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Centralizing effective electronic resources assessment: Successful collaboration leading to innovations
No full textPurpose: Annual evaluation to ensure current electronic resources meets needs of current curriculum. Collaboration between all areas of the library to ensure comprehensive and cohesive assessment.Centralizing Effective Electronic Resources Assessment:
Successful Collaboration Leading to Innovations
Lenore England, Digital Resources Librarian
Barbara J. Mann, Assistant Director for Public Services
University of Maryland University College
More Information
England, L., & Fu, L. (2011). Electronic resources
evaluation central: Using off the shelf software, Web 2.0
tools, and LibGuides to manage an electronic resources
evaluation process. Journal of Electronic Resources
Librarianship, 23(1), 30-42. doi:
10.1080/1941126X.2011.551093
Conclusion
Central site continues to evolve
LibGuide form aids in ease of use
Ensures curriculum support
Provides buy-in from both library
and academic departments
Critical part of strategic planning
and assessment for ERM and
curriculum
Especially applicable for:
LibGuides format
Limited staff and budget
Purpose
Annual evaluation to ensure current
electronic resources meets needs of
current curriculum.
Collaboration between all areas of the
library to ensure comprehensive and
cohesive assessment.
Design/Methodology/Approach
Use of centralized site, ERM Evaluation
Central, to effectively and efficiently manage
diverse evaluation processes and activities
(http://www.ittybittyurl.com/g4m).
Includes established, standardized criteria
used annually for assessment.
List of possible resources to keep,
substitute, or discontinue.
Standardized communication plan to
distribute and explain process to
academic departments via library
liaisons.
Feedback is added to ERM Evaluation
Central, providing a centralization of
information.
Evaluation process: collaboration
between all areas
of the library – led by
Digital Resources Librarian and
Assistant Director for Public Services
Electronic Resources
Management
Interlibrary Loan Electronic Reserves
Reference, Instruction,
and Library Liaison
2012 G8 Summit: Business preparedness, response, and impact in Frederick County, MD
No full textThe purpose of this study is to examine the use of information sources, preparedness actions, response actions, and impacts of an extraordinary international event on the business community in Frederick County, Maryland. The G8 summit drew 14 world leaders to a suburban/ rural county of 230,000 people in North Central Maryland for meetings that took place on May 18-19, 2012. The G8 Summit provided a unique opportunity to research an extraordinary event. Previous research on businesses as a unit of analysis in disasters or other large-scale events is limited.
The goal of this research is to conduct analysis and present findings from data collected from informants immediately following the 2012 G8 Summit. The PI conducted personal interviews with informants from May thru August 2012 with review, approval, and oversight by the Oklahoma State University (OSU) Institutional Review Board (IRB) (OSU-IRB application # AS 1250). The proposal does not seek funding to conduct additional research with human subjects, only support data analysis, and presentation of findings through the development of articles in academic and practitioner publications, and presentation of research findings at academic and practitioner conferences.
Previous research on businesses as a unit of analysis in disasters or other large-scale events is limited (Tierney, 2006). Most research focuses on economic impacts at the aggregate level, focused on community, regional, or national impacts (Webb, Tierney, & Dahlhamer, 2000). Much of the limited research focuses on business recovery from disasters. This study seeks to understand the events from the point of view of the Frederick County business owner. This study helps to fill a gap in research on businesses in the pre-event and response phases of large-planned events and disasters.UMUC Fall 2012 Faculty Research Grant Report
Submitted by: Mark Landahl, CEM®
Adjunct Associate Professor- School of Undergraduate Studies
Department of Business and Professional Practice – Homeland Security
[email protected]
* PhD student- Oklahoma State University (Est. Comp. - 2014)
Submitted to: Dr. Jay Liebowitz
Orkand Endowed Chair in Management and Technology
Title of Grant: 2012 G8 Summit: Business Preparedness, Response, and Impact in Frederick County, MD
Overview:
The purpose of this study is to examine the use of information sources, preparedness actions, response actions, and impacts of an extraordinary international event on the business community in Frederick County, Maryland. The G8 summit drew 14 world leaders to a suburban/ rural county of 230,000 people in North Central Maryland for meetings that took place on May 18-19, 2012. The G8 Summit provided a unique opportunity to research an extraordinary event. Previous research on businesses as a unit of analysis in disasters or other large-scale events is limited.
The goal of this research is to conduct analysis and present findings from data collected from informants immediately following the 2012 G8 Summit. The PI conducted personal interviews with informants from May thru August 2012 with review, approval, and oversight by the Oklahoma State University (OSU) Institutional Review Board (IRB) (OSU-IRB application # AS 1250). The proposal does not seek funding to conduct additional research with human subjects, only support data analysis, and presentation of findings through the development of articles in academic and practitioner publications, and presentation of research findings at academic and practitioner conferences.
Previous research on businesses as a unit of analysis in disasters or other large-scale events is limited (Tierney, 2006). Most research focuses on economic impacts at the aggregate level, focused on community, regional, or national impacts (Webb, Tierney, & Dahlhamer, 2000). Much of the limited research focuses on business recovery from disasters. This study seeks to understand the events from the point of view of the Frederick County business owner. This study helps to fill a gap in research on businesses in the pre-event and response phases of large-planned events and disasters.
Findings:
Analysis of twenty personal interviews and more than three hundred total individual sources of data led to the emergence of several themes.
Theme 1: Information Sources
Business owners initially received information regarding the event from the media and later from government sources. Only one law enforcement organization provided specific targeted information to businesses with suggested preparedness measures. This message was reported by regional media outlets and received by all informants through one of four avenues: government press release, business association meeting, media, or social networks. Although not specifically designed as a warning message, small business informants reported reaction patterns consistent with research on individual responses to warning messages. Small business owners engaged in social confirmation with other business owners, customers, and friends and family, established relevancy to their business and location, and gathered additional information and observations before deciding on responses (Quarantelli, 1990). Many business owners reported the use of internet sources to seek additional information both prior to and during the event. This includes the use of media sites, and other sources, including social media. In many instances, small business owners successfully contacted senior local law enforcement officials for additional information and guidance. Several corporate entities reported the use of internal or external sources of expert-developed information analysis products. Corporate informants also reported the importance of professional networks maintained by security and/ or information analysis staff who are former local and federal law enforcement officials
Theme 2: Adaptive Response Actions
For corporate entities, off-site experts in security and emergency management provided input and made decisions regarding adaptive response actions. Resources were pushed to business locations to provide additional physical security, such as on-site uniformed security. Informants reported that this event fit within existing security, emergency management and business continuity protocols and cited recent experience with the Occupy Movement.
“I talked to the other business owners up the street all along…the whole week what are you doing? What are you doing? What are you going to do?”
Small business owners did not have direct access to additional expertise and resources. They most often relied on social networks to gain additional information, establish relevance, and determine a course of action. Business owners cited social contacts as most important in determining response actions. Small business owners took actions to include information seeking behavior and checking the status of insurance for the event. Several altered business practices to include closure, modification of operations, and preparation of employees. A limited number either acquired materials to board windows or actually boarded windows.
Theme 3: Impact on Business
“…it hurt me pretty good. It's not something I want to experience too often, especially with the economy the way it was. When you are told to expect to be busy and you plan for that and it’s a big flop I felt I was lied to.”
Business owners received consistent messages from multiple sources that the G8 Summit would be an economic “boon”. The media, business organizations, tourism, and political leaders touted the substantial revenue expected for area businesses. The results were very different. Among the informants, only one business reported breaking even when compared to a similar weekend. Business owners received two messages; one of economic optimism from one set of sources (media, business organizations, tourism, economic development) and one of caution from others (media, law enforcement). As a result, many businesses increased expenses through either preparedness measures or additional staff and/or supplies for an anticipated business surge that did not materialize. Some business owners who lost revenue reported that a long-term benefit may be realized from positive media exposure from peaceful demonstrations
Theme 4: Demonstrators – Thurmont, MD
“these people are here protesting famine, genocide…these people are not going to do anything …they are here and I am sympathetic to them and what they are here for…they come from a place that I would not want to go”
Information about demonstrators was not an intended study target, however, it emerged from interviews as a significant theme. The Ethiopian demonstrators in Thurmont (95.8% Caucasian population) had a significant positive personal impact on business owners and political leaders, while simultaneously causing an economic loss. Business owners and political figures, moved by the message and behavior of the demonstrators, reported intentions to research the subject and advocate for investigation of U.S. food aid to African countries. The subject became a topic of discussion at subsequent government meetings resulting in political figures advocating for investigation of a subject about which they were previously unaware. Grant Funding:
The funding supported the purchase computer equipment, NVIVO 10 Analysis software and travel to the 2012 International Association of Emergency Managers (IAEM) Conference in Orlando, FL - October 25-31, 2012.
Presentation of Findings:
The PI presented preliminary conclusions from the research at the 2012 International Association of Emergency Managers Conference in Orlando, FL. A poster presentation by the PI received Second Place in the Student Research Competition. An article detailing the findings of the study is in development.
References
Quarantelli, E.L. (1990). The warning process and evacuation behavior: The research evidence. Preliminary Paper #148. Newark, DE: Disaster Research Center, University of Delaware. Tierney, K.J. (2006). Businesses and disasters: vulnerability, impacts, and recovery. In H. Rodríguez,. E.L. Quarantelli and R.R. Dynes (Eds.), Disaster Research Handbook (pp. 275-296). New York: Springer.
