Issues of Human
Computer Interaction
Anabela Sarmento
IRM Press
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Issues of
Human Computer
Interaction
Anabela Sarmento
Instituto Superior de Contabilidade e Administração do Porto/
Instituto Politécnico do Porto, Portugal
and
Algoritmi R&D Centre (Information Systems Group)/
University of Minho, Portugal
IRM Press
Publisher of innovative scholarly and professional
information technology titles in the cyberage
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Library of Congress Cataloging-in-Publication Data
Issues of human computer interaction / Anabela Sarmento, Editor.
p. cm.
ISBN 1-59140-235-2 (ppb) -- ISBN 1-59140-191-7 (hrd) -- ISBN 1-59140-236-0 (ebook)
1. Human-computer interaction. I. Sarmento, Anabela.
QA76.9.H85I87 2005
004'.01'9--dc22
2004003768
British Cataloguing in Publication Data
A Cataloguing in Publication record for this book is available from the British Library.
The views expressed in this book are those of the authors, but not necessarily of the publisher.
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Dedication
To Ivo, Pedro Ivo and Nuno Miguel,
for all the time
that I was not able to be with them.
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Issues of
Human Computer
Interaction
Table of Contents
Preface ....................................................................................................... vii
Anabela Sarmento, Instituto Superior de Contabilidade e
Administração do Porto, Portugal
Section I: Tools to Improve Usability and Web Design
Chapter I
Service-Oriented Human Computer Interaction and Scripting ....... 1
Neil McBride, De Montfort University, UK
Ibrahim Elbeltagi, De Montfort University, UK
Chapter II
User Acceptance of Online Computer Games: Comparing Two
Models in a Field Study .......................................................................... 21
Yuan Gao, Ramapo College of New Jersey, USA
Chapter III
Web-STAR: Development of Survey Tools for Use with
Requirements Gathering in Web Site Development ......................... 37
Jonathan Lazar, Towson University, USA
Adam Jones, Towson University, USA
Kisha-Dawn Greenidge, Towson University, USA
Section II: Internet and End Users’ Concerns
Chapter IV
The Use of Query Operators and Their Effect on the Results
from Web Search Engines ...................................................................... 50
Bernard J. Jansen, The Pennsylvania State University, USA
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Chapter V
Interactive Proxy for URL Correction ................................................. 72
Kai-Hsiang Yang, National Taiwan University, R.O.C.
Chapter VI
Emerging Practices and Standards for Designing Business
Web Sites: Recommendations for Developers ................................... 85
Carmine Sellitto, Victoria University, Australia
Andrew Wenn, Victoria University, Australia
Section III: IT and Issues Regarding Human
Resources Management
Chapter VII
A Framework for Defining E-Business IT Skills Portfolio ............... 111
Susy Chan, DePaul University, USA
Abdulrahman A. Mirza, King Saud University, Saudi Arabia
Chapter VIII
Issues in End-User Behavior ................................................................ 136
Murray E. Jennex, San Diego State University, USA
Chapter IX
Employee Perceptions of Outsourcing of Information Technology
Operations: An Empirical Investigation .............................................. 152
Lynda Roberson Louis, Xavier University of Louisiana, USA
Section IV: Human and Organizational Issues
Regarding IT Adoption and Use
Chapter X
Surfacing Occupational Threats to IT-Enabled Change:
A Neglected Role for Organization Development? ........................... 179
Joe McDonagh, University of Dublin, Ireland
Chapter XI
Human Factors in the “System Selection” Stage of Library
Automation ............................................................................................... 192
Nasrine Olson, University College of Borås/University of Gothenburg,
Sweden
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Chapter XII
Stressing Office Technology’s Non-Technical Side: Applying
Concepts from Adaptive Structuration Theory ................................... 225
Huub J. M. Ruël, Utrecht University, The Netherlands
Chapter XIII
Expanding the Information Carrying Capacity of the New Media
in the Context of Virtual Teams ............................................................ 263
John D’Ambra, The University of New South Wales, Australia
Zixiu Guo, The University of New South Wales, Australia
Chapter XIV
Change and Challenge: Managing the E-Business Organization .... 277
John Mendonca, Purdue University, USA
Section V: Case Studies of Human and Organizational Issues
Regarding IT Adoption and Use
Chapter XV
Data Quality and Work Alignment: Do IT Professionals Think
Differently? ............................................................................................... 291
Latif Al-Hakim, University of Southern Queensland, Australia
Hongjiang Xu, Central Michigan University, USA
Chapter XVI
Human Issues and Computer Interaction: A Study of a
U.K. Police Call Centre .......................................................................... 321
Steve Clarke, The University of Hull, UK
Brian Lehaney, University of Coventry, UK
Huw Evans, University of Luton Business School, UK
Chapter XVII
The Role of Group Learning in Implementation of a Personnel
Management System in a Hospital ....................................................... 335
Tatyana Bondarouk, University of Twente, The Netherlands
Klaas Sikkel, University of Twente, The Netherlands
About the Editor ...................................................................................... 363
About the Authors ................................................................................... 364
Index .......................................................................................................... 373
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vii
Preface
Human Computer Interaction (HCI) has its roots in the main areas of industrial engineering, human factors and cognitive psychology with the focus
on the development of user-friendly IT. Traditionally, the research in this area
has emphasised the technological aspect of this relationship (the Computer).
More recently, other aspects concerning the organizational, social and human
context also began to be considered (the Human). Today, one can say that
any attempt to facilitate the relationship between the machine and the user
must consider not only the technological perspective (e.g., promote the usability) but also, for instance, the way the user is going to use the technology
and his or her purpose as well as the social and cultural context of this use (the
Human and the Computer).
Another issue that should be considered in this interaction is the impact that
information systems/technology may have on humans and organizations. There
is general consensus that the adoption of any IT/IS brings change. Furthermore, IT/IS and organizations have a mutual influence on each other, meaning
that this technology affects organizations and that organizations necessarily
affect, for instance, the design, the choice and the management of those systems. The adoption of an IT/IS is, thus, mediated by factors that will influence
the interaction between the sectors involved. It is also generally agreed that
the adoption of a certain IS by different organizations does not give rise to the
same changes; that is, the same technology might engender different impacts
and these differences are due not to the characteristics of the technology itself, but to the characteristics of the context and the relationships that are
established among all the factors involved.
It is already possible to find in the literature some models to help to assess the
impact of the adoption of the technology. One could summarize all the contributions of these models by saying that the factors that should be considered in
this process are (Sarmento, 2002, 2003): (1) Technological factors, including
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the characteristics of the technology that is going to be adopted and the technology already existing in the organization; (2) Structural factors, including the
organizational design, the complexity, the number of hierarchical levels, the
number of departments, the centralization or decentralization of power and
decision making, the coordination of tasks, the formalization of procedures,
the design of tasks and jobs and the degree of specialization; (3) Social and
individual factors, including the multidisciplinary work teams, their distribution
in time and space, their education, training, work satisfaction, skills and individual characteristics; (4) Political factors, including who decides on the kind
of technology to adopt, its design and implementation, who is going to use it,
its purposes and objectives; and (5) Cultural factors, norms, rules, reaction to
change and organizational learning capacity.
These factors cannot be analysed in isolation as they interact with each other,
influencing the effects of the adoption and use of the new IT. Moreover, it is
not possible to say that one factor is more important than the other because
the result of an interaction depends on the relation that is established among
all the factors involved, over a period of time.
Another issue that should be considered is the understanding of the technology that is going to be implemented. This means that sometimes it is not enough
to just consider the arguments advanced by the seller or reported on the leaflets to acknowledge the advantages and benefits of the technology. It is necessary to know the impacts on several organizational domains, for instance, in
the coordination of the processes, in the internal communication or in the management of organizational knowledge. Furthermore, organizations must also
be aware that changes might not happen in the way they expect. Some changes
may not happen at all while others may occur unexpectedly.
Taking the roots of HCI, and the way it has evolved in the last few years, we
wanted this book to cover the different perspectives and point towards some
directions for further research. This book is divided in five sections. The first
section, “Tools to Improve Usability and Web Design” deals, precisely, with
the more technological aspect concerning the interaction between human and
machines. Subjects such as the usability and the Web design are discussed in
those chapters. Section II, “Internet and End Users’ Concerns,” includes three
chapters reporting on the importance of users and their characteristics. Section III, “IT and Issues Regarding Human Resources Management,” comprises chapters debating the needs of management of human resources engendered by the adoption of new IT. Section IV, “Human and Organizational
Issues Regarding IT Adoption and Use,” discusses the importance of the consideration of human aspects when choosing and adopting technology and how
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neglecting these might lead to the failure of IT adoption. Finally, in Section V,
“Case Studies of Human and Organizational Issues Regarding IT Adoption
and Use,” we present some empirical projects that were carried out to study
the impact of IT adoption and the reasons beneath some examples of IT failure.
The following is a brief description of each section and the chapters included
in them.
Section I presents and discusses some tools that can be used to improve
usability and Web site design.
In the first chapter, “Service-Oriented Human Computer Interaction and
Scripting,” Neil McBride and Ibrahim Elbeltagi propose the concept of service-oriented human computer interaction (HCI), in which HCI derives from
service design, dialog is driven by customer needs and perceptions, activities
are considered and the service interaction dialog is aligned with the computer
dialog. Furthermore, the authors suggest that the use of scripts can be a valuable tool to enable the development of human-computer dialogs, because it
aligns more with the expectations and needs of the customers, enabling the
service to meet some of the criteria of service-oriented HCI.
In Chapter II, “User Acceptance of Online Computer Games: Comparing
Two Models in a Field Study,” Yuan Gao examines two models for predicting
user acceptance of online computer games. These models are the technology
acceptance model and the consumer behaviour model, based on marketing
and advertising research. The chapter describes an empirical research method
to test these models. Findings suggest that product presentation has influence
on the acceptance of the technology, including online computer games.
In Chapter III, “Web-STAR: Development of Survey Tools for Use with Requirements Gathering in Web Site Development,” Jonathan Lazar, Adam Jones
and Kisha-Dawn Greenidge introduce the Web-STAR (Survey Tool for Analyzing Requirements) project; this offers a standardized survey tool, which
developers can use to determine the user requirements for existing or new
Web sites. Chapter III also provides a background for requirements gathering
and its challenges, followed by a discussion on the relevance of Web usability
and the need for surveys and toolkits that aid the development process. Finally, the progress of this project is discussed.
Section II addresses issues related to end users’ concerns in an Internet
context.
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Chapter IV in this section, “The Use of Query Operators and Their Effect on
the Results from Web Search Engines,” by Bernard J. Jansen, discusses the
use of query operators such as Boolean and phrase searching to improve
searching performance. The author reviews the existing literature on this subject and tests his assumptions by examining the effects of query structure on
the documents retrieved by Web search services. Findings show that approximately 66% of the results were identical regardless of how the searcher entered the query, suggesting that the use of complex queries is generally not
worth the effort for the typical Web searcher.
Chapter V, “Interactive Proxy for URL Correction,” by Kai-Hsiang Yang,
addresses the issues of Uniform Resource Locator correction techniques in
proxy servers, based on personal browsing access logs, to meet the different
users’ needs. According to the research undertaken, users will no longer be
too concerned with the URL (whether it is correct or not) because even when
the URL entered is incorrect, they will be taken to the desired Web page.
In Chapter VI, “Emerging Practices and Standards for Designing Business
Web Sites: Recommendations for Developers,” Carmine Sellitto and Andrew
Wenn report some of the emerging technical design aspects of information
delivery that a developer should consider in the implementation of business
Web sites. These authors recommend a Web site design framework that encompasses some of the more technically based features associated with accessibility, proper html encoding and metadata elements. Some aspects concerning information quality are also discussed.
Section III deals with IT and human resources management issues.
Chapter VII of this section, “A Framework for Defining E-Business IT Skills
Portfolio,” by Susy Chan and Abdulraham A. Mirza, discusses some of the
consequences of organizational change arising from the adoption of an e-commerce or e-business model. For instance, there is the need for a new IT skills
portfolio. Based on a literature review, authors propose a framework that will
help to guide the development of a desired skills portfolio for e-business transformation. The chapter concludes with a research agenda.
In Chapter VIII, “Issues in End-User Behavior,” Murray E. Jennex describes
some action research undertaken to solve a problem concerning the high level
of engineering time that was spent performing IS functions. This research contributes to the identification of issues that affect system development, use of
programming standards, documentation, infrastructure integration and system
support.
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In Chapter IX, “Employee Perceptions of Outsourcing of Information Technology Operations: An Empirical Investigation,” Lynda Roberson Louis describes a study carried out to investigate the perceptions of employees directly involved in IT outsourcing and correlates these perceptions with factors
identified in previous studies. The human factors evaluated are job security,
benefits and compensation, morale, productivity, training and skills, and career opportunities. The author proposes a modified management outsourcing
adoption model as a tool for use in management action plans to incorporate
employee perspectives into the outsourcing phases, potentially leading to better agreements that benefit all parties involved.
The human and organizational issues regarding IT adoption and use are addressed in Section IV.
Chapter X in this section, “Surfacing Occupational Threats to IT-Enabled
Change: A Neglected Role for Organization Development?” by Joe McDonagh,
discusses some of the challenges that have emerged as a result of IT implementation. Although recognizing that it is the technical and economic considerations that are uppermost, during IT implementation, the author concludes
that it is the human and organizational factors that should be considered to be
responsible for IT failure. Results show that there is a need for a more integrated approach to the introduction of IT in organizations.
In Chapter XI, “Human Factors in the ‘System Selection’ Stage of Library
Automation,” Nasrine Olson discusses issues that are relevant in the field of
library and information science. The author then describes qualitative research
to study how and why library workers make their choices of automated library systems. Results show that more emphasis on human issues regarding
IT adoption should be considered.
In Chapter XII, “Stressing Office Technology’s Non-Technical Side: Applying Concepts from Adaptive Structuration Theory,” Huub J. M. Ruël introduces the concepts of spirit and appropriation from Adaptive Structuration
Theory. A framework is developed and applied. Results show that if users
have a clear image of the spirit of the IT, it will be better incorporated in their
daily tasks. Based on the results, the author draws some recommendations
for IT implementation and use.
Chapter XIII, “Expanding the Information Carrying Capacity of the New Media
in the Context of Virtual Teams” by John D’Ambra and Zixiu Guo, considers
the role of computer-mediated communication (CMC) in supporting the work
of virtual teams. After a discussion concerning the characteristics of CMC,
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the author presents a framework to help to study the effective use of CMC
within organizations.
In Chapter XIV, “Change and Challenge: Managing the E-Business Organization,” John Mendonca describes the characteristics of e-business with its impact in organizational management, focusing on four dimensions: how organizations manage and control processes and projects, organizational design,
technology transfer management and changes to the nature of work. The author considers that understanding the challenges and adopting new management styles and techniques are critical success factors for the organization.
Section V, the last section, presents some case studies dealing with the human
and organizational issues regarding IT adoption and use.
Chapter XV in this section, “Data Quality and Work Alignment: Do IT Professionals Think Differently?” by Latif Al-Hakim and Hongjiang Xu, provides
some theoretical background for data quality and its relation to work alignment. A theory of data quality alignment is developed and applied in four case
studies. Results show that the quality of data is the most common source of
business failure, as this aspect is mostly neglected by the organizational actors
involved.
In Chapter XVI, “Human Issues and Computer Interaction: A Study of a U.K.
Police Call Centre,” Steve Clarke, Brian Lehaney and Huw Evans describe a
project developed with an action-research approach to solve some of the
problems that arose after the implementation of a call centre. Authors conclude that the difficulties that were being experienced by these police officers
were due to human issues that were not taken into consideration during the
call centre implementation.
In the last chapter, Chapter XVII, “The Role of Group Learning in Implementation of a Personnel Management System in a Hospital,” Tatyana Bondarouk
and Klaas Sikkel propose an implementation model of collaborative technologies, which is regarded as a learning process, with the following activities—collective acting, collective reflecting, knowledge dissemination, sharing
understanding and mutual adjustment. This model is then applied in a longitudinal case study. Conclusions show that group-learning processes do play an
important role during adoption of a new collaborative technology such as
groupware systems. This group-learning process emerges immediately after
the introduction of the new system and will influence the success or failure of
its use.
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The chapters in this book are a selection of some of the articles presented at
the 2003 IRMA International Conference held in Philadelphia. They were all
blind reviewed for acceptance in the conference and in this volume. I really
hope that they will be enriching and inspiring and that the reader will enjoy
reading them as much as I enjoyed preparing them.
References
Sarmento, A. (2002). The impact of collaborative work systems in organizations: Study of the adoption and use of workflow systems.
[Impacto dos sistemas de trabalho colaborativo nas organizações: Estudo
de casos de adopção e utilização de sistemas workflow (in Portuguese)].
Ph.D. thesis, Universidade do Minho, Braga.
Sarmento, A. (2003). The role of the organizational context in the use of a
workflow system: Lessons from a case study. In S. Gordon (Ed.), Computing information technology: The human side (pp. 201-219).
Hershey, PA: Idea Group Publishing.
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Acknowledgments
As Editor, I would like to acknowledge the help of all those involved in the
collation and review of this book, without whose unstinting support the project
could have not been completed. A further special note of thanks goes to all the
staff of Idea Group Inc., whose contributions throughout the whole process
have been invaluable. Thanks also to all those who provided constructive and
comprehensive reviews.
Special thanks go to Ana Maria Correia, who has supported and encouraged
me throughout this project and to Bob Wilkinson for his valuable comments
and for editing the editor’s contribution.
Finally, I would like to thank Mehdi Khosrow-Pour for his original editorial
challenge.
Thank you all.
Anabela Sarmento
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Section I
Tools to
Improve Usability
and Web Design
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Service-Oriented Human Computer Interaction and Scripting
1
Chapter I
Service-Oriented
Human Computer
Interaction and
Scripting
Neil McBride
De Montfort University, UK
Ibrahim Elbeltagi
De Montfort University, UK
Abstract
The emphasis of human-computer interaction (HCI) design on the
technology and computer action tends to obscure consideration of the
contribution of the computer interface to the service interaction. This
chapter suggests that since a majority of commercial information systems
support or provide services, the nature and progression of the service
encounter should be a key concern of human computer interface designers.
The chapter proposes the concept of service-oriented HCI in which HCI
design is derived from service design, dialog is driven by customer needs
and perceptions, activities that have led up to the service encounter are
considered, and the service interaction dialog is aligned with the computer
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permission of Idea Group Inc. is prohibited.
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2 McBride & Elbeltagi
dialog. As part of service-oriented HCI, the chapter illustrates the use of
scripting to examine ex-post the role of a computer interaction in a service
encounter. It demonstrates that the computer dialog can drive the service
interaction in such a way that the quality of the interaction is reduced and
customer satisfaction affected. It concludes that the role of the computer
system in a service interaction is an area for further research. Furthermore,
script analysis may enable the development of human-computer dialogs
that meet some of the criteria of service-oriented HCI.
Introduction
Computer systems play a prime role in the support and delivery of services. For
many systems their main role is in enabling service encounters between
customers and providers. In health care, the role of the information system is
service-oriented, supporting a range of service encounters between clinicians
and patients. In many financial services, information systems support the call
centre, providing the framework within which the operator and customer
interact. In retailing, information systems underpin every aspect of the industry,
whether taking orders, dealing with transactions or organising the warehouse.
Additionally, the information system may replace the human service provider,
rather than just supporting the service encounter. ATMs, self-service airline
ticket dispensers and Internet shopping sites represent services entirely delivered by the computer. Here the service encounter is purely between the
computer and the customer.
Since many, if not most, information systems are delivering or supporting a
service, the study of the service encounter is key to the development of the
human-computer interface. If the computer system is supporting a service
encounter, it must be in tune with that service encounter. It must deliver the
required information at the correct point in the encounter and should not dictate
the progression or outcome of the encounter. Design of the HCI should be
derived from an understanding of the service interaction. In many cases design
of the service, using, for example, a service blueprint (Zeithaml & Bitner,
2003), should precede the design of the computer system and its human
interface. Rather than a focus on data and data presentation, the focus should
be on the progression of the service encounter and the progression of the
dialog. Since information systems are often primarily service-oriented, HCI
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Service-Oriented Human Computer Interaction and Scripting
3
design should be driven by an understanding of the service encounter. HCI
concerns should move beyond screen layout, screen colours and ergonomics,
to an understanding of the structure and dialogs of the service encounter.
It is often the case that the design of the computer dialog follows more the data
needs of the service provider rather than the expectations and needs of the
customer in the service encounter. The HCI and dialog is oriented to the data
model and data requirements of the system and pays scant attention to the
natural or preferred way in which a dialog progresses within the service
encounter. HCI concerns focus on the capture of data, the presentation of data
fields and the completeness and validity of the data. Attention may be paid to
screen colours and data layout, but the HCI is essentially driven by the internal
business processes of the service provider. Customers are forced into a
frustrating and unnatural dialog, which supports the data needs of the computer
system rather than the service concerns of the customer. One consequence of
such a service dialogue, forced into a particular pattern by the computer
system, is that there is a built-in failure in service quality.
Where the focus moves away from the data requirements of the computer
towards the user, there is still a tendency to treat the user as the passive recipient
of computer information rather than an active participant in a service encounter.
Approaches that apply cinematographic techniques such as film cutting (May
et al., 2003) to user interface design only serve to strengthen the design
philosophy that users are passive viewers of computer screens. In contrast,
affective computing, in which computers recognise human emotion and adapt
accordingly (Hudlicka, 2003), models one important aspect of the service
encounter.
Service industry researchers have identified the pivotal nature of the service
encounter between the customer and the human or computer service provider
in determing the customer’s perception of service quality. The quality of the socalled “moment of truth” may be significantly undermined by HCI that is
insensitive to the service encounter and driven only by technical and business
processing needs. However well designed the presentation of the data is, if the
computer dialog is not in tune with the service dialog, problems will occur
resulting in frustration and anger in the service customer, whether the service
interaction is with a shopping site or a call centre operative.
The provision of service-oriented HCI requires significant study of the service
and its design using a range of tools and techniques. Where a service exists,
observation of the service encounter may provide information as to what
functions a computer system should carry out to support that service, or what
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permission of Idea Group Inc. is prohibited.
TEAM LinG - Live, Informative, Non-cost and Genuine!
4 McBride & Elbeltagi
needs to be done to improve the computer system so that it is in tune with the
service. Where a service is being developed (Edvardsson et al., 2000), or an
existing service being reviewed, examining both the customer’s and provider’s
expectations of the service may give helpful insights into how the computer
support for the service should be improved or developed.
Once such tool that may enable the expectations of customers and providers
to be investigated is scripting. The value of scripting in HCI has previously been
identified (Preece, 1994), but little has been done to flesh out its use and identify
some of the outcomes it may provide in HCI design. In order to further develop
the concept of service-oriented HCI, we discuss scripting and present a small
study from an internal service area, the IT help desk, which raises some
significant issues in the development of human-computer interfaces that adequately support the service encounter.
Script Theory
In order to make sense of the world, people develop cognitive structures to
describe what they expect to happen in a particular situation. For example, on
entering a McDonalds restaurant, the customer uses a script to act appropriately in the situation. This involves queuing at the counter, ordering, and
receiving the meal on a tray. If the customer was approached by a smartly
dressed waiter and ushered to a table, the customer would be confused
because such service provider’s behaviour did not agree with the customer’s
script. Similarly, if the customer entered a McDonalds restaurant and asked for
a shoe fitting, the customer’s script would clearly be wrong. Scripts are
knowledge structures that are organised around routinized goal-oriented
activities.
Script theory was developed by Schank and Abelson (1977) as a means of
encoding knowledge structures in computer programs. It has been applied in
management studies as a way of mapping knowledge of processes. Leigh and
McGraw (1989) applied script theory to industrial sales personnel’s activities.
More recently, Greenwood (2000) has applied scripting in nursing, Hubbert et
al. (1995) applied script theory to hairdressing as an example of a service
industry, and Erasmus et al. (2002) propose the use of script theory in
consumer behaviour research.
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Service-Oriented Human Computer Interaction and Scripting
5
A script involves a location where the activity takes place, defined roles and
props, entry conditions, expected outcomes and a number of scenes (Schank
& Abelson, 1977). Activity is targeted at achieving a goal. That goal may be
divided into subgoals. Similarly, a computer interaction involves goals and
subgoals.
The script will usually require exchanges between several actors taking on
roles. The typical analysis occurs at the level of the dyadic interaction between
the customer and the service provider (Solomon et al., 1985). The exchange
that takes place between customer and provider will depend on the scripts of
the participants.
Scripts are triggered by instantiating events and depend on entry conditions.
For example, if one was hungry, hunger would be the instantiating event and
one’s goal would be to satisfy one’s hunger. However, entry conditions for a
restaurant will require hunger and the possession of a means to pay by the
customer. If entry conditions are satisfied, a script may be invoked from the
customer’s memory. Similarly, a script may be invoked by the provider in
response to the customer’s request. In a restaurant, roles may include customer, waiter, cook, cashier, and owner — all acting according to their own
scripts. The customer selects a script according to the type of restaurant.
The use of scripting in HCI will involve the comparison of customer and
provider scripts, the analysis of the differences, the analysis of the role and
appearance of computer interactions within the service interaction, and the
comparison of the provider and customer scripts with the existing or proposed
computer dialog. Understanding the customer’s script and point of view may
have significant effects on the design of the human-computer interface. Scripts
may differ in content and elaborateness. Frequently, provider scripts are more
elaborate and detailed than customer scripts. If some actions appear in more
detail in the customer script than in the provider script this may point to a
potential reduction in the quality of the service interaction. Such a reduction in
the quality may be perpetuated by the fixed information requirements of the
computer system.
Scripts may start and end at different points, again creating service quality gaps.
Hubbert et al. (1995) found that the customer’s script started before the
provider’s script. While the hairdresser considered that the service interaction
started when the customer entered the salon, customers considered the script
to begin when an appointment was booked. Similarly, the computer system
may not support the entire service encounter. Often, the computer dialog takes
the point of view of the service provider and hence starts where the provider
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thinks the service encounter starts. This may be very different from the
customer’s perception of the start of a service encounter.
Scripts may be strong or weak. Strong scripts include expectations of sequence
as well as occurrence of events. Weak scripts do not include sequence
expectations. Schank and Abelson (1977) defined a situational script as one
where, in a particular context, participants have interlocking roles and share an
understanding of what is supposed to happen. The focus of service industry
scripting studies is on strong, situational scripts, which are examined for
mismatches.
Scripting enables the HCI designer to draw out the expectations of the user or
potential user of the computer system. They identify the customer’s knowledge
structures concerning the service and the service dialog that the HCI designer
is aiming to support and represent in the computer system. Furthermore,
investigating a potential user’s service script away from the computer interface
may avoid bias and undue influence by the human computer interface that
already exists.
Scripting may be used to:
•
•
•
•
Analyse the service interaction in order to determine the required dialog
for the computer system;
Compare the service interaction from the point of view of the provider and
the customer with the computer dialog in order to identify gaps in the
computer dialog and shortcoming in the HCI design;
Analyse the role of the computer system and its human interface within the
service encounter in order to determine whether it inhibits or promotes the
flow of the conversation and to see whether it is unduly determining the
direction of the service interaction. Gaps between the service provider’s
script and the customer’s script discovered through the application of
scripting may be found to be gaps in the computer dialog;
Provide an alternative approach to HCI design. Generally HCI design,
and particularly dialog design is based on the service provider’s business
processes. The emphasis is on what the provider organisation does and
its business and data needs. Designing a service involves an understanding
of what the customer does to help deliver the service. It is characteristic
of a service in which the customer is involved in the delivery.
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Scripting may be used ex-ante to examine participant expectations in the
service encounter as a first step toward designing the human computer interface
for the service encounter and ex-post to analyse the role of a computer system
in a service encounter post-implementation. It is likely that, in both cases, one
outcome of a scripting study would be changes in the HCI design.
IT Help Desks
IT help desks provide a prime example of a service, whether internal or
external, in which a service interaction is supported by a computer system.
In IT service delivery, the internal help desk has a pivotal role in delivering IT
services within the organisations and determining service quality. The traditional role of the IT help desk is in providing technical IT solutions for nontechnical users. It provides the key interface between users and IT professionals and is the hub of IT services activity. The support of existing information
systems and the introduction of new information systems may be managed and
monitored from the help desk. Indeed, IT help desks may have a strategic role
in the take-up and management of information systems (Marcella & Middleton,
1996). Critically, internal help desks will be the link to external maintenance
providers. The speed and accuracy of diagnosis, together with the identification
of the supplier and the time-to-contact, will all be integral parts of any missioncritical system (Bruton, 2002; Czegel, 1998). However, despite its key role at
the heart of the IT department, the help desk tends to have a poor image.
User interaction may start with the help desk when hardware and software are
installed at the user’s desk. The help desk will support and manage the
installation process, help the user get started on the company’s network and
support application training. The help desk has also traditionally focussed on
reactive support, receiving requests for help, filtering requests and allocating
technical resources to resolve problems arising out of the requests. However,
IT help desks may be moving towards a more proactive role, becoming the
“human face” of IT, servicing requests for new systems, arranging user training,
monitoring business benefits of delivered information systems and negotiating
and evaluating service level agreements (Bruton, 2002).
The help desk system supports the IT help desk service function by recording
the customer’s problem and tracking the service request’s progression toward
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completion and closure. The call is allocated a priority that is used by the service
engineers to determine the order in which calls are answered at peak times. The
computer system may be used not only to drive the service interaction, but also
to drive the workflow in a manner that may not be completely to the customer’s
advantage.
The perception of IT help desk service quality will be significantly influenced by
the quality of the service encounter between the internal customer and the help
desk technicians. Differences in scripts between the help desk customer and the
service provider may have a significance influence on the perception of the
service.
Method
Help desk staff and end users in a city council were interviewed. The IT services
department of the council comprised some 104 staff. As part of the Town
Clerk’s Department, it provided a variety of IT support services. It operated
a help desk for internal customers that looked after the front office activities and
directed requests to technical services. The help desk was managed using a
Quetzal system. Calls were classified according to three levels of priority and
the help desk was run on the basis of service level agreements developed by
the customer service manager. Four staff ran the help desk, supported by a
manager.
All help desk staff and three end users were interviewed. Scripts were obtained
from both the help desk operatives and the internal customers. Firstly, the
participants were interviewed to get some information on their use of the help
desk, and their attitude to it. This helped in the interpretation of the resulting
scripts. Next each participant was asked to write down a sequential list of the
activities that they would carry out in a service encounter with the help desk in
order to resolve a problem. In our research we provided the participant with
examples of unrelated scripts, such as, for example, hairdressing:
MAKE APPOINTMENT
ENTER
WAIT
WASH HAIR
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9
CUT HAIR
PAY.
Showing the participants examples of unrelated scripts ensured that the
participant’s help desk script was not influenced by help desk examples. Other
unrelated scripts such as a visit to the GP, or a restaurant visit may serve this
purpose equally well.
Once the participant was shown a script, the participant was given some time
to write out his or her own script, which was then collected for analysis.
The small size of the sample precluded any quantitative analysis. Scripts were
compared using a small database to identify similarities and differences.
Analysing the Scripts
Schank and Abelson (1977) focused on how a script is developed and used
approaches derived from artificial intelligence to enable the encoding of scripts
in a form that could be represented in a computer program. Hubbert et al.
(1995) analysed scripts in terms of subgoals and derived a master list of
subgoals. Their analysis was very much statistically focussed, examining
frequencies of subgoals and quantifying elaborateness using chi-square analysis. We take a more qualitative view, drawing out interpretations from individual scripts, highlighting qualitatively significant differences and drawing some
conclusions. Scripts may be treated as texts that can be analysed as a form of
literature. The following sections analyse four scripts from help desk operators
and three from end users individually. Some initial comments are made, leading
to a discussion of the implications for the design of human-computer interfaces.
Help Desk Operator Script 1
SCRIPT TYPE: HELP DESK
MAIN GOAL: RESOLVE QUERY
SUBGOALS:
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CUSTOMER CALLS
ANSWER PHONE
ASK QUESTIONS
OPEN CALL
ADD DETAILS
GIVE CUSTOMER RESPONSE TIME
ALLOCATE CALL
TECHNICIAN CALLS CUSTOMER
FIND RELEVANT SERVER
RESET PASSWORD
ADVISE CUSTOMER PASSWORD RESET
CHECK CUSTOMER OK
END CALL
The help desk operator imagines a specific call to reset a password, in itself a
very common activity. The script splits into three scenes: receiving the call,
technicians calling the user, and the help desk operator checking with the
customer before closing the call. Receiving the call splits into interactions with
the customer and with the computerised help desk system. The script indicates
that interaction with the help desk computer system is important, but not
necessarily a driver of the call.
Help Desk Operator Script 2
SCRIPT TYPE: HELP DESK
MAIN GOAL: RESOLVE QUERY
SUBGOALS:
SWITCH PC ON
LOG INTO PC
OPEN UP CALL SYSTEM
LOG INTO PHONE SYSTEM
PICK UP UNFINISHED WORK
ANSWER PHONE
GREET CUSTOMER
TAKE CUSTOMER DETAILS
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OPEN CALL
CUSTOMER DETAILS APPEAR
ASK QUESTIONS
ADD CUSTOMER DETAILS
ADD MACHINE DETAILS
CONFIRM CUSTOMER DETAILS
CONFIRM MACHINE DETAILS
AGREE PRIORITY
CALL REF
RESPONSE TIME
ALLOCATE CALL
In this case the help desk operator’s script starts with logging on to the help
desk system. There is a great deal more elaboration on the use of the help desk
system. Indeed it may be suggested that the script is being driven by the
computer system’s requirements. The structure of the service interaction may
be driven by the computer dialog, forcing the customer into an exchange that
may not be seen as relevant to the customer’s problem and need for a solution.
