, it appears virtually everyone resets their expectations becoming pessimistic and asset prices crash as extreme price declines are realized.
More on the impact of emotion in the discussion of neuroscience contributions.
16 Hyperbolic Discounting
Contrary to theory, individuals do not apply a constant discount rate over time to anticipated future rewards. The further an event lies in the future, the less people care about it and the less it is affected by hyperbolic discounting.
Example: Propensity people have for short term rewards largely accounts for saving less and consuming more in the short term. Accounts for under saving for retirement and destructive short termism driving many decisions in the corporate world.
17 Cognitive Psychology Contributions - Summary
•The initial publications by Slovic, Kahneman, & Tversky attracted a great deal of interest and evolved into the related field of study, behavioral finance.
•The lack of a standard taxonomy in financial decision/behavioral errors has detracted from overall coherence
•Best Strategy for avoiding decision errors is to know yourself, develop emotional intelligence
18 Neuroscience Paradigm
19
•Since the mid-1990s, the fMRI (functional magnetic resonance imaging) device has been employed to observe changes in brain blood flows in response to various experimental situations.
•The fMRI scanner applies a strong magnetic field to the subject and records the variations of the magnetic field caused by an increase in blood flowing to the brain.
•This provides indirect evidence of the interaction of different parts of the brain in reacting to rewards/pleasure, fear/pain/anger. The Brain – Reward and Loss Circuits
20
•Brain has three major regions: most ancient part Brain stem: midbrain (reptilian), next oldest, the center of emotions or the limbic system (dogs), and the cerebrum/prefontal cortex where rational thought and decision making occurs
•Reward circuit – dopamine released to nucleus accumbens, increased blood flow and message to prefrontal cortex to act
•Loss circuit – amygdala stimulated and release message to prefrontal cortex to act Findings from Neuroscience….More
•In a study by Knutson et al. (2001) they found that NAcc activation represents gain prediction, while amygdala/ anterior insula activation represents loss prediction (Paulus et al., 2003).
•Importance of dopamine in stimulating gain circuit (diminishing returns):
-Unanticipated gain - Strong reaction and feeling of pleasure in the gain circuit transmitted to the prefrontal cortex
-Gain equal to anticipated gain – Small or no reaction in the gain circuit
-Gain less than anticipated – Activity in the loss circuit of the limbic system, particularly the anterior insula
•Some supporting explanation for evidence of momentum in stock prices and the forming and bursting of bubbles
21 Findings from Neuroscience….More
•Neuroscience has helped to clarify and provide a physiological basis for the hypotheses and cognitive psychology findings (poor decisions driven by biases, heuristics, framing effects) published for the past three decades. Observed outcomes in the form of financial decision making represent how the limbic system is working with the prefrontal lobes
•Risk-seeking choices (such as gambling at a casino) and risk-averse choices (such as buying insurance) may be driven by two distinct neural mechanisms involving the nucleus accumbens (NAcc) and the amygdala.
•Financial decision making is the result of the interactions of the limbic system (demanding action) with the frontal lobes (evaluating and deciding) of the cerebrum.
22 The Next Frontier: The Unconscious Paradigm
23
•Appears current state of neuroscience cannot tell us much more about the brain and decision making
•Mercier & Sperber (2011) argue that what researchers have labeled as biases and heuristics may be more accurately captured as a general unconscious confirmation bias
•Experimental evidence implies up to 90% of human behavior originates at the unconscious level: genetic/instincts, culture, repressed experiences, internalized experience/knowledge Approaches for Unlocking the Unconscious
•Next generation of neuroscience tools
•Advances in knowledge about the effects of brain “chemicals”: oxytocin, vasopressin, dopamine, serotonin on decision making
•More comprehensive, multidisciplinary teams in research efforts
•Include stakeholders from sociology, psychology, medicine, anthropology when interpreting results
24 Conclusions/Summary
•In the past 100 years, we have accumulated much knowledge about how we make financial decisions
•Many findings from research are equally applicable to general management decision making
•This knowledge accumulation may be described as a combination of 5 paradigms, with different paradigms being dominant at different points in time
•In spite of all the research, experimentation, observation, and application, at critical times, financial decision making is poor at all levels of society is poor
•Recent research in neuroscience implies that up to 90% of our behavior originates at the unconscious level
25 Conclusions/Summary….Continued
•Research going forward should focus on unlocking how decision making behaviors originate in the unconscious
•Research design and execution should involve multidisciplinary teams: neuroscientists, psychologists, medical experts in brain chemicals, sociologists, anthropologists, and perhaps more
•Organizations should focus more on debiasing training as a means promote “emotional intelligence” and help its managers make better decisions in general
2
Impact of direct instruction on student perception of teaching presence in online learning
No full textAbstract: The Community of Inquiry framework (Anderson, Rourke, Garrison, & Archer, 2001) posits that teaching presence is one of the three interdependent elements of a deep and meaningful learning experience. Significant research has been done using this model in the online environment; however, more work is needed to understand the impact of specific indicators on student perception. This study examined the impact of “direct instruction” (Garrison, Anderson & Archer, 2000) on student perception of “Teaching Presence”, as defined by the CoI framework by using an action research approach (Fraenkel, Wallen & Hyun, 2012) and a comparison-group experiment methodology. The independent variable (direct instruction) was a weekly recorded lecture, aided by a powerpoint presentation, applied in the experimental group. The dependent variable was teaching presence as perceived by students measured through means of the Community of Inquiry survey instrument. Although the group with the direct instruction scored higher on seven of the ten items in the survey, the difference was not statistically significant. The results of this study reveals the need for further studies that investigate the interaction between the three dimensions of the model for better predictive value.Liliana Meneses & Ben White Impact of Direct Instruction on Student Perception of Teaching Presence in Online Learning
Faculty Grant Summary Report
Submitted to:
Jay Liebowitz
Stephen Miller
Wendy Williams
*This manuscript is currently being completed for submission and publication in the IJAS journal. The research was accepted for presentation at the Conference of the International Journal of Arts and Sciences, in Cambridge, MA, May 27-31, 2012.