Webb, G. R., Tierney, K.J., and J.M. Dahlhamer. (2000). Businesses and disasters: Empirical patterns and unanswered questions, Natural Hazards Review, 1(3), 83-90
Organizational resilience and culture: A model for information technology service management (ITSM)
No full textOrganizational change and organizational culture have been studied and written
about by many authors, most notably by Edgar Schein (1990, 1992), and are named as
critical components of organizational maturity through such industry standards as The
Capability Maturity Model Integration (CMMI), Control Objectives for Information and
Related Technologies (CobiT), the Information Technology Infrastructure Library (ITIL),
and Information Technology Service Management (ITSM). Specifically, a “service
culture” is stated to be critical to success of these established maturity processes (CobiT,
2000, p. 34; Hyder, 2006, p. 11; and Cartlidge et al., 2007, p. 13). While these models
contain exhaustive domains of process maturity and metrics for monitoring and
measuring them, they fail to address the implications of organizational change and
culture. A service culture has been identified by practitioners as a critical element of
success for established maturity models (Corporate Executive Board IEC, 2008, p. 2;
Corporate Executive Board IEC, 2004, p. 2). Lacking, however, is the domain
organizational culture, which if critical to success, is mysteriously absent. This research
attempted to model the organizational culture domain (OCD) and related significant
components or variables of that domain to organizational process maturity. Since the theory is that organizational culture is a significant factor in process
maturity, then it is the proposition that process mature organizations have a more mature
service culture. The OCD has been proposed to measure the organizational culture
through such factors as communication, innovation, and tension/anxiety of change.
Currently, organizations attempting to move to more process mature states for efficiency and profitability purposes have to look outside the various process maturity models to
conduct a culture assessment and then interpret the results in relation to their process
maturity strategy. The intent of this research was to add to the existing body of
knowledge in these maturity models and it offered an additional domain of organizational
culture maturity and management as it specifically relates to organizational process
maturity. The benefits are that the strategy for maturing the organization from process to
culture in order to compete in a global economy is contained in a single model.Organizational Resilience and Culture
A Model for Information Technology Service Management (ITSM)
Francis A. Granito
A Dissertation
Submitted to the
Graduate Faculty
of
University of Maryland University College
In Partial Fulfillment of
The Requirements for the Degree
of
Doctor of Management
Kathleen F. Edwards, Ph.D.
James P. Gelatt, Ph.D.
August 16, 2011
Francis A. Granito Doctor of Management Dissertation
2
Abstract
Organizational change and organizational culture have been studied and written
about by many authors, most notably by Edgar Schein (1990, 1992), and are named as
critical components of organizational maturity through such industry standards as The
Capability Maturity Model Integration (CMMI), Control Objectives for Information and
Related Technologies (CobiT), the Information Technology Infrastructure Library (ITIL),
and Information Technology Service Management (ITSM). Specifically, a “service
culture” is stated to be critical to success of these established maturity processes (CobiT,
2000, p. 34; Hyder, 2006, p. 11; and Cartlidge et al., 2007, p. 13). While these models
contain exhaustive domains of process maturity and metrics for monitoring and
measuring them, they fail to address the implications of organizational change and
culture. A service culture has been identified by practitioners as a critical element of
success for established maturity models (Corporate Executive Board IEC, 2008, p. 2;
Corporate Executive Board IEC, 2004, p. 2). Lacking, however, is the domain
organizational culture, which if critical to success, is mysteriously absent. This research
attempted to model the organizational culture domain (OCD) and related significant
components or variables of that domain to organizational process maturity.
Since the theory is that organizational culture is a significant factor in process
maturity, then it is the proposition that process mature organizations have a more mature
service culture. The OCD has been proposed to measure the organizational culture
through such factors as communication, innovation, and tension/anxiety of change.
Currently, organizations attempting to move to more process mature states for efficiency
Francis A. Granito Doctor of Management Dissertation
3
and profitability purposes have to look outside the various process maturity models to
conduct a culture assessment and then interpret the results in relation to their process
maturity strategy. The intent of this research was to add to the existing body of
knowledge in these maturity models and it offered an additional domain of organizational
culture maturity and management as it specifically relates to organizational process
maturity. The benefits are that the strategy for maturing the organization from process to
culture in order to compete in a global economy is contained in a single model.
Key Words: Organizational Culture; Organizational Change; Innovation; Process
Maturity; Information Technology Service Management.
Francis A. Granito Doctor of Management Dissertation
4
Dedication
To my daughter Hannah: She is under the mistaken impression that her father is
one of the smartest people on the planet. She is the light that brightens our hearts and our
home even in its darkest times and provided me the inspiration to begin this journey.
Francis A. Granito Doctor of Management Dissertation
5
Acknowledgements
To Rebecca Stumpf and Larry Swank who provided me with constructive and
objective feedback. Thank you. To Dr. Suzanne Giegle who challenged my basic
premise and forced me to strengthen my arguments. Thank you.
To Dr. John Sherlock who in April 2009 helped focus me on this topic. Thank
you. To Dr. Mike Evanchik who guided me through that first conceptual model in the
summer of 2009. Thank you. To Dr. Kay Edwards whose constructive challenges and
suggestions through the summers of 2010 and 2011 made my work better and got me to
the finish line. Thank you.
Finally, I would like to acknowledge my family who graciously left the house
during those brutal comprehensive examinations. Thank you.
Francis A. Granito Doctor of Management Dissertation
6
Table of Contents
Chapter 1 Introduction 9
Statement and Significance of the Problem 9
Importance to Management 13
Research Questions, Assumptions, and Propositions 14
Dissertation Organization 18
Chapter Two: Literature Review 22
Critical Review and Analysis of the Literature 22
Culture and Resilience Models 24
Culture Assessment Instruments 28
Discussion of Theoretical Lens 32
Research Propositions That Emerge from the Literature Review 38
Gaps in Existing Maturity Models 38
The Challenge of Culture in ITSM 42
Chapter Three: Conceptual Framework 45
Graphical Analysis and Synthesis 45
Organizational Culture Domain Components 45
Organizational Culture Maturity Assessment 49
Integration of Scholarship into the Framework 58
Chapter Four: Methodology 65
Discussion of the Theory and Practice of Evidence-based Research 65
Discussion of the Scholarly Research Evidence 68
Discussion of the use of the Expert Panel as Evidence 70
Chapter Five: Analysis and Discussion 73
Research Questions in Light of Findings 79
Conclusions 81
Consideration of other Points of View 83
Summary 84
Francis A. Granito Doctor of Management Dissertation
7
Chapter Six: Conclusions, Implications and Trends 85
Overall Conclusions 85
Implications for Management 86
Implications of Trends 88
Limitations and Areas for Future Research 89
Summary 90
References 93
Francis A. Granito Doctor of Management Dissertation
8
Table of Figures
Figure 1: Context Taxonomy of Dissertation 33
Figure 2: Relationship between assessment of process capability and derivation of organization maturity 40
Figure 3: Context Diagram of Organizational Culture Domain 59
Figure 4: Gartner Process Maturity Model 61
Figure 5: OCD and the Gartner Process Maturity Model 62
Figure 6: OCD to CobiT 63
Figure 7: OCD to ITIL/ITSM 63
Figure 8: OCD to CMMI/SVC 64
Figure 9: OCD to eSCM-SP 65
Table of Tables
Table 1: Components of Organizational Culture Domain 46
Table 2: Likert Scales for the Cultural Assessment 50
Table 3: Component Assessment of Organizational Tension 51
Table 4: Component Assessment of Coordination and Communication 52
Table 5: Component Assessment of Organizational Commitment 53
Table 6: Component Assessment of Organizational Competency 54
Table 7: Component Assessment of Organizational Leadership – Manager Self Assessment 55
Table 8: Component Assessment of Organizational Leadership – Employee Assessment 56
Table 9: Component Assessment of Management Innovation 57
Table 10: Component Assessment of Organizational Innovation 58
Francis A. Granito Doctor of Management Dissertation
9
Chapter 1 Introduction
Statement and Significance of the Problem
There are several maturity models in the Information Technology Service
Management (ITSM) industry ranging from standards organizations such as the
International Organization for Standardization (ISO), to industry best practices such as
CobiT and ITIL, to sources from Carnegie Mellon, such as Software Engineering
Institute (SEI) and the Capability Maturity Model Integration (CMMI), to vendors who
specialize in this practice and have their own proprietary models as has Gartner, Inc. and
Forrester Research, Inc. and all meet the definition of a maturity model as defined by the
International Organization for Standardization (SSES, 2009).
The International Organization for Standardization (ISO) provides this definition
of a maturity model: “An Organizational Maturity Model relates to one or more specified
related domains of application. The domain of application of the Organizational Maturity
Model shall be specified clearly and unambiguously” (SSES, 2009, p. 8). The purpose is
not to evaluate the validity of these maturity models, but to complement or augment these
models by adding another domain called Organizational Culture.
These organizational process maturity models provide “domains” of maturity for
Service Management implementation. Virtually all the models such as CobiT, ITIL, and
CMMI reference organizational culture or “service culture” (Corporate Executive Board
Francis A. Granito Doctor of Management Dissertation
10
IEC, 2008, p. 2; Corporate Executive Board IEC, 2004, p. 2; CobiT, 2000, p. 34; Hyder,
2006, p. 11; and Cartlidge et al., 2007, p. 13) as a key component of this organizational
change management effort, but offer little in the way of specific criteria for that
dimension of the model. Various vendors and researchers have tried to fill the gaps
such as Forrester Research, Inc., and the Hagberg Consulting Group. Some, such as
Gartner, are proprietary; however, the accepted industry models do not include a domain
devoted to organizational culture.
Moving to ITSM or a service management framework is an organizational culture
change. Organizational change affects and can be affected by information technology in
several ways. For example, Information Technology appears to support an existing
decentralized structure in organizations with uncertain environments, but in simple
environments computing appears to strengthen and centralize authority structure (Markus
& Robey, 1988, p. 586). Yet another perspective is that the uses and consequences of
information technology emerge unpredictably from complex social interaction (Markus
& Robey, 1988, p. 588). Organizational culture change to one of Service Management
can represent a complex social interaction.
In the absence of a mature service culture, organizations find it difficult to justify
the business case for implementation of an IT Service Management approach. Research
indicates that ITIL V3 implementations require an established and sustainable service
culture as well as defined expectations on expected return on investment (Corporate
Executive Board IEC, 2008; Hyder, 2006; and Cartlidge et al., 2007). A mature service
Francis A. Granito Doctor of Management Dissertation
11
culture can be characterized by such things as innovation, the sharing of ideas, and
continuous improvement. A mature service culture would value conflict rather than
suppress it (Bruhn, 2001, p. 2) and knowledge workers in technology organizations
require more organic characteristics as distinguished from mechanistic (Reigle, 2001, p.