The script ends once the call is allocated. This script includes agreeing priority,
which script 1 does not mention.
Help Desk Operator Script 3
SCRIPT TYPE: HELP DESK
MAIN GOAL: RESOLVE QUERY
SUBGOALS:
ANSWER PHONE
GREET CUSTOMER
ADD CUSTOMER DETAILS
ADD MACHINE DETAILS
ADD DEPT DETAILS
ADD LOCATION DETAILS
ASK QUESTIONS
ADD CUSTOMER COMMENTS TO CALL
AGREE PRIORITY
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THANK CUSTOMER
ALLOCATE CALL
END CALL
This third example script also elaborates on the computer system dialog and
suggests that the help desk system dialog is an important driver. The level of
detail concerning data input suggests that the computer input requirements, not
the customer, are the prime focus of the help desk operator in the service
interaction. Both agreeing on priority and communicating a response time are
mentioned, but again the script ends once the call is allocated.
Help Desk Operator Script 4
TYPE OF SCRIPT: HELP DESK
MAIN GOAL: RESOLVE QUERY
SUBGOALS:
ANSWER PHONE
GREET CUSTOMER
LISTEN TO PROBLEM
ASK QUESTIONS
LISTEN TO ANSWERS
PROBE CUST FOR MORE INFO
OPEN CALL
ADD CUSTOMER DETAILS
ADD MACHINE DETAILS
AGREE PRIORITY
CALL REF
RESPONSE TIME
END CALL
This final example of a help desk operator’s script is less elaborate in terms of
computer interaction and somewhat more customer-focused. It is the script
only that includes listening to the customer. Again, the call ends once the
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response time has been communicated. It makes no reference to closing the
call.
End User Script 1
SCRIPT TYPE: END USER
MAIN GOAL: RESOLVE QUERY
SUBGOALS:
CALL HELP DESK
WAIT FOR REPLY
GIVE NAME
GIVE LOCATION
EXPLAIN PROBLEM
REPLY TO SECONDARY QUESTIONS
AGREE PRIORITY
CALL REF
WAIT
ENGINEER ARRIVES
DESCRIBE PROBLEM IN DEPTH
LEAVE ENGINEER TO RESOLVE PROBLEM
RESPOND TO SECONDARY ENQUIRY BY ENGINEER
NOTE WHEN PROBLEM FIXED
WAIT(LATER)
RECEIVE CALL FROM HELP DESK
GIVE SATISFACTION RATING
END
The end user script contains three scenes. Firstly, the call is made, next the
engineer visit is received, and finally the call is closed. Furthermore, three wait
events occur. The script may indicate that waiting is considered a significant
issue. The end user specifically notes when the problem is fixed. In examining
the human-computer interaction, this script suggests that significantly increased
coverage of the service interaction may be needed in the help desk support
system dialog.
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End User Script 2
TYPE OF SCRIPT: END USER
MAIN GOAL: RESOLVE QUERY
SUBGOALS:
LOG CALL IN CENTRAL REGISTER
CALL HELP DESK
GREET OPERATOR
EXPLAIN PROBLEM
AGREE PRIORITY
CALL REF
CHECK DETAILS OF CALL WITH HELP DESK
END CALL
ASSIGN CALL REF IN CENTRAL REGISTER
Significantly, this end user script involves a user-maintained log, the Central
Register, maintained by the Central Payroll. The script begins and ends with the
Central Register. The script does not refer to problem resolution or call closure.
The interview suggested that the respondent was not particularly concerned
with call resolution since she would just do other work while waiting for the call
to be dealt with. Furthermore, it may be that interaction with the Central
Register is seen as the point at which ownership of the problem ceases for this
user and becomes someone else’s responsibility.
End User Script 3
TYPE OF SCRIPT: END USER
MAIN GOAL: RESOLVE QUERY
SUBGOALS:
PICK UP PHONE
CALL HELP DESK
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EXPLAIN PROBLEM
AGREE PRIORITY
CALL REF
RESPONSE TIME
ENGINEER ARRIVES
DESCRIBE PROBLEM IN DEPTH
LEAVE ENGINEER TO RESOLVE PROBLEM
GIVE SATISFACTION RATING
The third end user script includes interaction with the engineer and a return call
either to or from the help desk to give a satisfaction rating. Both these elements
may need to be made explicit in the computer dialog.
Discussion
This small study has looked at customer and service provider scripts for an
interaction that is strongly supported by the IT help desk computer system. The
aim of the service is to provide fixes for computer problems experienced by
staff within a public sector organisation. The scripts provide interesting insights
as to the expectations of participants in a service encounter that are relevant to
the development of human-computer interfaces.
Three out of four help desk operator scripts end when the call is allocated. For
end-users the service interaction does not end until the problem is resolved and
the call is closed. End user scripts, with the exception of end user 2, who
relinquishes responsibility once the call is recorded on a register, involve the
interaction with the technician and the closure of the call. For example, GIVE
SATISFACTION RATING is part of two end user scripts but only one help
desk operator script. Scripting may reveal mismatches between providers and
customers concerning where service interactions begin and end. If the computer dialog only supports the provider’s view of the service, then elements that
are important to the customer may remain unsupported. Scripting may enable
the scoping of the service interaction and the matching of the computer dialog
to the service dialog.
The extension of the end-users’ scripts beyond the operators’ scripts to include
waiting and the visit of the support engineer suggests that computer dialogs
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should seek to integrate a variety of provider participants in the service. Here
the dialog should connect the help desk operative and the engineer. Furthermore, the computer dialog should be sensitive to pauses in its progression. The
dialogs in the help desk system should be aware that a wait has occurred and
reflect this when interaction with the system is resumed.
Three of the scripts contained a significant number of subgoals concerning data
input into the help desk computer system. In one script the extent of elaboration
of the computer system dialog suggests that the system is the focus of the script
and the script may be driven by the computer system. Such subgoals are not of
interest to end users. Information elicited by the help desk operators may be
seen as a REPLY TO SECONDARY QUESTIONS subgoal by the end user
or part of EXPLAIN THE PROBLEM. Service encounters that are effectively
driven by the supporting computer systems carry a number of risks. The
information required by the computer system may not be central to the service
encounter and may not be in tune with the customer’s concerns. Gathering
information seen as irrelevant to the customer may slow down the service
interaction and be perceived as time wasting by the customer. It will be
necessary in the service encounter to ensure that dialog is effectively conducted
with the computer system and is not inhibiting the flow of the service encounter.
These scripts suggest that the information requirements of the computer system
can have a significant effect on the service encounter. Inadequate humancomputer interfaces that are not sensitive to the nature of the service encounter
can damage service quality and even alienate the customer at significant cost to
the business. Therefore it is important that information systems designers elicit
customer and provider scripts before defining the computer dialog.
The extent of elaboration of subgoals within a script indicates the importance
attached to those subgoals by the participant. In these help desk scripts it is the
data input that is elaborated by the service providers. Lack of elaboration by
the customers indicates lack of interest in collecting data. Where the computer
dialog is more elaborate than the service interaction dialog, there may be a
mismatch between the service interaction and the supporting computer system.
Then the dialogues should be simplified and other ways found of collecting the
data of interest to the computer system outside the service interaction. It is the
task of the computer system to serve the service interaction, not the service
interaction to support the computer system.
Comparison of a number of customer and provider scripts may reveal pivotal
events that may be deemed significant because they appear in a majority of
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17
scripts and may be elaborated on. The small sample of scripts in this study
suggests that AGREE PRIORITY is a pivotal point in the service encounter.
This may be a point of stress, which not only needs to be investigated in service
terms, but also may benefit from more detailed computer support and from
being addressed in detail in the HCI design.
Service-Oriented HCI
These scripts raise a number of concerns relevant to HCI and suggest that a
scripting exercise, conducted away from the computer screen, may be valuable
in developing HCI designs. The driving emphasis in HCI on the technology and
the computer application may obscure the importance of the service interaction
in determining the perception of the HCI design. We would suggest that an
approach to HCI that starts with an understanding of the service might yield
valuable advances in HCI design. The following outlines some principles in such
a service oriented approach:
•
•
•
•
HCI design should be derived from service design. A focus on designing
the service interaction should lead to a definition of the human-computer
interface. HCI design that is derived from data structures may be
inadequate in supporting service encounters;
Dialog should be driven by customer needs and by the customer’s
perception of the service interaction, rather than by the provider’s
business processes. If the purpose of the service interaction is to satisfy
a customer need, then all computer interaction should be directed to that
goal. Both ordering of the computer dialog and data collected should be
tuned to the service interaction;
Service oriented HCI must be sensitive to the events and triggers that
cause the service interaction. The design should take into account
activities that have led up to the interaction and consider the knowledge
set of the customer and provider at the point of interaction and the builtin expectations of both parties. Scripting provides a possible tool for
eliciting such information;
Service design should be integrated with HCI design. The process of
service design and HCI design should be carried out as a joint exercise,
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•
•
each design influencing the other, rather than be seen as separate
sequential activities;
HCI quality may be derived from reducing the gap between service
customer and HCI designer. There may be a gap between the designer
who defines the computer interface based on some input from a user
representative, the programmer who builds the interface, and the final user
who interprets the computer dialog on the basis of her own script. Each
participant in the design has his or her own script concerning what should
happen in the human-computer interaction. These are highly likely to
differ. Scripting may encourage a focus on the user or customer’s mental
model and hence influence the computer interface design;
Service-oriented HCI should align the service interaction dialog and the
computer dialog. The effectiveness of the computer system in supporting
the service interaction should arise from such alignment. Additionally, the
HCI design should be flexible and able to absorb changes in the service
interaction. The HCI design should be aware of previous interaction so
that fixed, brittle dialog structures are avoided in which the same questions
are asked several times.
Conclusion
This study suggests that scripting may be valuable as a system development tool
for supporting the design and development of information systems to support
service interactions, and particularly in developing the human-computer interface. Understanding service provider and customer scripts may enable the
development of a common script that would raise service quality (Mohr &
Bitner, 1991) and improve the use of supporting information systems. Script
analysis may enable the development of computer dialogs that support the flow
of the service interaction. The role of the computer system in the service
interaction is itself an area for further research. In this study the scripts
suggested that the computer system was not adequately supporting the service
encounter and may have been imposing additional stress on what was already
a stress-laden interaction.
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References
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May, J., Dean, M.P., & Barnard, P.J. (2003). Using film cutting techniques in
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Mohr, L.A., & Bitner, M. J. (1991). Mutual understanding between customers
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Preece, J. (1994). Human-computer interaction. Addison-Wesley.
Schank, R., & Abelson, R. (1977). Scripts, plans, goals and understanding.
New Jersey: Lawrence Erlbaum.
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permission of Idea Group Inc. is prohibited.
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20 McBride & Elbeltagi
Solomon, M.R., Surprenant, C., Czepiel, J.A., & Gutman, E.G. (1985). A role
theory perspective on dyadic interactions: The service encounter. Journal of Marketing, 49, 99-111.
Zeithaml, V., & Bitner, J. (2003). Services marketing: Integrating customer
focus across the firm (3rd ed.). McGraw Hill.
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permission of Idea Group Inc. is prohibited.
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User Acceptance of Online Computer Games 21
Chapter II
User Acceptance of
Online Computer
Games:
Comparing Two Models
in a Field Study
Yuan Gao
Ramapo College of New Jersey, USA
Abstract
User interface design makes an important contribution to the effective
presentation of online entertainment products. In this chapter, we examine
two models in predicting user acceptance of online computer games. The
first is the technology acceptance model (TAM) from the information
systems field, while the second is a consumer behavior model based on
marketing and advertising research. A field study was conducted to
empirically test the two models. Results indicate that both models explain
a significant amount of variance in our dependent variables: attitude
toward the game and intention to return to the game, with TAM a more
consistent predictor of both result variables. This study sheds light on
research of Web-based product presentation in general and that of
entertainment products such as online computer games in particular.
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Introduction
Firms engage the Web in a wide range of activities from pure marketing and
promotion, customer service, to direct sales and generation of advertising
revenue (Berthon et al., 1996; Singh & Dalal, 1999). They have embraced
Internet and Web technologies in various ways to reap the potential benefits
brought by this relatively new medium (Berthon et al., 1996; Liu et al., 1997).
Through this special medium, firms can disseminate more information inexpensively, market, promote, and sell products and services, and enhance customer
support at a lower cost (Palmer & Griffith, 1998). One of the uses of the Web
is the delivery of online entertainment, including online computer games. In such
products, attributes like the navigational structure, the interactive media, online
help functions, and search mechanism are significant factors contributing to
visitor and player retention.
The relationship between such features and the effectiveness of the presentation
of online computer games has not been widely explored in the literature. This
chapter explores the application of two distinct streams of research, the
consumer behavior theories in marketing research, and the technology acceptance model (TAM) in information systems. It compares the predictive powers
of the two models in user attitude toward a computer game, and their intentions
to return to the game.
Attitude Toward the Game (Ag)
To evaluate the attractiveness of an online computer game, attitude toward the
game (Ag) is defined here in a similar way to that of a measure called attitude
toward the site (Ast), developed in response to a need to evaluate Web site
effectiveness. Attitude toward the site is considered a useful indicator of Web
users’ predispositions to respond favorably or unfavorably to Web content in
natural exposure situations (Chen & Wells, 1999).
The theory of reasoned actions (TRA) has been a widely studied model in social
psychology that demonstrates the relationship between attitude and behavioral
intentions (Ajzen & Fishbein, 1980; Fishbein & Ajzen, 1975). According to
TRA, a person’s behavior is determined by his/her behavioral intentions, which
in turn is determined by a person’s attitude concerning such a behavior.
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User Acceptance of Online Computer Games 23
Additionally, a person’s intention to revisit a Web site or come back to replay
a game can also be seen as a result of his/her attitude toward using a technology
that the person intends to use again in the future (TAM) (Davis, 1989; Davis
et al., 1989). Thus we consider Ag an important indicator of game effectiveness
in attracting current and potential players.
Intention to Return
Intention to revisit a Web site is another indicator of site effectiveness. Since
online computer games are presented and played in the environment of a Web
browser, we argue that a player’s intention to come back to the game is to a
large degree influenced by the presentation of the game in the form of a Web
page or site. Repeat visits increase the number of times a consumer is exposed
to a commercial message or product. For a store, loyal customers contribute
to a store’s profitability in the form of increased sales revenue and reduced
customer acquisition costs. In the case of an online computer game, customer
loyalty relates to increased stickiness of the site. Aaker (1995) suggests that the
benefits of retaining loyal customers exceed those of gaining new prospects.
For these reasons, it is in the sponsoring company’s interest to develop an estore that would retain customers, and online game that would attract repeat
visits.
Nonetheless, a Web site is different from other forms of advertising on TV,
radio, or in magazines, where product messages can be forced upon the
viewers by means other than the ad itself. For example, advertisements can be
embedded in programs like movies, sports programs, or radio talk shows that
may be of interest to the viewer or listener. For a Web site, on the other hand,
the value of the site itself and a consumer’s attitude toward the site, formed after
his/her initial visit, provide the incentive for his/her return to the site in the future.
A visitor’s attitude toward the site while visiting the site immediately influences
his/her processing of site information and is reflected through his/her subsequent surfing behavior, for example, mouse clicks. This exploration behavior
may have additional influences on her/his intention to return.
Such an intention may be affected by the perceived informativeness of the site,
the enjoyment experienced by the visitor, the usefulness of the site, or the
usefulness of a particular feature of the site. This study adopts this measure as
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another important indicator of the overall effectiveness of a site, treating it as
another dependent variable resulting from a visitor’s experience with the site.
In summary, Ag and intention to return are used as dependent variables in both
models presented below to evaluate the effectiveness of an online computer
game.
The Technology Acceptance Model
(TAM) (Model 1)
In information systems research, a user’s attitude toward technology is addressed in the Technology Acceptance Model (TAM) (Davis, 1989; Davis et
al., 1989). TAM finds its root in the theory of reasoned actions (TRA) (Ajzen
& Fishbein, 1980; Fishbein & Ajzen, 1975), and proposes that perceived ease
of use and perceived usefulness of technology are antecedents to user attitude
toward the use of technology and subsequent behavior. Due to its parsimonious
nature and highly reliable constructs, TAM has been widely adopted in the
research of user acceptance of technologies such as word processors (Davis
et al., 1989), spreadsheet applications (Mathieson, 1991), e-mail (Szajna,
1996), and Web sites (Koufaris, 2002). This study applies the two constructs
of the TAM model to online computer games and looks at the predictive power
of each to user experience, reflected in his/her attitude toward the site and
intention to play the game again.
Like a word processor that helps create work-related documents, and an email system that facilitates communications at work, the collective design of an
online computer game incorporates various types of current information
technology to facilitate information retrieval and site navigation during a game
play. The original TAM model is presented in Figure 1.
Some major design features of a online computer game site may include the
game classification and menu structure, a how-to-play section, an internal
search engine, a sitemap, and an online help function, among others, all of which
are intended to enhance the experience of a visitor or player. However, our
focus is on the microlevel of each individual game. Like that of a typical e-store
site, design features within an online game are based on a combination of certain
Web-based computing technologies such as frame, Java script, audio, video,
and animation. The perceived ease of use and perceived usefulness of the game
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User Acceptance of Online Computer Games 25
Figure 1. The Technology Acceptance Model (based on Davis et al., 1989).
Perceived
Usefulness of
Technology
Perceived Ease of
Use of
Technology
Attitude toward
Technology
Intention to Use
Technology
are perceptions derived from the collective functionality of the game site. Hence
we consider TAM an appropriate model to use in this case to test the potential
relationship between the two TAM constructs and attitude toward the game
and intention to return.
H1a: Attitude toward the game is positively associated with perceived
ease of use.
H1b: Intention to return to the game is positively associated with perceived ease of use.
H1c: Attitude toward the game is positively associated with perceived
usefulness.
H1d: Intention to return to the game is positively associated with perceived usefulness.
We summarize our first model in Figure 2. Though we do not formally
hypothesize the relationship between Ag and intention to return, we expect to
see a high correlation between those dependent variables in our study.
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Figure 2. TAM Applied to Online Computer Games.
Perceived Ease of
Use of Game
Perceived
Usefulness of Game
Attitude
toward Game
Intention to
Return Game
Consumer Behavior Model (Model 2)
The World Wide Web is a valuable communications channel founded on a
hypermedia system. The design and presentation of products and services,
such as entertainment, are critical in influencing online visitors’ attitude and
intentions to return. Factors related to consumer behavior, attitude, and
perception in the online environment have been gradually explored in recent
research (Chen & Wells, 1999; Ducoffe, 1996; Eighmey, 1997; Koufaris,
2002). Attitude in turn mediates the effect of systems’ characteristics on
behavioral intentions such as intention to revisit and intention to purchase
products from the sponsoring companies.
Entertainment
An online game’s entertainment effect is an important source of value for
visitors and players of the game, just like entertainment provides value to
consumers through its ability to enhance the experience of visitors to a Web site
(Ducoffe, 1996). Messages presented in an entertaining format were considered to impact attitude positively (Mitchell & Olson, 1981). Uses and
gratifications research indicated that the entertainment value of a communications exchange lies in its ability to fulfill the audience’s needs for escapism,
diversion, aesthetic enjoyment, or emotional release (McQuail, 1983). Jupiter
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User Acceptance of Online Computer Games 27
Research (1999) finds 36% of respondents engage in entertainment activities,
like viewing videos, listening to audio, playing fantasy games, and visiting movie
or sports sites. This paper proposes that the entertainment of an online
computer game similarly nurtures a favorable attitude in the player toward the
computer game, and in turn provides incentive to come back in the future. We
thus propose the following hypotheses.
H2a: Attitude toward the game is positively associated with perceived
entertainment.
H2b: Intention to return to the game is positively associated with perceived entertainment.
Informativeness
Consumers consider information a major benefit of being exposed to any type
of commercial messages (Ducoffe, 1996). Information is one of the needsatisfying functions derived from media communications, according to the
extended uses and gratifications theory (McQuail, 1983). Consumers in the
online environment value information just like those in the traditional media, with
48% of respondents in a Jupiter Research survey citing their major use of the
Web for product research and gathering information (Jupiter Research, 1999).
Eighmey (1997) finds that Web site users benefit from information that adds
value in and of itself.
Being informative is being able to provide or convey information. In this study,
we consider informativeness a perception. Online game sites can offer tutorials
or demos of game plays as well as comprehensive FAQs and how-to lists to
attract and retain new and novice players. Additionally, an informative game
provides updated information on such items as cumulative points earned, top
scores achieved by other players, and current actions available to the players.
In this study, we focus on the microlevel of an online game and adapt the
informativeness construct in terms of various aspects of the game, such as
instruction clarity, progress report, performance updates, and related help
functions.
H2c: Attitude toward the game is positively associated with perceived
informativeness.
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H2d: Intention to return to the game is positively associated with perceived informativeness.
Irritation
Irritation is an unintended outcome from visiting a Web site. It can be caused
by tactics employed by site advertisers and game promoters that annoy, offend,
and insult the audience, or that are overly manipulative (Ducoffe, 1996). It can
also be a result of visitor feelings of confusion, distraction, and messiness due
to the way a Web site or online game is presented and the features incorporated
(Chen & Wells, 1999). In the traditional media, an irritating commercial is one
that provokes and causes displeasure and momentary impatience (Aaker &
Bruzzone, 1985; Greyser, 1973). In the Web context, irritation may arise from
the negative feelings about the organization, a feature of the site, or the visitor’s
frustration with the computer game. Thus we hypothesize the following.
H2e: Attitude toward the game is negatively associated with perceived
irritation.
H2f: Intention to return to the game is negatively associated with
perceived irritation.
Figure 3. Consumer Behavior Model Applied to Online Computer Games.
Perceived
Entertainment
Perceived
Informativeness
Attitude
toward Game
Intention to
Return to
Game
Perceived Irritation
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User Acceptance of Online Computer Games 29
Figure 3 summarizes the second model in our research. The dashed lines
connecting perceived irritation and the two dependent variables indicate
negative relationships.
Methodology
Research has been done in getting consumer reactions to their shopping
experience with real-world commercial sites. Jarvenpaa and Todd (1997)
gathered consumer comments and responses to questions about electronic
commerce after their visits to a real-world Web site. Koufaris (2002)
conducted a field study to understand online consumer attitudes and behavior.
Chen and Wells (1999) developed an attitude toward the site (Ast) construct
through gathering visitor evaluations of Web sites. An advantage of studies
using real Web sites is the higher level of external validity obtained. We adopted
three real online computer games in our field study. The games include a card
game, Black Jack, in a realistic table and chips environment, a simulated arcade
game, Supertris (like the video Tetris game), and a somewhat literally challenging Word Painter game (a word puzzle).
Subjects were recruited through a gift incentive from undergraduate students of
a northeastern college in the US. The field study was conducted in a computer
lab. Each participant played two games and filled out a single-page questionnaire containing 7-point semantic differential scales for test variables. Sample
demographic information with respect to age, gender, and prior experience
with the net and online games was also taken. On average each participant
spent 10 minutes trying out a game and filling out a survey for that game. The
majority of the participants were computer-savvy, with most having played
online games more than 10 times in the recent month. Additionally, they
regularly spent over 20 hours a week surfing the net.
The Survey Instrument
All scale items used in this study were adapted from existing literature.
Perceived ease of use and perceived usefulness were adapted from Davis
(1989). With the consumer behavior model, perceived entertainment, per-
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30 Gao
ceived informativeness, and perceived irritation were adapted from Ducoffe’s
(1996) consumer perceptions of Web advertising. Some scale items measuring
the informativeness of a Web site were modified to measure the informativeness
of a computer game. The intention to return construct was adapted from
Madrigal (2000), and attitude toward the game (Ag) was adopted from Coyle
and Thorson’s (2001) scale of attitude toward the Web site. Participants were
asked to indicate their agreement or disagreement with statements given on the
survey on a 7-point differential scale. Appendix A shows the instrument items
used in this survey.
Results
Within each model, two multiple regression analyses were conducted based on
105 useable data points collected from the field study. One model considered
attitude toward the game as the dependent variable, and the other treated
intention to return as the dependent variable. The scale items were tested for
reliability. Cronbach’s alphas on multi-item scales were summarized in the
following table, which provides evidence of internal consistency of the scales
adopted in this study. The two proposed models were then separately tested.
In Model 1, perceived ease of use and perceived usefulness of the game
explained about 34% of the variance (adjusted R-squared) in attitude toward
the game. Both variables are significant at p< .01 as predictors of attitude.
About 57% of the variance in intention to return to the game was explained by
Table 1. Scale Reliability.
Scale
Cronbach’s Alpha
Perceived Ease of Use
.8834
Perceived Usefulness
.9459
Perceived Entertainment
.9438
Perceived Informativeness
.8223
Perceived Irritation
.7953
Attitude toward Game
.9782
Intention to Return
.9321
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User Acceptance of Online Computer Games 31
the same two variables, with each again significant at p< .01. Assumptions of
regression analysis were tested: VIFs were low, indicating no multicollinearity;
standardized residuals were normal; and scatter plots of standardized residual
versus predicted value show no particular pattern indicating no
heteroscedasticity. Thus we conclude that hypotheses H1a, H1b, H1c, and
H1d were supported in this study.
In Model 2, both perceived entertainment and perceived irritation were
significant predictors of attitude toward the game, at p< .01, while perceived
informativeness was not significant (p> .10). The model explained 64% of
variance in attitude. In the meantime, the three variables in Model 2 explained
80% of the variance in intention to return, with both perceived entertainment
and perceived informativeness significant predictors of such intentions, while
perceived irritation was not a significant predictor of intention to return (p >.10).
As in the first model, assumptions of regression analysis were tested: VIFs were
low, indicating no multicollinearity; standardized residuals were normal; and
scatter plots of standardized residual versus predicted value show no particular
pattern indicating no heteroscedasticity. In summary, we conclude that hypotheses H2a, H2b, H2d, and H2e were supported, and H2c and H2f were not.
Discussion
Model 1 based on TAM seems to provide a consistent framework to predict
consumer acceptance of technology, including online computer games such as
those tested in the field study. An immediate observation is that the two
variables in the TAM model seem to be better predictors of intention to return
to the game (play the game again). On the other hand, the three perceptual
antecedents to online consumer behavior as a whole seem to explain a
significant portion of variance in attitude and behavioral intentions, but did not
serve as consistent predictors in the two regression runs. Replication of this
study should further examine the roles played by each factor.
This study used college students (between ages 16 and 25, and some between
25 and 30) as participants, who are deemed appropriate subjects in that they
make up a significant portion of the Internet population (GVU’s 10th User
Survey). With respect to demographics of computer game players, 34% of
most frequent game players are under the age of 18, and 28% of most frequent
game players are between the ages of 18 and 35, according to a report by
Interactive Digital Software Association (IDSA, 2002). According to a
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national survey of 1,162 college students by the Pew Internet & American Life
Project in Washington, DC, 65%of students reported that they were regular
game players (Gardyn, 2003).
While the use of students may threaten generalizability, that threat is mitigated
by the fact that our student population was from a college in a densely populated
suburban area. Such students are considered more representative of the
general population and may be more appropriate for consumer behavioral
studies than traditional college students that attend universities in remote rural
areas (James & Sonner, 2001).
However, whether the general public will respond in the same way as the
student sample did in this study is unknown. The games selected for this study
were as broad as possible with the inclusion of three distinct types of games.
Nonetheless, factors such as the amount of animation and interactivity could
potentially influence the results.
Concluding Remarks
Findings of this study are encouraging. Perceptual antecedents to consumer
attitude toward traditional communications and advertising media were compared to TAM in this study, and the majority of the relationships were validated
via hypotheses tested. Like much prior research in consumer behavior and
technology acceptance, this study was observational. Future research should
explore experimental designs to study the effects of content factors such as
color, animation, and audio, on attitudinal consequences. As the population of
online game players will grow dramatically in the next few years, research into
user acceptance of online computer games will turn out to be more and more
important in understanding factors impacting the bottom line of online entertainment providers.
References
Aaker, D.A. (1995). Managing brand equity. New York: Free Press.
Aaker, D.A., & Bruzzone, D.E. (1985). Causes of irritation in advertising.
Journal of Marketing, 49, 47-57.
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permission of Idea Group Inc. is prohibited.
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User Acceptance of Online Computer Games 33
Ajzen, I., & Fishbein, M. (1980). Understanding attitudes and predicting social
behavior. Englewood Cliffs, NJ: Prentice-Hall.
Berthon, P., Pitt, L.F., & Watson, R.T. (1996). The World Wide Web as an
advertising medium: Toward an understanding of conversion efficiency.
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Chen, Q., & Wells, W.D. (1999). Attitude toward the site. Journal of
Advertising Research, 39(5), 27-38.
Davis, F.D. (1989). Perceived usefulness, perceived ease of use, and user
acceptance of information technology. MIS Quarterly, 13, 319-340.
Davis, F.D., Bagozzi, R.P., & Warshaw, P.R. (1989). User acceptance of
computer technology: Comparison of two theoretical models. Management Science, 35(8), 982-1003.
Ducoffe, R.H. (1996). Advertising value and advertising on the Web. Journal
of Advertising Research, 36(5), 21-34.
Eighmey, J. (1997). Profiling user responses to commercial Web site. Journal
of Advertising Research, 37(3), 59-66.
Fishbein, M., & Ajzen, I. (1975). Belief attitude, intention and behavior: An
introduction to theory and research. Reading, MA: Addison-Wesley.
Gardyn, R. (2003). Got game? American Demographics, 25(8), 18.
Greyser, S.A. (1973). Irritation in advertising. Journal of Advertising Research, 13(1), 3-10.
GVU’s 10th Survey. (1998). GVU’s 10th WWW user survey. Available: http:/
/www.cc.gatech.edu/user_surveys/survey-1998-10/
Interactive Digital Software Association. (2002). Essential facts about the
computer and video game industry. Available: http://www.theesa.com/
pressroom.html
James, W.L., & Sonner, B.S. (2001). Just say no to traditional student
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shopping on the World Wide Web. International Journal of Electronic
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Johnson, M., Slack, M., & Keane, P. (1999, August 19). Inside the mind of
the online consumer — Increasing advertising effectiveness. Jupiter
Research, 18. Available: http://www.jupiter.com
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permission of Idea Group Inc. is prohibited.
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34 Gao
Koufaris, M. (2002). Applying the technology acceptance model and flow
theory to online consumer behavior. Information Systems Research,
13(2), 205-223.
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Appendix A
Survey Instrument (Items were randomized in sequence when administered)
Please check the name of the game you played:
q Black
Jack
q Word Painter
q Supertris
q Equal Out
q Other ____________
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User Acceptance of Online Computer Games 35
Part A. Your Evaluation of the Game. Circle the number that best indicates
your agreement or disagreement with each statement.
Definitely
Agree
Definitely
Disagree
[perceived entertainment]
This game is entertaining.
1
2
3
This game is enjoyable.
1
2
3
This game is fun.
1
2
3
[perceived informativeness]
1
This game provides good information on rules of the
2
3
game.
This game provides timely information on my
1
2
3
progress.
This game is informative of my performance.
1
2
3
[perceived irritation]
This game is annoying.
1
2
3
This game is irritating.
1
2
3
This game is frustrating.
1
2
3
[perceived ease of use]
It was easy for me to learn to play this game.
1
2
3
My interaction with this game was clear and
1
2
3
understandable.
It would be easy for me to become skillful at playing 1
2
3
this game.
I find this game easy to play.
1
2
3
[intention to return]
It is very likely that I will play this game again.
1
2
3
I will return to play this game when I need
1
2
3
entertainment.
I will recommend this game to a friend.
1
2
3
[perceived usefulness]
For the purpose of future game plays in general [the next four items],
playing this game can improve my game
1
2
3
performance
playing this game can improve my game proficiency
1
2
3
playing this game can improve my game
1
2
3
effectiveness
I found playing this game useful.
1
2
3
4
4
4
5
5
5
6
6
6
7
7
7
4
5
6
7
4
5
6
7
4
5
6
7
4
4
4
5
5
5
6
6
6
7
7
7
4
4
5
5
6
6
7
7
4
5
6
7
4
5
6
7
4
4
5
5
6
6
7
7
4
5
6
7
4
5
6
7
4
4
5
5
6
6
7
7
4
5
6
7
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36 Gao
Part B. Please indicate your overall impression of this game by checking a
number on each row, with 1 being, e.g., that you consider the game very bad,
7 being, e.g., that you are very favorable of this game, and 4 being that you feel
neutral about it.
[attitude toward the game (Ag)]
Bad
Unfavorable
Dislike
1
1
1
2
2
2
3
3
3
4
4
4
5
5
5
6
6
6
7
7
7
Good
Favorable
Like
Part C. Answers on this survey are anonymous. We appreciate your responses
to the following questions.
1. How many hours a week, on average, do you spend online?
G 0-5
G 6-10
G 10-20
G More than 20 hours
G No
2. Have you played any online games before? G Yes
If yes, how many times in the past month?
G 0-4 times
G 5-10 times
G > 10 times
3. Your age:
G 16-20
G 21-25
G 26-30
G Over 30
G F
G M
4. Your gender:
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Web-STAR 37
Chapter III
Web-STAR:
Development of Survey
Tools for Use with
Requirements Gathering in
Web Site Development
Jonathan Lazar
Towson University, USA
Adam Jones
Towson University, USA
Kisha-Dawn Greenidge
Towson University, USA
Abstract
This chapter introduces the research and application of the Web-STAR
project, which began at Towson University in 2002. The main goal and
purpose of the Web-STAR (Web-Survey Tool for Analyzing Requirements)
project is to provide a standardized survey tool that developers can use
to determine the user requirements for existing or new Web sites. The
Web-STAR will allow this most vital stage in the development process to
take place within a convenient, tested, and cost-effective method. Based
on existing work in user evaluation design, Web-STAR will take sound
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38 Lazar, Jones & Greenidge
development practices and apply them to user requirements in the design
of informational websites. This chapter presents the research-in-progress
development, testing and current status of Web-STAR.