Abstracts and summarized articles will be published in the proceedings entitled Conference of the International Journal of Arts and Sciences, in CD-ROM format (ISSN 1943-6114). The full length manuscripts will be published in the International Journal of Arts and Sciences, also in CD-ROM format (ISSN 1944-6934).
1. Introduction
Empirical findings indicate that asynchronous, online collaboration is as effective as face-to-face collaboration in terms of learning, quality of solution, solution content, and satisfaction with the solution quality. However, students seem to be significantly less satisfied with the asynchronous learning experience, both in terms of the group interaction process and the quality of group discussions. (Ocker and Yaverbaum (1999).
The availability of faculty in online courses must have an impact on professors who are used to a scheduled teaching time (in a face-to-face environment) and set hours (published office hours) for when they are available to address students’ concerns. As McAnally-Salas, Espinosa-Gómez, and Lavigne (2011) point out the overall attitude of professors toward online teaching is favorable, but that doesn’t subsequently mean that professors have the skill set to teach an online course. The “millennial generation” (born after 1980; Mayadas et al., 2009) has been raised using technology in every aspect of their lives, so it stands to reason that online education may become the preferred method of instruction among that generation.
Mayadas et al (2009) sum it up well:
“Because the professoriate is aging, not all faculty members wish to acquire the skills needed to engage with millennial students who befuddle them with wikis, blogs, Web casts, virtual worlds, and course management systems. To ease their transition to this new teaching agenda, many institutions provide support for instructors to transfer their courses to the online modality. Faculty members who subscribe to the mantra “I can’t teach them if I can’t look them in the eye” will slowly become obsolete except in some exclusive colleges. The millennials are changing the way teaching and learning must be approached. Mobile learning with podcasts, text messaging, and Virtual worlds will be the future norm, giving faculty new tools through which to extend and enhance the educational experience” (p. 52)
Based on this literature, the authors hypothesized that the use of podcasts and voice overs on presentations in the online classroom might increase student satisfaction and student perception of faculty presence in the classroom. The CoI model served as a framework for this study. The Community of Inquiry framework (Anderson, Rourke, Garrison, & Archer, 2001) posits that teaching presence is one of the three interdependent elements of a deep and meaningful learning experience.
2. Methodology
This study examined the impact of “direct instruction” (Garrison, Anderson & Archer, 2000) on student perception of “Teaching Presence”, as defined by the CoI framework . This study used an action research approach (Fraenkel, Wallen & Hyun, 2012) and a comparison-group experiment methodology. The independent variable was direct instruction through means of a weekly recorded lecture, aided by a powerpoint presentation, applied in the experimental group. The dependent variable was the measure of teaching presence as perceived by students through means of the Community of Inquiry survey instrument.
Our goals were:
a) to examine the impact of direct instruction on online students’ learning experience
b) to contribute to the research and literature around communities of inquiry in
online environments
c) to inform best teaching practices and faculty training at UMUC
Four classes were used in this study, all of which were HRMN 367 (Organizational Culture) classes. The syllabus, readings, and assignments were the same for all four classes. The amount of interaction online and in the conferences (by the faculty) was measured to be the same.
Two classes (the experimental group) received direct instruction in the form of a recorded lecture, aided by visual media such as powerpoint slides, spreadsheets, or graphics. The other two classes (control group) received handouts and notes, but did not receive direct instruction in the online classroom. Two faculty taught these classes, each faculty taught an experimental group, and a control group.
10 items that pertain to the indicator of Teaching Presence, in the Community of Inquiry Survey Instrument (Arbaugh, Cleveland-Innes, Diaz. Garrison, Ice, Richardson, Shea & Swan, 2008), were collected in an online survey. Students were asked to respond to this survey at the end of their course. Additionally, students were given an opportunity to make comments or suggestions regarding teaching presence in their classroom.
3.1. Raw Data Results
Series 1 = With PPT voiceover
Series 2 = Without PPT voiceover
1.The instructor clearly communicated important course topics.
2.The instructor clearly communicated important course goals.
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Series23.The instructor was helpful in identifying areas of agreement and disagreement on course topics that helped me to learn.