1). A mechanistic culture is formalized, controlled, and structured while organic cultures
lack formality and standards. Workers in mechanistic cultures have defined jobs in a
rigid hierarchy, while organic cultures have workers that perform tasks that meet ever
changing needs using whatever methods meet the needs at the time (Kimbrough &
Componation, 2005, p. 1). In the service organization, a mature service culture would be
more organic and innovative. All of these examples point to the importance of
organizational culture in the technology service organization.
The potential outcomes of this research are to provide organizations undergoing
change to a more mature process, such as IT Service Management, the knowledge and
awareness of organizational culture factors that may affect their strategy. These culture
factors would be directly related to the various maturity models such as CMMI, CobiT,
and ITIL/ITSM thus providing the organization with a direct relationship with culture
factors specific to these maturity models though the Organizational Culture Domain
(OCD). Implementers of IT Service Management specifically and process maturity
generally will have a clearer construct of the “service culture” that these maturity models
require, but do not provide.
Francis A. Granito Doctor of Management Dissertation
12
Though this research provides significant culture factors and relationships to
organizational maturity, the research was not expected to yield specific strategies to
address culture factors in organizational change to process maturity. Furthermore,
research may yield other culture factors that could manifest themselves such as is
proposed in the OCD conceptual model in Chapter 3. These are addressed as future
research in Chapter 6.
Another aspect of organizational culture that had not been previously addressed in the
literature reviewed but was mentioned in this dissertation’s panel review was the issue of
“power.” Specifically, it was suggested that decisions could be made either unilaterally
or by following process, depending on leadership style, organizational culture, and
organizational processes. The panel suggested that a proper balance of process and
individual power would make for a more culturally mature organization; however,
organizational power and specific culture change strategies are areas of future research
that will be discussed in Chapter 6. The original OCD did not fully address resilience.
Peer review and secondary research led to model revision and the addition of
Organizational Continuity as an OCD Component.
Finally, the intent of OCD and associated OCD Assessment was to augment and
complement existing service maturity models such as CMMI, ITIL/ITSM, and CobiT to
provide an IT service provider with a more robust picture of the maturity level of an
organization as regards its organizational culture. As a result, implementation strategies
could be developed to work around or change the culture to be more adaptable and
Francis A. Granito Doctor of Management Dissertation
13
service-oriented, as called for in ITIL, and thus increase the probability of success and
sustainability of the organizational change to service management.
Importance to Management
The German sociologist Max Weber is generally credited with foreseeing the rise
and significance of the managerial class created by the Industrial Revolution and for
coining the term “bureaucracy” to describe the emerging capitalistic structures (Frank,
2002, p. 42). Weber saw that the complexities of decision making were growing beyond
the means of business owners to handle and that a decision making process was required
and could be placed with a management class that would bring “rationalism” to
organizational decision making to enhance productivity and efficiency (Weber, 1905, p. 5
in Frank, 2002, p. 43).
This rationalism principle and bureaucracy structure of Weber provide direct
traceability to today’s management structures and the process maturity models of IT
Service Management that are designed to support productivity and efficiency through
documented and repeatable processes. Weber explains the components of bureaucracy to
be, among other things: rules and technical competence and formalized record keeping
(Frank, 2002, p. 42). IT Service Management maturity models such as CMMI, CobiT,
and ITIL can trace their roots directly to rationalism and the bureaucratic principles of
Max Weber. These models outline specialized organizational capabilities such as
processes, methods, functions, roles and activities that a Service Provider uses to enable it
Francis A. Granito Doctor of Management Dissertation
14
to deliver IT services to customers and to do things that have been shown to work and be
effective and thus repeated (Cartlidge et al., 2007, pp. 6-7).
Research Questions, Assumptions, and Propositions
According to Creswell (2009) the research objective is identified in the purpose
statement of the research where the purpose is the intent of the study, but not the problem
statement or research questions (p. 111). A research purpose explains why the research
or study is being conducted and its intended accomplishments. The purpose could either
be qualitative, quantitative or mixed purpose. A qualitative purpose intends to describe,
understand and discover; a quantitative purpose attempts to relate or compare variables,
and a mixed purpose contains strands of both and a rationale for incorporating them
(Creswell, 2009, pp. 112-120).
The purpose this paper is to propose a design and development of an
Organizational Cultural Domain (OCD) with “components” that can be measured in
future studies. This domain can then be included in existing maturity models and then
correlated to overall organizational maturity. In order to measure the components of the
OCD, each component will have a set of variables. Measurement of these component
variables will equate to organizational cultural maturity for the OCD. It is not the
approach in this paper to collect primary data to support the propositions as hypotheses.
Rather, the approach is to propose and support a model that could support the stated
propositions as hypotheses by examining the literature and related secondary data. An
Francis A. Granito Doctor of Management Dissertation
15
evidence-based research (EBR) approach has been used to verify the OCD as a
framework for measuring organizational culture. EBR includes systematic reviews of
secondary research and analysis of data already collected by others (Slavin, 1986).
The purpose of the OCD and the associated survey instrument envisioned is to
test the application of established theory, as alluded to in the introduction, that
organizational culture is a significant determining factor in organizational process
maturity. Stated differently, the cited literature establishes a well-supported theory that a
“service culture” is a significant part of organizational change to process maturity. This
study relates various independent variables that affect the dependent variable
organizational culture that effect organizational process maturity as measured by various
industry standards such as CMMI, CobiT, and IT Service Management. A proposition or
assumption is that Organizational culture could be an independent variable affecting the
dependent variable Organizational Process Maturity resulting in the ability to model,
measure, and mature an organization’s culture as one would model, measure, and mature
any organizational process.
There is much interest by colleagues in the IT profession regarding the disciplines
of organizational and process maturity and the need for a “mature culture” or a “service
culture,” but, as has already been discussed, with few tools or resources in the existing
maturity models to assess the culture, classify the culture, and relate the culture to be
successful to maturing an organization (Corporate Executive Board IEC, 2008, p. 2;
Corporate Executive Board IEC, 2004, p. 2; CobiT, 2000, p. 34; Hyder, 2006, p. 11; and
Francis A. Granito Doctor of Management Dissertation
16
Cartlidge et al., 2007, p. 13). The proposition or theory is that organizational culture
influences an organization’s capacity to achieve process maturity as measured by models
such as CMMI, ITIL/ITSM, or CobiT. Thus this dissertation’s central research question
is:
How does organizational culture affect organizational process maturity when
implementing models such as CMMI, CobiT, or ITSM?
Sub questions include:
What are the components (variables) of the organizational culture domain?
What components of that domain affect organizational process maturity and what
might be the weighting of those components?
What relationships exist among the components of the organizational culture
domain?
What effect might variables such as organization size or type of industry have on
the impact culture has to process maturity?
Based on the proposed research questions above, several propositions are
presented:
Proposition 1: There is a relationship between the organizational culture and the
organizational process maturity such that “higher” levels of organizational
Institutional renewal and adaptation (IRA): Creating and managing sustainable competetive advantage (SCA)
No full textThe primary purpose of this study is to propose and explore a theoretical framework linking the construct of Institutional Renewal and Adaptation (IRA) to the firm‘s ability to build and sustain its competitive advantage, which determines its ability to generate returns on capital for its shareholders and increase long-term value. The proposed framework builds upon the sources of competitive advantage foundations established by the prevailing theories on the subject, including the resource-based view, the market-based view, institutional theory, the dynamic capabilities framework, and the eclectic paradigm. The framework underscores the important roles a firm‘s resources, capabilities, market-based strategies, and institutional context play as key contributors to competitive advantage. The study argues that IRA is a mechanism that effectively fosters institutional learning, development, and sustainability. Relevant practices include innovation; organizational learning and competence-building; firms‘ management, organizational, and strategy development; flexibility of cultural values; global aptness and cultural intelligence; and a keen sense to detect shifts in markets and business environments. The current study also links IRA to sustainable competitive advantages using the Competitive Advantage Index (CAI), an operational metric defined and developed by the author, specifically for this purpose. Finally, this study seeks to contribute to the theoretical work that is needed to help understand how firms achieve and sustain above-average market returns as well as what would cause these returns to dissipate over time. The ultimate goal of the study is to advance the knowledge of how to build a better theory of firm performance and to expand knowledge related to the possible sources of sustainable competitive advantage..ii
INSTITUTIONAL RENEWAL AND ADAPTATION (IRA): CREATING AND MANAGING SUSTAINABLE COMPETITIVE ADVANTAGE (SCA)
By
Bashir Alfadda
[email protected]
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 Directed By:
Dr. James P. Gelatt
Dr. Kathleen Edwards
Dr. Michael A. Evanchik
Dr. Irmak Renda-Tanali,
Dr. Rana Kahn
December 13, 2010
iii
ABSTRACT
INSTITUTIONAL RENEWAL & ADAPTATION (IRA): CREATING AND MANAGING SUSTAINABLE COMPETITIVE ADVANTAGE (SCA)
By
Bashir Alfadda
[email protected]
The primary purpose of this study is to propose and explore a theoretical framework linking the construct of Institutional Renewal and Adaptation (IRA) to the firm‘s ability to build and sustain its competitive advantage, which determines its ability to generate returns on capital for its shareholders and increase long-term value. The proposed framework builds upon the sources of competitive advantage foundations established by the prevailing theories on the subject, including the resource-based view, the market-based view, institutional theory, the dynamic capabilities framework, and the eclectic paradigm. The framework underscores the important roles a firm‘s resources, capabilities, market-based strategies, and institutional context play as key contributors to competitive advantage. The study argues that IRA is a mechanism that effectively fosters institutional learning, development, and sustainability. Relevant practices include innovation; organizational learning and competence-building; firms‘ management, organizational, and strategy development; flexibility of cultural values; global aptness and cultural intelligence; and a keen sense to detect shifts in markets and business environments. The current study also links IRA to sustainable competitive advantages using the Competitive Advantage Index (CAI), an operational metric defined and developed by the author, specifically for this purpose. Finally, this study seeks to contribute to the theoretical work that is needed to help understand how firms achieve and sustain above-average market returns as well as what would cause these returns to dissipate over time. The ultimate goal of the study is to advance the knowledge of how to build a better theory of firm performance and to expand knowledge related to the possible sources of sustainable competitive advantage.