Introduction
User involvement in the development stage is critical to the success of a new
information system (Hoffer, George, & Valacich, 2002). Web sites are
theoretically no different; however, due to tight timelines for Web development
projects, users typically have been left out of the development process.
Increasingly, organizations are involving users in many different stages of their
Web development projects, as it has clearly been shown to improve the user
experience. This can lead to more repeat visitors and, in the case of e-commerce
sites, higher sales. Examples of well-known companies and organizations that
include user involvement in Web development projects include Eastman
Kodak, Indiana University, the National Institutes of Health, IBM, and the
National Football League (Clarke, 2001; Corry, Frick & Hansen, 1997;
Lazar, 2001; Tedeschi, 1999; Yu, Prabhu & Neale, 1998). User input is
necessary to determine what needs users have, both relating to the user
interface (usability), and the content offered by the Web site (functionality).
Also, there are multiple stages of development in which users can be involved.
For instance, users can take part in usability testing, to help ensure that the
interface is easy to use, as well as to find any interface components that may be
confusing or problematic for users (Nielsen, 1994). In certain types of Web
sites, such as e-commerce, search engines, and newspapers, the tasks may be
well defined (Lazar, Ratner, Jacko & Sears, 2003). However, for the majority
of informational Web sites user tasks are not well defined, and data collection
(requirements gathering) needs to be done to determine what tasks the users
actually need to perform. It is a common misperception that you will not know
who the users of the Web site are until after the Web site is built, and people
have begun to visit the Web site. Most Web sites are built with a certain target
user population in mind (Lazar, 2001). This target user population may relate
to age, gender, geographic location, topic of interest, job activity, or other
factors. People that represent the demographics of the target user population
are the ones that should be involved in requirements gathering. Even if the
specific users involved do not visit the Web site, they are the ones best qualified
to help determine what the task needs and usability needs of the Web site are.
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Web-STAR 39
There are a number of different methods for user involvement in requirements
gathering, including focus groups, interviews, surveys, and card sorting.
Surveys are especially popular because they allow data to be collected from a
large number of people in a short amount of time. A recent study found that the
two methods used most often for requirements gathering for Web site development are surveys and interviews (Lazar, Ratner et al., 2003). One of the
strengths of surveys is that they can be distributed to a wide participant base
and in a variety of formats such as paper, e-mail, Web site, or telephone
(Dillman, 2000; Lazar & Preece, 2001). One challenge in using surveys is the
start-up time required for creating, testing, and validating a survey. The goal of
this chapter is to present the research-in-progress development and testing of
a standardized survey tool that can be utililized for user requirements gathering
for informational Web sites.
The Challenge of Requirements
Gathering
More user involvement in a development project comes with a related cost
(Bias & Mayhew, 1994). While it takes more time and money to involve the
users and understand their usability and task needs, the result is a more
appropriate system. The time required to create a survey for requirements
gathering can be challenging, and many of those assigned with the responsibility
may not be aware of how to do requirements gathering, or with the intricate
challenges of Web usability. Part of the key to improving usability and user
involvement for Web sites is to make it easier for designers by providing a
toolbox (pre-tested surveys, interface guidelines, etc.) to assist them with user
involvement. It is not as useful to tell designers “to build an interface that is easy
to use,” as it is to say, “follow these 10 guidelines to make a good interface”.
Popular sets of interface heuristics, such as Shneiderman’s “8 Golden Rules of
Interface Design” (Shneiderman, 1998), can help translate the large concept of
interface design into something more concrete and manageable. Similarly, it is
a challenge to say to designers, “find out what the users need,” but it is easier
to provide a survey tool that will help with understanding what user needs
related to usability and functionality.
The best way to encourage more user involvement in the requirements gathering
stage is to lower the cost (in time and effort) for the designers of doing so.
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40 Lazar, Jones & Greenidge
Providing well-written surveys that have already been developed and tested
can increase the likelihood that surveys will be utilized for user involvement. A
number of surveys have already been developed in the field of human-computer
interaction for evaluating user interfaces after they have already been developed. These survey tools include the Questionnaire for User Interaction
Satisfaction (Harper, Slaughter & Norman, 1997), the Web Analysis and
Measurement Inventory (Kirakowski, Claridge & Whitehand, 1998), the
Information Quality Survey (Zhang, Keeling & Pavur, 2000) and the WEBMac,
a series of surveys dealing with motivational quality of a Web site (Small &
Arnone, 2000). While all of these surveys can assist with evaluating a system
after it has been built, a review of the literature shows that no surveys have been
created for assisting with the requirements gathering stage of Web site
development.
The goal of this research is to develop a survey tool that can be used for user
requirements gathering in Web sites. We have named this project Web-STAR,
the Web Survey Tool for Analyzing Requirements. Though there are different
types of Web sites, such as e-commerce, informational, and entertainment
(Lazar, 2001), the goal of Web-STAR is to assist with requirements gathering
where it is needed most: for informational Web sites where tasks are relatively
undefined. For instance, it is well-defined what tasks people want to perform
at a newspaper Web site, since it is based on the paper version of the
newspaper, which has existed for hundred of years. It is well defined what type
of information people want to find with a search engine, and the methods for
forming search queries have been well developed by the library science
community (Marchionini, 1995). The tasks for an informational Web site can
be much less clear-cut. For instance, consider the Web site re-design for the
College of Science and Mathematics (CSM), one of six colleges at Towson
University. A re-design for the CSM Web site was planned for Fall 2001.
Requirements gathering surveys were created and distributed among the
faculty, staff, and students in the college, to help determine what type of content
they wanted to see on the site. More than 70 surveys were collected from
representative users. Most respondents indicated that while they did not visit
the CSM Web site on a regular basis, the content that would interest them did
not currently exist on the Web site. Users responded that they were interested
in resources such as lists of college-wide committees, and minutes of previous
college council meetings. These resources had not been available on the
previous version of the Web site, and without asking the users, there was no
way to determine that this was the content that most interested them. Only by
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Web-STAR 41
passing out surveys was it possible to determine that this content needed to be
added to the site. Neither of these resources had been previously available on
the CSM Web site. Even if the site was 100% usable, users would not return
to the Web site because over time, the content is what influences the user
experience the most (Davern, Te’eni, & Moon, 2000; Sinha, Hearst, Ivory &
Draisin, 2001). It was important to consult the users to determine what their
task needs were for the College of Science and Mathematics at Towson
University.
The Challenges of Web Usability
While it is important to determine what content users are interested in, there are
also many challenges to making a Web site that is easy to use. Unless the
designer is building a Web application that will be delivered to a well-defined
organizational audience (such as a corporate intranet), it is not known in
advance what browsers and connection speeds the users will have. For
instance, Web sites can appear differently based on the browser brand, the
version, and the platform (e.g., Microsoft Internet Explorer, 4.0, for the
Macintosh). For designers, it is always a good idea to determine what browser
is used by the majority of their target user population (Lazar, 2001). This way,
testing can be done to ensure that the Web site will appear appropriately in the
browsers that most users use. Another important concern is the connection
speed. If a large number of targeted users have Internet connections that are
relatively slow (such as 28.8 dial-up), then this means that the designers of a
Web site need to focus on making sure that Web page file sizes are small (Lazar,
2001). When Web pages take a long time to download, it can change the user’s
perception of the Web page content. For instance, when it takes a long time for
the Web page to download, this can change the user’s perception of the quality
of the content, or whether the content is perceived to be interesting (Jacko,
Sears & Borella, 2000; Ramsay, Barbesi & Preece, 1998). These should be
important concerns for the Web designer.
Use of plug-in applications (such as Flash or Acrobat reader) is not standard
across the population of Web users. Therefore, plug-ins should be given as an
option (e.g., click here for the Flash version of the site), not as a requirement
(e.g., to view this page, you must have Flash installed). Only if requirements
gathering confirms that nearly all of the targeted users have a plug-in installed
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42 Lazar, Jones & Greenidge
is it satisfactory to require use of a plug-in to view a Web page. In addition, it
is a good idea to make sure that users with disabilities who may use assistive
technology (such as screen readers) can access the Web site (Paciello, 2000).
Testing with software tools (such as InFocus, RAMP, or BOBBY, more
information available at: <http://www.w3.org/wai>) can help to make sure that
a Web site can be utilized by users with assistive technologies. These are
important considerations to make sure that a Web site is easy to use, and they
are accounted for in the Web-STAR survey tool.
Survey Development Methodology
While no standardized survey tool exists for requirements gathering for Web
sites, there are a number of case studies of Web development where surveys
have been used for requirements gathering. Survey tools have also been
developed for evaluating systems after they are built. Research has been
performed to determine what causes people to return to a Web site and be
satisfied with it. This existing knowledge from research and case studies was
combined to create the Web-STAR survey tool. One point of interest is that
Web-STAR can be used regardless of whether the Web site already exists or
is a new Web site under development. This is an important distinction, since
many Web sites were not originally developed with user involvement, but are
including user involvement when they are redesigned (Lazar, 2001). The
following topical areas were examined to look for the keys to providing a good
user experience on a Web site:
•
•
•
•
•
•
Web usability (Lazar, 2001; Nielsen, 2000)
Motivational quality of a Web site (Small & Arnone, 2000)
User satisfaction (Harper et al., 1997)
Information quality (Zhang et al., 2000)
Survey design (Dillman, 2000; Oppenheim, 1992)
Web accessibility (Paciello, 2000; Sullivan & Matson, 2000)
The survey tool was developed in order to address the issues described in these
topical areas. In addition, based on examinations of Web site re-design
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Web-STAR 43
projects (Dong & Martin, 2000; Yu et al., 1998), it was determined that while
some questions could be the same for both new Web sites and re-designed
sites, some questions would need to be different. For example, it is important
to evaluate the currently existing Web resources to determine how to improve
them, but this is by definition impossible if Web resources have yet to be
developed. Therefore, 50 informational Web sites were examined by the
research team to look for possible content categories that could be helpful in
determining what content might be useful on a site that does not currently exist.
The 50 sites that were examined were chosen based on their inclusion in a
previous research study (Lazar, Beere, Greenidge & Nagappa, 2003). These
Web sites represented 10 different categories of informational sites: 1) colleges
and universities, 2) medical/health care organizations, 3)non-profit organizations, 4) state and local governmental agencies, 5) information technology
firms, 6) manufacturing firms, 7) private firms, 8) sports and recreation
organizations, 9) Web development firms, and 10) software development
companies. Based on the content categories that were offered on those sites,
the Web-STAR survey offers possible content categories for new sites.
The Web-STAR survey was designed with three parts. Sample questions are
in Table 1. Part A addresses data about the technological environment,
browser version, and download speed of the users, as well as demographic
information and previous computer experience. These data questions are
important, regardless of whether a site is new or already exists (Lazar, 2001).
Part B of Web-STAR addresses new Web sites by asking users what types of
content would interest them on a new Web site for an organization. There are
three different types of responses in this section. Users are given the opportunity to examine the content categories from other sites (such as schedule of
events and contact information) to see if any would be useful. The designer can
suggest possible content specific to this site (which would be written into the
survey), to see if the users would be interested in such content. And the third
option is that users can suggest their own content in an open-ended question.
Part C of Web-STAR addresses currently-existing Web sites. Users are asked
to indicate how often they visit the currently existing Web site, their overall
perceptions of the Web site, as well as how they found out about the Web site.
In addition, there is a section where the developers can indicate certain content
that already exists on the Web site, and users are given the opportunity to
comment on how useful that content is, through the use of a likert scale.
The chart in Figure 1 shows the structure of the Web-STAR survey. For the
development of a new site, Section A and Section B would be completed and
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44 Lazar, Jones & Greenidge
Figure 1.
S truc ture o f W e b-S T A R S urv ey
S e ction A
F o r a ll S ites
S ection B
F o r Ne w S ites
S e ctio n C
F o r E xis ting S ite s
Table 1. Sample of Survey Questions.
Section
A
(For all Sites)
Sample Questions
Generally, what do you use the web for?
a. Shopping
b. Finding Information
c. Entertainment
d. Email
e. Chat
f. Education and Learning
What platform do you use?
a. Windows
b. Macintosh
c. Linux / Unix
d. Not Sure
B
(For new Sites)
C
(For currently existing Sites)
What type of content would you hope to see
on a website for this organization?
What was your overall perception of the
content on the web site?
a)
b)
c)
d)
not very useful
somewhat useful
useful
extremely useful
What was your overall perception of the
structure and design of the web site?
a)
b)
c)
d)
e)
very confusing
slightly confusing
adequate
intuitive
very easy to use
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Web-STAR 45
for an existing site Section A and Section C would be completed. Table 1
contains an example of questions from the three sections of the survey.
Current Research Status and Future
Directions
A prototype for Web-STAR survey can be viewed at the following Web site:
<http://www.towson.edu/~jlazar/webstar.doc>. This survey tool has been
tested in Web development projects since October 2002. From using the
Web-STAR tool in a real-world setting, feedback was provided to improve the
tool and validate the usefulness of the tool. The Web developers reported that
the survey was useful, and it was easy to modify the survey tool to meet their
needs. There is no quantitative feedback from the developers, but there have
been specific requests to develop a Web-STAR for e-commerce sites. There
are many other ways to improve and expand the Web-STAR project. To start
with, pushing the widespread use of the survey and collecting more usage data
about the survey is of particular value. With such data, feedback and results,
the Web-STAR can be further tested, refined and expanded upon. There is also
value in adding more sections and questions to the survey itself and increasing
its modularity so that the project can adapt better to the variety of Web projects
today and in the future. For instance, new questions could be added related to
Web-based intranets. By utilizing the modular nature of the survey and perhaps
by refining templates for possible content, the Web-STAR project may adapt
for or include additional dedicated suveys for other categories of Web sites,
such as e-commerce sites and online communities.
Summary
This chapter has described the Web Survey Tool for Analyzing Requirements
project. First, the background on requirements gathering as it relates to Web
development projects was introduced. An explanation was provided of the
challenges of requirements gathering for Web sites, including the short timelines
for development. Some examples from the survey were given and the current
status of the project was described. The Web-STAR survey tool has been
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46 Lazar, Jones & Greenidge
developed based on the currently-existing knowledge on how users interact
with Web sites and what makes a successful user experience on a Web site. The
Web-STAR tool is flexible enough to be used in both new Web site development and re-designs of currently existing Web sites, and the survey can be
easily modified to meet the Web content specifications of an organization.
Web-STAR provides a conceptual foundation for a Web development team
when designing an informational Web site for users. By properly gathering
requirements for informational Web sites at the early stages of the development
process, users will be more likely to visit and return to a Web site. As the WebSTAR tool is continuously examined and researched, more will be learned
about the effectiveness of the tool, how it is used, and how to improve the tool.
The complete Web-STAR survey in its current version is accessible online at:
<http://www.towson.edu/~jlazar/webstar.doc>.
References
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Francisco: Morgan Kaufmann Publishers.
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Davern, M., Te’eni, D., & Moon, J. (2000). Content versus structure in
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Dillman, D. (2000). Mail and Internet surveys: The tailored design method.
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Dong, J., & Martin, S. (2000). Iterative usage of customer satisfaction
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Factors and the Web. Available: http://www.tri.sbc.com/hfweb/
Harper, B., Slaughter, L., & Norman, K. (1997). Questionnaire administration
via the WWW: A validation & reliability study for a user satisfaction
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Web-STAR 47
questionnaire. Proceedings of the WebNet97: International Conference on the WWW, Internet and Intranet, Toronto, Canada.
Hoffer, J., George, J., & Valacich, J. (2002). Modern systems analysis and
design (3rd ed.). Reading, MA: Addison-Wesley.
Kirakowski, J., Claridge, N., & Whitehand, R. (1998). Human centered
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Lazar, J. (2001). User-centered Web development. Sudbury, MA: Jones and
Bartlett Publishers.
Lazar, J., & Preece, J. (2001). Using electronic surveys to evaluate networked
resources: From idea to implementation. In C. McClure & J. Bertot
(Eds.), Evaluating networked information services: Techniques,
policy, and issues (pp. 137-154). Medford, NJ: Information Today.
Lazar, J., Beere, P., Greenidge, K., & Nagappa, Y. (2003). Web accessibility
in the mid-Atlantic United States: A study of 50 Web sites. Universal
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Lazar, J., Ratner, J., Jacko, J., & Sears, A. (2003). User involvement in the
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An empirical analysis of criteria for award-winning websites. Proceedings of the Human Factors and the Web 2001. Available: http://
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48 Lazar, Jones & Greenidge
Small, R., & Arnone, M. (2000). Evaluating the effectiveness of Web sites. In
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International Conference on Information Systems (pp. 164-175).
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Web-STAR 49
Section II
Internet and
End Users’
Concerns
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50 Jansen
Chapter IV
The Use of Query
Operators and Their
Effect on the
Results from
Web Search Engines
Bernard J. Jansen
The Pennsylvania State University, USA
Abstract
Advice to improve searching performance typically includes
recommendations to utilize query operators, such as Boolean or phrase
searching. Many professionals assume that the use of these query operators
techniques would improve the quality of results. In this chapter, we review
the existing literature on this topic, and we test this assumption by
examining the effects of query structure on the documents retrieved by
Web search services. The results obtained using the queries with search
operators from each search engine were compared to the results obtained
by the original 100 queries with no operators from that search engine.
Overall, increasing the complexity of the queries had only moderate effect
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The Use of Query Operators 51
on the results, with an average 66% similarity between results from the
simple and complex queries. Implications on the effectiveness of current
searching techniques for future search engine design and for future
research are discussed.
Introduction
Searchers rarely use advanced techniques, such as Boolean operators or
phrase searching, (Borgman, 1996) when using information retrieval (IR)
systems. This characteristic has been especially true for Web searchers, with
the vast majority of Web and Internet queries containing no advanced searching
operators. Several Web studies have noted this near absence of complex query
operators (e.g., AND, OR, NOT, must appear operators, paraphrases, etc.)
in Web queries (Hoelscher, 1998; Jansen, Spink & Saracevic, 2000; Spink,
Jansen, Wolfram & Saracevic, 2002). The use of Boolean operators, typically
about 8%, in these Web searching studies is lower than the rates reported in
studies of searchers using traditional IR systems such as DIALOG or LEXIS/
NEXIS, sometimes substantially. For example, research on the DIALOG
system has reported Boolean usage of over 36%, which the researchers
considered a low rate of usage (Siegfried, Bates & Wilde, 1993). These low
rates of query operators usage occur even on academic Web sites, where one
would assume their usage would be higher (Wang, Berry & Yang, 2003).
It has been assumed that correct use of advanced searching operators would
increase the effectiveness of Web searches. These advanced searching techniques are well known, and one can find numerous articles and books on
advanced searching strategies (Korfhage, 1997), tutorials on searching training
(Sullivan, 2000a), and numerous educational courses on searching strategies.
Based on the Web searching studies, it appears that the majority of Web
searchers continue to use very simple queries, with little to no use of advanced
searching operators. These searchers seem to be employing an ineffective and
inefficient strategy for finding information.
Why are Web searchers not using more advanced queries? Some researchers
have stated that Web searchers are just lazy (Zapur & Zhang, 2000) or that
there is a design flaw with Web search engines (Clark, 2001). Neither of these
assertions seems likely. Studies and data suggest that Web users may be finding
the information they want using these simple queries. A survey of users on a
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52 Jansen
major Web search engine reports that almost 70% of the searchers stated that
they had located relevant information on the search engine (Spink, Bateman &
Jansen, 1999). Additionally, Web search engines continue to attract large
numbers of Web searchers.
At the time of the data collection for the study this chapter reports, eight of the
top 10 Web sites in terms of number of visitors were Web search engines
(CyberAtlas, 2000b), implying at least that search engines are the best method
available for finding information on the Web. Obviously, something is amiss.
Web searchers are not utilizing advanced searching operators, but they appear
to be finding information using a technique that should be ineffective or at least
inefficient. Web search engines are providing seemingly naive methods for
searchers to employ, but these search services continue to attract a large
number of customers.
The objective of this chapter is to review the relevant literature in this area and
to present the results of a study to determine the effect of query operators on
the results retrieved by Web search engines. This knowledge is essential to
understanding why users currently search the Web in the manner they do, for
the development of instructional material for Web searching, and for design of
search interfaces the support the information seeking process. In this paper, we
present an overview of related literature, methodology, research results from
various perspectives with discussion, and directions for future research.
Background
There has been little research comparing the retrieval results of different search
engines using different approaches to query formulation (Eastman, 2002;
Gudivada, Raghavan, Grosky & Kasanagottu, 1997; Jansen, 2000; Jansen &
Eastman, 2003; Lucas & Topi, 2002; Petersen, 1997). Petersen (1997)
presents comparisons using two queries, embargo and Woodrow Wilson’s
Fourteen Points as the phrase. Gudivada, Raghavan, Grosky and Kasanagottu
(1997) present data again using only two queries, showing the number of hits
retrieved for several search engines. The operators OR, AND, and phrase are
compared. The query with the AND operator generally retrieved fewer hits
than the OR version. The phrase version retrieved fewer than the query with the
AND operator. Neither of these studies examined the similarity between
retrieved results.
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The Use of Query Operators 53
Jansen (2000) examines the changes in results for 15 queries submitted to five
search engines when different searching operators are utilized. The researcher
reports a 70% similarity in results between queries with no operators and the
queries with operators. Lucas and Topi (2002) used eight search topics from
which naïve and expert queries were formulated and submitted to several Web
search engines to evaluate relevancy. Terms could change between the naïve
and expert queries. The researchers report that terms selection and incorrectly
formulated queries were the primary cause for most of the relevancy variation.
Eastman (2002) explored the precision of search engines using a variety of
topics and query formulations. The researcher notes that precision did not
necessarily improve with the use of the advanced query operators. Jansen and
Eastman (2003) investigate the effect of query operators on three search
engines, America Online, Google, and Microsoft Network. The researchers
note that queries’ operators had moderate effect on the results.
Others studies have examined the difference between the average Web query
and more sophisticated queries. Spink et al. (2002) show a Boolean usage rate
of about 10% for Excite users. Silverstein et al. (1999) reported an advanced
operator usage of approximately 20% for Alta Vista users. In a study of novice
and expert users of Fireball (Hölscher & Strube, 2000), a European based
search engine, the researchers reported greater use of the advanced searching
options for the experts.
Other than Jansen and Eastman (2003), we could locate no study focusing on
the change in results from a large number of queries across multiple search
engines that also controlled for term changes. Controlling for query terms is
important in such studies as research shows that term selection can dramatically
alter retrieved results (Spink, 1995). There have been some studies that have
examined the similarity among results retrieved by Web search engines over
time (Ding & Marchionini, 1996; Nicholson, 2000).
Major Thrust of the Chapter
We investigate the effect of complex queries (i.e., those using advanced syntax,
such as Boolean operators) on the results retrieved by Web search services
relative to the results retrieved by simple queries (i.e., those with no advanced
syntax).
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54 Jansen
Hypothesis
Our hypothesis is: The use of query operators will not result in a change in
results retrieved by Web search engines.
Methodology
The methodology of our research is outlined in the following.
Selection of Queries
Research shows that Web queries generally have two terms (Jansen, Spink,
Bateman & Saracevic, 1998; Silverstein, Henzinger, Marais & Moricz, 1999),
cover a variety of topics (Wolfram, 1999), and are primarily noun phrases
(Jansen & Pooch, 2001; Kirsch, 1998). Specific Web query lengths reported
by Jansen et al. (2000) are listed in Table 1.
The mean query length (i.e., the number of terms in the query) was 2.21 terms,
with a standard deviation of 1.05 terms. These statistics are in line with those
reported by other Web studies (Kirsch, 1998; Silverstein, Henzinger, Marais
& Moricz, 1999).
Table 1. Query Length.
Terms in
query
More than 6
6
5
4
3
2
1
0
Total
Number of
queries
1018
617
2,158
3,789
9,242
16,191
15,854
2,584
51,453
Percent of
all queries
2
1
4
7
18
32
31
5
100
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Based on the information in Table 1, approximately 93% of these Web queries
contain between zero and four terms. Since it is not meaningful to add operators
to queries of zero or one term(s), this study focused on queries with lengths
between two and four terms. This range represents a majority of Web queries,
or approximately 57%. We did not consider in this study queries containing five
or more terms. Based on the general distribution from Table 1, the queries of
the following lengths were selected for this study: 10 queries of four terms, 31
queries of three terms, and 59 queries of two terms.
From a transaction log of a major Web search engine, all queries containing
query operators were removed from the transaction log. Additionally, queries
that appear on the popular query lists (Searchwords.com, 2000) or that
referenced popular entertainers, popular locations, popular songs, and so forth
were eliminated since Web search engines sometimes cache results from these
highly queried topics (Lesk, Cutting, Pedersen, Noreault & Kolli, 1997). For
similar reasons, all queries that were obviously queries for pornography were
eliminated. The remaining queries were split into four transaction logs of all
four-term queries, all three-term queries, all two-term queries, and all queries
with more than four terms. From the transaction logs, with the four, three and
two-term queries, the appropriate number of queries was randomly selected.
Selection of Documents
Studies show that most Web searchers, usually about 80%, never view more
than 10 results (Hoelscher, 1998; Jansen, Spink, & Saracevic, 2000; Silverstein,
Henzinger, Marais, & Moricz, 1999). Based on this Web searcher behavior,
only the first 10 results in the results list were selected for comparison.
Moreover, we examined these results only for changes in the first 10 results;
relevance judgments were not made concerning the results. The ability of Web
search engines to successfully retrieve relevant documents has been investigated several times (Leighton & Srivastava, 1999; Zumalt & Pasicznyuk,
1998) and that the use of advanced operators may not improve the precision
of Web search engines (Eastman, 2002).
Searching Environment
Many Web sites offer searching capabilities; however, this research focuses
specifically on Web search engines. Search engines are the major portals for
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56 Jansen
users of the Web, with 71% of Web users accessing search engines to locate
other Web sites (CommerceNet/NielsenMedia, 1997). One in every 28
(3.5%) pages viewed on the Web is a search results page (AlexaInsider, 2000).
Search engines are, without a doubt, the major IR systems of the Web. There
are approximately 3,200 search engines on the Web (Sullivan, 2000b). Those
utilized in this research are Alta Vista, Excite, FAST Search, GoTo, and
Northern Light.
At the time of the research, three of these Web search engines were rated in the
top 25 Web sites in terms of unique visitors. These were Excite (5), Alta Vista
(8) and GoTo (24) (CyberAtlas, 2000a). Naturally, the “hot” search engines
are always changing. To facilitate comparison, the sizes of the document
collections and number of searchers at the time of the research are displayed
in Figure 1 (Sullivan, 2000a).
As we can see from Figure 1, the number of unique visitors to these search
engines varies widely, although all five sites attract an extremely large number
of visitors. With thousands of unique visitors per month, combined with
extremely large document collections, these search services must be able to
respond to and provide for a wide variety of topics and information needs.
400
350
300
250
200
150
100
50
0
Number of Documents
(millions)
t
Li
gh
n
N
or
th
er
G
oT
o
Se
ar
ch
FA
ST
Ex
ci
Vi
s
Al
ta
te
Number of Vistors
Annually (millions)
ta
Value (millions)
Figure 1. Size of Search Engine Document Collections and Number of
Searchers as of June 2000.
Search Engines
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The Use of Query Operators 57
Searching Rules
These five search engines offer a variety of advanced searching options and
these rules are always changing to some degree. Additionally, some searching
options are available from each search engine’s main search page. For other
searching options, one must go to a “power” searching page.
For this research, only those advanced searching options available from the
search engines’ main page were utilized. Of the five search engines, two offer
four advanced search options (+, “, AND, and OR) from the main page, and
three search engines offer two advanced searching options (+, and ”). All of the
search engines offer dropdown boxes (e.g., language of results, document
collections to search) for refining the search. When dropdown boxes were
present on the main search page, the default options were utilized.
Research Structure
Each of the 100 original queries was submitted to the five search engines for a
total of 500 queries. The query was then modified with the advanced searching
operators supported by the various search engines. The entire process of
submitting the simple and advanced queries took five minutes or less. For
example, the simple query palomino horse breeder association could be
modified using the must appear operator (+palomino +horse +breeder
+association), phrase searching operator (“palomino horse breeder association”), the AND operator (palomino AND horse AND breeder AND
association), and the OR operator (palomino OR horse OR breeder OR
association). These modified queries are the complex queries.
Results
Of the simple queries, 498 returned at least 10 results. One query returned
three results, and one query returned no results. Therefore, there were 4,983
results to use as the baseline (i.e., 498 x 10 + 3). As mentioned earlier, results
that appeared after the 10th in the results list were not utilized.
There were a total of 1,400 complex queries submitted. With each search
engine offering different search options, the number of complex queries varied
for each search engine, as outlined in Table 2.
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58 Jansen
Table 2. Number of Queries by Search Engine and Operator.
Search Engine
Alta Vista
Excite
FAST Search
GoTo
Northern
Light
Total Queries
Number of
Simple
Queries
Number of
Complex
Queries
300
500
300
300
500
100
100
100
100
100
200
400
200
200
400
1900
500
1400
Total
Number of
Queries
Search Options
Supported and
Number of Queries
+
" AND OR
100 100
100 100 100 100
100 100
100 100
100 100 100 100
500
500
200
200
From Table 2, all search engines supported the must appear (+) and phrase
searching (“) operators for a total of 1000 queries. Excite and Northern Light
supported the Boolean operators AND and OR for a total of 400 queries.
Submission of each set of queries on a given search engine took about five to
10 minutes. Therefore, the opportunity for the index on a given search engine
to change during the test was limited.
Table 3 presents data on the number of results returned.
Table 3. Results from Complex Queries.
Number of
Results
10
9
8
7
6
5
4
3
2
1
0
Total
Number of
Occurrences
1,325
0
2
1
5
1
4
2
3
13
44
1,400
Number of
Results
13,250
0
16
7
30
5
16
6
6
13
0
13,349
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The Use of Query Operators 59
Of the 1,400 complex queries, 1,325 returned 10 or more results. There were
31 queries that returned fewer than 10 results but more than zero results. There
were 44 queries that returned no results. Altogether, there were 13,349 results
returned by the complex queries. Combined with the 4,983 results from the
simple queries, a total of 18,332 results were used in the analysis.
The match had to be exact when comparing the results between the simple and
complex queries; that is, the documents listed had to be the identical page at the
same site. Different pages from the same site were not counted as matches. The
identical pages at different sites were not counted as matches. Furthermore, if
results appeared in both lists but in a different order, they were counted as
matches as long as both were displayed in the first 10 results.
Simple versus Complex Query Comparison
The aggregate results of the analysis of the 18,256 results are displayed in
Table 4.
The baseline mean for the simple queries was 9.99, and the mean for the
complex queries was 6.55. On average, 6.55 of the 10 results retrieved by the
complex queries also appeared in the baseline results for the corresponding
simple query on that search engine. The results were analyzed using a paired
sample t test, as reported in Table 4. The analysis revealed a significant
difference between the two groups (t=40.287; p<0.01).
Table 4. Comparison of Simple vs. Complex Queries on Major Web Search
Engines.
Category
Average Number of
Results that Appear in
Baseline
Standard
Deviation
Mode
Paired
sample
t
Simple Queries
9.99
0.03
10
-
Complex
Queries
6.55
3.77
10
40.287
p < 0.01
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Results by Search Engine
A comparison was conducted for each search engine. These results are
displayed in Table 5.
From examining Table 5, we can see that Excite, FAST Search, and GoTo will
on average return approximately seven to eight identical results, regardless of
whether the query is simple or complex. The means for Alta Vista and Northern
Light are lower, at approximately four and five, respectively. Alta Vista has the
largest standard deviation at 4.2. The modes of all five search engines were 10.
The results from each search engine were analyzed using a paired sample t test,
reported in Table 5. The analysis revealed a significant difference between the
groups of simple and complex query results for all search engines.
Table 5. Results by Search Engine.
Search Engine Mean of Average Number
Simple
of Results that
Queries Appear in Baseline
Alta Vista
10
4.5
Excite
10
7.8
FAST Search
10
7.1
GoTo
9.93
8.4
Northern Light
10
5.4
Standard
Deviation
Mode
Paired
sample t
4.2
3.8
3.7
2.8
3.9
10
10
10
10
10
18.143
12.304
10.759
7.704
23.433
p < 0.01
Results by Query Operator
A comparison was also conducted for each search operator. These results are
displayed in Table 6.
Table 6 shows that the highest correlation with the baseline results is with the
must appear searching operator, the ‘+’mark. With this operator, approximately eight of the 10 results, irrespective of search engine, would also appear
in the results list without the advanced search operator. With the other
operators, phrase searching, Boolean intersection operator (AND) and Boolean union operator (OR), approximately five or six of the documents in the
results list would have appeared without the use of the advanced operators. The
mode for all operators was 10. The results were analyzed using a paired sample
t test, reported in Table 6. The analysis revealed a significant difference
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The Use of Query Operators 61
Table 6. Comparison of Results by Query Operator.
Query
Operator
Average Number of
Results that Appear in
Baseline
+
"
AND
OR
8.1
5.6
5.5
6.3
Standar Mode
d
Deviatio
n
3.4
10
3.7
10
4.0
10
4.3
10
Paired
sample
t
12.166
25.219
15.840
12.354
p < 0.01
between the query results when using an advanced searching operator compared to the results when using a simple query for all operators.