4.The instructor was helpful in guiding the class towards understanding course topics in a way that helped me clarify my thinking.
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6.The instructor encouraged course participants to explore new concepts in this course.
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Series27.Instructor actions reinforced the development of a sense of community among course participants.
8.Instructor helped to focus discussion on relevant issues in a way that helped me to learn.
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Series29.The instructor maintained an active presence in the classroom.
10.The instructor presented direct instruction on the course topics.
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Series23.2. Comparative Data Results
3.3. ANOVA Results
An ANOVA test was performed to test for significance between the two groups:
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Anova: Single Factora0.05SUMMARYGroupsCountSumAverageVarianceData129.434.7150.00245Data229.574.7850.00845Data329.554.7750.00125Data429.444.72.0002Data529.554.7750.00125Data629.644.820.0032Data729.554.7750.00125Data829.584.790.0002Data929.754.8750.00045Data1029.434.715.00405ANOVAAccept Null Hypothesis because p > 0.05 (Means are the same)Source of VariationSSdfMSFP-ValueF critBetween Groups0.04514590.0050162.2048840.1173.020383Within Groups0.02275100.002275Total0.06789519The null hypothesis was accepted because there was no significant difference found between the two groups.
Null hypothesis: There is no difference between the groups
4. Analysis and Conclusions
The data revealed no significant difference in student perception of faculty presence in classes where faculty introduced powerpoint presentations with voiceover, and classes where the same faculty did not use the voiceovers.
In all the sections, the classes without voiceover had a higher percentage of “Strongly agree” as compared to the classes with voiceover. However, when we compared the average scoring, the classes with voiceover scored higher in 7 of the 10 items. This is due to the fact that the classes without voiceover had a larger spread of scores as compared to the classes with voiceover.
The classes with the voiceover presentations scored higher in items 3-8 and 10 :
3. The instructor was helpful in identifying areas of agreement and disagreement on course topics that helped me to learn.
4. The instructor was helpful in guiding the class towards understanding course topics in a way that helped me clarify my thinking.
5. The instructor helped to keep course participants engaged and participating in productive dialogue.
6. The instructor encouraged course participants to explore new concepts in this course.
7. Instructor actions reinforced the development of a sense of community among course participants.
8. Instructor helped to focus discussion on relevant issues in a way that helped me to learn.
10. The instructor presented direct instruction on the course topics.
The classes without the voiceover presentation scored higher in items 1,2 and 9:
1. The instructor clearly communicated important course topics.
2. The instructor clearly communicated important course goals. 9. The instructor maintained an active presence in the classroom.
The findings of the study are too inconclusive to state that enhancements to direct instruction
resulted in the overall positive outcomes within the learning environments, however, they do seem to indicate a positive trend, as evidenced by the anecdotal data in the survey:
- Yes, I definitely liked the voice overs. It gave tone to the subject. I replayed them several times sometimes.
- Very helpful best online teacher thus far.
- Very relevant in terms of helping answer some of the conference questions.
- They were helpful as a visual aid and enhanced learning; which is very helpful in an online class
It is difficult to isolate Direct Instruction as the main cause for the overall positive results. The findings indicate a potential interaction between the social presence (letting personalities emerge in the class) and cognitive presence (nurturing and enabling learning and learning styles). Further studies on the relationship between Social Presence, Cognitive Presence, and Teaching Presence are necessary to fully understand the dynamics of the online environment.
Additionally, recent studies carried out by Peter Shea (Shea and Bidjerano, 2010; 2012) argue for a fourth dimension to the CoI model, Learning Presence. While the CoI model attempts to understand, explain and even predict successful online learning, it also acknowledges the complexity and complementarity of the four dimensions in the online classroom. Future correlational studies that include multiple regression techniques may shed more light not only on the relationship between the three (now four) dimensions of CoI but also the interaction between them and possible predictors of effective online learning.
5. References and Bibliography:
Bliss, C. A., & Lawrence, B. (2009).From posts to patterns: A metric to characterize discussion board activity in online classes. Journal of Asynchronous Learning Networks, 13(2), 15-32.
Boyd, B. L. and Murphrey. T. P. (2000) http://www.eric.ed.gov.ezproxy.umgc.edu/PDFS/ED449344.pdf. Retrieved October 29, 2011
Coleman, S. (n.d.) http://www.worldwidelearn.com/education-articles/benefits-of-online-learning.htm. Retrieved October 29, 2011.
Correia, A., Ali, S. N., Iino, H., Hargrave, C. P. (2010). Evaluation of an online master program: from the distance learning users’ perspective, 2010 Annual Proceedings - Anaheim: Volume #2
Hodes, C. L. (1993) http://www.eric.ed.gov.ezproxy.umgc.edu/PDFS/ED368337.pdf. Retrieved October 29, 2011.
Ice, P., Curtis, R., Phillips, P. & Wells, J. (2007). Using asynchronous audio feedback to enhance teaching presence and students’ sense of community. Journal of Asynchronous Learning Networks, 11(2), 3-25.
Kamin, C.S., O’Sullivan, P., Deterding, R.R., Younger, M., & Wade, T. (2006). Teaching presence in virtual problem-based learning groups. Medical Teacher , 28(5): 425-428.