__________________________________________________________________
Keywords: Sustainable Competitive Advantage (SCA); Institutional Renewal and Adaptation (IRA); Competitive Advantage Index (CAI); High Performance/Competitive Advantage Enablers iv
© Copyright by
Bashir A. Alfadda
2010
v
Table of Contents
Abstract ........................................................................................................................................ iii
Table of Contents .......................................................................................................................... v
List of Tables ............................................................................................................................... vii
List of Figures .............................................................................................................................. vii
Chapter 1: Research Topic and Relevance to the Practice of Management ........................... 7
Statement of the Problem and Significance ................................................................................ 8
Thesis and Propositions ............................................................................................................ 13
Propositions.............................................................................................................................. 14
Research Question and Context ................................................................................................ 15
Summary .................................................................................................................................. 17
Chapter 2: Review of Literature and Thesis Investigation ..................................................... 19
Literature Review...................................................................................................................... 20
Literature Review Synthesis ..................................................................................................... 35
Innovation: Classic and contemporary approaches................................................................... 37
Supporting Studies .................................................................................................................... 45
Summary .................................................................................................................................. 48
Chapter 3: Findings, Analysis, and Theory .............................................................................. 52
Theory-Building Approach ....................................................................................................... 52
Research Question and Context Revisited ................................................................................ 54
Research Findings ..................................................................................................................... 57
Discussion ................................................................................................................................ 60
The Institutional Renewal and Adaptation (IRA) Conceptual Framework .............................. 66
IRA Framework in a Business Context .................................................................................... 69
Propositions Revisited .............................................................................................................. 71
Metrics: Competitive Advantage Index (CAI) ......................................................................... 71
Limitations and Constraints ...................................................................................................... 77
Chapter 4: Trends, Implications and Conclusions .................................................................. 79
Analysis and Implications of Trends ........................................................................................ 79
Implications for Management Practice ..................................................................................... 83
Areas for Further Research ....................................................................................................... 87
Summary .................................................................................................................................. 88
References ................................................................................................................................... 90
Appendices .................................................................................................................................. 96
Appendix A – Primary Data Validation Methodology ............................................................. 96
Appendix B – Expert Panel Reviews ...................................................................................... 111
vi
List of Tables
Table Title Page
1 Competitive Advantage Shifting Dynamics 10
2 Implications and Synthesis of Key Competitive Strategy Theories 36
3 Innovation Strategies 40
4 Closed vs. Open Innovation 41
5 Red Ocean versus Blue Ocean Strategies 42
6 Shifting Strategy Focus 43
7 Major Findings of the Thesis Supporting Studies 46
8 Contextual Interpretation of the Findings of the Thesis Supporting Studies 49
9 Summary of Findings 51
10 Conclusions from Literature Review and Synthesis 58
11 Establishing Cause-and-Effect Relationships Between High-performance Enablers and Competitive Advantage, Institutional Renewal, and/or Institutional Adaptation 59
List of Figures
Figure Title Page
1 Research questions and context 16
2 The innovation value chain 44
3 Components of a theory 53
4 Research questions and context 56
5 IRA conceptual framework 68
6 IRA conceptual framework in a business context 70
7 Evolving stages of economic development 80
8 IRA and the strategic business evolution of the firm 86
7
Chapter 1: Research Topic and Relevance to the Practice of Management
The current study seeks to understand how firms become successful, how they sometimes remain that way, why and how they improve, why they sometimes decline, and the role sustainable competitive advantage (SCA) plays in shaping these phenomena. To this end, the study explores and investigates sources and enablers of SCA, proposing the construct of Institutional Renewal and Adaptation (IRA), a theoretical framework that integrates these sources and enablers into a mechanism to help firms create and manage SCA. Researchers have long sought to develop theory to help businesses create and sustain competitive advantage. Indeed, Utterback (1994, p. 215) posits that
Even the casual observer of industrial enterprise must be struck by the cycle of development, growth, maturity, and decline through which most individual firms pass. Growth companies eventually run out of steam, or are eclipsed by new competitors. Solid blue chip companies that once seemed permanent fixtures of the economic scene suddenly fall under a weight of problems. Their descent from market leadership is often public and painful, marked by massive financial losses and employment disclosures.
Some blame the expanding global competition for the difficulties of beleaguered firms whereas others see them as victims of macroeconomics and structural shifts beyond the clear control of government and corporate managers (Utterback, 1994).
As a theoretical foundation, the study's proposed framework builds upon the prevailing competitive strategy theories. Prevailing theories are those that the current author found to be the most discussed, referenced, and debated on the subject. Those thought leaders who have 8
contributed to the seminal work of this subject are also referenced very frequently (several hundred to several thousand times) according to the Web of Science database. Among those theories are the resource-based view of a firm (Amit & Shoemaker, 1993; Barney, 1991; Peteraf, 1993), the market-based or competitive forces view of a firm (Porter, 1985), institutional theory (Bresser & Millonig, 2003; Oliver, 1997), the dynamic capabilities framework (Teece, Pisano & Shuen, 1997), and the eclectic paradigm (Dunning & Lundan, 2008). The study examines innovation; sociopolitical legitimacy; organizational learning and competence building; management, organizational, and strategy development; flexibility of cultural values; and global aptness and cultural intelligence as key performance enablers, connecting them to the proposed IRA and SCA constructs.
Statement of the Problem and Significance
This study promotes an understanding of the impact of the institutional context of the firm on its ability to create and sustain a competitive advantage. A company‘s competitive advantage strongly affects its ability to generate above-average market returns on capital for its shareholders and to remain a viable business entity. SCA is essentially the firm‘s ability to create superior value for its customers in addition to superior financial performance for itself.
Barney (1991) posits that a firm has a competitive advantage when it is implementing a value creation strategy not being simultaneously implemented by any current or potential competitor. Furthermore, he defines SCA as the firm‘s ability to implement the value creation strategy previously discussed while other firms are unable to duplicate the same. Other authors have defined SCA as simply a competitive advantage that lasts a long period of time (Jacobson, 1988; Porter, 1985, as cited in Barney, 1991, p. 102). The concept of SCA used in the current 9
study refers to an organization’s continuous ability to acquire and develop the required combination of attributes that enables it to outperform its competitors on a long-term basis.
During the last two decades, the global economic landscape has been redefined. The era has witnessed the proliferation of the internet, increased dependence on e-commerce, and a broadening of the labor pool to include virtual teams across the globe. China and India have emerged as economic superpowers in a world characterized by fewer economic boundaries and higher levels of interdependence across firms, industries, and nations. To a large extent, the new environment represents fundamental change in the way in which commerce is conducted and firms compete. Markets, competitors, labor pools, and supply chains extend across the globe and no longer have rigid geographic or demographic limitations. Indeed, Prahalad and Hamel (1990, p. 80) posit that,
Once, the diversified corporation could simply point its business units at a particular end product markets and admonish them to become world leaders. However, with market-boundaries changing ever more quickly, targets are elusive and capture is at best temporary. A few companies have proven themselves adept at inventing new markets, quickly entering emerging markets, and dramatically shifting patterns of customer choice in established markets. These are the ones to emulate.
SCA can be attained even if the resources available at the firm‘s disposal are neither perfectly imitable nor substitutable without great effort (Hoopes, 2003, p. 891; Barney, 1991, p. 117). According to Porter (2004), cost, differentiation, and focus are the three fundamental types of competitive advantage. 10
The new global economic environment makes it possible for firms to compete in markets that span the globe. Yet this means that firms also face a much broader base of competitors in domestic as well as international markets, as evidenced by the dramatic shifts in competitive advantages witnessed among firms, industries, and national economies during the period in which globalization evolved. Competitive advantage can be sustained over time (as evidenced by Toyota, HP, Intel, and Microsoft), partially shifted to competitors (Sun Microsystems, retail booksellers, and General Motors), or completely eroded (PC industry for IBM, UK auto industry, minicomputers for DEC) (see Table 1).
Table 1.
Competitive Advantage Shifting Dynamics Company / Industry Competitive Position Possible Cause(s) Effect(s) Prevailing entity/ beneficiary
1
IBM (PC)
Imitability
Loss of PC Business
Intel, MS, PC firms
2
Novell
Substitutability
Loss of Network OS leadership
MS
3
Sun
Substitutability
Loss of workstation leadership
HP, Dell and PC firms
4
Silicon Graphics
Substitutability
Loss of workstation leadership
HP, Dell and PC firms
5
Netscape
Substitutability
Loss of search engine leadership
Google, yahoo, MS
6
DEC
Substitutability
Loss minicomputer market
PC and WS leaders
7
IBM, Fujitsu, Amdahl, Data General
Substitutability
Diminished mainframe market share
PC, servers, WS, network firms
8
GM, Ford, Chrysler
Imitability and substitutability
Loss of leadership and market share
Toyota, Honda, Nissan, BMW
9
Texas Inst. (TI)
Imitability and substitutability
Loss of calculator business
HP, Toshiba, Casio, others
10
Motorola
substitutability
Loss of mobile phone leadership
Nokia, Samsung, etc. 11
Company / Industry Competitive Position Possible Cause(s) Effect(s) Prevailing entity/ beneficiary
11
Retail book-sellers
Substitutability
Loss of market share
Amazon.com, internet commerce
12
Retail travel agency
Substitutability
Loss of market share
Travelocity, Orbitz, Expedia, etc.
13
UK Auto Industry
Substitutability
Loss of Industry
Auto manufacturers
14
HP (Printer business)
Enhanced and/or maintained position
Maintain leadership of printer business
HP
15
Intel
Enhanced and/or maintained position
Maintain leadership of Microprocessor B.