Results by Query
The analysis was also conducted for each query. As a synopsis, the top 10
queries with the greatest overlap of results are displayed in Table 7.
On average, about eight or more of the 10 results for these queries were
identical, regardless of the presence or absence of advanced query syntax. Of
these 15 queries, 12 are two-term queries, two are three-term queries, and
zero are four-term queries.
Table 7. Comparison of Results by Query.
Query
bonsai trees
fuzzy logic
ear cleaning
grape seed extract
bread machines
self esteem
car insurance
bull riding
adult friend finders
morgan horse
Average Number of Standard
Results that Appear in Deviation
Baseline
9.3
1.3
9.2
1.4
8.8
2.0
8.7
2.1
8.6
1.9
8.6
2.9
8.5
2.8
8.5
2.2
8.4
2.5
8.4
2.2
Mode
10
10
10
10
10
10
10
10
10
10
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62 Jansen
Table 8. Comparison of Results by Query.
Query
Average Number
of Results that
Appear in Baseline
prime time workout videos
3.4
internet capitalist
3.6
tanning bed sanitizer
4.0
super high speed photography
4.2
hotdog cart rental
4.2
international law department justice
4.3
red wine goblets
4.3
vinyl upholstery instructions
4.4
liability waiver
4.4
accelerator safety
4.6
Standard
Deviation
Mode
4.2
4.5
4.3
4.3
4.5
4.5
4.3
4.8
4.3
4.3
1
0
0
0
0
0
0
1
0
10
At the other end of the spectrum, the 10 queries with the lowest average are
displayed in Table 8.
On average, about 4 of the 10 results for these queries were identical to the
results obtained from the simple version of the query, regardless of the presence
or absence of advanced query syntax. Of these 15 queries, four are two-term
queries, six of the three-term queries, and five are four-term queries. Compared to the 15 queries with the greatest overlap displayed in Table 7, the
standard deviations are approximately twice as large. The modes were
significantly lower, with the exception of the queries accelerator safety,
processed hair origin, palomino horse breeder association, and submarine
cable consulting, which all had modes of 10.
Results by Query Length
An aggregate analysis was also conducted for query length, as displayed in
Table 9.
Table 9. Comparison of Results by Query.
Query
Length
2
3
4
Number of
Queries of this
Length
59
31
10
Average Number of
Matching Results
7.0
6.2
5.0
Standard Mode Paired
Deviation
Sampl
et
3.8
10
18.303
4.0
10
18.227
4.2
10
21.401
p<0.01
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The Use of Query Operators 63
The average number of matching results decreased by approximately one result
as the length of the query increased, from 7.0 for two-term queries to 5.0 for
four-term queries. The standard deviations for all three query lengths were
approximately four results. The modes for all three queries lengths were 10. The
results were analyzed using a paired sample t test, reported in Table 9. The
analysis revealed a significant difference between the two groups of simple and
complex queries results for all three query lengths.
Results by Query Length, Search Engine and Query Operator
The analysis was also conducted for query operators by search engine, with the
results displayed in Table 10.
The first column in Table 10 is the heading for the number of matching results.
The top row lists the searching engine; the second row displays the corresponding advanced query operator. Using column 1, one can move right across the
table to the occurrences for each in the No. column, which is the number of
times that the results from the complex queries contained that number of exact
matches. For example, there were 651 complex queries that return 10 results
identical to the corresponding simple queries. Moving further to the right, each
column presents the number of occurrences for each search engine and
operator for a given number of matching results. The average number of
matching results and the standard deviation is also given.
Table 10. Comparison of Results by Search Engine and Operator.
Matching
Results
No.
Average
SD
Paired
sample t*
10
0
NR
Total
AV
EX
FS
GT NL
AV
Ex
FS
GT
NL
+
3.0
3.2
+
7.9
3.5
+
10
0.0
+
9.4
1.5
+
10
0.0
"
6.0
4.5
"
5.0
3.8
"
3.8
2.9
"
7.2
3.4
"
6.0
2.8
-
3.738
-
100
0
0
77
0
1
100
0
0
21.110 6.008
651
163
55
1400
EX
NL
Ex
NL
AND AND OR
7.9
3.1
10
3.5
2.9 0.0
OR
2.57
2.9
8.541 12.628 19.694 7.459 23.363 6.039 23.363
-
25.530
9
25
5
67
7
0
48
20
9
21
18
9
1
20
12
44
1
14
7
3
5
67
7
0
5
26
0
100
0
0
5
36
0
100
100 100 100 100 100
100
100
100
100
100
100
100
100
Note: (1) AV – Alta Vista, EX – Excite, FS – FAST Search, GT – GoTo, NL – Northern Light,
NR – No Results returned by query. (2) Missing pair-t values could not be calculated due
to a zero standard deviation. * p<0.01
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64 Jansen
As Table 10 shows, the effect of specific operators varied, depending on the
search engine involved. With Alta Vista, the average for the must appear
operator was half of what it was for phrase searching. With Excite, the average
for phrase searching was about half of the other three operators. With FAST
Search, there was a marked drop using phrase searching. The matching results
of the GoTo operators were both greater than seven matches. It is also
apparent what the default algorithms are for Excite, FAST Search, and
Northern Light, with 100% matches between the simple and complex queries.
Overall, Table 10 illustrates that there were 651 (47%) complex queries that
retrieved identical results as the simple queries. All 10 results from these 651
complex queries were identical to the results from the simple queries. This
occurrence is by far the most frequent; the next highest occurrence was 163
(12%) complex queries that retrieve no matching results.
The results were analyzed using a paired sample t test, as reported in Table 10,
fifth row. The analysis revealed a significant difference between the results of
each search engine operator relative to the results retrieved by the simple
queries on the respective search engines.
We conducted a regression analysis to determine any significant relationship
among the variables, query length, search engine, and query operator on the
results retrieved. The overall model was significant (F= 21.99, p<0.01). Query
length was a significant predictor of results (t=-6.156, p<0.01), with a beta
weight of -0.164. As query length increased, the number of matching results
decreased. Query operator was also a significant predictor (t=6.156, p<0.01),
with a beta weight of 0.145. Although significant, as the beta weights show,
neither query length nor query operator had a substantial impact on the number
of matching results. Search engine was an insignificant predictor of matching
results.
Future Trends
The 100 original queries used for this research structurally represent the
majority of Web queries that are more than one term. These 100 queries were
submitted to five search engines. These queries were modified with advanced
searching operators and also were submitted to the same five search engines.
Approximately 66% of the results were identical regardless of how the searcher
entered the query. Referring to the data displayed in Table 4, a paired sample
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The Use of Query Operators 65
t-test (t= 40.287, p<0.01) shows that the results from the simple queries are
significantly different from the results for complex queries. However, as with all
tests of statistical significance, one must ask, what different does this make in
the “real world”?
Does it make sense to learn and utilize the more complex searching operators
if on average it is only going to present the searcher with about three or four
results that are different from those retrieved by just entering the query terms?
Are the three or four different results worth the increased probability of entering
a complex query incorrectly? As the complexity of queries increases, so does
the probability of error.
The findings of this research suggest that the use of complex queries is generally
not worth the effort for the typical Web searcher (i.e., who uses two terms and
is interested only in the first ten results). Based on their conduct, it appears that
most Web searchers do not think it is worth the trouble either. The behavior of
Web searchers adheres to the principle of least effort (Zipf, 1949), which
postulates that there are “useful” behaviors that are quick and easy to perform.
The very existence of these quick, easy behaviors causes individuals to choose
them even when they may not necessarily be the best behavior from a functional
point of view. However, these useful behaviors are good enough, and people
will generally expend the least amount of effort to achieve what they want.
Zipf’s theory can explain the behavior of Web searchers. The results obtained
from Web search engines via simple queries are good enough. In IR jargon, the
precision of simple Web queries meets the information needs of most Web
searchers.
The use of simple queries versus complex queries is also compelling when one
compares the modes presented in Table 4. The modes for the simple and the
complex queries are both 10, meaning that more than any other occurrence, the
results from a simple query and complex queries will be the same. As noted in
Table 10, 651 (47%) of the 1,400 complex queries returned identical results
to those from the corresponding simple queries.
Naturally, we acknowledge that there are cases where one is interested in all
possibly relevant results. In these cases, the three or so new results may be
worthwhile. Even in these cases, it would make sense to enter the simple query
as well as the complex queries. Nevertheless, this type of information need,
where one is interested in recall as well as precision, does not appear to be the
typical information need for Web searchers. Not only are Web queries short
and simple and the number of results viewed small, but also the session length
(the number of queries submitted during a session) of the typical Web searcher
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is one or two queries (Jansen & Pooch, 2001), reinforcing the notion that Web
searching is a precision-based service. By its characteristics, the typical Web
search does not represent a recall-based information need.
In reviewing the analysis by search engine, outlined in Table 5, there was a great
deal of overlap between query results for most search engines, ranging from
45% for Alta Vista to 84% for GoTo. The mode for all five search engines was
10. Studies and presentations show that the failure rates among Web searchers
using advanced syntax are high (Jansen, Spink & Saracevic, 1998). Why give
searchers the opportunity to make mistakes? This rule seems to be the tactic
followed by FAST Search and GoTo, which both limit the searcher’s options.
It also appears to be the tactic pursued by Excite, where at least 78% of the
results are identical, regardless of the presence or absence of advanced
searching operators.
These results would seem to indicate that system designers have developed the
Web search engines so as to minimize the need to utilize advanced searching
operators. Web searchers seldom utilize advanced searching techniques, so
designing IR systems to account for this characteristic seems like a reasonable
course of action. However, one must then question, why offer advanced
searching options at all?
Concerning the lower mean of Alta Vista (4.5), it appears that this search
engine uses a different ranking algorithm when the must appear operator (+) is
used. Based on the rather random results retrieved with this operator, Alta
Vista may adhere to the theoretical model of no ranking feature when Booleanlike operators are used in a query.
In the analysis of the various advanced search operators, illustrated in Table 6,
all had means of five or higher, meaning on average approximately five or more
of the 10 results were the same, regardless of whether the query was simple or
complex. The must appear and the OR operators had means of eight and six
results respectively. The mode for all operators was 10. It appears that no
particular operator has a drastic impact on results, with the must appear
operator being slightly higher than the other three.
It is interesting that the results from the must appear operator (+) and the
Boolean intersection operator (AND) are not the same. One would expect the
results from these two operators to be the same. With Excite, the results were
identical. With Northern Light, the results varied between the two operators.
Similar to Alta Vista, Northern Light may turn off ranking when Boolean
operators are utilized.
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The Use of Query Operators 67
In comparing individual queries using Table 7, Table 8, Figure 2, and Table 9,
one sees that as the query length increases, the mean for number of matching
results decreases by about one result for each additional term added to the
query. However, referring to Figure 2, there appears to be a good deal of
overlap among the queries, regardless of length, although there is a drop in
matching with 4-term queries.
The results of the analysis of search engine and advanced search operators (see
Table 10) show that the effect of advanced search operators varies based on
that particular search engine. There were high occurrences of exact matches
between simple and complex queries among all search engines and all operators; however, Excite and GoTo had extremely high occurrences of identical
results, regardless of query operators. There were substantial differences
between the simple and complex query results with Alta Vista and Northern
Light when Boolean-like or Boolean operators were utilized.
Conclusion
This research indicates that use of complex queries appears to have a moderate
impact on the results retrieved. On average, approximately 66% of the top 10
results will be the same, regardless of how the query is entered. The approximately three or four different results on average may not be worth the increased
effort required to learn the advanced searching rules or the increased risk of
making a mistake. One can say that the typical Web searcher is adhering to a
reasonable course of action by entering simple queries when using Web search
engines. Results in other studies are similar, even with other search engines such
as Google (Jansen & Eastman, 2003).
These results also indicate that Web search engine designers are doing a proper
job of designing Web interfaces and ranking algorithms. Given that the typical
Web searcher seldom uses advanced operators, Web search engines are to be
compensating for the naïve the searching characteristics of their customers.
Based on the results of this research, one can conjecture that the ranking
algorithms of these search engines adhere, albeit loosely, to the following rule:
Place those documents that contain all the query terms and that have all
the query terms near each other at the top of the results list. This is an
oversimplification of the complexity of searching and ranking algorithms.
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However, with a ranking rule like this, the use of or lack of use of advanced
search operators would have little impact on the results at the top of the list.
However, it does appear that some search engines alter their ranking algorithm
based on the search operator utilized. Alta Vista and Northern Light appear to
utilize different ranking algorithms when certain Boolean operators appear in a
query.
There are several avenues for future investigation. The first would be to examine
the effect of the advanced searching operators on the relevance (e.g., precision) of the results. This study measured the change in the results list of complex
versus simple queries. The natural next step is to measure the change in relative
precision. One might expect that the complex queries would improve precision;
however, this assumption would have to be tested. There are indications that
precision actually decreases (Eastman, 2002).
Returning to our research question, it appears that the increased usage of
advanced searching techniques by Web searchers has only moderate effect on
the results from Web search engines. Therefore, the use of these operators by
Web searchers may not be that helpful. Results of this and similar studies may
indicate the need for a refinement in the teaching of appropriate searching
techniques given the underlying sophistication of current Web search systems.
It also appears that the designers of Web search engines are targeting the
general naïve searcher, perhaps at the expense of the more sophisticated
searchers who desire to utilize advanced query operators.
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Chapter V
Interactive Proxy for
URL Correction
Kai-Hsiang Yang
National Taiwan University, R.O.C.
Abstract
This chapter will address the issues of Uniform Resource Locator (URL)
correction techniques in proxy servers. The proxy servers are more and
more important in the World Wide Web (WWW), and they provide Web
page caches for browsing the Web pages quickly, and also reduce
unnecessary network traffic. Traditional proxy servers use the URL to
identify their cache, and it is a cache-miss when the request URL is nonexistent in its caches. However, for general users, there must be some
regularity and scope in browsing the Web. It would be very convenient for
users when they do not need to enter the whole long URL, or if they still
could see the Web content even though they forgot some part of the URL,
especially for those personal favorite Web sites. We will introduce one
URL correction mechanism into the personal proxy server to achieve this
goal.
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Introduction
With the rapid expansion of the World Wide Web (WWW), more and more
Web-based applications have caused serious performance degradation on the
Internet. Caching is the process of storing Web elements (pages, files, images)
on proxy servers. The use of proxy server makes serving information on the
Internet more efficient in terms of reducing bandwidth costs and server
utilization. The Internet Caching Resource Center (www.caching.com) estimates that caching can reduce the need for bandwidth by at least 35%.
Consequently, the proxy servers have been widely deployed to reduce the
bandwidth for the same Web page requests; they could accelerate the browsing
speed by storing current Web pages for future requests. Nowadays, proxy
servers are necessary for the WWW community.
In the traditional proxy server, when it receives a request URL, first it has to
check the validation of the URL by the Domain Name System (DNS) lookup.
Then the request URL is matched with all URLs in its caches. The proxy server
will immediately send back the requested page from its cache if found.
Otherwise it has to directly connect to the original server to get the requested
page, send it back, and store it in its cache database at the same time. The
general proxy server mainly depends on the request URL to operate.
However, this is inconvenient and insufficient for users, especially when they
type in the incorrect URL. For example, the correct URL of the Starbucks
company is http://www.starbucks.com. We would just get some error
messages from the proxy server for the wrong URL (www.starbuck.com),
unless we correct it by ourselves.
However for general users, there must be some regularity and scope in
browsing the Web, for example, the portals or news Web sites that users
browse every day, or some specific Web-based systems. It would be very
convenient for users when they enter one word, such as “google” or even with
some error, “goggle,” and then would eventually be taken to www.google.com.
Therefore, it is a very important and useful function to support the URL
correction mechanism based on the personal browsing access logs.
On the other hand, online security has drawn increasing attention, especially for
home users. There are several personal proxy tools supporting the functions to
block cookies, Web bugs, Web referrers, ads and scripts and stop them from
collecting online information. Almost all these tools save the personal access
logs into text files. However, they do not utilize these logs to correct URLs.
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In this chapter, we will introduce one URL correction mechanism based on the
personal browsing access logs to achieve our goal. To accomplish the URL
correction mechanism, we design one URL preprocessor and URL correction
algorithm. Normally, the proxy server works as usual when the request URL
is correct. If non-existent, it first operates the URL preprocessor to get the
canonical form of request URL by the user setting rules, and then operates the
approximate URL matching to correct the request URL. If there is more than
one choice for correction, users will see the possible URLs listed in their
browsers, and they could browse the Web pages just by one click. The
interactive mechanism is very convenient for users.
In the URL correction model, we choose the “edit distance”
(www.merriampack.com/ld.htm) as the URL similarity measurement. This
measurement has a clear definition and is also widely used in many fields of
applications. Furthermore, we have designed one algorithm to utilize three filter
conditions (Pan, Yang & Lee, 2002) based on the n-gram technique to perform
the URL correction mechanism.
Background
Web caching is still a highly active research area. However, most of the
research focuses on improving the proxy server performance, or analyzing the
proxy access logs to list the top 10 popular Web sites, or predicting the user’s
action by the proxy access logs, and pre-fetching the Web pages for users.
By now, maintaining the proxy server is almost the responsibility of network
administrators. The main goal is to accelerate the response time of proxy
servers, and enhance the hit rate to reduce the network bandwidth. What they
care about is the performance, not considering the different users’ needs.
No matter that in the general proxy server or personal proxy server, there is no
existent technique to correct the wrong URL. However, we could use the
approximate string matching technique to support the function.
In the field of approximate string matching, many researches and solutions have
been published. For two strings of length n and m, there exists a dynamic
programming algorithm to compute the edit distance between them in O(nm)
time and space (Smith & Waterman, 1981), and some improvements to the
average and worst case have also appeared (Chang & Lawler, 1990; Cole &
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Interactive Proxy for URL Correction 75
Hariharan, 1998). The definition of the approximate string matching problem
is: Given a text T of length n and a pattern P of length m (m << n), and a maximal
number of errors allowed 0 < k < m, we want to find all text positions where
the pattern matches the text with up to k errors.
The problem is different from our problem mostly in the length m. In the
approximate string matching, the pattern length is far smaller then the text
length; it is like the full text search problem. However in our problem, the length
of the request URL is almost the same as the length of other URLs. Many
solutions for the approximate string matching are not suitable for a large amount
of short URL strings. Therefore, we need to design one index method to handle
this problem.
Especially in one paper (Gravano, Jagadish, Koudas, Muthukrishnan &
Srivastava, 2001), researchers solve the problem of approximate string joins
in a very large database by using three n-gram filter conditions. However, such
techniques have to be supported by another database management system
(DBMS) (Bozkaya & Ozsoyoglu, 1999). Later, we also design another
technique without the support of DBMS (Pan, Yang & Lee, 2002).
Basic Concepts
In this section, we will briefly describe the concept architecture of our system
and some basic definitions about the URL correction. First we will introduce
the edit distance that is used to measure the similarity of two URLs. Secondly
we will outline the URL preprocessor. It processes all the URLs and gets its
canonical forms before the URL correction process. Thirdly we will begin to
discuss the URL correction mechanism, including the concept of n-gram for the
URL index, and how the performance of URL correction can be enhanced by
it. Finally, three filter conditions will be described for the URL algorithm.
System Concept Architecture
The concept architecture of URL correction mechanism is shown in Figure 1.
After the request URL is accepted by the system (u), the URL preprocessor
handles it in step 1. By using the user-defined pruned strings, the request URL
will be pruned without some redundant information (v, w). In step 2, the URL
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Figure 1. Concept Architecture of URL Correction Mechanism.
correction algorithm will find out all possible URL strings (x, y). Finally, all
the possible URL strings will be ranked and returned to the user in step 3 (z).
Edit Distance (The URL Similarity Measurement)
In order to know how similar the two URLs are, we have to find a simple and
clear measurement method. We choose edit distance here because it has been
wildly applied in many fields such as string matching, DNA matching, and so
forth. Here is the definition of it:
The edit distance d(x,y) between two URLs x and y is the minimum cost of a
sequence of operations that transform x into y. The cost of a sequence of
operations is the sum of the costs of the individual operations. In this chapter,
we use and only allow these three standard operations of cost 1, such as
follows.
•
•
•
Insertion: inserting the letter a.
Deletion: deleting the letter a.
Replacement or Substitution: for a≠b, replacing a by b.
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Interactive Proxy for URL Correction 77
Example [edit distancer]: Suppose there are four strings: U1:google,
U2:googlee, U3:gogle, U4:goggle. U2, U3, and U4 all have the same edit
distance = 1 with U1. U2 is one insertion e on U1. U3 is one deletion o
→ g) on U1.
on U1. U4 is one replacement (o→
URL Preprocessor
After we have the measurement method, there is one important preprocessor
we need to understand. For each request URL, the preprocessor prunes some
user-defined prefixes or suffixes of URL, such as: “www.,” “.com,” “.org,”
“.gov,” “.tw,” and so forth. The main purpose of it is to reduce some redundant
parts before performing the URL correction.
We also use the same preprocessor on all URLs stored in proxy cache. The
benefit of the preprocessor is that users only need to type the important parts
of URL, and do not need to consider what the prefix or suffix is. The following
example shows the influence.
Example [Preprocessor]: As Figure 2 shows, there are three URL strings
about Starbucks: www.starbucks.com, www.starbucks.org,
starbucks.com.tw. The preprocessor prunes the three URLs to the same
Figure 2. Preprocess Prunes URL Strings into Some Important Keyword.
www.starbucks.org
www.starbucks.com
starbucks.com.tw
User-defined
pruned strings
Preprocessor
www.
.org
.com
.com.tw
……
starbucks
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string starbucks. It is very convenient to just enter starbucks to find these
three URLs.
N-Grams
We will introduce the index of URL in the section. For a given pruned URL
(denoted s), all n-grams of s are obtained by “sliding” a window of length n over
the characters of s. Since n-grams at the beginning and the end of s have fewer
than n characters, we introduce new characters “#” and “$,” and conceptually
extend the string by prefixing it with occurrences of “#” and suffixing it with
occurrences of “$”. Thus, each n-gram contains exactly n characters. As shown
in Figure 3, the pruned URL s is “DIGITAL,” and its 3-grams are: “##D,”
“#DI,” “DIG,” “IGI,” “GIT,” “ITA,” “TAL,” “AL$,” “L$$”.
The concept behind using n-grams is that when two strings a and b are within
a small edit distance, they must have a large number of n-grams in common.
For string s of length |s|, we can easily find out the number of its n-gram, which
is |s| + n –1. For Figure 3, the number of 3-grams is 9 (= 7 (length) + 3(n) – 1).
Figure 3. 3-Grams of String “DIGITAL”.
# # D I G I T A L $ $
#
#
#
D
D
D
I
N=3, 3-grams
Use 3-chars sliding window
I
G
I
G
I
G
I
T
I
T
T
A
A
A
L
L
$
L
$
$
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Interactive Proxy for URL Correction 79
Filter Conditions
In our URL correction mechanism, given k as the predefined similarity
threshold, we use these three filter conditions (Gravano, Ipeirotis, Jagadish,
Koudas, Muthukrishnan & Srivastava, 2001) to quickly filter out impossible
URLs with edit distance > k. The key objective here is to efficiently identify
approximate URLs before we use the “expansive” time-consuming distance
function to compute their distance. The three filter conditions are defined as
follows:
Count Filtering: Consider strings s1 and s2, of lengths |s1| and |s2|, respectively. If the equation d(s1, s2) ≤ k holds, then the two strings must have
at least ( max(| s1 |, | s 2 |) − 1 − (k − 1) * n ) the same n-grams.
Position Filtering: If strings s1 and s2 are within an edit distance of k, one ngram of s1 in one position cannot correspond to one n-gram of s2 in another
position that differs from it by more than k positions.
Length Filtering: The last condition is about the length of string providing
useful information to filter out strings. If two strings s1 and s2 are within edit
distance k, their lengths cannot differ by more then k.
URL Correction Mechanism
In this section we will introduce our URL correction mechanism, including the
index architecture and our correction algorithm based on the filter conditions
in the previous section.
Index Architecture
In the proxy server, each Web element has its own URL and is stored in its
cache. Then the proxy server performs the preprocessor on URLs in its cache,
and computes all its n-grams as indices. All the n-grams are put into a large table
(“URL Index Table”) that contains four fields: (1) n-gram, (2) URL string length
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Figure 4. Indices for URL String “HELLO” Using 3-Grams.
N-grams
Length
Position
URL_ID
##H
3
1
00001
#HE
3
2
00001
HEL
3
3
00001
ELL
3
4
00001
LLO
3
5
00001
LO$
3
6
00001
O$$
3
7
00001
(denote L), (3) position (the position at which n-gram appears), and (4)
URL_ID (the unique identification of each URL). The following example shows
the details.
Example [URL N-gram Index]: Assume that there is one URL string s
“HELLO” with length 5, and we use the 3-grams as indices (n = 3). All
its 3-grams are:
G3,1 =" # # H " , G3, 2 =" # HE" , G3,3 =" HEL" , G3, 4 =" ELL" , G3,5 =" LLO" , G3, 6 =" LO$" , G3, 7 =" O$$"
We insert all the 3-grams into URL Index Table as Figure 4 shows.
URL Correction Algorithm
Now, we will introduce our URL correction algorithm. After proxy server
builds all the indices of URLs in its cache, and puts them into URL Index Table,
the server sorts all indices by the field order (length, URL_id, position). On the
other hand, when one request URL s arrives, the proxy server will perform the
following URL Correction Algorithm to get the answer.
URL Correction Algorithm:
1.
For s, we firstly perform the preprocessor and then get all the n-grams of s.
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Interactive Proxy for URL Correction 81
2.
3.
Retrieve each block in the URL Index Table corresponding to each ngram.
For the blocks corresponding with n-grams, we first sort them by the
block size, and number the smallest block with 1, and so on. For the block
1 to j, we design one merge algorithm that runs j iterations to merge all
records in block 1 to j. Each iteration k (1 <= k <= j) focuses on the block
k and the previous merged result list k-1, and it sorts records in result list
by URL_ID field. The merge algorithm is like the merge-sort algorithm,
and the following lists show the results:
(1) Block 1 => Result List 1(initiation).
(2) Block 2 ⊕ Result List 1 => Result List 2 (The records are sorted by
URL_ID in result list, so the merging time is in time O(n) ).
…………………………………………..
(J) List j ⊕ Result List j-1 => Result List j
The ⊕ symbol is the merging and filtering process. In this process, we count
the records with the same URL_ID. If it is greater then the Count
Filtering, the record with the URL_ID is possibly the answer; otherwise
is not. Then we check it for the Length Filtering, and insert the record
into the result list if it passes the filter condition.
Figure 5. Our URL Correction Algorithm and Inside Data Structures.
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4.
Use the distance function to compute the real edit distance for each record
in the result list j.
Figure 5 shows the details.
Ranking and Returning
After the URL correction algorithm, the proxy server could get some possible
URLs, and it ranks them by similarity to the request URL, and finally reports
the top 10 URLs back to user.
Browser Setting
In order to have better efficiency in browsing the Web, it is necessary for the
user to set the proxy server in the Web browser. This helps to make more
efficient use of bandwidth and reduce the chances of getting duplicated copies
of the same data from overseas. Two common browsers, Netscape Navigator
and Internet Explorer, have to be configured to use the proxy server; especially
in the IE browser, we have to check the check box of “Access the Internet
using a proxy server” and cancel “Bypass proxy server for local (Intranet)
addresses”. The latter action is very important, because the IE browser would
automatically append local domains to the request URL when it is just one
word; if we do not cancel the latter check box, the proxy server would not
receive any request URL.
Experimental Results
We used about 500,000 URL strings to evaluate the performance of the URL
correction algorithm and produce more then 5,000,000 n-gram data. In our
experiments, almost all tests finished in 1 to 3 seconds; the performance of the
filtering is acceptable.
In our previous research (Pan, Yang & Lee, 2002), we found that n value is very
important for the performance. If n is too large, the filter conditions do not
work, and the performance decreases. If n is too small, the index size increases,
and the performance also decreases. Therefore, one suitable n value is very
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Interactive Proxy for URL Correction 83
important too, and n (=3 to 5) is suitable for common situations in our
experience.
Conclusion
We design the URL correction algorithm in the personal proxy server, and it will
take users to a convenient environment when browsing the Internet. Even
though users enter URLs with errors, they still will be taken to the correct Web
pages. This is our major contribution.
There are two different correction levels in our URL correction mechanism.
The first part comes from the preprocessor. It could correct the “google” into
the “www.google.com”. The second part is the URL correction algorithm
based on filter conditions. It could correct the “goggle” into the
“www.google.com”. On the other hand, the configuration of proxy server could
be changed for various approximate levels depending on different needs.
References
Bozkaya, T., & Ozsoyoglu, Z.M. (1999). Distance based indexing for high
dimensional metric spaces. Proceedings of String Processing and
Information Retrieval Symposium (SPIRE’99) (pp. 16-23).
Chang, W., & Lawler, E. (1990). Sublinear approximate string matching and
biological applications. Algorithmica, 12(4/5), 327-344.
Chankhunthod, A., Danzig, P.B., Neerdaels, C., Schwartz, M.F., & Worrell,
K.J. (1996). A hierarchical Internet object cache (pp. 153-163). The
1996 USENIX Technical Conference.
Cole, R., & Hariharan, R. (1998). Approximate string matching: A simpler
faster algorithm. Proceedings of ACM-SIAM SODA’98 (pp. 463-472).
Feldmann, A., Cacres, R., Douglis, F., Glass, G., & Rabinovich, M. (1999).
Performance of Web proxy caching in heterogeneous bandwidth environments. Proceeding of IEEE INFOCOM’99.
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84 Yang
Gravano, L., Ipeirotis, P.G., Jagadish, H.V., Koudas, N., Muthukrishnan, S.,
& Srivastava, D. (2001). Approximate string joins in a database (almost)
for free. Proceeding of the 27th VLDB Conference.
Internet Caching Resource Center. Available: http://www.caching.com
Karger, D., Leighton, T., Lewin, D., & Sherman, A. (1999). Web caching
with consistent hashing. The 8th International World Wide Web
Conference.
Levenshtein Distance. http://www.merriampark.com/ld.htm
Pan, C.-C., Yang, K.-H., & Lee, T.-L. (2002). Approximate string matching
in LDAP based on edit distance. Proceedings of the IPDPS2002
Conference (pp. 222-228).
Smith, T.F., & Waterman, M.S. (1981). Identification of common molecular
subsequences. Journal of Molecular Biology, 147, 195-197.
Squid Internet object cache. Available: http://squid.nlanr.net
Tewari, R., Dahlin, M., Vin, H., & Kay, J. (1999). Design considerations for
distributed caching on the Internet. The 19th IEEE International Conference on Distributed Computing Systems.
Touch, J. (1998). The LSAM proxy cache – A multicast distributed virtual
cache. Proceedings of the 3rd International WWW Caching Workshop.
Web caching. Available: http://www.web-caching.com/
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Chapter VI
Emerging Practices and
Standards for Designing
Business Web Sites:
Recommendations for
Developers
Carmine Sellitto
Victoria University, Australia
Andrew Wenn
Victoria University, Australia
Abstract
A well-designed and implemented Web site can give a business the edge in
the online environment. In part this can be achieved by utilising the
appropriate encoding language, incorporating metadata into Web pages
and addressing accessibility issues for the disabled. These aspects of Web
site implementation tend to be technically tangible and thus relatively
easily definable. However, some of the subjective aspects of Web site
development associated with information design, such as information
quality, effective information visualisation and presentation also contribute
to a successful Web site strategy. In this chapter we report on some of the
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emerging technical and information design practices that a developer
should consider in the implementation of business Web sites.
Introduction
There can be little doubt that an increasing amount of business is being done on
the Internet. The Web sites that are at the center of this new way of thinking and
working are a constantly growing and evolving entity. It is also clear that a Web
site must evolve with time to reflect the changing needs of the organisation it
represents and the organisation’s Web site community. Web sites that have
been designed appropriately will have a definite edge in attracting users and
increase the trend to electronic commerce (Fisher, 1999). Forresters Research
has found that simplicity in Web site design is of paramount importance in that
it contributes to successful Web site use (Cavanagh, 1999) and simple Web
design has been advocated as the differentiator between a successful and
unsuccessful Web site (Internet.au, 2002; Nielsen, 2000). Nielsen, one of the
champions of usablity and simplicity of Web site designs, indicates:
“Design is done for a reason, and if you do it well your business will prosper.
If you do it poorly, people will leave your website” (Nielsen, 2002, p. 26).
Furthermore, Web site design is also an evolving practice (Sellitto & Wenn,
2000), with early work by Brody (1996) suggesting that good design should
aim at making information visible and manageable — good design needs
constant re-design. Appropriate Web design should utilise information as its
currency with interface design being a vehicle for conveying that information.
The anarchic nature of the Internet, with its constantly changing form, presentation, visualisation and interactivity, does not allow guidelines and standards
to be easily applied and adapted to Web site design. When you consider that
much of the software used on the Web (browsers, plugins, applets, animation
players, etc.) is proprietary in nature, there is no incentive for these software
owners to adhere to a form of regulatory control that may result in reduced
market share and company profitability. The consequences for the Web user
community have been and in some areas still are reflected in episodes of poor
cross-platform compatibility, browser interoperability and non-scalable Web
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documents. However, within the general Internet community there are various
groups that have provided an open forum for discussion on development of
Web design guidelines. Groups such as the World Wide Web Consortium
(W3C), the Web Accessibility Initiative (WAI) and the Dublin Core Metadata
Consortium all have been instrumental in formulating a set of self-regulating
specifications. The use of these specifications is encouraged in the interests of
software interoperability and cross-platform hardware compatibility.