Kolowich, S. (2010a). http://www.insidehighered.com/news/2010/06/22/online. Retrieved October 29, 2011
Kolowich, S. (2010b). http://www.insidehighered.com/news/2010/06/17/pawlenty. Retrieved October 29, 2011
Kupczynski, L. Ice, P., Wiesenmayer, R., and McCluskey, F (2010). Student perceptions of the relationship between indicators of teaching presence and success in online courses. Journal of Interactive Online Learning, Volume 9(1). Pp. 23-43
Mayadas, A. F., Bourne, J. and Bacsich, P. (2009). Online Education Today. Journal of Asynchronous Learning Networks, Aug2009, Vol. 13 Issue 2, p49-56
McAnally-Salas, L., Espinosa-Gómez, E. J., and Lavigne, G. (2011). With tools and strategies teachers use in online courses: A Mexican public university case. US-China Education Review, Vol. 8, No. 3, pp. 276-287
Morgan, T. (2011). Online classroom or community-in-the-making? Instructor conceptualizations and teaching presence in international online contexts. The Journal of Distance Education, 25(1).
Neal, R. (2009). http://www.cbsnews.com/stories/2003/08/26/earlyshow/contributors/reginalewis/main570268.shtml. Retrieved October 29, 2011
Pawan, F., Paulus, T., Yalcin, S., & Chang, C. (2003). Online learning: Patterns of engagement and interaction among in-service teachers. Language Learning & Technology, 7(3), 119-140
Shea, P., Vickers, J. and Hayes, S. (2010). Online instructional effort measured through the lens of teaching presence in the community of inquiry framework: A re-examination of measures and approach. International Review of Research in Open and Distance Learning Volume 11, Number 3. Pp. 127-153.
Shea, P., Li, C. S., & Pickett, A. (2006). A study of teaching presence and student sense of learning community in fully online and web-enhanced college courses. The Internet and Higher Education, 9(3), 175−190.
Shea, P., & Bidjerano, T. (2010). Computers & Education, 55(4), 1721-1731. Elsevier Ltd. Retrieved from http://linkinghub.elsevier.com/retrieve/pii/S0360131510002095
Shea, P. & Bidjerano, T. (2012) Learning presence as a moderator in the community of inquiry model. Computers & Education 59(2): 316-326
Swann, J. (2010). A dialogic approach to online facilitation. Australasian Journal of Educational Technology, 26(1), 50-62.
Torras, M.E. & Mayordomo, R. (2011). Teaching presence and regulation in an electronic portfolio, Computers in Human Behavior, 27, 2284-2291.
Zhang, Z. and Kenney, R. F (2010) Learning in an online distance education course: Experiences of three international students. International Review of Research in Open and Distance Learning, Volume 11, Number 1
Online discussion conference grading rubric
No full textIn the online classroom environment, the primary interaction and sharing of information and viewpoints between students is through the conference discussion. Students post responses to the topics of the respective week, and respond, interact and engage each other on the subject matter during the discussion week. At the end of the week, the student receives a grade from the instructor based on the grading rubric. As conference discussion is used by nearly every university program that has an online presence, I researched and compiled discussion grading rubrics from other accredited universities and colleges to find best practices and build a sample conference discussion rubric.The Online Discussion Conference Grading Rubric
Clifford Wilke
Winter 2012 Research Abstract
In the online classroom environment, the primary interaction and sharing of information and viewpoints between students is through the conference discussion. Students post responses to the topics of the respective week, and respond, interact and engage each other during the discussion week.
At the end of the week, the student receives a grade from the instructor based on the grading rubric. Abstract
As the online conference discussion is used by nearly every university program that has an online presence,
I would like to research and compile discussion grading rubrics from other accredited universities and colleges, compare, matrix and contrast their rubrics and ultimately make recommendations regarding my research findings. Research Timeline
Phase I - As soon as the research proposal is approved, I will begin collecting rubrics from other accredited universities and colleges with online programs. 30-45 days.