Intel
16
Toyota, Honda, BMW
Enhanced and/or maintained position
Increase market share and leadership
Toyota, Honda, BMW
17
Microsoft
Enhanced and/or maintained position
Maintain leadership of PC OS and Apps.
MS
Table 1 presents several examples that demonstrate the influence of imitability and substitutability on a firm‘s competitive position. Imitability and substitutability are possible causes of the shifts in the competitive advantage positions among firms, industries, and nations. If a valuable resource is controlled by only one firm, it could be a source of competitive advantage (Barney, 1991, p. 107). ―This advantage is sustainable if competitors are not able to duplicate this strategic asset perfectly‖ (Peteraf, 1993, p. 183). Imitability occurs when competitors are able to duplicate a firm‘s strategic assets perfectly and offer identical or similar goods and services at lower prices and/or better terms. The displacement of IBM as the principal producer of PCs during the 1990s can be attributed to imitability. The same can be said about Texas Instruments‘ loss of the hand-held calculator business. Yet even if a resource is rare, potentially value creating, and imperfectly imitable, an equally important aspect is lack of substitutability (Barney, 1991, p. 111). Examples of substitutability over the past two decades 12
include the centralized computing environment using mainframe computers being largely substituted by an environment of personal computer networks, some postal mail categories being largely substituted by email, certain segments of traditional media advertising being substituted by internet advertising, and pagers being substituted by mobile telephones.
One of the most evident examples of the impact of these factors on sustainability is the failure of Digital Equipment Corporation (DEC), Data General, and Silicon Graphics to anticipate the impact of the emergence of the PC industry on their ability to maintain a competitive advantage, which largely resulted on the dismantlement of the firms or a complete loss of a business segment. Meanwhile, IBM—the inventor of the PC—has entirely surrendered the PC industry due to competitive pressures from rivals. It might be argued that IBM has abandoned the PC industry as a conscious strategic decision to focus on other priorities, such as services and consulting. Personal computing and related industries have evolved into a substantially larger business opportunity than the one IBM currently serves. Indeed, IBM could have profoundly reinforced its leadership position had it been able to maintain its hold on the PC segments of the information technology industry. Likewise, General Motors, Ford, and Chrysler have all been struggling for survivorship in recent years because of their failure to cope with the trends of the automotive industry and effectively counter the emergence of fierce competition from Japanese, German, and Korean manufacturers. Meanwhile, Microsoft, BMW and Toyota have been able to sustain and reinforce their competitive advantage positions over time. This discussion highlights the importance of SCA to the well-being and survivorship prospects of a firm or a national industry.
The current study proposes that an effective Institutional Renewal and Adaptation (IRA) strategy contributes to building and sustaining a competitive advantage. This study explores and 13
promotes an understanding of the IRA propositions (discussed below and revisited in Chapter 3), their impact on the institutional context of the firm, and how they will affect the firm‘s ability to create and sustain a competitive advantage.
Thesis
As the literature review (Chapter 2) will reveal, the prevailing theories on this subject offer multiple perspectives and remedies for building and sustaining a competitive advantage. Each theory, when taken in isolation, presents plausible arguments regarding the value that its respective remedies
Framing senior management (SM) - middle manager (MM) role relationships in hierarchical organizations undertaking significant change
No full textThis work frames the interdependent and intersubjective relationship between Senior Managers (SMs) and Middle Managers (MMs) in hierarchical organizations that are undergoing significant change. Through this examination, suggestions are made respective to the roles and interactions of SMs and MMs that each undertakes to influence and orient each other to achieve positive change outcomes. This study is exploratory in nature and seeks to define and recommend role descriptors and enabling actions that if synthesized by SMs and MMs would have the greatest potential for successful change. In essence, this study frames these roles and actions. The articulation of this interdependent and intersubjective framed relationship comes from literature from which an evidence based research approach was applied to derive a conceptual model. It is envisioned that future research will draw on the exploratory aspect of this effort and further result in a refined theoretical framework that seeks a clearer understanding of this relationship. Given the increased emphasis placed on SMs and MMs to adapt to significant change the timing of this effort to those practitioners is critical.Running head: FRAMING MANAGERIAL CHANGE RELATIONSHIPS
Framing Senior Manager (SM) - Middle Manager (MM) Role Relationships in Hierarchical Organizations Undertaking Significant Change.
John F. Kearney
A Dissertation
Submitted to the
Graduate Faculty
of
University of Maryland University College
in Partial Fulfillment of
The Requirements for the Degree
of
Doctor of Management
Dissertation Committee: Dennis W. Winters, Ph.D. Kathleen F. Edwards, Ph.D.
ii
ABSTRACT
This work frames the interdependent and intersubjective relationship between Senior Managers (SMs) and Middle Managers (MMs) in hierarchical organizations that are undergoing significant change. Through this examination, suggestions are made respective to the roles and interactions of SMs and MMs that each undertakes to influence and orient each other to achieve positive change outcomes. This study is exploratory in nature and seeks to define and recommend role descriptors and enabling actions that if synthesized by SMs and MMs would have the greatest potential for successful change. In essence, this study frames these roles and actions. The articulation of this interdependent and intersubjective framed relationship comes from literature from which an evidence based research approach was applied to derive a conceptual model. It is envisioned that future research will draw on the exploratory aspect of this effort and further result in a refined theoretical framework that seeks a clearer understanding of this relationship. Given the increased emphasis placed on SMs and MMs to adapt to significant change the timing of this effort to those practitioners is critical.
Key Search Terms: Senior Managers, Middle Managers, Significant Change, Roles, Role Theory, Framing.
iii
Dedication
This research study is dedicated to two very special individuals. The first is my spouse, Sunny, without whose support this accomplishment would not have been possible. She sacrificed many activities that were designed for the two of us and in lieu endured my managerial theoretical renderings. The second individual is my father, Mr. John Kearney, Sr., now retired. Over the course of his working life, Dad, was the epitome of the consummate middle manager as practitioner: one who deeply cared for those above and below him on the organizational chart. I owe my many years of loyal federal government service to his salient example.
iv
Acknowledgements
This journey has not been traveled alone. I would like to thank my committee members and in particular Dr. Dennis Winters, Chair. I still hear his voice exulting me to let‘s get going, let‘s push on, and let‘s complete the task. With Dennis, I was never alone.
To my work colleagues whose struggles with significant change proved to be the catalyst for this endeavor. Finally, to my family, Sunny, John, and Danny, for their understanding, patience, and encouragement without which none of this would have been possible.
v
Table of Contents
Abstract…………………………………………………………………………….. ii
Dedication……………………………………………………………………......... iii
Acknowledgments…………………………………………………………………. iv
Table of Contents……………………………………………………………………v
List of Tables……………………………………………………………………… vi
List of Figures……………………………………………………………………… vii
Chapter 1: Introduction and Research Problem…………………………………… 1
Research Problem………………………………………………………….. 3
Significance of the Problem……………………………………………….. 4
Relevance to the Study of Management…………………………………… 6
Research Questions………………………………………………………… 9
Operational Definitions…………………………………………………….. 10
Chapter 2: Literature Review……………………………………………………….14
Organizational Culture ……………………………………………………..15
Management Process and Functions …...………………………………….. 18
Management Process and Elements ……………………………………….. 20 Management Process and Change…………………………………………. 24
Theoretical Construct……………………………………………………… 26
Agency, Principle-Agent, Roles ………………………………….. 26
Symbolic Interaction, Role Theory, Upper Echelon ……………… 28
Topical Analysis Initial Role Descriptors…………………………………. 34
Research Propositions……………………………………………………... 46
Chapter 3: Conceptual Framework and Thesis Development……………………... 48
Conceptual Framework…………………………………………………….. 48
Conceptual Working Model ………………………………………………. 59
Thesis………………………………………………………………………. 59
Chapter 4: Research Approach……………………………………………………. 60
Methodology……………………………………………………………….. 60
Process……………………………………………………………... 62
Data Collection…………………………………………………….. 63
Data Analysis..…………………………………………………….. 86
Expert Panel…….………………………………………………………….. 88
Credibility …………………………………………………………………. 90
Chapter 5: Analysis and Discussion….…………………………………………… 91
Chapter 6: Conclusions and Implications for Management………………………. 112
Theoretical Implications………………………………………………….. 113
Practical Implications…………………………………………………….. 115
Trends..…………………………………………………………………… 118
Implications for Future Research ………………………………………… 118
Limitations ……………………………………………………………….. 119
References………………………………………………………………………… 120
Appendix A: Expert Feedback Summary………………………………………….. 139
vi
List of Tables
Table 1: Senior Manager (SM) – Middle Manager (MM) Role Relationship Summary
Table 2: Evidence Based Research – Strength of Evidence
vii
List of Figures
Figure 1: Management Functions
Figure 2: Management Process
Figure 3: Conceptual Model SM-MM Role Descriptors
Figure 4: Research Process
Figure 5: Analyze – Methodologies
Figure 6: Analyze – Focuses
Figure 7: Analyze –Disciplines
Figure 8: Evidence Based Research (EBR) Scoring Summary
Figure 9: SM-MM Role Descriptors (Altered Model)
Figure 10: Expert Panel SM-MM Role Descriptors
1
Chapter 1: Introduction and Research Problem
In 2005, the U.S. Army‘s senior leadership in response to the dramatic transformational changes then underway in the operational Army, elected to extend the lessons learned from that effort and apply them towards the institutional Army. For the Army recognized that:
The institutional activities that generate relevant and ready forces are the business end of our Army. In order to provide responsive, innovative, and efficient institutional support, we must dedicate ourselves to ―transforming the way we do business.‖ To achieve this goal, improve effectiveness, and identify the efficiencies that will free human and financial resources to better support operational requirements, we can learn much from civilian best practices (Schoomaker & Harvey, 2005).