In this chapter, we draw on our previous work (Sellitto & Wenn, 2000, 2003;
Wenn & Sellitto, 2001) to recommend a Web site design framework that
encompasses some of the relatively technical based features associated with
accessibility, proper HTML encoding and metadata elements. Furthermore,
we also incorporate into the framework some of the more subjective features
of Web site development, focusing on issues associated with the visual and
information design aspects of Web sites, and include the areas of information
quality, effective information visualisation and presentation design.
Markup Language – Encoding
Standards
When using appropriate mark-up for Web page development, site builders may
tend to overlook the selection of recommended specifications. In an environment of proprietary Web development software, as well as browser monopoly
(Internet Explorer V6.x), any initiatives undertaken by international groups
such as the Web Accessibility Initiative (WAI) to “regulate” or set direction for
aspects of Web design can result in increased international community awareness and the eventual acceptance of guidelines. Today, the World Wide Web
Consortium (W3C) provides a united and directing body that addresses the
development of interoperable technologies through specifications, guidelines,
software, and tools. Invariably the consortium aims at allowing the Web to
achieve full potential as a global information and communication medium that
is used by business and community groups.
The W3C takes on the responsibility of determining the specifications for
Hypertext Markup Language (HTML), the publishing language of the World
Wide Web. In January 2000, XHTML became a recommended mark-up
language for Web site development. Extensible hypertext mark-up language
(XHTML) is a reformulation of HTML that imparts strictness on code
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presentation. The current specification for Web development is for XHTML
1.0, with a draft version XHTML 2.0 being formulated in May 2003 (W3C,
2003).
XHTML
XHTML extends and replaces HTML 4.01 as a specification bridge to the
more complex eXtensible Markup Language (XML). Some of main differences between HTML 4.01 and XHTML 1.0 are:
•
•
•
XHTML is “well formed,” where the specification encourages the specific
nesting and closing of element tags. Developers need to pay more
attention to syntax than HTML requirements.
Case sensitivity –XHTML is lower case specific.
Tag closure – Previous versions of HTML did not enforce the closing of
some tags. The XHTML protocol specification is to have all element tags
closed.
XHTML has gained industry-wide recognition since January 2000, when the
W3C recommended the format as the current preferred specification. The
beauty of XHTML is that it enforces stricter and neater mark-up coding. This
will allow developers to approach coding tasks better prepared for the shift to
XML. The W3C considers XML to be an open standard for the definition of
data— a metalanguage that allows you to describe other languages. XML, like
HTML is a subset of the more complete SGML— Standard Generalised
Markup Language (Holzschlag, 2000). Because of the developing standards
around the XML format the W3C has proposed that XHTML will be a
transition language until there is a widely accepted and supported industry
standard for XML.
Tools for Checking Proper HTML Encoding
When editing or creating HTML documents, various errors in coding can, and
undoubtedly do occur. The W3C in an attempt to promote the reliability and
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fidelity that is part of the Web communications initiative has introduced open
source tools that are freely available and allow proper checking of HTML
code. Some of the more reputable and widely supported tools are HTML Tidy
and HTML Validator.
HTML Tidy
HTML Tidy, when used appropriately, allows incorrectly coded Web pages to
be tidied up by flagging a wide range of errors evident on pages. Furthermore,
the application has the ability to convert existing HTML Web pages to a form
considered to be well-formed XML, which can be subsequently displaced as
XHTML. Tidy, as the tool is sometimes referred to, was developed by Dave
Raggert in 1997; however, it is now maintained by a cluster of developers that
provide a set of cross-platform compatible versions of the tool as well as a set
of libraries that will allow Tidy to be easily incorporated into other applications.
Tidy is available online at http://tidy.sourceforge.net/. Figure 1 gives an
example of a cleaned-up code fragment using the jEdit editor.
Figure 1. Editors such as jEdit (www.jedit.org) have a Plug-In Version of
Tidy. (When an HTML document has been tidied, the signature is inserted
as a metatag.)
HTML Validator
This is one of the free and open source validation tools recommended by the
W3C. Use of HTML Validator can give developers and designers an indication
of how a Web page conforms to the W3C recommended encoding practices
that aid cross-browser and computer platform display, thereby ensuring a
maximum audience for a Web site. In addition, it can be used to check for
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conformity against previous versions of HTML, including the W3C recommendation for HTML 4.01 and 3.2 and the Internet Engineering Task Force’s
(IETF) HTML 2.0 standard. HTML Validator is available online at http://
validator.w3.org/.
Recommendations for Encoding Good Practice
In the interests of multi-browser interoperability and adherence to conformity
with W3C specifications, Web page mark-up should:
•
•
•
Use XHTML 1.0 specifications as a minimum requirement.
Be aware of the fundamental differences between XHTML and the
versions of HTML. XHTML is highly recommended as the coding
language of choice.
Utilise an open source tool for validation of code on existing and new Web
pages.
Accessibility Standards
Web access for many is not problematic. However, access can be restrictive
for a great many individuals who have a disability or who are members of the
aging population (Holzschlag, 1999; Newman, 2000). The power of the Web
is its universality in which all have access, even those with disabilities. In the US,
there is a legislated requirement that all federal agencies make their electronic
information accessible to individuals with disabilities— this regulation, known
as Section 508 (http://www.section508.gov/), has itself become a Web page
accessibility standard. The provision of accessible Web pages on sites needs
to be considered in the context of the large number of individuals that have some
form of disability. The Watchfire™ corporation, the company that in 2002
commercially licensed the widely known accessibility assessment tool Bobby™
indicates that some 10% of individuals who use the Internet are deemed to be
disabled. Moreover, the collective discretionary income of these people is
some over $US 700 billion— which makes them a niche group that really
cannot be ignored (Watchfire, 2003). Other countries have similar disabled
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groups that need to be acknowledged and considered when developing Web
sites; for example Australia has some 3.6 million individuals who have a
disability of some sort (Ridge, 2000). Clearly, the firms with accessible Web
sites may benefit from positive publicity and have a greater opportunity to sell
to this disabled audience. This action by a business also enacts a form of
protective policy that may avoid potential litigation, costly settlements and
unfavourable publicity that may stem from a poorly accessibly Web site. This
ligation aspect is no more obvious than in the civil case of Maguire v. The
Sydney Organizing Committee for the Olympic Games (SOCOG). In August
2000, Maguire complained that the Sydney Olympic Games Web site was
inaccessible to him as a result of his disability— blindness. Maguire’s text
reader was not able to properly interpret the Web site’s content due to poor
formatting and non-conformance to accessibility guides such as Section 508.
Maguire was successful against SOCOG, with the courts fining the organisation
A $20,000 and Maguire receiving compensation (NUblog, 2001). During the
court case it was pertinently argued and highlighted that issues associated with
Web site accessibility could have easily been addressed if the SOCOG Web
site developers (IBM) had adhered to the W3C accessibility guidelines—
fundamental accessibility guidelines for Web site content creators to follow.
Web sites that are poorly designed from an accessibility perspective tend to be
particularly unfriendly for various disabled groups, causing numerous problems
for them. Some problems include:
•
•
•
Screen-readers being rendered useless for people with visual disabilities.
The feeling of being lost due to absent navigational elements for individuals
who have cognitive disabilities.
Loss of content in video clips or audio streaming when no captioning is
provided — important for individuals with a hearing impediment.
The various guidelines mentioned during the Maguire case are addressed by the
W3C, which provides 14 checkpoint accessibility guidelines. Implementation
of these guidelines will not only improve Internet access for the disabled but also
improve the design of a site for people who may be operating in a non-standard
computer environment (Powell, 2002). These guidelines should be viewed as
evolving standards, detailing a set of conventions that have been agreed upon
to promote easier accessibility for the disabled in a Web environment (W3C,
2000). They cover:
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•
•
•
•
•
Provision of text equivalents for all non-text elements (i.e., images,
animations, audio, video)
Information conveyed with colour being also available in an equivalent
form
Organising content clearly and in a logically manner
Provision of alternative content for potentially non-browser supported
features such as applets or plug-ins
Provision of summaries of graphs and charts
Furthermore, the W3C is aware of differentials in applying all guidelines to all
Web sites at one time. Hence, part of the consortium’s working party has
recommended various priority levels for implementing Web site features based
on their perceived impact on accessibility. These priority guidelines for Web
page design are:
•
•
•
Priority 1 – This is a mandatory requirement for Web site developers.
Failure to meet the accessibility guidelines at this level results in one or
more groups being unable to access information satisfactorily online.
Priority 2 – Web site developers should aim at addressing this accessibility level. Addressing this level will remove significant barriers to accessing
Web documents.
Priority 3 – Web site developers may wish to aim at meeting this level of
accessibility. An attempt at satisfying this level will enhance information
access on Web documents.
Online Accessibility Assessment Tools
Part of generating appropriately accessibly Web pages is having the appropriate tools to assess Web page accessibility. The Centre for Applied Special
Technology (CAST) is a non-profit organisation that uses computer technology
to expand opportunities for people with disabilities. CAST developed an online
accessibility tool, Bobby™ (http://www.cast.org/bobby/), which as previously indicated was licensed to Watchfire™ Bobby™ is one of the most
renowned online Web-based validation tools that analyse Web pages for
accessibility for people with disabilities, as well as their compatibility with
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various browsers. Bobby’s analysis of accessibility is based on the W3C’s
Web content accessibility priority guidelines.
Recommendations for Accessibility Good Practice
In the interests of equal access to the Web for the disabled, Web page
development should:
•
•
•
Adhere to W3C recommended specifications for accessibility.
Be certified with an open source validation tool that analyses Web pages
for their accessibility to people with disabilities. Achieving a rating of
W3C priority 1 is mandatory.
If possible, developers should aim at addressing all three priority levels.
Standards for Metadata Activity
Metadata is a resource descriptor that can be considered to be similar to
information found in a library catalogue — in essence metadata are data about
other data. Important and accurate metadata can be conveniently incorporated
into an electronic document when it is being created. Incorporation of metadata
retrospectively can prove to be expensive, time consuming and may incur
inaccuracy; it may prove to be impossible. Digital resources are dependent on
computers and appropriate document creation software; consequently it is at
the point of creation of an electronic record that important data/information
attributes and descriptions can be easily recorded. Appropriate use of metadata
at the point of creation allows for:
•
•
Long term access, which is important when considering information
preservation and information re-use.
Easy access and discovery allowing proprietary intra-organisational
search engines that may be part of a data-warehousing implementation to
return more relevant returns after user enquiries (Little & Gibson, 2003).
Furthermore, improved Web site searches with engines such as Google
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•
and Altvista can be achieved after incorporating metadata into Web page
documents.
Metadata can be used to uniquely identify document or sub-document
pages through a universal resource locater (URL).
The Web was originally organised around the way that individuals comprehended and understood information. Clearly, with exponential increase in
online information it is difficult to manage Web content manually and there is a
reliance on automated indexing and cataloguing. In an effort to refine the
automatic indexing of Web pages, the W3C advocates the use of a resource
description framework (RDF) with metadata used to describe Web page
content (W3C, 1999). The RDF provides a fundamental schema for representing document properties and relationships — one of the RDF frameworks that
has emerged as a standard since the early 1990s was initiated by the library
community, and revolves around a vocabulary called the Dublin Core (DC).
(The original workshop for establishing the DC metadata vocabulary was held
in Dublin, Ohio in 1995, hence the term “Dublin Core.”) The DC utilises a basic
list of descriptive elements that is aimed at providing long-term access to digital
resources. Since 1995, annual workshops have been held to discuss the latest
framework adoptions, proposals and recommendations — hence the DC
appears to be a well accepted and constantly evolving standard that is
formulated by the information community (see for example, Borgman, 2000).
The functional characteristics of the DC is that it is relatively simple in providing
the basic foundations for semantic interoperability and is defined in the form of
a set of elements for resource description. The DC metadata element set
(version 1.1) is composed of 15 elements within the W3C Resource Description Framework (RDF) and is considered to be one of the most comprehensive
schemas for resource description. It appears to be the format of choice for Web
site description attempting to define bibliographic categories for Web pages
(DCMI, 2003). Incorporation of metadata into Web pages is achieved via the
<meta> tag set with elements being embedded into pages at two different levels:
Simple Level
A simple metadata template will includes base elements such as title, creator,
subject, type, identifier, language and date. This is a minimum and manda-
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Figure 2. Simple Metadata Tags: title, keywords, description, author,
rights, and creation-date. (These examples were created by hand but tools
exist to enable the task to be more or less automated.)
tory requirement and proposed as a simple core based on the original Nordic
metadata project in 1996 (Sellitto & Wenn, 2000).
Complete Level
This is the full listing of the Dublin Core Elements and includes title, creator,
subject, description, publisher, contributor, date, type, format, identifier,
source, language, relation, coverage, and rights. The full use of the DC is
recommended and encouraged, with the DC 15- element set template available
online at http://dublincore.org/documents/dcmi-terms/#H2. An example of
metadata elements is depicted in Figure 2.
Online Tools for Creating Metadata
As stated previously, one of the aims of the W3C has been to encourage
developers to incorporate metadata into Web pages. Many proprietary Web
development software applications provide the means for doing this. However,
numerous DC and W3C endorsed metadata generating tools are available
online that will allow creation of metadata for Web pages. Two easy and simple
to use tools include:
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•
•
The metadata creator that is provided by the Nordic Metadata Project
utilises a template that allows the basic 15-metadata element set to be
synthesised. The metadata creator is online and available at http://
www.lub.lu.se/cgi-bin/nmdc.pl.
DC-dot is a metadata editor that extracts and validates metadata from
existing HTML Web pages and MS Office files. DC-dot is maintained by
the University of Bath in the UK, and provides a service that allows a Web
page to be retrieved and metadata to be automatically generated. DC-dot
is available online at http://www.ukoln.ac.uk/metadata/dcdot/.
Recommendations for Metadata Good Practice
•
•
•
•
Metadata should be incorporated into electronic documents when they
are created.
Defined Dublin Core Elements should be the only elements used (no new
elements should be defined).
The incorporation of the simple level of base elements of the Dublin Core
is a minimum expectation for all Web pages.
The complete level of 15 Dublin Core elements is strongly recommended.
Information Quality
The Web is a valuable resource for people seeking information; however,
because information on the Web is subject to change, up-grade and alteration
it is difficult to assess quality and accuracy (Sellitto, 2001a). Traditionally,
many information publications such as books, journals, and manuscripts have
been required to meet an editorial review process before being printed, which
has assisted in implementing a quality control mechanism. However, with the
proliferation of the World Wide Web, this review process can be circumvented, allowing individuals to easily publish online (Sellitto, 2002). Consequently, issues associated with information quality become important for all
Web developers.
Not all Web information is created equally and some Web information is more
valuable than others. Web information quality can be gauged by factors such
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as value, reliability, currency, content and source (Davenport, 1997; Sellitto,
2002). The quality of online information is thus integral to Web design. Poor
quality of information can be considered to be a reflection on Web design. The
library community has historically evaluated information quality in the traditional
print media using criteria such as content, purpose, scope, currency and cost
(Gordon-Murnane, 1999). When it comes to evaluating Web information, the
library community has provided numerous suggestions for establishing criteria
for determining online information quality. In addition to this list, Phillips (1998)
from UC Berkeley suggests that if there are links to external sites, then an
evaluation of these links should be provided. A critical thinking approach to
Web information evaluation has been suggested by Grassian (1998), where
sources of the information form the primary criteria for information validity.
The Grassian list of assessment criteria includes:
•
•
•
Content and Evaluation – Who does the site represent? Is the information
based on research or scholarly undertakings? Are references available?
Source and Date – Who is the author and what expertise does he or she
have? When was the Web page produced, updated, revised and authorised?
Structure – Is the structure and presentation style of the information
consistent with the discipline that it represents?
Another methodology for evaluating online information is based on applying a
series of questions to an informational Web page (Alexander & Tate, 1999).
Each affirmative response to a question posed about the information would
suggest the information is of a high quality (high scores equate high quality
information).
Alexander and Tate identify five criteria on which to evaluate and score
information quality:
•
•
•
Authority – Can the author of the information be identified? Is there a
telephone number or postal address stated? Is there a copyright or
disclaimer?
Accuracy – Can the information be corroborated from other sources? Are
there referees listed for further investigation?
Currency – Are there dates indicating when the Web page was first
created, updated and/or revised? Is the information current?
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•
•
Objectivity – Is the information provided as a public source (.gov or .org
URL inclusion)? Is the information free of advertising? If advertising exists
is it related to the information content?
Coverage – Is the information complete? Is the information part of a larger
piece of work?
Berkman (1998) provides a business perspective to online information evaluation. The assessment criteria he suggests addresses business requirements for
using information to gain market advantage and strategic position. Berkman’s
checklist for assessing the quality of business resources includes measures such
as how searchable the information is, timeliness, how frequently updated and
information storage. The assumption is that such assessment is applied to
sources after they have been found to be credible. Davenport (1997), on the
other hand, identifies information and knowledge as being integral to an
organisation and suggests six categories for assessing information— accuracy,
timeliness, accessibility, engagement, applicability and rarity.
Recommendations for Good Practice in Evaluating and
Promoting Information Quality
The following set of good practice guidelines for evaluating and promoting
information quality is proposed:
•
•
Achieving information authority and currency
•
Display the company or an author’s name on all Web pages.
•
A date of the last Web page modification or revision should always
be displayed.
•
A contact e-mail and either a telephone number and/or postal
address needs to be provided.
Meeting information accuracy
•
References and sources should be provided when factual or corporate information is listed.
•
If linking to other sites then provide a brief assessment of each link.
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Addressing information structure
•
The information should be presented in the style that the Web site’s
visitor community would be accustomed to.
Information Presentation Aspects of
Web Design
Standards that relate to the visual and presentation aspects of Web design are
not clearly defined. Numerous authors (Nielsen, 2000; Norman, 1998;
Schneidermann, 1999) advocate the practice of simplicity and elegance in Web
page design to convey the greatest amount of information to the user. The
success of a Web site is not solely reliant on the implementation of technical
standards, considering that a site with numerous encoding errors and/or poor
accessibility adaptation can be very successful (Sellitto & Wenn, 2000).
Good design for human interface interaction can be achieved by using an
uncluttered screen layout, which in turn encourages the fluid delivery of
information (Brody, 1996). Fuccella and Pizzolato (1999) suggest that a well
designed Web site needs to incorporate a successful fusion of important Web
entities and elements, including navigation, graphics, content and interface
layout. Lynch and Horton (1999) further indicate that Web site and Web page
design need to address aspects of navigation, interface design, graphics and
multimedia. Small and Amone (1999) argue that motivational aspects of a Web
site are important design features. These encourage the users to be “sticky” and
keep coming back. Thus it appears that some of the important issues that good
Web design practice should address and encompass are Web site navigation,
graphics and images and information presentation and display. These are
discussed in the following section.
Web Site Navigation
Online navigation is not easy. Users can arrive at a Web page from numerous
points ranging from links that are internal to a site, a source external to the site
or a search engine listing. Consequently, some key questions that users find
themselves asking (Powell, 2000) are:
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•
•
•
•
•
Where am I?
Where can I go to next?
Have I been there before?
Can I get home from here?
How did I get here?
Users do not see some Web page links because they are not evident; thus links
must be clearly designated to remove uncertainty on the part of users. To instil
a sense of control when moving about a site, navigation cues should be provided
on each page of a Web site (Nielsen, 2000). Research has shown that when
users were given visual cues to locate links, as opposed to using the pointer to
search for links, they were able to find the information seven times faster (Bailey
et al., 2000).
Appropriate navigation cues can be easily achieved by simple and elegant menu
bars located at the top or bottom of a page. It has been found that important
links and information needs to be positioned higher on a Web page (Bailey,
Koyani et al., 2000). This will allow users to move through a Web site with
some sense of control and not have the feeling of being lost. Web sites that have
deeply nested pages should provide a means of letting a user know where he
or she is located, which can easily be achieved by using a visual trail (for
example, a breadcrumb trail) or a hierarchical map (Nielsen, 2000).
Unvisited links need to be blue and underlined and users should not be required
to move the mouse to determine where links are on a page (Lynch & Horton,
1999; Nielsen, 2000). It has become standard to show visited links as purple,
allowing Web site visitors to see where they have been, and it is good practice
to distinguish between internally directed links and links that point to a different
Web site (Spool et al., 1997). Spool and colleagues further suggest that
because users can be slowed down when they are confronted with similar
looking links it is appropriate that links be descriptively labelled so that users
can discriminate between them. A text link is favourable to a graphic link,
considering that graphics take longer to download and do not change colour
after being selected (Bailey, Koyani et al., 2000).
A corporate logo is a form of identity (branding) and may also serve as a subconscience navigational aid for users (O’Brien, 2000) by providing them with
a sense of location that allows them to confirm where they are — have I left the
site? The logo also serves as a reinforcement of the quality of information that
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may be found on the page— this is a reputable organisation, and the information
is likely to be truthful. A logo can also be used as a navigational aid that allows
a user to return to the HOME page—I can go back to the corporate HOME
if I get lost. Links that lead to dead ends (the dreaded “error 404. The page
cannot be displayed”) are a consequence of poor Web page maintenance, a
concept that Nielsen (2000) refers to as linkrot.
Figure 3. Sequence of Pages from the Same Web Site Illustrating a
Hierarchical Menu Structure that Gives the User a Sense of Place. (Each
of the pages has a submenu and a link back to the superior page with the
logo/button linking the user to the home page (VENIAM). The length of
each line of text has also been curtailed to approximately 80 characters
to ensure readability. Although not shown here, for space reasons, each
page has a last updated date. Note also contact details are provided.)
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Figure 3. continued
Links should always be active or be removed to reduce user frustration and the
back button should not be relied upon as the primary source of assistance in
returning to previous pages. Figure 3 gives an example of fundamental features
that enhance user navigation of a Web page and site.
Information Architecture
Information architecture refers to the way that information is effectively and
successfully presented on a Web page ( Davenport, 1997; Powell, 2000;
Wurman, 1996). Aspects of displaying information online include the positioning and presentation of text on the screen, page scrolling, text size, font
variation, margins and white space ( Nielsen & Tahir, 2002; Schriver, 1997).
Positioning dark text on a white background appears to increase the legibility
of text when compared to other combinations of background colour and text
(Spencer, 1969). Schriver (1997) indicates that keeping within the same font
family enhances online legibility and that no more than two different font types
should be used for online presentation.
Reading practices in the Western world are orchestrated around a left to right
and up-down prospective. Web page design should attempt to mimic the
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vertical perspective that the human eye is accustomed to when reading text
(Lynch & Horton, 1999). Thus, horizontal scrolling of a page is counter to
normal visual reading behaviour and is not a good design practice. This also
highlights another important issue, the role of culture in information presentation
and the need to consider the prospective audience.
Sentence length is also important and can be a significant factor in influencing
reading rate; however, it appears that comprehension is unaffected by line
length (Dyson & Kipping, 1999). It has been shown that users find it difficult
to read edge to edge on a screen and that readers experience eye strain, and
have difficulty discerning the start of new lines — more often losing their point
of reference (Schriver, 1997). Thus, text on Web pages should occupy a
central location and should be sufficiently indented to prevent text running edge
to edge. Horton (1994) advocates that the optimum length of screen line length
should be no more than 40 characters, and line lengths of less than 20
characters have been found to affect the visual and spatial association between
words, leading to a reduction in legibility. Dyson and Kipping’s (1999)
research suggests that line lengths of about 100 characters are read faster than
shorter lines; however the longer line length is more difficult to read. These
authors advocate 55 characters per line as optimum Web page line length.
Because reading from an electronic screen is slower and more tiring than
reading text on paper, sentence length and reduced word counts on a Web page
have led to people scanning for key words in order to find relevant information
(Nielsen, 2000). Morkes and Nielsen (1997) observed that people scan text
on the screen moving to deeper levels of the information content as they require.
A consequence of this scanning and drill-down behaviour is that many users
do not like long pages. For instance, Black (1997, p. 53) states that 75% of
people only ever read the top of a Web page and never scroll. Web page
content should be such that it increases in volume as one navigates into the Web
site. Hierarchical navigation should be utilised with each tier encountered
containing more information as users seek out further resources about a
particular area of interest (Nielsen, 2000). Users should be able to move from
page to page by selecting links (paging) without always scrolling to important
information. This is particularly true for home pages and menu pages, where
users fail to scroll past the first page when they reach a site unless the
information is relevant and useful — thus, page scroll should be kept to a
minimum (Dyson & Kipping, 1999).
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Web Page Download
Excessive download time is a problem that has been encountered by Web users
for many years and shows little sign of diminishing (Nah, 2000). Several studies
indicate that fast Web page download is the definitive feature that determines
the success of a Web site and that users will not wait more than 10 seconds for
a page to download using a 28.8kbps modem ( Nielsen, 2000; Pockley, 1998;
Spool, Scanlon et al., 1997). Others suggest that it is not unreasonable to
expect a page to load in less than 8 seconds with a 56kbps modem (O’Brien,
2000). Graphics, artwork and images constitute the Web page components
that determine the relative speed of page delivery. A Web page that includes
a large number of graphic files will take a relatively long time to download to
reach a user. In a restrictive bandwidth environment, where many users operate
with modem speeds of no greater than 28kbps even though they have a 56kb
modem — file size becomes critical for fast download. Consequently good
Web design should aim at building Web pages that will download sufficiently
fast to meet the expectations of the majority of users of that Web site.
Recommendations for Good Practice in Presenting Web
Information
The following set of good practice guidelines for presenting Web site information is proposed:
•
Navigation
•
All links must be coloured blue and underlined; visited links should
be purple.
•
All links need to be active (avoid linkrot).
•
It is preferable to use text rather than image links.
•
All Web pages must have some form of navigation cue.
•
Position important links higher up on Web pages.
•
Deeply nested hierarchical sites should let users know their location
by using, for example, a breadcrumb trail.
•
Each page should allow the visitor to return to the Home page.
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•
•
105
Information Architecture
•
Use a dark text on a white or lighter background.
•
No more than two different font types should be used.
•
In pages predominately aimed at a Western culture use a left to right
and vertical perspective in page layout.
•
Text on Web pages should occupy a central location.
•
Line length should be between 40-60 characters.
•
Keep page scroll to a minimum (one to two pages).
•
Horizontal scrolling of pages should be avoided.
Web Page Download
•
Balance download time against the value of information content.
•
Aim at download times of no more than 10 seconds with a 28kbps
modem and eight seconds with a 56kbps connection.
Conclusion
There are many aspects to producing a well designed, informative, and useable
Web site that is cross-platform compatible and highly maintainable. We have
discussed various aspects that developers can undertake to assist in meeting
these goals. The more tangible and concrete technical based activities relate to
HTML encoding, accessibility standards, and metadata usage for which we
have identified what we regard as best practice procedures and made recommendations regarding easy-to-use tools that may assist in successfully implementing or evaluating these procedures. Moreover, we have endeavoured to
address aspects of Web site design that have a higher degree of subjectivity and
are more difficult to evaluate. The more subjective areas discussed encompass
visual and information design that deal with quality, presentation and navigation.
These latter Web design areas are more prone to being inadvertently misunderstood and thus ignored by developers; hence we have made a concerted
attempt to specifically identify a series of features and practices, and made
recommendations that address this subjective area of Web site implementation.
Furthermore, we regard good Web design practices to be constantly evolving
and are by no means complete. Future Web site interface design will need to
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address issues associated with the next generation of Internet technology
applications — for example the use of the PDA, mobile telephones, Web TV
and other Internet capable devices for delivering e-commerce services. These
will add to the evolving constructs associated with Web site design and
development. Clearly, future best practices and standards will be required to
address these new developments.
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Section III
IT and Issues
Regarding
Human Resources
Management
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111
Chapter VII
A Framework for
Defining E-Business
IT Skills Portfolio
Susy Chan
DePaul University, USA
Abdulrahman A. Mirza
King Saud University, Saudi Arabia
Abstract
When a firm moves from an e-commerce to an e-business enterprise, the
technology-driven transformation generates new demand on their IT
services and capability. Successful deployment of e-business solutions
requires business process change and Internet-based enterprise systems
to support inter-enterprise collaboration. These directions challenge
firms to re-evaluate their IT skills portfolio. This chapter examines
current demand on IT workforce, IT skills portfolio management, changing
skill requirements for e-business, and gaps between industry demand and
academic preparation. It also addresses trends shaping IT skills for an ebusiness in terms of architecture, implementation, organizational change,
application development, and tools and technology. Based on the review
of these issues and trends, a framework is proposed to guide the
development of a desired skills portfolio for e-business transformation.
The chapter concludes with a research agenda.
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Introduction
The Internet has a profound impact on companies. Widespread adoption of
Internet business solutions across industries, in the US as well as in the UK,
France, and Germany, attests to the contribution of e-business to the economic
growth of these countries (Varian, Litan, Elder & Shutter, 2002). Organizations of all sizes have deployed Internet-based business solutions for lowering
operating costs and increasing revenues. Typical e-business solutions include
enterprise systems for managing relationships with customers and partners,
coordinating supply chains, and supporting organizational business processes.
Therefore, e-business differs from e-commerce, which focuses on using the
Internet to support business-to-consumer and business-to-business transactions that involves marketing, sales, and post-sale services.
Successful deployment of e-business solutions is predicated on two requirements: business process change and Internet-based enterprise systems. Companies need to redesign and integrate their internal business processes with
those affecting customers and business partners in order to achieve productivity
gains. Industry leaders, such as Dell and Cisco, have pointed out that productivity gains accelerate only after companies have adjusted their business
processes to new technology (Mullaney, Green, Arndt, Hof & Himelstein,
2003). Inter- and intra- enterprise systems enable organizations to exchange
information and deliver end-to-end services. However, it is costly and difficult
to implement and integrate enterprise systems. Both process redesign and
implementation of complex enterprise systems present many challenges for IT
professionals.
Information technology plays a pivotal role in delivering integrated services and
relationships with customers, business partners, and employees. When companies move towards e-business, they need to acquire and develop new IT
technology capacity. During the past two decades, waves of technology
advancement have forced organizations to constantly address changing skill
demands (Nakayama & Sutcliffe, 2001b). What’s different for e-business
now?
Several prominent technology and business trends are redefining a firm’s IT
skills portfolio. For example, the increasing pressure for industry-wide collaboration requires organizations to establish an e-business architecture that
integrates strategies with application and technology architecture (Kalakota &
Robinson, 2001). An understanding of enterprise architecture is necessary for
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systems integration and application development. Furthermore, deployment of
complex enterprise systems that span across supply chain partners will demand
deep knowledge of inter-enterprise processes. Additionally, the emerging
technology of Web services (Lim & Wen, 2003) promises new technological
and business solutions where firms can search for and consume services
provided by other firms, eliminating the need to develop those services
internally. Hence, knowledge in how to apply new technologies is critical to
inter-organizational collaboration.
This chapter focuses on the identification of a firm’s IT skills portfolio for
supporting e-business. Industries are accelerating the pace of e-business
transformation. A solid understanding of changing requirements for IT services
in an e-business environment enables companies to gauge the gaps in their IT
capability and to devise appropriate strategies for managing their IT skills
portfolios.
This chapter is organized into four sections. The first section provides a review
of research on e-business. The second section identifies five issues pertinent to
the e-business IT workforce: (1) demand, (2) IT workforce, (3) skills portfolio,
(4) changing IT skills portfolio, and (5) gaps between industry demand and
academic programs. The third section addresses five trends shaping IT skills for
an e-business — (1) architecture, (2) implementation, (3) organizational
change, (4) application development, and (5) tools and technology. Based on
these trends, a framework is proposed to guide the identification and management of IT skills portfolio. The last section presents research questions and
conclusion.
E-Business Transformation
Defining E-Business
The concept of e-business has gained broad acceptance as organizations have
adopted Internet-based solutions for increasing productivity and service
(Varian et al., 2002). However, there exist many different definitions of ebusiness (Alter, Ein-Dor, Markus, Scott & Vessey, 2001). Among the first to
promote e-business, IBM defines e-business as Internet-based transactions of
business as well as the efforts that combine resources of traditional information
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3.ibm.com/ibm/terminology/goc/gatmst09.htm). Furthermore, an e-business emphasizes the connection of critical systems for customers, employees
and suppliers. Online processes enable the dynamic exchange of information
with constituencies to improve service, profitability, and relationships.
The term “e-business” also refers to the “complex fusion of business processes,
enterprise applications, and organizational structure necessary to create a highperformance business model” (Kalakota & Robinson, 2001, p. xx). When
transitioning towards e-business, companies have to undergo a structural
transformation on many fronts. Essential to this transformation is the disaggregation and re-aggregation of a firm’s value chain. Dis-aggregation of the
value chain requires a company to determine its core competency and to
identify external resources and partners for improving its competitiveness. Reaggregation leads a company to collaborate with industry partners along the
supply chain to optimize their collective competitiveness.
An e-business firm operates within an increasingly dynamic and collaborative
environment. Traditional vertically integrated supply chains are being replaced
by business webs that encompass complex partnerships and technology
architecture (Tapscott, 2001; Tapscott, Ticoll & Lowy, 2000). It is critical in
delivering a company’s end-to-end services through seamless integration of
sales and marketing, customer service, and its value chain with those of
business partners.
Weill and Vitale (2001) define e-business as the conduct of business and
business processes over open networks. Business processes include: “marketing, buying, selling, delivering, servicing, and paying for products, services, and
information across open networks linking an enterprise and its prospects,
customers, agents, suppliers, competitors, allies, and complementors” (p. 5).