Phase II - Will include developing a matrix detailing the elements related to perceptions of fairness, and elements that link a score to an assignment objective from each rubric, and determining the best attributes. 30-45 days
Phase III - Will include developing rubric recommendations. 30-45 days
The Online Discussion Conference Grading Rubric Research Steps
Capture Grading Rubric Research
Secure Rubrics from Other Institutions
Analyze Grading Attributes
Develop Matrix of Grading Attributes
Examine Existing UMUC
Conference Discussion Rubric
Capture Facets of Each Rubric
Suggest Changes to Existing UMUC Conference Discussion Rubric
Determine Gaps with Existing Rubric UMUC – Pre 2011 Conference Rubric Brief Literature Review on the Subject
•
Vallino, J.. “Workshop - Rubrics: Start to finish”. 2008 38th Annual Frontiers in Education Conference (p. W1D-1-W1D-1). IEEE, 2008. Retrieved from http://ieeexplore.ieee.org/lpdocs/epic03/wrapper.htm?arnumber=4720389
UW Stout, Wisconsin's Polytechnic University University of Wisconsin-Stout, "Rubrics for Assessment." 24 March 2008. Retrieved October, 20, 2011 from http://www.uwstout.edu/soe/profdev/rubrics.shtml Accessed
Arter, J and McTighe, J.. Scoring Rubrics in the Classroom: Using Performance Criteria for Assessing and Improving Student Performance, 2001 :Corwin Press
Cook, K. "How much is enough? The assessment of student work in technical communication courses", Technology Communications. Quarterly., Volume 12, pp.47, 2003
Hafner, J and Hafner, P.. "Quantitative analysis of the rubric as an assessment tool: An empirical study of student peer-group rating", International Journal of Science Education, Volume. 25, pp.1509, 2003
Stevens, D. S., Levi, A. J., Introduction to Rubrics. Sterling, VA : Stylus Publishing, 2000
Quinlan, A.. A Complete Guide to Rubrics: Assessment Made Easy for Teachers, K12, 2006 :Rowman and Littlefield Education
24 Grading Rubrics from Other Institutions
Sample Grading Rubric for Online Discussion from Boston University
Online Discussion Rubric from the University of Wisconsin – Stout
Sample Grading Rubric for Online Discussion – California State University- Long Beach
Online Discussion Grading Rubric from Boise State University
Sample Online Discussion Grading Rubric from Mercy College – New York
Sample Grading Rubric for Online Discussion – Middle Tennessee State
Worcester Polytechnic Institute Sample Grading Rubric for Online Discussion
University of Missouri Basic Grading Rubric for Online Discussion
University of Missouri Detailed Grading Rubric for Online Discussion
University of Hartford Discussion Grading Rubric for Online Discussion
Virginia Commonwealth University Online Discussion Grading Rubric
University of Delaware Rubric for Asynchronous Discussion Participation
Northeastern University Discussion Grading Rubric for Online Discussion Matrix of Attributes UMUC – Post 2011 Conference Rubric
Criteria
Outstanding Contributor: A (90+)
Good Contributor: B (80-89)
Unsatisfactory Contributor: C or less (below 80)
Level of Participation
(15%)
Participation in the conference activity on four or more days during the week, plus more than three original postings, plus significantly more than two responses to classmates. The latter should include a topic for which the student did not post an original response.
Participation in the conference activity on three days during the week, plus three original postings and two responses to classmates. The latter should include a topic for which the student did not post an original response.
Participation in the conference activity on less than three days during the week and less than three original postings and/or less than two responses to classmates, and/or no postings for one of the topics.
Timing of postings
(10%)
Postings are well distributed throughout the week, with all three original responses (i.e. first level responses) occurring on Wednesday or earlier.
Postings are distributed throughout the week, with at least two original posting (i.e. first level response) occurring on Wednesday or earlier.
Original postings (i.e. first level responses) occur after Wednesday.
Quality of Answers for Topic Question
(25%)
All answers are substantive, consistently responsive to the Topic Questions and demonstrate significant understanding of the subject (e.g., illustrate a point with examples, suggest alternative perspectives on an issue and seeks to draw a new or original conclusion). Uses citations in a way that reflects a complete understanding of course modules, of required readings, and/or other external scholarly sources.
Most answers are substantive, often responsive to the Topic Questions and demonstrate sufficient understanding of the subject (e.g., uses limited examples, takes a narrow perspectives on an issue) and reflect a reasonable understanding of course modules and required readings.
Answers are not substantive, are weakly responsive to the Topic Questions or provide few, if any, insights, understanding or perspectives, or reflect a limited understanding of course modules and required readings.
UMUC – Post 2011 Conference Rubric
Clarity and Coherence of answers and discussions
(10%)
Ideas are persuasive, always expressed in a clear and coherent manner, without spelling or grammatical errors.
Ideas are usually persuasive, are expressed in a clear and coherent manner, with no or very minor grammatical and spelling errors.
Ideas are disorganized and/or contain grammatical and spelling errors.
Level of Preparation
(10%)
All answers and discussions are based on required readings, class materials and a thorough review of the literature (e.g., scholarly sources) and no assertions are made without appropriate citation.
Most answers and discussions are based on required readings, class materials and a thorough review of the literature (e.g., scholarly sources) and most assertions are made with appropriate citation.
Few answers and discussions are based on required readings, class materials and a thorough review of the literature (e.g., scholarly sources) and few assertions are made with appropriate citation.
.
APA Format
(5%)
In-line citations and summary reference lists properly reflect all sources used and are consistent with APA 6th Edition standards.
In-line citations and summary reference lists properly reflect most sources used or are reasonably consistent with APA 6th Edition standards.
In-line citations and summary reference lists are limited and reflect few sources used or are inconsistent with APA 6th Edition standards.