To enable this transformational change and in the spirit of senior leaderships‘ vision the Army turned to civilian business and under a multi-million dollar contract selected a well-known process reengineering and change management firm to provide transformational support services. In quick succession, the newly established Deputy Under Secretary of the Army for Business Transformation (DUSA-BT), the agency responsible for transformation, in consultation with the Secretary of the Army and the support contractor targeted 15 overarching Army processes from which they planned to track progress in implementing the transformational initiative. One of the 15 targeted was the Test and Evaluation (T&E) process. To support the Army‘s examination of it and the resourced significant change deployment required DUSA-BT to provide the organization responsible for the 2
process with contracted support services. In early 2006, the contract was established and Army deployment support began. The Army‘s expectation was that the organization responsible for T&E would successfully deploy the change initiative and from that deployment effectiveness and efficiencies (e.g., human capital and dollars) would be realized that then could be reallocated into other Army requirements. The selected change initiative focused on Continuous Process Improvement (CPI) through the application of a civilian best practice model known as Lean Six Sigma (LSS). From March 2006 to June 2008, a team was chartered to examine the T&E process and deploy the change initiative. Predictably the deployment began in earnest, with Army resourcing and contractor assistance the team became ―empowered‖ – empowered to apply the contractor‘s predictive model that if the organization remained committed to would undoubtedly proffer success. Over a 9-12 month span the team adopted the predictive model in an attempt to stimulate change that held the promise of influencing and then transforming the organization. Accordingly, the team: became LSS educated; obtained senior managements‘ backing; established deployment roles and a governance structure; devised and conducted middle-level management and workforce training; drafted and assigned supporting initiative projects; set deployment performance goals; and developed implementation plans. In November 2006 the effort ended. It ended with the established governance structure rejecting a recommendation that envisioned a reorientation away from the T&E traditional business process model that was internal and vertically centered, towards a new construct that in sharp 3
contrast advanced an external and horizontal approach. Given that the change methodology had some early success and the organizational deployment of it had matured, it was assumed that the new approach would be embraced by the managerial practitioners that it supported. The decision makers miscalculated and this miscalculation led directly to failure. This miscalculation and subsequent failure became the catalyst for this dissertation. This salient example suggests that despite acknowledging the need to change (as expressed in the Schoomaker & Harvey memo and accepted by senior management) and despite having the strategy to effect the change (the Army‘s change initiative coupled with the deployment resources) management when the presented opportunity failed to fully execute the strategy for the acknowledged need. This failure translated into personnel losses, morale degradation, and risk to organizational mission. This was an accident that should have been avoided, but was not. Why did it have to end this way?
Research Problem
Widespread experience and research suggest that organizations engaging in significant change endeavors often do not fare well (O‘Neill & Lenn, 1995; Kotter, 1996; Hammer & Champy, 2001; Balogun, 2003; Womack & Jones, 2003; Harrington & Williams, 2004; Kodama, 2005). Managers, at both the senior and middle levels, know that their organizations are adapting to change all of the time, even while core mission functions and formal processes remain relatively static. Different programs emerge, improved systems are developed, and organizational 4
design is continually refined in order to respond to changing circumstances. Yet, when managers either plan for or are faced with facilitating and implementing significant change - success often meets with limited results. Why is that? It cannot be that organizations cannot change; as clearly they do all the time. Thus, the overarching problem identified for this study is why, even when provided opportunity to successfully undertake significant change, do organizations fail at it? Both scholars and practitioners have examined organizational failure and as a result many recent (predominately last 20 years) books and journal articles have been written about its causes. From these books and articles two relational themes emerge centered on the import of organizational culture and the social relationships found within. Coincidently and with a confirmatory nod from those involved in the aforementioned example these two themes appear to have merit. Accordingly, this dissertation examines why organizations fail at change and posits that a primary cause lies within the context of organizational culture and the framed relationship between Senior Managers (hereafter SMs) and Middle Managers (hereafter MMs) embedded within.
Significance of the Problem
Significant to this study is a fundamental understanding of organizational culture and its impact on change and the SM-MM relationship. This is critically important as culture shapes the behavior and decisions of those in the organization (Gagliardi, 1986; Linstead & Grafton-Small, 1992; Hooijberg & Petrock, 1993; Wieck, 2000) which impacts effectiveness (Denison & Mishra, 1995). Because culture exerts such 5
a powerful influence on managers at all levels, it corresponds (either positively or negatively) with an organizations‘ ability to respond to change (Hunger & Wheelen, 2007). Adopting a sociological perspective, organizational culture conveys a sense of identity, provides a guideline for getting along, and enhances the social system (Ouchi & Wilkins, 1985; Cameron & Quinn, 2006; Hunger & Wheelen, 2007; Charon, 2010). It represents ―how things are done‖ and includes what is valued, the dominant leadership style, the language and symbols, the procedures and routines, and the definitions of success that characterize an organization (Reger, Mullane, Gustafson & DeMarie, 1994; Schein, 1993; 2004). And as Schein further describes the culture of a group is a ―pattern of shared assumptions that was learned by a group as it solved its problems of external adaptation and internal integration, that has worked well enough to be considered valid and, therefore, to be taught to new members as the correct way to perceive, think, and feel in relation to those problems‖ (Schein, 2004, p.17). According to Gagliardi (1986, p.124) ―every organization has a primary strategy, which is the maintenance of its culture.‖ Organizational culture has been shown to limit organizational action, including significant change (Reger, et al,. 1994; Weick, 2000; Yukl, 2006) and because of the increased turbulence, technological and informational complexity, and the unpredictable external environment in which organizations operate, it is opined that managers must manage it-- for again, as Schein suggests that if managers do not become ―conscious of the culture in which they are embedded, those cultures will manage them‖ (Schein, 1993, p.366). It is therefore suggested that managers with knowledge of and operating within organizational culture are key contributors to change. 6
Organizations rely on SMs and MMs to facilitate and implement strategy within a derived cultural setting to get work accomplished. However, in a change environment this construct and its cultural implications become altered and unless their actions, activities, and expectations of each other are explicitly addressed, both of these managerial levels research suggests will, even under the environs of change, tend to slip into the familiar role structure that the culture presents (Schein, 1993, 2004; Floyd & Lane, 2000). One significant way to prevent this is to suggest the distinct values added of each of the two distinct management groups in terms of the roles that need to be framed by each in an environment of change.
Relevance to the Study of Management
Approximately 44% of organizations possess a hierarchical orientation (Cameron & Quinn, 2006) and over the past two decades SMs have recognized its limitations. Alarmed by the loss of effectiveness, efficiency, and concerned for their very relevancy, they have de-layered, de-staffed, and reengineered their organizations and operations investing resources into change endeavors with varying degrees of results (Bartlett & Ghoshal, 1995; Hammer & Champy, 2001; Balogun & Johnson, 2004) and it is suggested that in light of these turbulent times that this trend will continue. Largely, how their organizations function has not changed because the orientation of the role relationships of the people in charge of running them has not changed. It is argued in this study that the problems inherent to a hierarchical culture and change cannot be overcome unless this orientation is changed. A basic theme of organizational theorists is that organizations must coordinate 7
and control the activities and behaviors of the people who comprise it and these theorists equate success, under this construct, to managers fulfilling critical roles (Floyd & Lane, 2000; Kuratko, Hornsby, & Bishop, 2005). In particular, SMs depend on MMs to enact roles that present the best opportunity to reach organizational objectives without undue influence to their coordination and control activities and therefore must establish a relationship with them that gains commitment to their direction (Floyd & Wooldridge, 1997; Floyd & Lane, 2000; Fine, Hansen, & Roggenhofer, 2009). However, despite the importance of the relational aspect between the two, research has largely evolved along separate paths with the import of SMs‘ influence on organizational performance being central. Accordingly, not much is known about how the relationship and the interaction between them effects strategic direction and change. If it is assumed that understanding this direction is essential to significant change activities and therefore the relationship between SMs and MMs that enables the direction is likewise assumed to take on increased importance. It will then be argued that understanding the role each plays within the relationship construct is crucial to the knowledge of how these dynamics influence their organizations for the better. This is one research gap this study intends to address. As representatives of change practitioners, continuous process improvement specialists recognized a second gap between SM expectations and MMs‘ response to change endeavors (Kotter, 1996; Hammer & Champy, 2001; Womack & Jones, 2003). They identified the need to for each to engage early in the facilitation phase in order to set priorities and gain a commitment to the change. Bullington, Easley, 8
Greenwood & Bullington (2002) discovered reinforcing research that identified organizational factors that if attended to would enable organizations to facilitate process improvement initiatives successfully. However, they also noticed that none of the discovered research focused on the difference in importance between organizational factors in the facilitation phase and the implementation/maintenance phase. Acknowledging the earlier work of social theorist Walter L. Wallace (1969) who they credited as the first to distinguish between factors that resulted in early success versus those resulting in maintaining that success and who referred to this phenomenon as genesis-maintenance theory. Contextually, this theory posits that ―the factors important for successful initiation of some effort are likely to differ for the factors important for successful maintenance of the effort‖ (Bullington et al., 2002, p.8). When undertaking significant change activities organizations have experienced this phenomenon (Kotter, 1996; Womack & Jones, 2003). Managers, it is assumed, who theoretically recognize and take practical steps to map out how success factors could evolve during the significant change endeavor and then attend to their roles to enable those factors are more prone to achieve success. This is a second gap that this endeavor will address. In summary, this study fills a knowledge gap associated with the roles and enabling conditions that managerial practitioners in culturally aligned hierarchical organizations should enact either upon receipt of an externally derived significant change activity or one that is internally driven by SMs. Further, this study contributes to managerial understanding associated with the facilitation and implementation 9
change process by providing information about the important SM-MM relationship factors that affect both.