Lee and Whang (2001, p. 2) view e-business in the context of supply chain
integration as “the planning and the execution of the front-end and back-end
operations in a supply chain using the Internet”.
Characteristics of E-Business
The four definitions of e-business discussed above share several important
characteristics. Primarily, an e-business is an integral part of a business web in
which organizational boundaries become more permeable. Multiple organizations and heterogeneous users outside of the organization need to access ebusiness systems (Alter et al., 2001). Thus, an e-business can be viewed as an
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integral part of the business web, inseparable from the organization itself and
the organization’s business partners. The organization’s hardware, software,
communications, and users extend beyond the enterprise and may not be easy
to identify (Tapscott et al., 2000). In many ways, information systems in an ebusiness can be viewed as a web of information systems (Alter et al., 2001).
Second, enterprise systems have been widely adopted as the backbone for ebusinesses (Norris, Hurley, Hartley, Dunleavy & Balls, 2000). These systems
include: traditional enterprise resource planning (ERP) packages and systems
to support customer relationship management (CRM), supply chain management (SCM), business intelligence (BI), data warehouse (DW), e-procurement (EP), sales force automation (SFA), and various portals. Integration of
these interconnected systems and data presents serious challenges. Existing
enterprise systems are not designed to support collaborative business processes. The emerging framework of ERP II promises to support a firm’s
transition towards e-business (Genovese, Bond, Zrimsek & Frey, 2001). ERP
II, as the next generation ERP system, will incorporate Web services and
componentized modules to support collaboration across the industry value
chain. These issues will be examined later in the chapter.
Third, information plays a critical role in e-business. E-business, electronic
marketplaces in particular, enable significant improvements in the quality and
timeliness of information, which are not possible without the support of Internet
technology (Kalakota & Robinson, 2001). Organizations can create new
values — new products and services — from information through personalization, real-time price and product comparisons, and different pricing mechanisms (Rayport & Svioka, 1995). As users of e-business solutions become
more heterogeneous and the use of information becomes more critical, it is
necessary to empower non-technical users as well as consumers who now use
information more extensively (Atler et al., 2001).
Fourth, in companies engaged in e-business transformation, in-house IS
specialists are less involved in building and maintaining internal systems
according to traditional methods. Instead, system integration becomes their
more important task. They are increasingly providing IT support for both
external customers and internal users of the organization. Systems that were
traditionally developed and managed as internal resources are now increasingly
being developed and managed as external resources. This change implies that
system developers need to understand inter-organizational behavior and the
value chain essential to an e-business web. Companies need to acquire new IT
knowledge and skills in distributed systems architectures, prototyping in Web-
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based systems development, business and systems, integrated enterprise
systems, and integration of Web-based systems with enterprise systems
Fifth, in addition to technologies, organizations must consider transformation
strategies that can go hand in hand with the deployment of new technology. An
e-business includes human resource strategies and organization change strategies. Proper project team development is considered one of the critical factors
towards the success of e-business ventures (Lientz & Rea, 2001; Turban,
2000).
Related Research
Is the Demand Still There?
Despite the fallout of dot-coms and the post-2000 economic downturn, the
digital economy continues to thrive. Industry forecasts proceed to project a
slower but consistent growth in e-commerce during 2002-2007. Forrester
Research projects online retailing will grow at a cumulative annual growth rate
of 25% to reach a sale volume of $217.8 billion by 2007 (Hirsh, 2002). In
1999, Forrester projected that U.S. B2B would reach $1.3 trillion by 2003.
The networked B2B transactions now stand at $2.4 trillion (Mullaney et al.,
2003). In Europe, B2B e-commerce transactions have grown at an annual rate
of 100%, reaching $200 billion in 2002, a four-fold increase from B2B
transactions in 2000 (Reinhardt & Majidi, 2003). In China, the number of
Internet users is expected to increase 1,184% by 2006 (Vinas, 2002). Ecommerce growth and productivity gains from e-commerce have exceeded
earlier projections. Internet-driven business is now deemed “a real business
transformation because it survived the economic downturn” (Mullaney et al.,
2003).
Long-term impacts of Internet technology on global e-business are evident in
all industries. American and European companies have adopted a wide range
of Internet-based business solutions at a steady pace (Varian et al., 2002).
Among the US companies, 70% of the enterprises in the wholesale/retail sector
and the financial service sector, as well as 88% in telecommunication sector,
have adopted e-business solutions such as SCM, CRM, and EP. Most
commonly adopted solutions are those supporting customers, and for financial
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and HR functions. The benefits are aimed at improvements in workforce
efficiency, inventory management, customer relationships, and operating costs.
Although IT spending has declined 6.2% since 2001, e-business budgets
increased by 11% in 2002 and are projected to outpace technology spending
for at least two more years (Mullaney et al., 2003). These trends affirm a
continued need for IT talents with a solid foundation in Internet-based technologies and business strategies.
IT Workforce Issues
During the past three years, the IT workforce has experienced drastic changes
as a result of economic slowdown. The total IT workforce peaked in size in
2000, then 500,000 IT jobs were lost in 2001 due to the dot-com failures. The
IT workforce appears to have bottomed out at the start of 2002 with small but
steady quarter-to-quarter gains since then (ITAA, 2003). ITAA’s 2003 survey
finds that future demand for IT workers continues to drop even as companies
lay off fewer workers and the overall size of the IT workforce stabilizes (ITAA,
2003).
IT employment dropped more than 5% during the period from 2000 to 2002.
Despite the loss of many IT jobs, the available positions, which went unfilled
due to a lack of qualified workers, have remained consistently around 50% of
total demand (ITAA, 2000, 2001, 2002). Such a “gap” implies that employers
have greater difficulty finding the right mix of IT talents than hiring IT workers.
In 2003 the demand in many job categories fell sharply, particularly in technical
support representatives and Web developers (ITAA, 2003). In the short run,
demand remains highly volatile as organizations shift to meet changing market
conditions.
Outsourcing is a common tactic for meeting e-business needs. A major problem
with many e-business development teams is that members of the team often
come from different organizations, including outsourced service provider
organizations and independent contractors. In typical IS organizations, sometimes about half of the e-business expertise will come from outside resources,
such as consultants and contracted labor (Gomolski et al., 2001). However,
with the current state of the economy, many organizations have been forced to
eliminate their outsourcing relationships and seek alternative means of developing e-business, mainly through the use of their own internal workforce
(Paulson, 2001).
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Offshore IT outsourcing has emerged as a mainstream practice that is already
affecting the U.S. IT workforce. Increasing cost pressure and a need for
business agility have motivated more U.S. companies to shift their IT work
offshore. Additionally, offshore outsourcing is attractive because companies
can use time zone differences to add a second or third shift as a means of
opening markets and reducing costs. This sourcing model has been in existence
for many years. Only in recent years, economic reasons and increased quality
of service have propelled offshore outsourcing to the mainstream. It is likely that
more than 80% of U.S. companies will explore this new option of IT services,
and 40% will engage in pilot initiatives (Thibodeau, 2003).
Industry projections suggest that offshore outsourcing will focus initially on
low-end “commodity” work, such as legacy application maintenance, enterprise resource planning enhancement, application support, and help desks.
Increasingly, companies may also use offshore services for project-based
work in Web services and in enterprise system integration and implementation
(Morello, 2003). ITAA 2003 Survey finds that programming and software
engineering jobs are most likely to go overseas (67%), followed by network
design (37%) and Web development (30%) (ITAA, 2003). These findings
suggest that the offshore development trend is both real and expanding to
include more sophisticated, value added jobs. Offshore outsourcing will have
a significant impact on how firms manage their IT skills portfolios. IT professionals need to redirect their personal skills portfolios towards higher-value
competencies and towards processes and applications specific to their industries (Morello, 2003).
IT Skills Portfolio Management
A rapid pace of innovation continues to characterize the IT field, where it often
triggers organizational changes. Shortage of IT skills remains a chronic challenge for companies. When firms transition to a more advanced technologysupported environment, IT services and personnel need to be redefined.
Andres and Niederman (1998) have introduced an IT personnel transition
evolution model to address the IT skills requirements needed during such
periods. They propose to view both current and future states as being
comprised of skills and personnel. Defining skills inventory in both states helps
firms to identify gaps. Firms have two sources of leverage when managing IT
skills during transition: the development of new skills with existing personnel
and skills gained through outsourcing.
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CIO magazine (2002) has conducted a series of four IT staffing surveys during
the period from November 2000 to July 2002, which was characterized by
economy slowdown, decreased IT budget, and job stability. IT managers
reported less difficulty in IT hiring and retention during this period. In mid-year
2002, 34% of IT executives participating in the survey agreed that they were
experiencing neither a staffing crisis (i.e., too few applicants) nor a skills crisis
(i.e., an adequate number of applicants but lacking specific skills for open
positions.) However, 56% of survey participants agreed that they were
experiencing a skills crisis of matching available skill sets with their companies’
IT needs. This result suggests that having the right mix of skills is more important
to firms than having enough applicants.
Based on a review of 102 papers published in the ACM SIGCPR conference
proceedings, Nakayama and Sutcliffe (2001a, 2001b) have proposed a skills
portfolio approach for firms to manage IT human resources. They emphasize
that employers have found that acquiring the right mix of skills is far more
difficult than simply finding IT workers, as confirmed by CIO Magazine’s
survey results. Furthermore, firms are experiencing increasing difficulty in
determining their optimal skills portfolio and in acquiring and managing that
portfolio in turbulent times. When undergoing e-business transformation, the
skills portfolio approach seems appropriate to firms for developing skills
acquisition strategies.
A skills portfolio management framework is comprised of skills acquisition,
development, and maintenance at the firm level, as defined in the following:
•
•
•
Skills acquisition refers to recruitment for skills, building skills inventory,
and outsourcing.
Skills development focuses on determining the desired firm-level skills
portfolio, skills requirements, and designing and implementing skills
enhancement plans.
Skills maintenance strategies focus on retaining IT talents and updating
skills.
Therefore, identifying the skill sets essential to acquisition, development, and
maintenance can help firms to better manage IT skills during e-business
transformation.
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Changing Skills Portfolio for E-Business
Gaps in a firm’s skills portfolio remain a challenge for IT managers even at the
current state of low demand for IT workers. What skills are in demand for ebusiness? One may draw the answers from several studies discussed below.
In early 2000, application development, networking, Internet development, ecommerce, and data mining ranked high among hiring needs reported by IT
managers (Goff, 2000a). CIO Magazine’s survey, conducted in July 2002,
shows that IT skills most in demand are: application development (53% of
respondents), project management (50%), networking (48%), and database
management (47%). These four areas have maintained the “most in-demand”
status over the two-year period between November 2000 and July 2002. In
contrast, the gap for Web developers has narrowed since the dot-com failure
(ITAA, 2003).
E-business strategies drive IT demand. Enterprise systems, such as CRM,
SCM, and ERP, capture a larger share of IT budget than in previous years. High
on a company’s agenda are skills that support its e-business initiatives such as
supplier-facing extranets, customer-facing Web-based applications, and collaboration on industry exchanges and marketplaces (Goff, 2000b). Most
companies will have to retrain staff for CRM systems, data warehousing and
data mining, e-commerce applications development, Internet applications
development, and ERP.
Are technical skills sufficient for e-business transformation? Based on a case
study of five companies, Bailey and Stefaniak (2000) identify eight job clusters
important to IT professionals in the new millennium. These job clusters include
computer programmers, systems/business analysts, computer engineers, database administrators, computer support specialists, network specialists, telecommunication analysts, and Internet specialists. However, as IT roles shift at
an accelerated pace, technical skills alone are no longer sufficient for success
in IT professions. Soft skills like communication, problem solving, adaptability
to new technology, and teamwork are increasingly important. Business skills
(understanding the customer mentality, investigative skills for asking probing
questions, idea initiation, project management) are also critical to IT professionals’ success.
The Electronic Commerce (EC) Institute (www.ecinstitute.org) has proposed a body of e-commerce knowledge as a basis for professional development and training. The proposal represents a joint effort of industry and
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university members in defining requisite skills for e-business. It encompasses
16 foundation topics, five skill sets for e-commerce principles, dynamics and
strategies, and seven skill sets about tools, technologies and techniques (EC
Institute, 2001). Key topics address e-business processes, process redesign,
change management, technology deployment, application integration, and
interoperability.
Gaps between Industry Needs and Academic
Preparation
Higher education institutions play a critical role in producing IT workers who
can meet the industry demand for e-business IT talents. Rapid changes in
business models and technologies necessitate universities and colleges to
undertake continuous curricular innovation (Chan, 2001). IS and EC curricula
must closely follow the application of technology in business and industry
(Augustine, Surynt & Jeancola, 2002). The challenge is to determine which
newly introduced technologies are trends and which are fads.
Two trends are forming in the marketplace. On one hand, companies are
seeking advanced IT skills in architecture, systems integration, collaborative
systems development, and complex business processes. On the other hand,
offshore outsourcing will reduce the demands on traditional IT jobs in programming, systems development, ERP maintenance, and technology support.
Together, these two trends demand IS and EC programs to re-evaluate their
roles in the IT workforce preparation.
Educators have begun to address the importance of systems integration (Chan,
2001) and next generation enterprise systems (Lederer-Antonucci et al., 2003)
in curricular offerings. Students need to develop both an understanding of
strategies and processes as well as technology know-how. Nevertheless, the
majority of IS and EC programs primarily address the business side of this
complex e-business development.
A recent review of academic e-commerce programs reveals that most EC
programs are housed in business schools where business topics receive greater
attention than technical ones, with a 2.5-to-1 ratio favoring business courses
(White, Steinbach & Knight, 2003). However, technically oriented graduate ecommerce programs tend to give business education equal importance to
technical education in the category of essential courses. The same study reveals
that networking, project course, and marketing are courses most commonly
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122 Chan & Mirza
offered in both graduate and undergraduate technical EC programs. Surprisingly, database and server-side Web application development were considered as non-essential courses.
In terms of technical skills, Lomerson and Schwager (2002) have examined
specific e-commerce technologies being taught in IS programs. Using a 6-point
scale to measure the degree of emphasis (6 as full course coverage and 1 as little
coverage), they report that the most commonly taught client side technologies
are: Web site design (average = 3.3), XML (3.3), Web design tools (3.0), and
JavaScript (3.0). HTML (2.7), DHTML (2.5), and CSS (2.5) received less
attention. On the server side, technologies most frequently covered are: SQL
(3.4), Active Server Pages (3.0), Java (3.0), ODBC (2.8), Apache (2.6),
Unix/Linix (2.6), PHP (2.6), and Java Server Pages (2.6). These findings
indicate that most academic programs only cover basic Web development
skills and technologies. Students may not receive adequate preparation to
address advanced technologies and systems development.
As companies need support for complex Internet-based e-business solutions,
skills in new technology, such as .NET, JSP, SOAP (Simple Object Access
protocol), UDDI (Universal Description, Discovery, and Integration), WSDL
(Web Services Description Language), Web mining, systems integration, and
Linux will be critical.
An employer survey1 conducted by the first author’s home institution in 2002
confirms that analytical tools, such as data mining, and technologies to support
collaboration, such as XML and e-business XML (ebXML), will become even
more important in the near future (see Figures 1-3 below). All three figures
show: (1) employers’ perception of how important an IT area was at the time
of the survey (i.e., summer 2002), measured on a 5-point scale; (2) employers’
perception of the importance of an IT topic three years later (i.e., 2005); and
(3) changes (or gaps) of perceived importance between the two time periods.
Figure 1 concerns business applications, including many e-business enterprise
systems. Figure 2 reveals a skill shortage for positions in security, project
management, e-business analysis, data mining, and user interface designs.
Figure 3 focuses on skill shortage in XML, UNIX, Java, and JSP.
While technical skills are important, researchers have found that IT professionals rated “soft” skills such as team work, working under pressure, and meeting
deadlines as more important than “hard” skills, such as database design, client/
server applications, and operating systems (Turner & Lowry, 2002). This
implies that IS and EC programs should address both technology and skills for
change management.
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Figure 1. Employer Survey: Changes in Perceived Importance by
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Figure 3. Employer Survey: Changes in Perceived Importance by
Programming Languages.1
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Requirements for E-Business IT Skills
Portfolio
E-business transformation presents enormous IT challenges because both the
processes and technical requirements are complex. There are at least five sets
of issues affecting IT skills acquisition and development. These issues pertain
to an e-business firm’s architecture, system implementation strategies, organizational change processes, application development approaches, and the
choice of tools and techniques.
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Architectural Issues
An efficient architectural design is critical for a firm to perform effectively in an
e-business Web environment. A firm’s technology architecture involves business systems, data exchange, and infrastructure design. E-business application
architecture will likely include CRM, SCM, business intelligence (BI), selling
chain management, data warehousing, data mining functions, and EAI (Kalakota
& Robinson, 2001). Beyond the enterprise boundaries, the e-business architecture supports interactions with partners and customers through public and
private e-marketplaces and transaction-based online retail Web sites (Genovese
et al., 2001). An architecture design also needs to consider interactions with
legacy systems and with application service providers (ASP), as some systems
may be supported by external service providers.
During the 1990s many organizations failed to implement ERP systems as a
backbone for data sharing (Krasner, 2000). It is more complex to manage ebusiness architecture because it encompasses systems of partners and suppliers not controlled by the firm. EAI packages try to integrate a firm’s internal
enterprise systems with customers’ and suppliers’ ERP systems. Nevertheless,
this is a very complex proposition considering the large number of systems and
applications that still need to be integrated (Lee, Siau & Hong, 2003).
For the next generation of enterprise systems, the ERP II framework envisions
an e-business architecture that emphasizes collaboration and external needs
(Genovese et al., 2001). Component-based application architecture will allow
deeper functionalities and unique features for vertical markets, which are
absent in many existing enterprise systems. These changes will satisfy a firm’s
desire for differentiation as well as its need to participate in industry-wide
collaboration.
For the e-business IT staff, dealing with complex application and technology
architecture requires different skills than those required in a traditional IT
environment. E-business technical architects play a critical role in e-business
development. These roles encompass both a high degree of domain knowledge
and strong technical background (Driver & Flatau-Reynoso, 2000). Architects focus on issues ranging from technology selection to system infrastructure
and design. These individuals need to possess deep knowledge of operating
systems, databases and middleware, as well as architectural development
process knowledge. Positions for technical architects are difficult to fill and best
supported by in-house IT resources.
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Furthermore, from the perspective of knowledge management, e-business
transformation enables an enterprise to evolve into a knowledge-based organization. In such environments, the skill mix will involve information management and knowledge management (Abell & Oxbrow, 2001).
Implementation Issues
It is a complex endeavor to integrate enterprise systems supported by multiple
vendors on different technology platforms. Such implementation affects an
organization’s interactions with customers, employees, stakeholders, business
partners, and suppliers. Existing enterprise systems typically offer generic
solutions that require fine-tuning, customization, and integration with other
applications and/or legacy systems. Since different vendor solutions use
different standards of development, each system implement requires a new skill
set. A shortage of these skills hampers e-business strategy implementation
(Hawking & Stein, 2002).
E-business project implementation differs from traditional IT project implementation (Lientz & Rea, 2001). These projects are characterized by rapidly
evolving business requirements, a short development schedule, and the involvement of different divisions. It is often difficult to coordinate and reach
agreement among different divisions on project results. Complexity increases
for implementation of inter-organization projects because participating organizations must reach common objectives, requirements, and benefits. In addition,
typical e-business IT staff also needs to concurrently support traditional
systems and e-business projects (Agarwal & Ferratt, 2002).
Furthermore, competing technology standards impede collaboration among
partner firms. For example, while RosettaNet and the ebXML both claim to
support collaborative commerce, firms have to fully evaluate these options to
determine which of these standards is the most mature and which will survive
the coming shakeout in the integration standards arena (Miklovic & Altman,
2001).
The demand for integrated enterprise applications and collaboration systems
implies that companies will need more IT talents with a solid foundation in
project management, systems integration, and change management. System
developers need to acquire a better understanding about inter-organizational
behavior and the value chain essential to an e-business web. EAI specialists and
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legacy extension programmers are critical to the success of long-term strategic
projects. Because these developers typically work very closely with existing IT
services, they are less likely to be outsourced than developers focused solely
on coding. Skills essential to e-business implementation are legacy technology
skills, workflow, and business process integration skills (Driver & FlatauReynoso, 2000).
Organization Change Issues
Enterprise-wide process change that accompanies e-business and collaborative commerce presents new challenges to IT staff. According to Krasner
(2000), a successful e-business implementation must carefully deal with issues
of e-business strategy, project management, and end-use resistance resulting
from complex systems implementation.
The IT management and workforce must play a major role in training and
facilitating process change in order for users to embrace the new system.
Collaboration across industry and global supply chain demands more profound
changes in business processes than what enterprises have experienced to date.
Tow and Miklovic (2001) point out that enterprises intending to take advantage
of collaboration should be prepared to address process disruptions that
accompany e-business transformations. While ERP projects in the past have
focused on internal operational efficiency, supply chain collaboration processes, which were once hidden, will be transparent to partner firms. It is
necessary to develop new processes to handle collaboration with suppliers,
customers and partners in order to engage in higher levels of information sharing
(Lee & Whang, 2001). Everything from data ownership to project management will be affected. Many process flows must be adapted to accommodate
the interaction that collaboration demands. ERP applications need to be reconfigured in preparation to support workflow coordination.
Process innovations for enhancing collaboration are driven and defined by
external factors. Such process changes rely more on information technology
and will have to be implemented at a faster pace than past change initiatives. IT
professionals will need to acquire a broad knowledge about the complex
structure of a company’s value chain, CRM, change management, and human
factors.
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Application Development Issues
Dynamic e-business strategies will be built on analytical information and
business intelligence. Therefore, e-business application development will go
beyond Web development. Enterprise portals, drawing data from integrated
applications, industry e-marketplaces, and decision support tools, will provide
employees and industry partners the gateway to analytical and transactional
information. Companies will need a strong competency in systems integration
and analysis using data mining and BI tools. Capability for object-oriented
(OO) database and knowledge management tools will be in demand.
Driver and Flatau-Reynoso (2000) have identified several important roles and
skills for e-business development teams:
•
•
•
E-business analysts need to develop intimate domain knowledge of
evolving business models. As a result, these resources are the most
difficult roles to outsource. Skills essential to this role are requirements
analysis, OO analysis, and strong communication skills.
HTML authors, Web site designers, and graphic artists can be outsourced
or developed in-house. Skills required for these roles include strong visual
design skills, information and content management, and user interface
usability analysis.
Component developers and systems administrators provide necessary
technical support to an e-business development team. Key skills for
programmers and system administrators include strong analytical skills,
expertise with specific tools, strong OO methodology skills and component-based development skills.
Tools and Technology Issues
There are many tools and technologies for developing e-business applications.
These tools and technologies span various platforms and application types.
Certain tools run on Windows-based machines, while others run on Unixbased machines. The lack of standards on many of the available development
tools increases the complexity of e-business applications development and the
required skill sets. Another noticeable issue with Web development tools is
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their incredible “rate of birth;” many new tools are developed before IT staff
even begins to master older ones. The continuous emergence of new Web tools
and technologies makes it difficult to develop a highly experienced IT workforce.
Different development tools have been adopted by different development
communities. A simple example with regard to server-side Web development
tools can be presented, where the Linux and open source community has
adopted tools such as Perl and PHP for programming and MySQL for
database. Others have adopted proprietary tools such as Microsoft’s ASP and
SQL Server. More recently, .Net technologies have gained popularity. Other
major vendors such as IBM and Oracle have also developed e-business suites
that help in the development process. Hundreds of other smaller companies are
also competing in the tools market.
Web services are the latest additions to the fast growing set of Web technologies. Web services are developed using standardized tools such as XML,
SOAP, WSDL, and UDDI. Using Web services, applications can be developed and shared through the Internet with other corporate divisions, customers, partners, and even competitors, regardless of the underlying application
platform. Such new developments will greatly simplify the sharing of existing
digital resources rather than having to develop new ones from scratch.
Such new developments and advancements in tools and technologies call for
continuous skills maintenance and update through education and training. The
type and length of training to pursue for a firm’s IT workforce are not easy
decisions to make. These decisions need to reflect the projected value of the
tools and technologies and the increased market value of the IT worker.
Training for technologies and tools with short life span will waste company’s
resources. A well-trained worker may seek employment opportunities elsewhere.
Framework for E-Business IT Skills Portfolio
Based on the above analysis, we propose the following framework to determine skills required for e-business transformation. As shown in Table 1, this
framework summarizes the issues pertaining to each of the five factors related
to IT support for e-business. The list of IT skills required can be used to build
a skills inventory and for determining the desired skills portfolio.
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130 Chan & Mirza
Table 1. A Proposed Framework for E-Business IT Skills Portfolio.
Factors
Architecture
Issues
Application architecture
Distributed systems
Infrastructure architecture
Collaboration
Information structuring &
architecture
Implementation ERP and Web systems integration
Effective project management
Process change management
Enterprise systems
Integration of Web systems and
enterprise systems
Organization
Process change driven by external
Change
demand
Permeable org boundaries
External users and consumers
Complex process
Collaboration
Application
A shift of development efforts from
simple Web development to analytic
Development
capability and system/application
integration
Web based interface design
Tools and
Technology
Wide-range of tools and technology
New tools and technology
Lack of standardization
Proper education and training
IT Skills Requirements
Internet/Web architecture
Application architecture
Network administration
Database management
Middleware
Security, document management
Legacy systems
Information management
Knowledge management
Technology planning
E-business strategy
Systems integration
SCM, CRM, IM
Data warehousing, Data mining
Project management
Interpersonal skills
Process re-engineering
ERP, CRM, SCM, Value chain
Change management
Human factors
Project management
E-business analysis
Structured programming methods
Web development and design
Object-Oriented development
Data mining
Human computer interaction
Workflow analysis
Domain knowledge
Unix, Linux, Windows
.Net technologies
CGI, Perl, C++, C#, ASP
PHP, SQL, MySQL, XML, Java,
SOAP, UDDI, WSDL, ebXML
Conclusion and Future Research
In this chapter, we have discussed a firm-level IT skills portfolio essential for
e-business transformation. E-business emphasizes collaboration supported by
network technology. Information sharing, process and product synchronization, and workflow coordination all depend on well-designed e-business
architecture and systems integration. These trends present enormous challenges to a firm’s capability in managing its IT skills portfolio. We also identified
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new e-business IT skill sets, including enterprise architecture design, integrated
enterprise systems, change management, as well as emerging tools and technologies.
The proposed framework can serve as a starting point for determining skill sets
required for e-business IT skills portfolio management. The framework can
also guide the development of a research agenda on e-business IT skills
portfolios. Case studies and surveys could potentially be conducted to: (1)
compare skill sets during e-business transformation, (2) confirm the validity of
the proposed framework and skill sets, (3) identify specific strategies employed
by enterprises in meeting skill demand, and (4) map specific sourcing strategies
for different skill sets. Several roles of emerging importance, such as e-business
architects and systems integrators, deserve a close look.
E-business demands advanced knowledge of business, process, and technology. Skills for architecture design, systems integration, workflow analysis,
process design and management of intra-organizational systems have not
received sufficient attention in existing academic programs. In addition, universities and colleges need to address next-generation ERP systems that are more
complex in process and technology. Collaboration between technical and
business programs within the same university to support such complexity may
be an approach worth consideration.
Researchers in the past have documented the “expectation gap” between
industry needs and academic preparation (Trauth, Farwell & Lee, 1993). A call
for closer collaboration between academic and industry is worth repeating.
Universities need to place a greater emphasis on the integration of technologies,
applications, data, and business functions, and less on outmoded and formal
system development. For e-business, universities also need to address advanced technical skills in architecture, systems integration, process design, and
knowledge management.
Endnotes
1
Findings were drawn from a 2002 survey of employers of graduates from
the first author’s home institution. The results are based on more than 70
employers in the metropolitan area.
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136 Jennex
Chapter VIII
Issues in End-User
Behavior
Murray E. Jennex
San Diego State University, USA
Abstract
What happens when end users do not respect the IS organization and have
high computer self-efficacy? Will the end users develop usable systems
and will they ignore IS? This chapter reports on a study of end-user
computing within the engineering organizations of an electric utility
undergoing deregulation. The study was initiated when management
perceived that too much engineering time was spent doing IS functions.
The study found that there was significant effort being expended on
system development, support, and ad hoc use. Several issues were identified
affecting system development, use of programming standards,
documentation, infrastructure integration, and system support.
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Introduction
Due to market deregulation causing uncertainty with respect to budget, the
subject utility assessed its staffing. One organization assessed was engineering,
where it was determined that staffing needed to be reduced by approximately
25%. A change management team was formed for identifying where and how
work effort could be reduced. During this process it was noticed that the
engineering organizations were spending significant amounts of time and effort
on information technology (IT) related tasks. To assess this IT usage a team
was formed consisting of engineering and information systems (IS) representatives and led by the author, a former member of the engineering organization
and at the time of the study, a member of IS. The team collected an inventory
of IT products and resources used by engineering organizations but not
supplied, supported, or controlled by IS. The team also assessed how IT usage
could be better managed by engineering.
The team found a significant amount of effort expended by engineering on IT,
including system development and significant system support and ad hoc
reporting efforts. Analysis of these efforts found several problems that caused
additional wasted efforts and significant expenditure of additional funds. This
analysis provides insight into how an organization can better manage end-user
computing (EUC). This chapter focuses on the end-user system development
issues identified during the study. To accomplish this the chapter will provide
a background on the organization, end-user computing, and end-user system
development. This is followed by a discussion on the methodology used for the
study, a summary of the study’s findings with respect to amount of investment
and effort in IS by the end users, an analysis of the findings, and conclusions.
Background
The End-User Organization
The subject engineering organization consisted of approximately 460 engineers
disbursed among several different engineering groups spread across four
management structures that were being reorganized into a single management
structure with 330 engineers. Many of the engineering groups consisted of
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subgroups. Computer use in all groups/subgroups included use of the site work
process systems and the basic software such as e-mail, WordPerfect, and
QuatroPro, plus whatever other software/hardware was deemed necessary to
accomplish their mission.
The subject organization’s Year 2000 (Y2K) effort documented 151 applications not supported by IS that were used and supported by engineering, where
the support consists of personnel and/or annual renewal/licensing costs. IS
does support another 11 applications used by engineering. Additionally,
discussions with various managers and supervisors indicated that there were a
number of “local” databases and programs developed and/or supported within
engineering not included on either inventory. Finally, there was a perception
that significant engineering resources were being used to support IT needs due
to a lack of support by IS for engineering IT needs.
End-User Computing/System Development
End-user computing is the adoption and use of IT by personnel outside of the
IS organization to develop applications to support organizational tasks (Powell
& Moore, 2002). EUC, and in particular end-user system development,
usually involves end users using personal computers (PCs) and Fourth Generation Languages (4GLs) and general or special purpose report writers to
develop business solutions (Miric, 1999). Grindley (1995) predicted that by
1998, 80% of all system development would be done by end users or their
consultants using the previously listed tools. This chapter does not confirm this
prediction but does show how widespread end- user development can be in an
organization. However, there are several issues associated with end-user
system development that will be discussed in the following paragraphs.
Dodson (1995) believes that the trend towards end-user system development
is an “Achilles heel” for the enterprise, as attempts to integrate end-user
databases and systems into the enterprise infrastructure encounter problems
that raise the cost for or prevent full integration. Dodson (1995) lists issues such
as lack of documentation, no planning for maintenance, improper application
of design methodologies, and poor communication and understanding of
requirements as the main problems associated with end-user developed
systems. To prevent or mitigate these issues, Dodson (1995) suggests organizations focus on five areas of standardization: business analysis and system
design methodologies, communications structures, software architecture/li-
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braries, documentation, and training. Dodson (1995) does not suggest that IS
force end users to follow IS system analysis and design methodologies, but
rather create hybrid methodologies that end users understand, can implement,
and can use to identify, capture, and model user requirements. Communication
structures reflect that end users should use the same project communications
used in non-IS projects for IS projects, and Dodson (1995) suggests the
widespread adoption of Joint Application Design (JAD) and Joint Implementation Process (JIP), as formal communication structures would improve
stakeholder understanding and participation. Dodson (1995) recommends that
organizations standardize products available for use to end users. This includes
IS making their object, component, and module libraries available for use by
end users in system development and IS creating standard design environments. Dodson (1995) suggests that IS specify standard documents that must
be produced for all system development projects. The generation and promulgation of standard document templates that can be tailored to the size and
complexity of the project facilitate this. Finally, end users need to be trained to
use these tools and processes to produce systems.
Miric (1999) warned that the lack of programming standards and planning
leads to large numbers of errors in end-user created spreadsheets. KPMG
Management Consulting studied end-user created spreadsheets in their client
organizations and found that 95% of the spreadsheets utilized models with
significant errors and 59% of the spreadsheets had poor model design (Miric,
1999). To prevent these errors, Miric (1999) suggests that spreadsheet
development should be treated no differently than system development and that
users need to be trained to use organizational programming standards, determine and document system requirements, perform testing, and use automated
tools when available.
Munkvold (2002) found that high computer skill self-efficacy within end users
coupled with a low regard for IS leads to end-user system/application
development. Wagner (2000) investigated the use of end users as expert
system developers and found that end users have significant domain knowledge. However, it was also found that end users had difficulty knowing and
expressing what they know, making their contribution limited in content,
quality, size, and scalability. Taylor et al. (1998) agree that end users do not
produce good systems and identified duplication of effort, low quality, and lack
of training in system development methodology as issues. Note that low quality
is reflected as a lack of documentation, standard development practices, and/
or programming standards. Additionally, McBride (2002) found that imposing
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140 Jennex
system development methodology on end users might be regarded as an
attempt to impose IT culture and thus be rejected by the end users. Finally,
Adelakun and Jennex (2002) found that end-user development issues with
respect to failing to meet requirements or failure to gather the appropriate
requirements could be caused by end users not identifying appropriate stakeholders for project involvement and assessing success of the developed
systems.