Your Grade:
Additional Comments:
Thank You
Opinion on the opinion: An access services librarian’s perspective on the Georgia State ruling
No full textTo offer you, the librarian reader, some shades of grey (no, not those shades of Grey) on the GSU opinion, I humbly present my perspective on the ruling as an access services manager and librarian. To be clear, I am not a lawyer… but I did work at a law library once! I am not a copyright expert… but I do fall somewhere between expert and dilettante. I have been interested in Title 17 of the United States Code and its associated regulations and case law for approximately half of my professional life. Now that I have laid down what I hope you consider my bona fides to offer an informed yet library-centric opinion, I hope you find the nuanced perspectives herein useful for interpreting Cambridge et al. v. Becker et al. for your own needs.For Peer Review Only
An Opinion on the Opinion: An Access Services Librarian’s
Perspective on the Georgia State Ruling
Journal: Journal of Interlibrary Loan, Document Delivery & Electronic Reserve
Manuscript ID: WILD-2012-0018
Manuscript Type: Original Article
Keywords: Georgia State University, copyright, court case, electronic reserve
URL: http://mc.manuscriptcentral.com/wild Email: [email protected]
Journal of Interlibrary Loan, Document Delivery & Electronic Reserve
For Peer Review Only
An Opinion on the Opinion:
An Access Services Librarian’s Perspective on the Georgia State Ruling
David slays the Goliaths! See you in the Eleventh Circuit! The final score is Panthers
94, Publishers 5. These are a sample of the statements that have been made by pundits, scholars,
reporters, and similar regarding the Georgia State ruling. To be exact, they are paraphrases
because I cannot recall the precise origins of these few amongst the plethora of pithy catch
phrases I have heard or read since May 11, 2012. Many of the phrases convey their author’s
conviction regarding Federal District Court Judge Orinda Evans’s 350 page opinion, and many
authors seem to put the ruling in black or white, win or lose dichotomies (or in limbo if one
believe an appeal is imminent). To be fair, that is human nature. People like to categorize, box,
and shelve thoughts, issues, and things. What is more, most of the writing about Georgia State
University (GSU) has been done by lawyers. That is, someone with a juris doctor degree
irrespective of their industry or place of employment.
To offer you, the librarian reader, some shades of grey (no, not those shades of Grey) on
the GSU opinion, I humbly present my perspective on the ruling as an access services manager
and librarian. To be clear, I am not a lawyer… but I did work at a law library once! I am not a
copyright expert… but I do fall somewhere between expert and dilettante. I have been interested
in Title 17 of the United States Code and its associated regulations and case law for
approximately half of my professional life. Now that I have laid down what I hope you consider
my bona fides to offer an informed yet library-centric opinion, I hope you find the nuanced
perspectives herein useful for interpreting Cambridge et al. v. Becker et al. for your own needs.
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We will start with a little background information just in case the facts are unknown or
are a little fuzzy. Then an analysis of the legal impact, the likelihood of an appeal, the library
impact, and who the “winner” is will follow. I hope you find it useful, accessible, and perhaps
even a little entertaining. Amicus bibliothecis et erga omnes!
Background
A long time ago (well, April 15, 2008, which, for those watching the case, was a long
time ago), in a place not too far away (in the federal court of the Northern District of Georgia,
Atlanta Section), the academic publishing houses of Cambridge University Press, Oxford
University Press, Inc., and Sage Publications, Inc. filed suit against Georgia State University
(GSU) claiming infringed copyrights. To be more precise, for legal advantage the publishers
filed suit against several administrators of the University including President Mark Becker and
Dean of University Libraries Nancy Seamans. The publishers later amended this to include all of
the University System of Georgia’s Board of Regents. The crux of Cambridge et al.’s filing
centered on what they considered GSU’s excessively liberal fair use interpretations for electronic
reserves. That is to say, the publishers felt that too much of their protected content ended up
being digitally mounted by GSU for reserve readings. The Copyright Clearance Center
(http://www.copyright.com/) and the Association of American Publishers (http://publishers.org/)
paid the legal expenses for the presses, and in most respects they are the true plaintiffs, not the
publishers. However, since they hold no copyrights in dispute, they required proxies with actual
intellectual property to protect. The publishers and their benefactors primarily sought an
injunction – an order to stop – from the federal court.
In 2009, GSU unilaterally reviewed and modified its copyright policy to include a fair
use checklist. The case continued but assessment of alleged infringing excerpts would only
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occur on reserve materials posted after the policy revision. In the final tally, ninety-nine
excerpts were assessed and submitted. The plaintiffs revised this list later and re-submitted just
seventy-five excerpts as evidence of GSU’s unlawful acts pertaining to 17 U.S.C. § 107. After a
lengthy and meticulous review of each example of infringement, Judge Evans found just five
improper uses under GSU’s new policy. Depending on how you do the counting, this represents
between five and seven percent of the claimed violations. Although the ruling has been issued,
Judge Evans still must draft the injunction for the five abuses, so technically there is still more to
come from the district court level. This document is likely to be issued before the summer is out.
Analysis and Opinion
And now for something completely different – a balanced perspective from a librarian.
To be clear, I am not implying there are no well-reasoned insights out there. There are, but they
seem to be written primarily by attorneys. I have a great deal of respect for lawyers. I have
worked with, and continue to work with, several people I consider to be knowledgeable jurists.
However, their litigation and/or advocacy training predicates a particular way of viewing things,
especially with regard to legal matters. Thus, my goal is simply to offer some perspective from
the access services trenches for my comrades in the trenches with me.