Research Question
Therefore, this work explores the interdependent and intersubjective role relationships and enabling actions between SMs and MMs in culturally aligned hierarchical organizations. This is done in order for each to understand the ways, means, and ends to overcome, subvert or discount unintended significant change perceptions. In essence, the author seeks to answer the following: when significant change is introduced in hierarchical organizations, what are the essential roles and enabling actions that SMs-MMs must construct in order to facilitate positive change outcomes? Answering this question reaches into a long-standing sociological tradition of trying to comprehend the content of work and how it is changing. This scholarly interest in the content of work goes at least back to Daniel Bell and before him Max Weber, the founder of modern sociology. Respectfully, each presumed that managers and the role they played were at the core of how sociology views modern society and its economy. Nineteen per cent of the U.S. workforce is classified as managers (Osterman, 2008) and, as stated, the workings of these managers ha
Engage faculty in outcomes assessment to improve student learning
No full textEngaging faculty actively in the assessment process is still one of the common challenges for many universities and colleges. For those faculty members who are adjunct and not involved daily in institutional activities, full engagement with assessment processes is even more challenging. The authors of this research (Cooksey & Khalsa) developed an online survey instrument for distribution to 30 UMUC Graduate School adjunct faculty members. These 30 adjunct faculty members teach for the Professional Education Unit of The Graduate School’s Department of Education. The purpose of the survey was to identify assessment factors, processes and perspectives, which have influenced the Unit’s faculty engagement with program assessment.Khalsa&Cooksey- Summary Report
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Engage Faculty in Outcomes Assessment to Improve Student Learning
Funded by Faculty Research Grant Program— Spring 2012
Datta Kaur Khalsa & Yan Zhang Cooksey
The Graduate School, UMUC
Introduction:
The assessment movement first started in the mid-1980s and since that time there has been a growing realization of the important role that faculty members play in course, program and institutional level outcomes assessment efforts (Hutchings, 2010). A recent national survey of chief academic officers conducted by the National Institute for Learning Outcomes Assessment (NILOA) reported that two-thirds of the respondents had indicated faculty engagement as a key element for advancement of assessment efforts (Kuh & Ikenberry, 2009). However, Schilling & Schilling (1998) assert that assessment happens in spite of rather than by or for the faculty. As Hutchings (2010) points out, real promise of assessment depends on significantly growing and deepening faculty involvement.
Although tremendous progress has been made to help faculty buy-in with assessment (i.e. developed authentic standardized tests, technology software), engaging faculty actively in the assessment process is still one of the common challenges for many universities and colleges. For those faculty members who are adjunct and not involved daily in institutional activities, full engagement with assessment processes is even more challenging. The authors of this research (Cooksey & Khalsa) developed an online survey instrument for distribution to 30 UMUC Graduate School adjunct faculty members. These 30 adjunct faculty members teach for the Professional Education Unit of The Graduate School’s Department of Education. The purpose of the survey was to identify assessment factors, processes and perspectives, which have influenced the Unit’s faculty engagement with program assessment. With this effort, the department program directors and administration could better determine the strengths or weaknesses of a two-year effort (2010-2011) to engage adjunct Education faculty in UMUC Graduate School Outcomes Assessment, the use of a TK20 assessment management system, awareness of student performance data and collaboration in alignment and refinement of assignments and rubrics in two programs, the MED and MAT.
Background:
The Graduate School (TGS) at University of Maryland University College (UMUC) has made learning outcomes assessment a top priority. Additionally two programs in TGS’s Department of Education – the Master of Arts in Teaching (MAT) and the Master of Education (MEd) in Instructional Technology are engaged in a National Accreditation process. This process has a very strong emphasis on program assessment and encourages a robust focus on continuous improvement and refinement as a result of assessment efforts. In line with TGS’s priorities and strategies, the Professional Unit of the Education Department has established a commitment to ongoing systematic assessment and the use of assessment results to improve student learning. Departmental administrators, program directors and faculty members strive to build a “continuous improvement” assessment culture through the cycle of identifying outcomes, gathering student learning evidence, interpreting the evidence, and implementing program and/or curriculum changes. Among various assessment measures and instruments, rubrics are developed and implemented widely within the professional education programs. Khalsa&Cooksey- Summary Report
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Methods:
A 26-item online survey instrument was designed in collaboration with the authors and focus group experts. It contained twenty-three 5-point likert scale items and three open-ended response items planned for collection of both quantitative and qualitative data information. The survey was designed to reflect four different levels of faculty assessment engagement:
1. Assessment awareness,
2. Assessment motivation,
3. Assessment engagement,
4. Assessment advocacy.
The online survey invitation was sent out to 30 adjunct faculty members who were teaching in the MAT and MEd programs during the 2012 Spring Semester. Twenty-eight responded to the survey questions, giving us a 93% response rate. A copy of the IRB consent form and the survey are available at this URL:
http://www.surveymonkey.com/s/NGNSWFL
Results:
Quantitative and qualitative data were collected from the online survey to help identify the factors, which most influence adjunct faculty’s engagement with TGS, program and course level outcomes assessment.
Assessment Awareness:
82% of respondents are aware that The Graduate School has assessment requirements for the Education Department.
93% of the respondents agree that they have received a good orientation to UMUC’s Education Department’s emphasis on assessment.
100% of respondents state that the courses they taught use rubrics for student benefit.
90% of respondents acknowledge that the rubrics in their course are strongly connected to the assignment objectives, 11% of respondents disagree.
Assessment Motivation:
Although 65% of respondents state that they would like to know more about Graduate and Program assessment for improved student learning, 35% do not seem to want to know more or be more involved than they are presently. One respondent explicitly expresses that s/he is not motivated to improve the connection between his or her assignments and the rubrics offered to students. It was not apparent whether this indicates strong current alignment or lack of motivation for improvement.
Assessment Engagement:
96% respondents indicate that they provide feedback to students immediately after each assessment.
63% of the respondents express that they would like to know more about developing well-defined rubrics.
67% of the respondents would like to know more about the Education Department’s assessment process. Khalsa&Cooksey- Summary Report
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Even though most respondents state that they work with program directors and colleagues collaboratively to improve student learning, 22% of them indicate that they do not presently give their program director feedback on course assignments and rubrics each semester.
19% point out that they do not engage in discussions with other instructors for improved student learning.
33% of the respondents indicate they do not review their course(s) within a small team to determine if improvements could be made.
Assessment Advocacy:
Seventy percent of respondents stated that they have conducted their own research related to learning objectives, rubrics or assessment. However, 41% respondents articulate that they have not frequently spoken with colleagues about assessment. Eighty-nine percent of respondents have attended conference sessions about assessment and some noted that they either train teachers or have presented on assessment topics.
Conclusions and Recommendations:
Below are some conclusions and recommendations based on the survey results:
Most adjunct faculty members are aware of program, department and graduate school assessment processes.
Most adjunct faculty members believe that engagement in ongoing improvement of their course assignments and rubrics is important to student learning and program improvement.
Many adjunct faculty members feel that rubrics could be more strongly connected to the assignment objectives, and that rubric improvements would be beneficial to student learning.
Faculty survey results display that there is a lack of necessary collaboration between adjunct faculty and program directors. More dialogues and discussions about rubric and assignment alignment could benefit student learning.
Adjunct faculty are interested in more assessment resources, support and training.
Next Steps:
MAT and MEd program directors create a Summer/Fall 2012 Assessment Improvement plan that includes follow-up to this faculty feedback. Plan is to include:
1. Collaborative analysis of rubric/assignment alignment.
2. Discussion about rubric/assignment refinement and improvement.
3. Initiation of norming practice beginning with same-course instructor discussion to improve bias-free rubric use with students.
Department of Education, Director of Assessment, plans Summer 2012 and Fall 2012 Assessment training. The training includes live and recorded sessions on:
1. More accurate use of Tk20 assessment software.
2. Training for independent faculty elicitation of student course performance data reports from TK20
3. Plan for student performance data sharing among instructors teaching different sections of the same course. Khalsa&Cooksey- Summary Report
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4. Invitation for feedback for continual improvement of the assessment training and continuous improvement process.
Additional assessment training might also include stronger marketing of UMUC’s Center for Teaching and Learning and TGS training to adjunct faculty. This assessment training could include virtual workshops, webinars, panel discussion, norming practice etc…
Further analysis of quantitative data for insights into respondents’ positive and negative assessment beliefs and attitudes.
As a result of more insight, if necessary, refine survey items.
Use versions of this survey as a yearly follow-up for the Education Department as well as other Departments in The Graduate School.
Expand this survey by offering it to members of the Graduate School Assessment Liaison Committee (GSALC) for discussion and use in their programs. Cross program data can then be analyzed for TGS assessment patterns and needs.
MBA program is planning to use the refined survey with their adjunct faculty members.
This research was presented at the annual conference for Assessment of Learning in Higher Education (AALHE) in Albuquerque, NM in June 2012.
The authors’ research results will be presented at the poster session during UMUC Share Fair in September, 2012.
The research will be written into a chapter to be included in a book on assessment; authors include Cooksey, Khan, Klose and Khalsa (2013).
Paper submission to Assessment Update: Progress, Trends, and Practices in Higher Education.
References:
Hutchings, P. (2010, April). Opening doors to faculty involvement in assessment. (NILOA
Occasional Paper No.4). Urbana, IL: University of Illinois and Indiana University, National Institute for Learning Outcomes Assessment. Retrieved from: http://learningoutcomeassessment.org/documents/PatHutchings_000.pdf
Kuh,G., and Ikenberry, S. (2009, October). More than you think, less than we need: Learning
outcomes assessment in American higher education. National Institute for Learning Outcomes Assessment. Retrieved from: http://www.learningoutcomeassessment.org/documents/niloaabridgedreport.pdf
Schilling K., & Schilling, K. (1998). Proclaiming and sustaining excellence: Assessment as a
faculty role (ASHE-ERIC Higher Education Report 26:3). Washington, DC: George Washington University.