Methodology
This chapter utilizes action research as described by Baskerville and WoodHarper (1994). The research was performed with the intention of influencing
organizational decisions with respect to the allocation and management of IS
and engineering resources and was conducted by a team of researchers. The
team consisted of engineers serving as computer representatives/liaisons,
considered to be subject matter experts (SMEs) and IS personnel serving in the
engineering support systems group. The author served as project manager. The
author was selected as project manager because he had 15 years’ experience
working in the engineering organization and three years’ experience as a IS
project manager. It was believed that by having experience in both organizations the author would be better able to gain the trust of both organizations and
collect more accurate data.
The team collected data using various informal surveys and interviews while the
project manager conducted 40 structured interviews. The process was to first
generate an inventory of IT applications used by the engineering organizations
but not maintained by the IS group. The scope of the inventory was any
specialized software/hardware for data collection, testing, and analysis, specialized databases, any software used for system development, any generic
software that was being customized through the generation of macros, scripts,
or programs, and any other software/hardware assessed to be important to
engineering and worthy of inclusion. A first cut inventory was generated using
the Y2K inventory. This was validated using surveys/interviews to validate the
Y2K inventory and to expand the inventory as necessary.
The second step was to generate a list of IT resources existing within each
engineering organization. IT resources were considered to be engineers with IT
skills in demand by their coworkers such that they spent significant amounts of
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141
time assisting management or their group with IT support. The initial list of
resources was developed by the SMEs. After conducting 40 interviews of
selected individuals, the list was finalized by the project manager. A set script
was used for determining what amount of IT support was being provided by
engineers to engineers, any additional inventory items, general levels of
automation and needed IT, and what issues were involved in using IT in
engineering. Interview subjects were selected based on input from the SMEs
and known expertise and/or participation in IT development.
The final step was to take the gathered data, analyze them with respect to
dollars and time invested as well as issues identified, and generate a set of
recommendations for improving management of the IT effort in the engineering
organizations. This was documented in a final report by Jennex et al. (2000) that
was presented to IS and engineering management and is used as the data source
for this chapter.
Findings
The assessment found a significant but poorly managed investment in IT in terms
of money, time, and expertise. With respect to the management of IT, it was
observed that IS is tasked with managing the infrastructure, networks, and
enterprise-level applications. This provides an overall organizational perspective and strategy for managing these assets. Engineering IT is managed at the
division level and was found to lack an overall engineering strategy for the use,
adaptation, and implementation of IT. Additionally, IT was unevenly applied
throughout the engineering organizations. Some groups were fully automated,
others had process steps automated but not the overall process, and still others
were not automated at all. The net effect was that IT assets were not performing
as effectively as they could and many engineers were expending more time and
resources than they should to obtain the information and data they needed.
Specifics on these findings are provided in the following paragraphs.
Investment
The inventory recorded 267 applications with supporting hardware. This
number excludes enterprise work process systems, basic personal productivity
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142 Jennex
applications (MSOffice, WordPerfect, Access, etc.), and plant control applications. Included are the analysis tools, graphics packages, scheduling tools,
equipment databases, image and Web editing and authoring tools, and data
collection tools used by engineers. The team was confident this number
reflected at least 90% of what was in use. The investment in terms of dollars and
effort was not totally determined; not all numbers were known and not all
groups were willing or able to report all costs. However, with about 30% of the
inventoried applications reporting these data it was found that approximately
$1,650,000.00 had been spent to purchase these applications with an additional five person years (during the last two years) expended on development.
Additionally, $290,000.00 was spent annually on license or maintenance fees
and 10 full-time equivalent engineers (FTEs) were expended maintaining these
applications. Finally, an additional approximate 10 FTEs were expended
assisting other engineers in the use of these tools. For political reasons there
were significant exclusions from these figures, including 45 FTEs and
$335,000.00 in annual licensing cost supporting plant control IT. The team was
confident that purchase and support costs and efforts would at least double if
all the information was available. For perspective, these numbers were not
expected and were considered by management to be extremely excessive,
although Panko (1988) found in the 1980s that 25-40% of IT expenditures
were in EUC and not under IS control.
Engineer Involvement in IT
It was observed that engineers supported IT three ways: supporting other
engineers’ use/acquisition of IT and learning to use the IT; maintaining applications, building queries, macros, and reports for special/ad hoc information
requests; and developing IT solutions for supporting engineering processes. It
was reported previously that at least 20 FTEs were expended supporting other
engineers, learning to use IT, and maintaining IT, and approximately five
person/years were expended (over the last two years) supporting system
development. Doubling these values (per the team’s estimate) gives 45 FTEs/
year for items one and three. The second item was found to take approximately
5% of each engineer’s time. Taken as a whole this is a fairly extensive activity,
approximately 21 FTEs yearly. Combining these efforts and excluding assets
dedicated to plant IT support (50 FTEs), approximately 66 FTEs/year (16%)
are spent on end-user IT functions. This was considered excessive, and if
eliminated, could almost provide the necessary workforce reduction.
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The ability to do ad hoc reporting was considered a tremendous strength. The
team did not see the need for ad hoc reporting decreasing. However, there
were several issues that caused the time needed for this activity to be greater
than it needed to be. Chief among these are a lack of standard query/reporting
tools, advanced training in the use of the available tools, a central repository for
queries with the result that many queries were written over and over, and
integration of the site databases resulting in more complex and time consuming
query/report generation.
The ability to develop new systems for addressing specific engineering problems was considered a strength and a need by the engineering organizations.
The team agreed that this function would continue to require engineering
involvement. However, this is the function least understood by engineering with
respect to cost and process. Engineers followed minimal IS development
processes and considered the Capability Maturity Model (CMM) processes
followed by IS to be a waste of time and money (IS is a CMM Level 2 shop).
This was a very interesting finding, as the nuclear design process is a formal,
documentation intensive process designed to ensure repeatability and it was
expected that the engineers would understand and appreciate the need for a
formal IS development process. The IS CMM development process is a
formal, documentation intensive process designed to make IS development
repeatable, and yet the engineers considered the documentation and activities
generated by CMM to be excessive, of little value, and wasteful of time, effort,
and money. While the scope of systems developed by engineers may require
less process than the larger, more complex systems developed by IS, engineers
still need to follow some formal process, and the processes followed by
engineering need to be formalized so that resources applied to project
development are accounted for, the highest priority projects are performed
first, projects are performed cost effectively, and the resulting systems are
documented and designed to IS standards (this reduces maintenance and
conversion to enterprise application costs).
The engineers justified the need for engineering to provide its own IT support
through several reasons that could be combined into primarily three issues. The
first is that engineering applications are generally not supported by IS, so
expertise to assist engineers with these applications only exists in engineering.
The second is that due to lack of standardization there are multiple products
supporting the same function; this makes having central support prohibitively
expensive, as experts would be needed for over 200 applications and devices
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that in many cases are only used by a few people. The third was an overall poor
relationship between engineers and IS.
Analysis
What these findings show is that left unmanaged, EUC can cause organizations
to shift significant resources away from their central focus or function. This is
most likely with a group that has computer expertise and a low regard for IS,
as in this case and as predicted by Munkvold (2002). As McBride (2002) has
shown, this will also be a hard problem to get under control, as any attempt by
IS to enforce standardization will be perceived by the end users as an attempt
to impose IS culture and process on engineering. The findings also show that
an IS group that focuses on providing enterprise level systems can fail to
support specific user needs, leading users to do for themselves.
While these are predominantly IS/end user management issues, there are issues
in this case very specific to IS development. These are lack of IS standards/
maintainability in development, lack of documentation, excessive ad hoc
reporting, obsolescence of systems, and security. Lack of standards, maintainability, and documentation were identified in the literature. Excessive ad hoc
reporting, obsolescence of systems, and security are new issues. The following
paragraphs discuss these issues.
Lack of IS Standards/Maintainability in Development
This study found that end-user applications that did not follow IS development
standards or use IS programming standards tended to not meet requirements,
were hard to modify, and/or were designed such that they could not interface
with the organizational infrastructure. These systems result in much higher
maintenance costs than expected. To illustrate these problems, two applications were found that the team was told “unofficially” cost a total of approximately $1,000,000.00 (approximately $500,000.00 each,) with neither able to
perform the function it was purchased for due in total or in part to incompatibility with the infrastructure and failure to fully identify requirements. The
engineering group paid IS approximately $40,000.00 in labor costs to make
one application work. This entailed identifying all the requirements, correcting
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defects, and modifying the system to work with the IS infrastructure. The other
application was abandoned after IS spent approximately one-person week
working with the vendor to see if it could be made to work with the IS
infrastructure and determining that it could not. Additionally, meetings with
other stakeholders involved in the process found that the application added
data entry burdens that those groups did not have the resources to support.
Both applications were built without consideration of IS standards for the
operating environment and consulting the appropriate stakeholders for identifying requirements, with the result that neither worked. Additionally, neither
utilized IS standard interfaces or programming guidelines, causing poor quality
and making both difficult to understand and work with from the IS developer
viewpoint. While these two examples are the extreme, they were not isolated
cases. Numerous examples were found in which engineering groups bought or
developed hardware and/or software without regard for IS development
standards, with the result that additional effort was required to get the hardware
and/or software to initially work or to maintain it over its useful life. An
interesting post mortem on these applications is that after reviewing them, IS
estimated they could have built both of them for approximately $250,000.00,
or a fourth of the amount paid to the vendors by engineering.
Another example of a lack of standards is the rapidly growing use of digital
cameras and digital images. Their use has had a very positive impact on
productivity. However, due to a lack of standards on types of equipment,
software, and formats, there existed competing hardware and software packages and file formats, and the potential for the benefits of the productivity
improvement to be lost due to clogged networks (caused by widespread emailing of images), dealing with different formats, and incorporating images into
processes not designed to handle them. Maintainability is also an issue due to
the increased knowledge requirements needed to support the large variety of
hardware and software.
A final example is the use of Web design and management tools. No standard
tools exist and organizations have purchased their own, making it difficult for
IS to support the use of the tools or to maintain sites created by non-IS
endorsed tools. Additionally, use of intranet-based systems has failed to
radically improve productivity, as a lack of standard design practices and
interfaces have resulted in many sites and applications being created with
marginal usability and/or purpose.
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Lack of Documentation
There is a potentially large problem with those applications and systems
developed without documentation. There is a great deal of memory stored in
systems or products created and/or supported by engineering. Also, there is a
great deal of knowledge as to why things are done a certain way built into
macros, programs, reports, databases, and models that is not captured in a
retrievable manner. As engineering undergoes change there is a potential for a
great deal of this knowledge to be lost. Additionally, engineering’s current
knowledge management practices assume a static work force and will not work
well with a changing work force.
An example was an application developed to model the fire protection system.
The application is used to evaluate potential work activities to determine impact
on the fire protection system and to determine what compensatory measures
need to be taken to ensure the fire protection system will still function when
portions of it are taken out of service for maintenance. The application was
designed, built, maintained, and supported by the fire protection engineer. No
documentation was found. The concern is what happens if this engineer leaves
as a replacement has nothing to learn from. The organization has grown to rely
on this application and its loss would severely impact the organization. Again,
this was not an isolated case. Numerous examples were found of special
reports, databases, spreadsheets, and applications that were built to satisfy
specific needs but which are not documented. All rely on the engineer using
them to maintain and enhance them and would be lost should the engineer leave
or the report, database, spreadsheet, or application have a failure or need to
be modified.
What makes these issues significant to this and all organizations is that it has the
potential to lead to inaccurate data and incorrect decision-making. As processes change, the systems supporting the processes must be modified.
Without documentation or system models to guide developers as to why the
system is the way it is, it is easy for the developer to make wrong assumptions
that can result in the incorrect modification of key calculations or algorithms.
This can result in the system providing inaccurate data and results. This is of
particular concern for this case, as the subject organization operated a nuclear
site and was subject to a great deal of regulatory required reports and data
whose inaccurate generation could result in the site being shut down.
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Excessive Ad Hoc Reporting
Another issue is the large amount of ad hoc reporting. This can be reflective of
several problems. It can be due to simply having lots of unstructured questions
requiring ad hoc searches and queries. It can also be due to enterprise database
systems not addressing requirements of sub-organizations and being poorly
organized and documented. Interviews recorded numerous complaints of end
users not knowing where data were located. Engineers that spent significant
time assisting in ad hoc reports and queries stated that their time was taken in
assisting with SQL and finding out where data was kept. To address this the
organization is considering publishing a data road map. Another problem is
standard reports. There is no process for tracking end-user reports to
determine if they are used in sufficient quantity to warrant inclusion in the
enterprise system. The team did not consider this very important but from the
interviews it appeared that there were several organizations doing the same or
similar reports. Discussions with IS and end-user managers found no awareness of what reports and queries were being run, although both groups
expressed interest in making repeatedly run reports and queries part of the
formal system. This leads to the key issue of IS focusing on the enterprise level
and allowing end users to go their own way. This case is an example of more
effort than necessary being expended on ad hoc reporting because the
enterprise database structure was not available to the end users and no effort
was being made to monitor end-user usage for common reports and queries.
Dodson (1995) found that these are common problems when IS focuses solely
on the organizational systems. What makes this issue more significant is the
ability to generalize the average of 5% time spent on ad hoc reports to other
organizations. This was considered excessive by the engineering organizations’
management and would probably be considered excessive in most organizations. One of the more interesting questions for further research is what level of
ad hoc reports and queries is acceptable. Perhaps the most interesting
observation during the study was the generally held opinion that the ability to
do ad hoc reports was a great strength. While this is an indication of system
flexibility and end-user ability, it did not occur to anyone that large amounts of
ad hoc reports and queries could also be a negative indicator.
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Obsolescence of Systems
There were many plant and engineering digital systems that were approaching
the end of lives and needed to be replaced or updated. The team found systems
running on Windows 3.1 and DOS as well as using 8" and 5 1/4" floppy drive
technology. Expertise and hardware for maintaining these systems is disappearing. Problems arise as replacements are investigated for these systems and
as new equipment/software is purchased for resolving new problems. The
subject organization’s infrastructure was standardized on proven technology
and was not leading edge. Products bought on the open market tend to be
leading or even bleeding edge. This results in some new products not being able
to function within the IS environment and requiring engineers to purchase
equipment of an older standard. However, it is not good practice to develop
replacement systems for the older infrastructure in place; instead, developers
need to anticipate where the infrastructure is going and design for that. The issue
is that IS needs to create a process for assessing the incorporation of leading
edge solutions needed by engineering into the IS infrastructure while maintaining the reliability and coherence of the infrastructure. Additionally, procurement standards and processes need to be created for engineering to use and
follow in the procurement of replacement systems and components. Another
side of this issue is that lack of documentation for these systems makes selecting
and purchasing, or developing, replacement systems difficult, as requirements
are not documented and available for use in specifying the needs for the
replacement systems.
Security
The team observed that the demarcation between the business systems
maintained by IS and plant systems maintained by engineering was blurring.
Plant information flows across the business network on a routine basis. Plant
processes have been developed that rely on e-mail and the business network
to transmit data. Plant support productivity has improved by using the business
networks to access and maintain plant systems. The key issue is to recognize
that the boundary for protecting plant information now extends to the intranet
firewalls. IS and site management need to work together to create a security
plan that recognizes this reality and allows for the creation of standards and
processes for ensuring that systems developed by end users support the
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security plan. An example of this issue was the use by an engineering group of
the business network to access plant equipment from remote locations such as
their homes. This greatly increased productivity and reduced overtime costs but
failed to take into account security needs. When interviewed and asked about
security processes for ensuring proper access and user authorization, the
group’s manager stated that business network login procedures were all that
was necessary, as he trusted his people to properly access and use the remote
access process to modify plant equipment when needed.
Conclusion
The major conclusion is that end users with computer skills left on their own can
be costly. This is especially true for end-user system development and leads
to the proposition that end- user system development should be performed just
like IS system development. The earlier examples of the two systems purchased for approximately $1,000,000.00 that did not work are even more
striking when it is realized that the IS department estimated they could have
designed and built both systems for approximately $250,000.00. This estimate
was based on using in- house knowledge and expertise, standard objects from
the IS object library, and existing infrastructure. That the IS department was not
considered for this work is indicative of the low level of trust between the
organizations. The primary recommendation for getting end-user system development to implement IS design standards is to create end-user led development
teams that use IS developers as resources. Another possibility is training and
qualifying end-user system developer as IS developers and including training on
IS design standards. Ultimately, the findings of Wagner (2000) and Taylor et
al. (1988) are reflected in this case.
A secondary conclusion is that EUC should be monitored and expectations as
to what are acceptable levels of activity established. The purpose of this
monitoring is to ensure that productivity improvements due to incorporating
common end-user activities into the organizational systems are realized.
In conclusion, this case illustrates that EUC problems identified in the 1980s
have not changed. This leads to the conclusion that while it appears interest in
EUC has waned (based on the author’s perception from doing the background
research for the chapter and serving as EUC track chair for the 2003
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Information Resource Management Association conference), the need for
continued research in EUC is still great.
References
Adelekun, O., & Jennex, M.E. (2002). Stakeholder process approach to
information systems evaluation. 8th Americas Conference on Information Systems, AMCIS, Association for Information Systems.
Baskerville, R.L., & Wood-Harper, A.T. (1996). A critical perspective on
action research as a method for information systems research. Journal of
Information Technology, 11, 235-246.
Dodson, W. (1995). Harnessing end-user computing within the enterprise.
Accessed March 4, 2004 at: http://www.theic.com/dodson.html
Grindley, K. (1995). Managing IT at board level. FT Pitman Publishing.
Gunton, T. (1988). End user focus. Prentice Hall.
Jennex, M., Franz, P., Duong, M., Haverkamp, R., Beveridge, R., Barney, D.,
Redmond, J., Pentecost, L., Gisi, J., Walderhaug, J., Sieg, R., & Chang,
R. (2000). Project report: Assessment of IT usage in the engineering
organizations. Southern California Edison.
McBride, N. (2002). Towards user-oriented control of end-user computing in
large organizations. Journal of End User Computing, 14(1), 33-41.
Miric, A. (1999). The hidden risks of spreadsheets and end user computing.
KPMG Virtual Library, accessed March 4, 2004 at: http://www.itweb.co.
za/office/kpmg/9908100916.htm
Munkvold, R. (2002). End user computing support choices. Proceedings of
the 2002 Information Resource Management Association Global
Conference (pp. 531-535). Hershey, PA: Idea Group Publishing.
Panko, R. (1988). End user computing: Management, applications, and
technology. John Wiley and Sons.
Panko, R. (2000). What we know about spreadsheet errors. Accessed March
4, 2004 at: http://panko.cba.hawaii.edu/SSR/Mypapers/whatknow.htm
Powell, A., & Moore, J.E. (2002). The focus of research in end user
computing: Where have we come since the 1980s? Journal of End User
Computing, 14(1), 3-22.
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Taylor, M.J., Moynihan, E.Y., & Wood-Harper, A.T. (1988). End-user
computing and information system methodologies. Information Systems
Journal, 8, 85-96.
Wagner, C. (2000). End users as expert system developers? Journal of End
User Computing, 12(3), 3-13.
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Louis
Chapter IX
Employee Perceptions
of Outsourcing of
Information Technology
Operations:
An Empirical Investigation
Lynda Roberson Louis
Xavier University of Louisiana, USA
Abstract
Little research exists that address employee perceptions of information
technology (IT) outsourcing, and its effects on IT employees. This chapter
examines a study that investigated perceptions of employees directly
involved in IT outsourcing and correlated these perceptions with factors
identified in earlier studies. The following human resource factors
associated with outsourcing were evaluated: job security, benefits and
compensation, morale, productivity, training and skills, and career
opportunities. The study evaluated four hypotheses that contended
transitioned employees benefited more from IT outsourcing. Results
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Employee Perceptions of Outsourcing of Information Technology Operations
153
substantiated those of two previous studies of employee perception of IT
outsourcing. However, there was no statistical evidence to support the
contention that transitioned professionals benefit more from outsourcing
than retained professionals. To assist management with addressing these
issues, a Modified Management Outsourcing Adoption Model, based on
an earlier study, is presented as a tool for use in management action plans
to incorporate employee perspectives into the outsourcing process and
potentially lead to more successful outsourcing ventures.
Introduction
Loh and Venkatraman (1992) defined information systems (IS)/information
technology (IT) outsourcing as the significant contribution external vendors
provide in physical and human resources (HR) associated with the entire or
specific components of the IT infrastructure. Hirschheim and Lacity (2000)
said IT outsourcing involves transferring assets, leases, staff, and management
responsibility for delivery of services from internal IT management to thirdparty vendors. Aside from the contracting of skills, assets, and resources,
outsourcing also is contracting for results, where the quality of both the vendor
and the company’s respective skills and resources is highly important to the
success or failure of the outsourcing initiative (Kakabadse & Kakabadse,
2000).
Researchers including Hurley and Schaumann (1997) and Kakabadse and
Kakabadse (2000) state that IT outsourcing services include, but are not
limited to:
•
•
•
•
•
•
•
Data processing
Business information accessing through external databases
Systems integration
Facilities management
Contract programming
Global networking
Configuration management
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Louis
•
•
•
Desktop services
Business intelligence gathering
Turnkey projects implementation
Numerous researchers, including Antonucci and Tucker III (1998), Barrett
(1996), Earl (1996), Graham and Scarborough (1997), Gurbaxani (1996),
Hurley and Schaumann (1997), and McFarlan and Nolan (1995), have
identified various reasons why companies are choosing to outsource their IT
operations. These include, but are not limited to:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Reducing or controlling operating costs
Making capital funds available
Creating cash infusion
Augmenting for lack of internal resource availability
Obtaining access to highly trained and skilled specialists
Divesting functions that are difficult to manage or out of control
Improving business or company focus
Improving service quality
Capitalizing on access to world-class capabilities
Accelerating reengineering benefits
Sharing or reducing risks and uncertainties
Increasing competition
Freeing resources for other purposes
Focusing on core competencies
Quinn (1999) stated that outsourcing vendors are perceived to develop greater
knowledge depth, invest more in software and training, be more efficient and
innovative, offer higher wages and attract more highly trained people than can
most companies who are choosing to develop and concentrate on core
competencies. Quinn and Hilmer (1994) asserted that when properly developed, strategic outsourcing substantially lowers cost, risks, and fixed investments while expanding flexibility, innovation capabilities and opportunities and
creating financial rewards for the outsourcing company.
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Three major types of outsourcing are prevalent today: total outsourcing,
selective outsourcing, and insourcing. Total outsourcing involves turning over
all IT responsibilities to the third-party vendor (Lacity, Willcocks & Feeney,
1996). Insourcing involves retaining these responsibilities as in-house functions, usually after conducting an outsourcing evaluation to determine the most
strategic approach to achieving the same objectives as outsourcing IT services
(Benko, 1992; Hirschheim & Lacity, 2000). Selective outsourcing is where a
company will choose to outsource only part of its IT functions, often to more
than one vendor, and retain control of the rest (Garner, 1998a; Lacity,
Willcocks & Feeny, 1996; Prager, 1998; Slaughter & Ang, 1996).
Currie and Willcocks (1998) assert that there are four types of IT sourcing
decisions being made: total outsourcing, multiple-supplier sourcing, joint
venture/strategic alliance sourcing, and insourcing. Again, their definition of
total and insourcing does not differ from that offered above. The categorization
of the other two types, multiple-supplier and joint venture/strategic alliance, is
really a subset of selective outsourcing, but with different focuses on the
contract and different expected outcomes for each company involved.
Outsourcing usually affects employees in one of three ways (Palvia & Parzinger,
1995). The outsourcing company can retain affected employees. Personnel can
be transitioned to vendors’ payrolls. Finally, employees may be released
through attrition, layoffs or retirement incentives.
The outsourcing literature revealed that little emphasis is given to identifying and
integrating non-upper level management employee concerns about outsourcing
into the outsourcing process. Human resource issues are addressed from the
perspective of upper-level management and from the perceived benefits of
involved companies (Khosrowpour et al., 1995; Laribee & Michaels-Barr,
1994; Wray, 1996). This may produce a false sense of perceived outsourcing
success from HR perspectives.
Literature Review
A search of several major online databases revealed a wealth of information on
IT outsourcing in general. Results from ProQuest® are shown in Table 1.
Hirschheim and Lacity (2000) categorized the wealth of IT outsourcing
research as:
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•
•
Descriptive case studies
Surveys of current practices; surveys of practitioners’ perceptions of
risks/benefits
Studies of outsourcing determinates and best practices that identify or
distinguish successes versus failures
•
Table 1. Literature References on Outsourcing.
i
ii
Publication
Years
Keywords used
1980-2003
Total
number of
articles
Total number
Peer
Reviewed
Information Technology and Outsourcing
5109
258
Information Systems and Outsourcing
1880
201
Employee Perceptions and Outsourcing
3
1i
Employee Perspectives and Outsourcing
4
1ii
IS related
Non-IS related
As noted in Table 1, there is little published on employee perceptions of
outsourcing, and even less related to IT outsourcing. This review offers a brief
representation of literature addressing human resource issues relevant to the
topic under discussion. First a discussion of general issues is presented,
followed by the two studies noted in Table 1 that deal with employee
perspectives of outsourcing.
Human Resource Issues in Outsourcing
Due’ (1992) interviewed IS personnel involved in outsourcing and uncovered
several serious concerns. The most significant were that the outsourcing
process had negative effects on employee morale and that it presented
uncertainty for employees’ futures. These were fueled by rumors of lay-offs,
benefits loss or reduction, transfers, and migrations to new or different
technologies. When management did not address these rumors, low productivity and personnel exodus resulted.
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Hurley and Schaumann (1997) stated that improved access to required skills
is the number one objective for IT outsourcing. McLellan (1993) identified
three core personnel issues that are both economic and strategic benefits to
outsourcing: cost economies, enhanced career opportunities and reduced staff
turnover, and removal of the salary sub-units. McLellan and Marcolin (1994)
further discussed the research of McLellan. They termed their first listed risk
of outsourcing as “technology skill stripping” (p. 99). They asserted that from
the employee perspective an attractive benefit of outsourcing could be an
enhanced career path outside of the employee’s existing company. This can
lead to a drain of IT expertise from the employer as valuable employees move
over to the vendor organization.
Lacity, Hirschheim and Willcocks (1994) studied why outsourcing deals often
fail to produce the results anticipated. They noted that while many outsourcing
deals list access to technical talent as a reason for outsourcing IT functions, this
tactic often backfired when a company’s current perceived incompetent staff
was transitioned to the vendor. They contended that the only way to ensure
access to the technical skills desired was to build this requirement into the
contract.
Khosrowpour et al. (1995) examined outsourcing problems from both an
organizational and personnel perspective. They stated that personnel problems
associated with outsourcing often are reflected in employee perceptions and
actions. They contended it was important for managers to understand these
perceptions so they could deal effectively with problems arising as outsourcing
evaluation or transition progressed. They provided a list of seven personnel
problems associated with outsourcing and presented eight potential remedies
to the problems.
Barrett (1996) contended that ultimately outsourcing is concerned with people
and jobs. He noted that in the deal between Hughes Aircraft and vendor
Computer Science Corporation (CSC), 950 jobs were eliminated from Hughes
but transitioned to CSC. Although Hughes made great efforts to ensure that the
transitioned employees received similar benefits and pay packages with CSC,
the results from this process were not without problems. Twenty-five percent
of the Hughes IT staff quit prior to the transition, one-third of the staff embraced
the move and one-third hated the change.
Cooper (1999) said that the 1990s saw a move away from emphasis on
enterprise culture with its emphasis on strategic alliances and privatization to a
short-term culture with outsourcing, flexible workforces, and long working
hours. He reported on two Quality of Working Life Surveys conducted with
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5000 junior managers through chief executive officers (CEOs). These studies
revealed that where major corporate restructuring involved downsizing or
outsourcing, there were adverse effects on employee loyalty, morale, motivation and perceived job security. However, there was a marked difference in
perceived impact based on one’s level in the managerial hierarchy. Chairpersons, CEOs, and managing directors perceived that the initiative increased their
morale, motivation and loyalty. Senior, middle, and junior managers perceived
these same factors more negatively. All levels perceived that their sense of job
security decreased.
Elmuti and Kathawala (2000) performed an exploratory empirical study
seeking to establish a positive relationship between global outsourcing programs and organizational effectiveness. Major factors associated with global
outsourcing successes or failures were fear of change, access to adequate
training and skills, choice of sourcing partners, and comprehensive plans
detailing expectations. Fear of job loss, which negatively affected employee
morale and job performance, was perceived as the most serious problem in
global outsourcing.
Hancox and Hackney (2000) studied practices and perceptions of IT outsourcing
in the United Kingdom. They reported that one population sector, non- and
upper-level managers, often had significant misgivings about outsourcing, but
for different reasons. Upper-managers usually were more concerned with the
enterprise’s economical welfare, whereas non-managers often felt excluded
from managements’ decisions that affected their employment and careers.
Kakabadse and Kakabadse (2000) discussed the downsizing effect of
outsourcing that often leads to both positive and negative consequences. There
was usually perceived improvement in organizational performances through
introducing new skills and working practices, reducing staff numbers, and by
modifying individual incentives, employment terms and attitudes in the workplace. These same incentives generated internal fears and employee resistance.
Survivors of outsourcing, those who retain jobs with the company, suffered
many negative effects as well. These included a loss in management credibility,
decreased morale, increased absenteeism, and increased turnover. The authors asserted that the impact of outsourcing on all affected personnel depended on how well the initiative had been planned, how positively it had been
communicated to employees and how effectively it had been implemented
within the organization.
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Employee Perceptions Studies
The research cited above deals with IT outsourcing in general. Human resource
issues surfaced in these citations, and the researchers and authors offered a
means of addressing these issues. However, these human resource issues were
not researched from the employee perspective. By late 2003 only two studies
dealing specifically with employee perceptions of outsourcing were published.
Khosrowpour et al. (1996) studied perceptions of IS professionals, how
outsourcing affected them, and career and communications issues related to
outsourcing. They asserted that successful outsourcing deals effectively with
the following critical human factors: attracting/retaining talented IS professionals, employee resistance to outsourcing, job security, morale, productivity,
training, and opportunities and career paths. This required management to
understand what perceptions exist within employee ranks, and was best
accomplished with communication and employee participation in the process.
This would allow management to deal more effectively with problems as they
arise during the outsourcing process.
Their research identified the following human factors as critical to this issue:
attracting and retaining talented IS professionals, employee resistance to
outsourcing, job security, morale, productivity, training, and opportunities and
career paths. Thirty-five percent of the respondents agreed or strongly agreed
that career opportunity was better with the outsource vendor. Fifty-three
percent felt compensation was better, but only 33% felt job security was better
with the outsource vendor. Low morale associated with outsourcing was
attributed to the 81% of respondents with neutral or negative feelings about
outsourcing and to the 78% of the respondents who disagreed that their welfare
was considered in the outsourcing decision. They noted that IT employees did
not perceive that their welfare was key to IT management as it made outsourcing
decisions. Management routinely did not seek input from employees to assess
the impact the impending deal had on employees.
They proposed a Management Action Plan (MAP) for addressing productivity
and low morale issues, and a Management Outsourcing Adoption Model
(MOAM) for managers’ use to involve employees in the outsourcing process.
The action plan posited a correlation between productivity levels when
management implemented a plan to deal with employee perceptions and when
they did not. It was based on management communication and employee
participation, factors cited as most critical to addressing employee perspec-
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tives. They suggested that should management implement a plan addressing
employee concerns, the decrease in productivity during adjustment periods
would be significantly less than without such a plan.
Kessler, Coyle-Shapiro and Purcell (1999) performed a case study of non-IS
professionals involved in an outsourcing deal in London. They noted the lack
of research of “insiders” (p. 6)—employees’—perspectives of outsourcing,
and sought to identify potential impacts these perspectives had on outsourcing
success. In examining employee responses to outsourcing, they suggested that
three broad factors influence how employees react to outsourcing - specifically
to a change in employer.
The first factor examined how employees felt their existing employer treated
them. Influences in this area were the strategy and structure of the organization
and people management as it related to human resource issues and policies.
The second factor, termed the pull from the new employer, examined how
attractive employment with the new employer was viewed. Of importance to
the process was:
•
•
•
The employee perceptions associated with the identity of the potential
new employer
The way the information on the potential employer was presented,
gathered and communicated
The employee perspectives on the substance of what the new employer
was offering to the employee, including benefits, staffing concerns, and
workforce reduction concerns
Lastly, the factor termed landing examined the reality of employee experiences
following the change in employer. This focused on how employees were treated
after joining the new employer.
They measured work attitudes focusing on organizational commitment, job
satisfaction, and HR practices including rewards, career development, training,
communication and involvement. Their evaluation attempted to link consequences of outsourcing to change in employees’ assessment of HR practices,
to whether initial employee expectations were met, and to the extent there was
change to important attitudinal outcomes following outsourcing. Their research
showed that while all four HR areas showed positive results, employees had a
more positive view of career development (+1.22) with the new employer. The
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least amount of change was in the perception of communication (+0.23). There
were mixed results relating to expectations of the new employer versus
fulfillment with the employer. Only two of the six factors, “work harder in the
job (+0.28)” and “changes for the better (+0.16),” showed positive results.
The least favorable factors were “anxious about the future (-0.90)” and
“greater career opportunities (-0.53)”.