Let’s start by looking at the legal context. I have talked to a few librarians who see this
as – or hope it is – an Inherit the Wind victory, i.e., the defense so handily outmaneuvered the
prosecution that only a minor slap on the hand was warranted, and in the broader and more
important context of rational versus irrational, the rational guys won an overwhelming victory.
Well, we all enjoy rooting for the home team, and we’re happier if our team is the winner, but
rather than looking at GSU as the match point (to use a tennis analogy), which means the end of
the contest, librarians might be better served viewing it as one of many game points. If you are
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unfamiliar with tennis terminology, there are four or more points per game and six to seven
games in each set. Depending on the gender of the players, there are usually three to five sets
per match. Is GSU a victory for libraries, then? Yes, I believe it is safe to say this game went to
libraries and education in general. The match continues, though. The federal district court for
northern Georgia is a rather small jurisdiction, and district courts are only the first rung of the
federal judiciary. As Matthew Dames, Copyright and Information Policy Advisor at Syracuse
University, pointed out on his blog The Piracy Paradigm (http://thepiracyparadigm.com/faq/),
Judge Evans’s opinion only has binding precedent in a relatively small region of the South
Eastern United States. This does not mean other judges and attorneys around the country cannot
use and refer to the Evans opinion, but it certainly will not carry as much weight outside its home
jurisdiction. For example, in Utah it could be used to add persuasive authority to a case in a
look-what-they-did-in-Georgia way. To really add some muscle to the GSU ruling either the
plaintiffs or the defendants would need to appeal Judge Evans’s decision to the 11th Circuit Court
of Appeals. This court would then need to affirm or enhance the district court’s opinion. Any
appeal after this would land Cambridge et al. v. Becker at al. in the Supreme Court, if the justices
agreed to hear the case. Even if this did occur, several ambiguities would continue to exist in
Title 17 because they are not constituent to the GSU suit and would not be addressed. So, how
then should librarians view the legal import of GSU? It is a small step that librarians should
view as positive, to be sure. Yet, it is not in the same league as Brown v. Board or Roe v. Wade.
It is a long way from that. Nonetheless, since little case law exists pertaining to fair use, it is
likely to see some usage as a persuasive instrument in other cases that come up. In a recent chat
with Kimberly Bonner, the Executive Director of the Center for Intellectual Property
(http://www.umuc.edu/cip/), she affirmed to me that, “it was a clear defeat for publishers.
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However, I am unsure if the decision, in the long term, gives colleges, universities, and libraries
a reason to jump for joy.”
Speaking of appeals, what is the likelihood that either side will take the case to the 11th
Circuit? I posed this very question to Brandon Butler, director of public policy initiatives for the
Association of Research Libraries. He has been exceptionally active in fair use and Georgia
State specifically. Regarding GSU’s five counts of infringement he confidently stated “they’re
not going to appeal,” and I would make this wager as well. There is no real incentive for GSU to
appeal. However, the publishers do have an incentive. Butler felt confident they would do this
once the injunction is ordered (the soonest either side can make an appeal), but he hoped that
they would not. Dr. Richard Brown, director of the Georgetown University Press and former
president of the American Association of University Presses (of which Cambridge and Oxford
are members), believed the opposite. Speaking directly of Oxford and Cambridge he advised me
that “the publishers are tired.” The case took over four years and the ruling was not in their
favor. To be honest, I am tired, and I was a mere spectator! Thus, I am inclined to agree with
Dr. Brown, which means from my vantage an appeal is unlikely from either camp (see previous
paragraph for the weight a district court ruling carries).
How, then, should libraries and librarians react to Judge Evans’s ruling? It is certainly
safe to presume that the court’s decision is a victory for Georgia State University. Judge Evans
dismissed all three charges against GSU before the case even closed. Count one, the charge of
direct liability, resurfaced only as it pertained to the copyright policy and not the alleged
infringing activity and culpability of the named defendants, e.g., Dr. Becker, Dean Seamans. For
libraries, librarians, and fair use advocates, the opinion is less a victory than it is a loss for the
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plaintiffs and their benefactors (again, see the paragraph on the authority of district court
decisions).
That said, Judge Evans rejected the Copyright Clearance Center’s Classroom Guidelines
(http://www.copyright.com/Services/copyrightoncampus/content/index_class.html) as “not
compatible with the language and intent of § 107.” Yet, in the guidelines is the ubiquitous “ten
percent rule” to which most libraries religiously adhere. The Center’s recommendations mirror
the Agreements on Guidelines for Classroom Copying in Not-for-Profit Educational Institutions
(http://www.unc.edu/~unclng/classroom-guidelines.htm). The Agreements can be found in
House Report 94-1476 (1976), which informed the Copyright Act of 1976. Their specificity and
government provenance provide little incentive to maximize the most important sentence
contained therein – the first sentence: “The purpose of the following guidelines is to state the
minimum and not the maximum standards of educational fair use § 107 of H.R. 2233.” Judge
Evans affirmed this statement by maintaining 10% as a minimum threshold and essentially a fair
use safe harbor, i.e., if you are under 10% usage, you clear factor three in your fair use
assessment every time. What is unfortunate is that librarians also often see this as a maximum.