Acknowledgements:
We would like to thank John Aje, Virginia Plato, Jay Liebowitz, and Robert Goodwin for their support on this research project
Best practices in cloud computing for collaboration in online education
No full textCloud computing promises new and valuable capabilities to support online classroom activities. It has the potential to be of significant value to instructors and administrators who want to enhance course delivery through increased collaboration and sharing capabilities. Our research shares the experiences and lessons learned in applying the cloud-based Google Docs suite in supporting UMUC online programs while identifying several issues and challenges associated with the adoption of this new technology. This research includes an overall assessment of the potential of Google Docs as a productivity and collaboration tool for supporting online teaching and management activities and addresses our lessons learned and possible future directions in this area.Faculty Research Grant Summary Report – Spring 2012
Best Practices in Cloud Computing for Collaboration in Online Education
Les Pang and Stella Porto
Introduction
Cloud computing promises new and valuable capabilities to support online classroom activities. It has the potential to be of significant value to instructors and administrators who want to enhance course delivery through increased collaboration and sharing capabilities. One significant example of cloud computing for both personal and enterprise use is Google Docs. Google Docs, now called Google Drive, is a no-cost, Web-based office suite that allows users to create and edit documents online and has strong collaborative capabilities. In our research we hypothesized that Google Docs would significantly facilitate and enhance student engagement and faculty productivity, thereby improving the learning and teaching experience.
Research Purpose
Our research shares the experiences and lessons learned in applying the cloud-based Google Docs suite in supporting UMUC online programs while identifying several issues and challenges associated with the adoption of this new technology. This research includes an overall assessment of the potential of Google Docs as a productivity and collaboration tool for supporting online teaching and management activities and addresses our lessons learned and possible future directions in this area.
The primary goal of this research is to identify and assess effective teaching practices that utilize Google Docs within the online classroom. We understand that this is the equivalent to the research question: What are the effective teaching practices involving Google Docs that have high potential benefits for use in an online classroom?
The research methodology consisted of first conducting a literature review, designing virtual classroom activities which utilize Google Docs technologies including signup forms, group project collaborative research paper, group project slide presentation, class reflective document, and surveys.
An introductory graduate level course, ITEC 610, Information Technology Foundations, was used for this study. Five online instructors volunteered to participate. They represented six distinct sections (classes) of about 15 students each. The Google Docs-based activities were applied in these virtual classrooms. Feedback was gathered in surveys and the classroom activities were reviewed based on several indicators: accessibility, reliability, efficiency, helpfulness and ease of use. The surveys asked questions about each of the activities, referencing these indicators, as well as overall questions about students’ experience using the technology.
Findings
The main findings that we have identified -- based on responses to the surveys by students and faculty as well through direct observation – include the following:
1. Students felt that the application was useful for the collection of feedback and has a significant collaborative potential for teamwork. On the other hand, it lacked compatibility with other desktop applications and sometimes seemed to create additional work to the online environment (since the application is not integrated with the LMS). There were a few ease-of-use and accessibility issues and some students preferred staying within the limits of the learning management system boundaries.
2. Overall, student ratings were between 3.2 and 3.8 for the all the indicators mentioned above (ranges from a 5 as most positive to 1 as most negative, according to the Likert scale were used). Therefore, this range is roughly equivalent to a grade of a “B”.
3. Instructors’ ratings on all aspects were higher than those for students, averaging above 4.0.
4. After considerable analysis, the researchers agreed the results were mixed. For some, adding Google Docs was additional work, but for others, the advantages were relevant and sparked interest.
5. It was concluded that the value of the learning technology depends on how well the learning activity is designed. This means that there needs to be considerable work on the development of the activity from the instructional design point of view, when considering the adoption of such technologies.
Recommendations
1. Start with one or two activities in a course. Later, refine the instructions for such activities, and eventually add others that have a significant gain by adopting such technologies.
2. Employ the activities that involve collaborative writing, such as short pieces, allowing for instructor feedback during development and minimal requirements on format.
3. The use of signup sheets and forms are useful classroom activities involving Google Docs and do not require excessive learning.
4. As for students’ readiness, provide support as needed both before and during the activity. For some individuals, it might mean a steep learning curve.
5. If using the technologies for group activities, it is important to adopt best practices related to virtual teamwork in order to avoid the negative aspects of mismanaged collaborative activities.
6. Leverage as much as possible the ability for immediate feedback by the instructor.
7. Consider integrating Google Docs with the LMS. Several LMS’s currently allow the incorporating Google Docs, and in such cases, the students will not feel that there are employing yet another tool and allows the access to Google Docs to be more seamless.
Conclusions
Google Docs had limited success in its use in online classroom activities for this particular experiment. It is however a powerful tool for collaborative activities such as signup forms, reflective documents and surveys. All instructors involved in the experimental use of Google Docs plan to continue its use in upcoming semesters due to its collaborative value. However, most plan to be more selective on which class activities they plan to include the tool.
Some of the identified limitations may become irrelevant in the future since the application is constantly evolving. Overall, the researchers find that the tool has a significant potential and should be considered as an additional tools to be used, especially when integration with the LMS is possible.
Results of this research were presented at the annual EDEN (European Distance and E-Learning Network) conference in Porto, Portugal on June 7, 2012
Facework and the negotiation of multiple identities in online class discussions
No full textAbstract: Qualitative text analysis investigates idea that professional and academic identity is built and asserted in online classrooms via written discourse, using discourse strategies associated with the sociological concept of ‘face. Researcher concludes that discourse strategies pattern in ways that may be analyzed, described, and ultimately used to improve teaching and learning efficacy.Di Desidero, 1
TO: Jay Liebowitz
FROM: Linda Di Desidero
CC: Wendy Williams
DATE: 26 March 2012; updated 16 August 2012
SUBJECT: UMUC Faculty Research Grant Summary Report: “Facework and the Negotiation of Multiple Identities in Online Class Discussions”
This memo summarizes the work that I have completed on my UMUC Faculty Research Grant for the project “Facework and the Negotiation of Multiple Identities in Online Class Discussions.” >
1. Research Question:
a. How do advanced undergraduate students use discussion board writing to create and enhance their identities both as scholars and as members of a disciplinary community?
b. How do the concept of ‘face’ and the discursive strategies known as ‘facework’ contribute to student identity formation in the online classroom?
2. Inter-disciplinary Framework for Analysis of Data
Research develops an inter-disciplinary framework in which to position this investigation with the following general assumptions:
Discourse is language as social action
Writing is dialogic
Identity is enacted and constantly in process
Facework is rooted in culture (cultures of ethnicity, gender, age, profession, etc.)
Facework strategies are tools that individuals use to enact identities in interpersonal communication; they may be used to understand written interaction as well
3. Hypotheses:
a. Students’ deployment of facework strategies would vary with respect to their interactional goals
b. Face display and identity enactment would vary with respect to student perceptions of situation and over time.
4. Methodology
The methodology I used was a qualitative text analysis approach to specific data sets from my COMM 495 classroom discussions. Discussion prompts invite students to enact particular identities or aspects of identity.
5. Brief Findings
Hypotheses were confirmed and elaborated:
Students used varied facework strategies in different situations with respect to goal and purpose
Facework strategies patterned consistently across themes:
o Leadership, power, authority
o Personal Identity
o Group Identity
o Professional Identity
o Identity as Writer
Di Desidero, 2
6. Outputs
PUBLICATIONS (Two Book Chapters that have been accepted for publication)
“Facework and the Negotiation of Multiple Identities in Online Class Discussions”
In Phoebe Jackson & Chris Weaver, Eds., Writing in Online Courses: Disciplinary
Differences. William Paterson University.
STATUS: With Editors
“Creating Effective Discussion Boards in the Online Writing Class”
In Teresa Henning, Ed. Best Practices in Online Writing Instruction: A Showcase of
Techniques. Southwest Minnesota State University.
STATUS: Sent out for review by Publisher
PRESENTATIONS
The reading/analysis that I did for my grant project has helped me in two conference papers that have been accepted for presentation this spring:
“Bounded by Identity: Agency and Adversity in Children’s Texts” March 2012
To be presented to College English Association, Richmond, VA
UPDATE: Facework is a useful paradigm from which to examine texts designed to socialize individuals into particular aspects of identity. Strategies and frameworks from language and social interaction can be more effective than simple rhetorical analyses of text in this regard. The gender differences in this particular data are insidious, thus drawing attention to the subtle but powerful distinctions among gendered identities into which children are socialized.
“Face and Identity in the Writing of the Female American Political Columnist” April 2012
To be presented to Southern States Communication Association, San Antonio, TX
UPDATE: Presentation to Southern States Communication Association was billed as a ‘cutting edge’ panel where I spoke with Lynne Webb and Christine Davis (very well known in the field) about how concepts and frameworks from theories of language and social interaction (such as facework) can provide different and sometimes greater insights into human activity (such as writing).
POTENTIAL FUTURE PUBLICATION SUBMISSIONS
To be submitted to Journal of Asynchronous Learning Networks (JALN Sloan) or to Quarterly Review of Distance Education
“Writing in the Disciplines: Using the Discussion Board to Develop Discipline-Based Epistemic and Ontological Understanding”
To be submitted to Kairos: A Journal of Rhetoric, Technology, and Pedagogy
“Using the Discussion Board to Develop Student Fluency and Agency in the Online Technical Writing Class”
FUTURE PRESENTATION SUBMISSIONS
To be submitted to Conference on Writing Across the Curriculum or to NCTE (National Council of Teachers of English):
“Discussion Board Drafting in Student Writing Across Curricula: An Approach that Works” Di Desidero, 3
Selected References
Brown, P. & Levinson, S. (1987). Politeness: some universals in language usage.
Cambridge: Cambridge University Press.
De Fina, A., D. Schriffrin, & M. Bamberg. (2006) Discourse and Identity. Cambridge:
Cambridge University Press.
Fairclough, N. (2001) Language and power. Harlow, England: Pearson Limited.
Goffman, E. (1959). The presentation of self in everyday life. New York: Anchor/Doubleday.
Goffman. E. (1967) Interaction ritual: Essays on face-to-face behavior. New York:
Anchor/Doubleday.
Habermas, Juergen. (1968). Technik und Wissenschaft als ‘Ideologie’. Frankfurt am Main:
Suhrkamp Verlag.
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.
Van Leeuwen, T. (2008). Discourse and Practice: New Tools for Critical Discourse
Analysis, 2nd ed. New York: Oxford