With a proper risk management strategy and fair use assessment protocol, libraries could more
appropriately see the 10% marker as a baseline from which to start, not end. However, the 10%
“bright line” prominent in the GSU ruling will likely reinforce general adherence to the ten-percent-
and-no-more practice. Librarians, I implore you to reassess your current practices and
make the best use possible of the inaugural sentence of the Agreements statement! Although, I
would advise careful consideration before adopting the most liberal encouragements that the
Association of Research Libraries offers on the issue (see link below).
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Of particular interest is Judge Evans’s comment against the necessity of “spontaneity” to
comply with fair use. Many campuses observe this guideline per the Agreements on Guidelines
by using new material only once for a class or by paying a royalty (usually via the Copyright
Clearance Center) to the copyright holder for every subsequent use. As the court’s opinion
states, this is “an impractical, unnecessary limitation”. The Association of Research Libraries
recently-published Code of Best Practices in Fair use
(http://www.arl.org/pp/ppcopyright/codefairuse/code/index.shtml) takes a similar stance. This is
something librarians should strongly consider because it could free content for repeated use and
save funds already stretched thin. A great deal hinges here on the initially intended market for
the material and a full assessment of all four fair use factors, but I suggest that libraries and
librarians evaluate their electronic reserve needs and current protocols, and if expedient, take
advantage of this momentum (yet again, the cautionary district court thing).
Winners and losers are often difficult to distinguish in legal battles like this one. As
mentioned, the defendants (GSU) have cause to celebrate. The plaintiffs (Cambridge et al., the
Association of American Publishers, and the Copyright Clearance Center) have less reason to
celebrate. For libraries, educational institutions, and publishers in general the ball is still in the
air. However, libraries and non-profit educational facilities may now have a slight advantage,
but the match is far from over. As the contest continues, perhaps for years or decades more,
Georgia may have more to offer all parties than one fair use test. The State’s unofficial motto is
wisdom, justice, and moderation, and this seems to make sense for both rights holders and
educators.
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How do historically black colleges and universities adapt ti change during their life-cycle: A case study analysis of six HBCUs
No full textThe purpose of this research is to examine the internal and external environmental factors that impact the survivability of HBCUs and the implications for adaptation.How Do Historically Black Colleges and Universities Adapt to Change During Their Life-cycle: A Case Study Analysis of Six HBCUs Elgloria A. Harrison, Doctoral Candidate Graduate School of Management and Technology, University of Maryland University College Keywords: Organizational Life-cycle, Organizational Adaptation, Organizational Change, Culture, Identity, Readiness
INTRODUCTION -PURPOSE
. PRELIMINARY FINDINGS The following themes were identified as major findings of how organizations, particularly higher education institutions, adapt to the internal and external environment to facilitate change.
•Organizational readiness
•People
•Structure
•Organizational culture
•Identity
•Mission/vision
•Organizational adaptation
•Technology
•Competition IMPLICATIONS FOR PRACTICE A longitudinal review of organizations with long histories and utilization of a life-cycle model to evaluate events is informative. The findings from this study might promote effective and efficient decision-making, optimize organizational structure for better communication between administration, faculty, staff, and students. Ultimately, results will enable organizations to develop adaptive strategies that facilitate change within the academic enterprise. The purpose of this research is to examine the internal and external environmental factors that impact the survivability of HBCUs and the implications for adaptation. RESEARCH QUESTION RQ: What are the factors that impact organizational adaptation and the implications for organizational change in HBCUs? KEY LITERATURE Armenakis & Harris (2001) Bergquist & Pawlak (2008) D’Aunno & Price (1985) Dodge, Fullerton, & Robbins (1994) Hannan & Freeman (1984) He & Baruch (2009) Kemelgor, Johnson, & Srinivasan (2000) Kezar (2001) Kimberlin, Schwartz, & Austin (2011) Kovoor-Misra (2009) Tierney (1988) Weiner (2009)
CONCEPTUAL FRAMEWORK
Propositions:
P1: Leadership factors serve as the major driver of organizational change in HBCUs during birth through growth.
P2: Leadership factors are less of a driver during adaptation.
P3: Leadership factors return as drivers during decline.
METHODOLOGY & APPROACH
An evidence-based research synthesis is the research method used in this study. Evidence-based management is a recent phenomenon designed to make use of the best available evidence on a management topic that improves practice or informs policy (Reay, Berta, Kohn, 2009). This study will adopt Noblit and Hare’s (1988)…..
Organizational
Birth -Growth Organizational Adaptation Decline
Internal factors Identity Readiness Effectiveness Responsiveness to constituent needs Infrastructure Systems Redundancy Leadership factors
Effective Individual Leadership
-Administrators
-Board of Trustees
Entrepreneurship
Flexibility
Calculated risk-taking External factors
Legislation
Accreditation
Accountability
Reduce demand
Consumer choice
Reduce federal and state support
Reduced alumni giving
Community Engagement
meta-ethnography approach, specifically that of an interpretive synthesis. This approach seeks to analyze, document, and give meaning to events during the life-cycle of HBCU organizations as they transition from one phase to another