Employee Perceptions Study and
Results
A study was conducted to investigate IT employees’ perceptions about
outsourcing relative to various HR issues revealed in previous literature. This
research focused on how outsourcing affected retained and transitioned IT
employees directly involved in outsourcing in an attempt to identify a relationship between the employee perceptions and factors associated with outsourcing
successes and failures. This study was intended to be an initial attempt to
validate results from the two previous studies cited above, and specifically the
Khosrowpour et al. (1996) study, against a more specific IT population: those
employees who have been or are currently involved in an outsourcing initiative.
One of its purposes was to determine whether these perceptions might affect
outsourcing success. This perceived success was interpreted as a positive
perception of outsourcing issues under study.
An empirical investigation was conducted to evaluate eight research questions
and four hypotheses developed based on the body of HR literature. The survey
instrument, a modified version of the Khosrowpour et al. (1996) instrument,
had the same general format as the original. Section one consisted of 15
questions on demographics, and involvement in, and feelings about outsourcing.
Feelings were ranked as positive or negative and addressed research questions
one and two.
Section two consisted of 16 questions addressing research questions three
through eight and the hypotheses. A Likert scale was used to elicit responses
in this section: from 1 (Strongly Disagree) to 5 (Strongly Agree). Only those
who had been involved in an outsourcing initiative were to complete this
section. It was designed to elicit feedback on those HR issues identified in the
literature based on the perceptions the employees have today about outsourcing.
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These items were used as the primary dependent variables in this study. The
Appendix summarizes responses for items from section two.
Finally, section three contained six opinion questions that were identical to
those of the Khosrowpour et al. study. This section addressed communications
issues associated with outsourcing. All respondents were asked to complete
this section. However, only those meeting the requirements for inclusion in the
study were included as part of the analysis of results needed to validate the
hypotheses. The data from non-qualifying participants was used only to
determine and develop further study implications.
The survey population included 1000 professionals of an international IS
professional organization and a US business unit of a major IT corporation.
Participants returned 201 valid surveys, yielding a 20.1% return rate. This
exceeded the 14.6% rate reported by Khosrowpour et al. (1996), which they
stated as consistent and expected for this type of research. Of the respondents,
150 (74.6%) had been involved in an outsourcing initiative: 13 displaced; 115
transitioned; 43 retained; 1did not specify.
Since this study evaluated perceptions of those involved in outsourcing initiatives, and more specifically those retained or transitioned, major perceptions
centered on two issues: (1) feelings when going through outsourcing and (2)
feelings today when the word “outsourcing” is mentioned. Qualifying
participants answered survey section two based on the response to issue 2.
Feelings About Outsourcing
An analysis of issue 2 versus issue 1 revealed an overall 10.5% increase in
positive user feelings about outsourcing, an 8.4% increase of neutral feelings,
and an 18.8% decrease in negative feelings. The 19.5% positive and 80.5%
neutral/negative percentages for issue 1 tracked closely with those of
Khosrowpour et al. (1996): 19.2% and 80.1% respectively.
On issue 2, 29.5% had positive and 70.5% negative/neutral feelings. Transitioned
professionals had the largest change from negative to positive feelings: 25.0%
decrease in negative; 12.9% increase in neutral; 12.1% increase in positive. For
retained, the largest change was a 5.6% decrease of negative feelings.
The majority of respondents retained initial feelings toward outsourcing: 57.5%
still negative, 51.3% still neutral, and 57.1% still positive. Half the transitioned
employees with negative feelings at the outset had developed neutral (31.3%)
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or positive (18.8%) feelings. Retained employees were 76.5% still negative,
while 17.6% were now neutral and 5.9% positive. There was a comparable
change between the two groups for employees who began with positive
perceptions. For transitioned employees, 59.1% remained positive, while
40.9% now had neutral (36.4%) and negative (4.5%) feelings. Similarly with
retained employees, 69.2% maintained positive feelings, whereas 30.8% now
had neutral feelings. No retained employee with positive feelings during
outsourcing indicated they had negative feelings today.
Research Questions
Eight research questions were formulated from the literature review. These
addressed HR issues including job security, morale, productivity, training,
skills, benefits, and career opportunity. They formed the foundation for the
hypotheses presented for study. Research questions one and two were
evaluated using issues 1 and 2 noted previously.
1.
2.
3.
4.
What effect has outsourcing had on transitioned employees?
Transitioned respondents reported a 25% positive change from negative
feelings to neutral or positive over time between the onset of outsourcing
through the time of study.
What effect has outsourcing had on retained employees? These
respondents reported less of a change in perception. Their change from
negative feelings to neutral or positive was 5.6%.
What are perceptions of the outsourcing process, either positive or
negative (survey items 26, 27, and 28 in the Appendix)? Both groups
(transitioned 56.2% and retained 55.8%) disagreed that either the
outsourcing or contracting company considered their welfare when making an outsourcing decision. In comparison, the Khosrowpour et al.
(1996) study reported that 8.9% agreed, 13% were neutral, and 77.4%
disagreed with the concept that IS professionals welfare was considered
in the outsourcing decision. Conversely, both groups similarly agreed as
to maintaining a positive attitude about the success of the outsourcing
venture. On this issue, 62.3% of transitioned and 58.2% of the retained
employees agreed with this perception.
What are perceptions of whether venture enhanced or hindered IT
career objectives (survey items 16 through 22, 26, 27, and 31)?
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Respondents reported a more positive (agree or strongly agree) perception of issues relative to their career except for job security. Both groups
have basically the same feelings relative to IT companies offering better
career opportunities. There was a slight difference between both groups
on their perceptions of this issue: disagreeing (strongly disagree and
disagree, 1.0%), agreeing (agree and strongly agree, 1.2%), and neutral
(0.2%). These numbers marked the largest difference in opinions between
this study and the Khosrowpour et al. (1996) study. For their study,
27.3% disagreed, 39.0% were neutral and only 24.6% agreed that career
opportunities were better in IT companies. The Kessler et al. (1999) case
study had a negative mean change in perception on this issue.
Retained employees had a more positive perception of compensation
being better in IT companies than did transitioned employees (39.3%
retained versus 36.9% transitioned). Transitioned employees were more
neutral (34.2%) and negative (29.0%) than were the retained employees
(32.6% neutral and 27.9% negative). Overall, respondents felt compensation was better in IT companies than in non-IT companies (37.5%
positive, 34.2% neutral, and 28.2% negative). The Khosrowpour et al.
(1996) study reported 36.3% positive, 42.5% neutral and 20.9% negative. The Kessler et al. (1999) case study had a positive mean change
relative to compensation.
Transitioned employees view job security more favorably in IT companies
than was reported by the retained employees. There was slightly more
than a 50% difference in positive perception of this issue, 28.1% for
transitioned employees versus 14.0% for retained employees. Even
though there was this noticeable difference in positive perception of job
security, the overall perception was negative (42.3% overall, 37.7%
transitioned employees, and 48.9% retrained employees). Similarly, the
Khosrowpour et al. (1996) study reported 22% positive, 33.6% neutral,
and 43.8% negative. The Kessler et al. (1999) case study reported a
negative mean change in this item.
Retained employees were nearly evenly split on their perception of job
satisfaction being better in an IT company: 32.6% negative and neutral,
and 34.9% positive. Transitioned employees had a slightly higher positive
perspective (37.8% versus 34.9%). Transitioned employees (37.7%)
were more neutral on this issue than was reported overall (34.9%) or by
the retained employees. This item was reported in the Khosrowpour et al.
(1996) study as an important variable in determining perceptions of
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opportunities available with the outsourcing vendor (IT company), but
they reported that “job satisfaction perceptions were not heavily weighted”
(p. 91) to any preference in feeling for this item. The Kessler et al. (1999)
case study reported a positive mean change relative to job satisfaction for
its study participants.
The majority of both retained (45.2%) and transitioned (50.9%) employees had a positive perception that they possessed skills or knowledge that
their employers would find difficult to replace. There was a 10.0%
difference in negative perceptions between the two groups. Retained
employees disagreed 38.1% while transitioned disagreed 28.1% on this
issue. Likewise, the majority of both retained (58.2%) and transitioned
(61.0%) had a positive perception that their employer still was committed
to helping them improve or enhance those skills. However, on this issue
nearly one-fourth (24.8%) of the transitioned employees had a negative
perception, whereas 23.3% of the transitioned employees perceived this
issue negatively.
Respondents who indicated that they had been retained by the company
that outsourced its IT operations were more positive in their perception
of the employer’s commitment to helping them identify and further their
career objectives and that the outsourcing venture had proved positive for
their IT career. Retained employees (60.5%) had a more positive
perception than transitioned employees (52.7%) that their employer still
was committed to helping them identify and further their IT career
objectives. Likewise, transitioned employees were more negative (26.8%)
on this issue than were retained employees (23.3%). Of the retained
employees, 52.4% agreed that the outsourcing venture was more positive
to advancing their IT career, whereas 46.5% of transitioned employees
agreed. Again, transitioned employees (30.7%) disagreed more than
retained employees (21.4%) with this issue. The Kessler et al. (1999)
case study reported its largest positive mean change (+1.22) on the issue
of career development with the outsourcing vendor.
What are the perceived levels of change in commitment from either
company towards furthering career objectives (survey items 21, 22,
26, and 27)? Employee welfare being key to the outsourcing company or
the contracting company was reported in results of research question 3.
Perceptions related to employer commitment to skills and career objective were reported in research question 4.
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6.
What effects do employees perceive their attitudes about outsourcing
initiative will/will not impact success of overall outsourcing (survey
items 24, 25, and 28)? For each of these issues, transitioned employees
agreed more than retained employees with the concepts promoted. The
differences in perceptions of commitment to the customer and commitment to the employer was greater between the groups than was the
difference between the perceptions for maintaining a positive attitude. Of
transitioned employees, 74.5% agreed that they are committed to the
success of their customer and 73.5% are committed to the success of their
employer. Only 58.2% of retained employees view the contracting
employee as committed to the success of their customer and 62.8% see
them committed to the success of the vendor company.
What is the perception that quality of service provided by outsourcer
will be affected by employees’ attitudes toward outsourcing (survey
item 23)? On this issue retained employees agreed and disagreed evenly
(41.9%). More transitioned employees disagreed (53.5% disagreed,
33.6% agreed) that their attitude influences the level of service they
provide. The implication here could be an implied notion that the transitioned
IT professionals can separate their feelings about outsourcing from the
level of service they provide. This could be inferred from the discussion
under research question 6 and the transitioned employees’ positive
commitment to the success of both the customer and the employer. These
results also imply that a higher negative response to this item is the more
desirable reply to attribute to this outsourcing perception actually being
interpreted as successful.
What are the perceived effects of the outsourcing initiative as a result
of communication by either company – was enough done up-front;
had enough continued (survey items 29 and 30)? No group agreed that
enough communication was done during outsourcing to cause the employee to develop a positive attitude about outsourcing. Transitioned
employees only agreed 27.2%, and retained employees only agreed
16.3%. Both groups had a high level of disagreement on this issue. Nearly
half (49.1%) of the transitioned employees and 37.3% of the retained
employees disagreed that enough communication was done on the front
end of the contract.
There was a noticeable change in perception toward communication since
the onset of the outsourcing contract that contributed to a positive attitude
about the outsourcing venture. Of transitioned employees, 37.8% agreed
7.
8.
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that communication had been adequate since onset, and of retained
employees 34.9% (over a 50% increase) felt positive about the communication flow since onset. Both groups showed significant decreases for
those who disagreed with communication flow during the initiative as
noted above and communication flow since the onset of the contract:
32.8% of transitioned disagree (a decrease of 16.7%) and 25.6% of
retained disagree (a decrease of 11.7%).
Analysis of Related Outsourcing Issues
The final section of the outsourcing survey retained 100% of the items from the
Khosrowpour et al. (1996) study. This section of the survey examined several
key factors associated with outsourcing. All respondents were asked to
provide responses to these items. The last two items asked the respondent to
write in his or her opinions of what both companies should do to make the
outsourcing experience more positive.
Communication Flow
The majority of respondents, 53.2%, preferred to get these communications
from their immediate supervisor. Khosrowpour et al. (1996) reported that
those who responded to their survey preferred to get the information from their
chief executive (32.2%). Immediate supervisors for their study only garnered
a 22.6% response. The authors noted that the reputations of the individuals
selected to deliver communications had a significant impact on how the
message was received. Using this premise, it can be inferred that those who
undergo outsourcing prefer to receive information from those closest to their
level in the organization. This is evidenced by the fact that 53.3% of the
respondents to this study who have been involved in an outsourcing initiative
prefer communication come from the immediate supervisors. The next highest
preference was the department head, at 24.0%.
Management Withholding Outsourcing Information
This issue determined whether or not the respondents felt it was appropriate for
management to withhold information on an outsourcing deal until an agreement
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had been reached. Of the 199 respondents who answered this, 69.3%
answered no and 30.7% answered yes. These numbers track closely with those
of the Khosrowpour et al. (1996) study: 67% no, 33% yes.
Time to Make Decision
Respondents were asked to indicate how much time they felt was needed to
make a decision about accepting a job with an outsourcing vendor. Of the
respondents to this item, 42.8% felt that they benefited from having one month
to make such a decision. This represented 44.7% of those involved in an
outsourcing initiative, 46.1% of those who have been transitioned to an
outsourcing company, and 46.5% of those employees who were retained with
the client company. One respondent indicated a six-month time frame to make
the decision.
Reasons to Outsource
This issue examined what perceptions respondents had concerning the most
compelling reason why a company would outsource its IT functions. While
some respondents indicated both strategic and cost benefits, the overwhelming
response was for cost benefits. Of the respondents, 63.5% felt cost savings
was the primary reason why companies outsourced, while 31.5% felt it was for
strategic reasons. While there was not a noticeable difference in perceptions
between transitioned and retained employees on cost benefits, there was a
larger difference relative to strategic benefits: 21.9% fewer transitioned respondents felt companies outsourced for strategic reasons whereas only
13.9% fewer transitioned employees felt their companies outsourced for
strategic benefits.
Company Actions
The final two items on the survey asked the participants to verbalize their
opinions of what the client company and the outsourcing vendor could do to
make the outsourcing experience as positive as possible for affected IT
professionals. Of the 201 respondents, 88.1% provided comments for the
client company and 85.1% provided comments for the vendor company.
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Seventy-two percent (72%) of the responses to both items centered on open,
honest, and timely communication, along with openly sharing information. Fiftytwo percent (52%) of the respondents voiced opinions concerning maintaining
or increasing the current levels of benefits such as salary, medical, vacations,
and 401K plans.
Respondents suggested that the client company should ensure that both stay
and transition bonuses, applied equally to all employees, are offered. Four
respondents voiced opinions that the client company should allow the affected
employee to make the decision to transition or to stay instead of being forced
into either option. Another key response was that the client company should
educate its employees on why the outsourcing occurred, and establish a policy
that would assure that transitioned employees were treated as partners. They
felt this would lessen any animosity that retained employees might develop
toward the outsourced employee once they show up on the job as employees
of the outsourcing vendor.
Suggestions for the vendor company ran the same gamut as for the client
company. Twenty percent suggested the vendor should ensure there was a
smooth transition plan communicated and enforced. Key players should be
retained on the account, both management and non-management. “Town hall”
meetings with “swat teams” should be held before and after the contract is in
effect. This allows the new employees to learn the culture of the new company,
to establish expectations, and it allows the new employees to learn from the old.
The vendor company’s incoming management should avoid making immediate
drastic changes. Instead they should learn the account and the culture that the
transitioned employees bring with them and incorporate that into the account.
Hypotheses Analysis
In order to relate the results of the study to the hypotheses, independent sample
t-tests were run on filtered responses. This was done to reduce the Type 1 error
rate. Data were analyzed for transitioned and retained employees (independent
variables). An alpha level of .05 was used for all statistical tests. The critical
t value required to reject each null hypothesis shown below was 1.960, since
each had df>120. The critical F was 3.84.
H01: Outsourced IT professionals benefit the same in career opportunities
as retained professionals (all items section 2).
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H02: Outsourced IT professionals have same positive view of outsourcing
process as retained professionals (items 26, 27, 28).
H03: Outsourced IT professionals’ career objects are met the same as
retained professionals (items 16-22, 26, 27, 31).
H04: Outsourced IT professionals are equally satisfied with levels of
communication involved with outsourcing as retained professionals
(29, 30).
Table 2 shows results of independent sample t-tests for each hypothesis. None
was rejected, even though the calculated F for H01 and H04 exceeded the
criterion F. Their associated t value was evaluated to determine if variance in
means warranted rejecting the null hypotheses. Since both were less than
criterion t=1.960, neither hypothesis was rejected.
A fifth issue, labeled Attitude in Table 2, was evaluated using the same
technique employed for the hypotheses. This issue addressed whether IT
professionals perceived that their attitudes affect the success of outsourcing
relationship between companies and quality of service they provided. These
issues addressed research questions 6 and 7. This researcher examined these
collectively to determine if there was significant difference in means of perceptions between the two groups. Individually each item had more positive
responses from transitioned respondents than retained respondents. Results
showed that both groups perceived that their attitudes and quality of services
provided positive impact.
Table 2. Hypothesis Statistics (α=.05, critical t=1.960, critical F=3.84).
Hypothesis
1
2
3
4
Attitude
Total Responses
to items
N
1644
462
309
87
1027
288
206
58
411
116
Transitioned
Retained
Transitioned
Retained
Transitioned
Retained
Transitioned
Retained
Transitioned
Retained
Levene’s Test
for Equality
of Variance
(F)
t-test for
Equality of
Means
(t)
df
Reject
Hypothesis
9.527
1.875
2104
No
.099
.797
394
No
.293
1.422
1313
No
17.465
-.095
523
No
.075
1.580
525
Not
applicable
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For this study population, respondents disagreed with or were neutral on
62.5% of items, and agreed with remaining 37.5% of items. This closely
correlated with, and thus validated, those published in Khosrowpour et al.
(1996). When examining each item individually, Agree was the majority
response (68.8%) and Disagree was a minority (31.2%). Neutral was never
a majority response. This researcher concluded the issues under study are
perceived as affecting success/failure of outsourcing initiatives.
Another issue under study was whether outsourced employees perceived they
benefited more from outsourcing than retained employees. No null hypothesis
was rejected, even though two showed significant variance in means between
groups. Therefore there was no statistical evidence to support this contention
for this study population.
Discussion
Results of this study revealed HR issues cited in earlier studies still present
major concerns. Professionals undergoing IT outsourcing still have issues with
job security, benefits, compensation, morale, productivity, training and skills,
welfare, and career opportunities. While results did not support the idea that
transitioned employees benefit more from outsourcing, there was evidence
suggesting management must do more to ensure employee perceptions do not
adversely affect the outsourcing. This researcher concurred that knowing how
affected employees perceive outsourcing effects on their personal and professional lives would allow management to better construct agreements benefiting
all parties. Knowing and addressing these issues from the onset of outsourcing
should lead to more successful outsourcing agreements from the HR perspective.
Khosrowpour et al. (1996) reiterated that the most significant problem with
outsourcing was the negative effect on morale that translated into low productivity. They attributed this loss to lack of communication, neutral or negative
feelings about outsourcing, and the fact that 78% of their respondents disagreed
that the welfare of employees was considered in outsourcing decisions. This
study validated these perceptions related to: feelings when employee is going
through outsourcing process (80.9% negative/neutral); lack of communication
(74.5% neutral/disagree on level of effective communication); and welfare of
employee being key to management (disagree/neutral: 73.1% outsourcing
company, 71.1% contracting company).
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Results also support the contention that absence of actions by management
during outsourcing results in loss productivity (Khosrowpour et al., 1996).
They incorporate perceived effect of factors from their MAP into the four
stages of outsourcing. Their MOAM suggested employee participation should
be low in stage 1 but high in remaining stages, and management communication
about outsourcing should be low in stage 1, high during stage 2 and 3, and taper
to medium during stage 4. Comments in this study, plus analysis of research
questions, suggest a modification to the Khosrowpour et al. model. This
researcher is proposing the Modified Management Outsourcing Adoption
Model (MMOAM) shown in Figure 1.
This model reflects that respondents of this study wanted continued communication throughout the entire process. Comments from 72% of respondents that
management should acknowledge the company is exploring outsourcing,
communicate this early and honestly, and provide periodic updates on the
process suggest stage 1 may require medium levels of communication instead
of low levels. Not enough evidence existed to suggest employee involvement
Figure 1. Modified Management Outsourcing Adoption Model.
Low
High
Stage 3
Implementation
Stage 4
Transitional and
Post-implementation
Employee Participation
Stage 2
Planning and
Development
High
Stage 1
Exploratory
High
Employee Participation
Management Communication
Low X
High
Medium Y
Medium X
High Y
Management Communication
High
X = Khosrowpour et al. (1996) model
Y = this research model
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173
during stage 1 warranted moving from low levels. Continued communication
following the implementation was an issue for 78% of the respondents. Again
this suggests instead of communication waning, it should continue at high levels
during stage 4.
This researcher is proposing that a management action plan involves implementing the MMOAM. This study suggests this tool should more realistically
allow for addressing reduced productivity levels by increasing employee
involvement and bringing their concerns to management earlier in the process.
Management should use this tool to definitively outline steps and actions
required in each outsourcing stage for addressing specific employee concerns.
These steps should be jointly constructed by both management and employee
representatives.
Recommendations
Along with using the MMOAM, further study to determine if any one HR issue
has a more positive or negative effect on outsourcing success, and what the
linkages to these factors (i.e., more communication from company up front
versus employee satisfaction) may be also is recommended. Comparative
studies can be conducted on early outsourcing initiatives, when employees
were totally omitted from the process or received minimal communication from
management, to current initiatives where some attention may be given to
employee perspectives. A case study of a company that integrates the MMOAM
tool into its process could further validate results of the previous studies and this
study. Another study worth considering is the effects outsourcing has on those
employees who work on-site at their vendor location versus those who either
telecommute or support the client remotely.
Additionally the results of this research support recommendations from
Khosrowpour et al. (1996) and Kessler et al. (1999). Khosrowpour et al.
suggested that their research, addressed from the perspective of a general IS
population, could be extended by studying and comparing successful and
unsuccessful outsourcing deals in relationship to the impact on people and
organizations. Kessler et al., whose study was not focused specifically on the
IT industry, recommended that their research be continued to academia,
policymakers and practitioners. They suggested that their limited case study be
expanded to establish whether or not their findings represented a general
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response to outsourcing that might be replicated in other organizations or
circumstances.
By identifying and addressing human resource issues from the employee
perspective, management should be able to construct an outsourcing arrangement that will benefit the companies financially and the employees career-wise.
With the use of the Modified Management Outsourcing Adoption Model as a
tool, management should be better able to determine each employee’s fit in the
new environment, and offer better alternatives to meet the needs of the
employee, while still meeting the company objective for outsourcing.
Conclusion
Results in this study validated those of the Khosrowpour et al. (1996) study and
substantiated some of the findings in the case study by Kessler et al. (1999).
Both of these researchers have concluded that management must understand
what perceptions exists within the employee ranks and develop a plan to
address these issues if they want the outsourcing to be successful in all realms,
and not just financially. This study substantiated this claim. The researcher
examined the human resource issues that previous research contended was
most important to the employees involved in outsourcing. The difference in this
study and the previous studies was that this one went to the source to
substantiate these claims: those directly affected by outsourcing who primarily
were not upper-level management. Knowing what these employees perceive
about outsourcing will allow management to take some of the guesswork out
of these human resource issues as they proceed with an outsourcing
undertaking.
References
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Retrieved January 21, 2003, from http://www.reengineering.com/articles/jul96/InfoManagement.htm
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Cooper, C.L. (1999). Can we live with the changing nature of work? Journal
of Managerial Psychology, 14, 569-572.
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177
Appendix
Table 3. Percent Summary of Survey Section 2.
Survey Item
16.
17.
18.
19.
20.
21.
22.
23.
24.
25.
26.
27.
28.
29.
30.
31.
Strongly
Strongly
Disagree
Neutral
Agree
Agree
disagree
Career Opportunities for IS professionals better in IT companies.
Transitioned
1.8
15.8
18.4
46.5
17.5
Retained
0
18.6
18.6
48.8
14.0
Compensation for IS professionals better in IT companies.
Transitioned
8.8
20.2
34.2
31.6
5.3
Retained
2.3
25.6
32.6
30.2
9.3
Job security for IS professionals better in IT companies.
Transitioned
9.6
28.1
34.2
26.3
1.8
Retained
7.0
41.9
37.2
14.0
0
Job satisfaction for IS professionals better in IT companies.
Transitioned
2.6
21.9
37.7
32.5
5.3
Retained
0
32.6
32.6
32.6
2.3
Job function requires unique skills or knowledge that would be difficult to replace.
Retained
4.8
33.3
16.7
38.1
7.1
Employer is as committed today to helping improve/enhance IS skills as at onset of outsourcing
venture.
Transitioned
8.0
16.8
14.2
51.3
9.7
Retained
4.7
18.6
18.6
51.2
7.0
Employer is as committed today to helping identify and further career objectives as at onset of
outsourcing venture.
Transitioned
8.0
18.8
20.5
42.9
9.8
Retained
9.3
14.0
16.3
53.5
7.0
Attitude about outsourcing influences level of service provided as IS professional.
Transitioned
16.8
36.3
13.3
25.7
8.0
Retained
23.3
18.6
16.3
37.2
4.7
IS professionals providing contract services are committed to success of customers.
Transitioned
0.9
7.9
16.7
52.6
21.9
Retained
0
18.6
23.3
41.9
16.3
IS professionals providing contract services are committed to success of employer.
Transitioned
0.9
1.8
23.9
54.9
18.6
Retained
0
2.3
34.9
46.5
16.3
In considering outsourcing decision, welfare of IS professional is key factor in minds of
outsourcing company’s management.
Transitioned
16.7
39.5
16.7
25.4
1.8
Retained
20.9
34.9
16.3
23.3
4.7
In considering outsourcing decision, welfare of IS professional is key factor in minds of
contracting company’s management.
Transitioned
13.2
28.9
28.1
27.2
2.6
Retained
14.0
27.9
30.2
20.9
7.0
I have maintained positive attitude about success of outsourcing venture.
Transitioned
0.9
15.8
21.1
43.9
18.4
Retained
0
16.3
25.6
41.9
16.3
Communication flow between companies during contract negotiations was adequate to develop
positive attitude about outsourcing venture.
Transitioned
12.3
36.8
23.7
26.3
0.9
Retained
2.4
34.9
46.5
16.3
0
Communication flow between companies since the onset of outsourcing has been adequate to keep
positive attitude about outsourcing venture.
Transitioned
7.0
25.4
29.8
32.5
5.3
Retained
2.3
23.3
39.5
34.9
0
Outsourcing venture has proved positive in advancing IS career.
Transitioned
11.4
19.3
22.8
33.3
13.2
Retained
11.9
9.5
26.2
35.7
16.7
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Section IV
Human and
Organizational
Issues
Regarding
IT Adoption and
Use
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Surfacing Occupational Threats to IT-Enabled Change
179
Chapter X
Surfacing Occupational
Threats to IT-Enabled
Change:
A Neglected Role for
Organization Development?
Joe McDonagh
University of Dublin, Ireland
Abstract
While the business press is awash with claims that investing in information
technology (IT) is the key to delivering superior economic performance,
unfortunately, it appears that reaping the benefits of IT investments is
fraught with difficulty. Indeed, the introduction of IT into work
organisations is generally marred with persistent reports of
underperformance and failure. This chapter critiques the nature of this
dilemma and, in particular, explores the role of diverse occupational
groups in its perpetuation over time. Executive management tend to view
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180 McDonagh
the introduction of IT as an economic imperative while IT specialists tend
to view it as a technical imperative. The coalescent nature of these two
imperatives is such that the human and organisational aspects of IT
related change are frequently marginalised and ignored. Achieving a
more integrated approach to the introduction of IT is inordinately difficult
since the narrow perspectives embraced by the executive and IT
communities do not naturally attend to change in an integrated manner.
Introduction
Throughout much of the last four decades the introduction of new information
technology (IT) based systems has posed formidable challenges for many
organizations, both public and private sector alike (Clegg et al., 1996;
Dearden, 1972). While each new decade has witnessed significant investment
in both administrative and technological innovations, with the lure of achieving
significant efficiency and economic gains, it remains that outcomes from such
investment programmes have been continuously disappointing (McDonagh &
Coghlan, 1999, 2000). Indeed, it appears that underperformance and failure
are common experiences, with as little as 10% of IT-enabled change initiatives
delivering promised business value (McDonagh, 1999).
Investments in e-government initiatives are prime examples of how administrative and technological innovations coalesce with the implicit promise of
significant benefits for all stakeholders involved. Yet, it remains that egovernment initiatives are fraught with difficulties (OECD, 2001; Performance
and Innovation Unit, 2000). Furthermore, such difficulties evoke memories of
ongoing pathologies that have routinely derailed the effective introduction of IT
in work organizations over the years.
Drawing from both the information systems domain and its reference disciplines, this chapter presents a detailed critique of this enduring dilemma and in
particular explores the role of occupational groups in its perpetuation through
time. This chapter concludes by way of noting that effecting an integrated
approach to the introduction of IT that accounts for economic, technical,
human, and organisational facets of change is inordinately difficult since the
requisite knowledge and expertise are widely dispersed among diverse occupational groups.
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An Enduring Dilemma
Outcomes from IT investment initiatives all too frequently fail to deliver much
promised business value. Indeed, many organisations appear to experience
significant underperformance and failure with regard to their IT investments as
opposed to the promise of superior performance so frequently claimed in the
business press. Consider for a moment a number of high profile cases where the
introduction of IT has been a fiasco.
•
•
•
•
•
•
The California Department of Motor Vehicles embarked on a major
project to revitalise its driver’s licence and registration applications
process. By 1993, after $45 million dollars had been spent, the project
was cancelled (Johnson, 1995).
After a total of $125 million dollars had been invested, Hilton Hotels
Corporation, Marriott Corporation and Budget Rent-A-Car Corporation
cancelled what had become a major IT failure (Oz, 1994).
FoxMeyer Drug, a large Texas-based pharmaceutical company, filed for
bankruptcy in August 1994 as a consequence of a $65 million dollar IT
investment that went devastatingly wrong (James, 1997).
Having invested £600 million, the Child Support Agency in the United
Kingdom admitted that its new system was a failure and was being
abandoned (Jones, 1997).
After seven years and about $500 million dollars trying to implement the
mainframe-based SAP R/2 enterprise software package, Dow Chemical
scrapped the project and started from scratch with a client/server version
instead (Cambridge Information Network, 1999).
Having invested £878 million on a magnetic stripe card that never saw the
light of day, the UK Government admitted that its PATHWAY initiative
was a failure and was being cancelled (Ranger, 2000).
There is significant evidence to suggest that failures of the nature outlined above
are a constant feature of the IT landscape (McDonagh, 2000; Ranger, 2000
Sabbagh, 1998). A recent analysis of 27 sources of evidence between 1979
and 1998 concludes that around 50% of IT initiatives fail or are completely
abandoned, while another 40% are delivered late and over budget (McDonagh,
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182 McDonagh
1999). Unfortunately, the percentage of initiatives that deliver business value is
as low as 10% (Clegg et al., 1996; Johnson, 1995; Kearney, 1990; McDonagh,
1999).
Recent literature addressing the challenge of managing e-government initiatives
echoes many of the sentiments expressed above, paying particular attention to
the high probability of failure in IT-enabled change programmes in the public
sector. Both the OECD and the Cabinet Office have clearly addressed the
nature of this enduring dilemma (OECD, 2001; Performance and Innovation
Unit, 2000).
Impaired Learning
Considering that such poor outcomes from IT investment initiatives have been
a pervasive theme both in management literature and organisational practice
throughout the last four decades, how can one readily account for such
outcomes? To understand the persistent nature of this phenomenon one must
understand the essential nature of the challenge involved in the introduction of
IT into work organisations. That challenge necessitates fostering an integrated
approach to the management of change, an approach that concurrently
coordinates and integrates economic, technical, human and organisational
facets of change. Recognising the systemic nature of this challenge, it is
disappointing then to find that most IT-enabled change initiatives are dominated
by economic and technical considerations to the relative exclusion of human
and organisational considerations (Lunt & Barclay, 1988; More, 1990). The
tangible nature of this dilemma readily manifests itself when one considers that
extant empirical research supports the assertion that economic and technical
considerations are unlikely to feature prominently when IT fails to deliver
(Clegg et al., 1996).
What then are the consequences of failing to nurture a systemic approach to
change that concurrently accounts for economic, technical, human, and
organisational aspects of IT? Indeed, they appear rather grave since failing to
attend to human and organisational facets of change are considered to be the
root of much IT-related underperformance and failure (Benyon-Davies, 1997;
Lucas, 1975). Lucas (1975) states that the difficulties with IT are primarily of
a behavioural nature, a view well supported by Bariff and Ginzberg (1982).
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Other writers have succinctly noted that 90% of the problems encountered in
IT-enabled change are of a human and organisational nature (Clegg et al.,
1996; Isaac-Henry, 1997; Long, 1987).
Recent studies by both the OECD and the Cabinet Office provide confirmatory
evidence that failure to address the human and organizational aspects of change
associated with e-government initiatives all too frequently contribute to rather
poor outcomes in such investments (OECD, 2001; Performance and Innovation Unit, 2000).
Considering the wide array of evidence that suggests that human and
organisational aspects of change are routinely marginalized and ignored in ITenabled change initiatives, it is worth considering why this dilemma persists
through time. Are organisational actors genuinely unaware of the human and
organisational facets of change or in a more sinister sense do they willfully
collude to marginalize and ignore these key dimensions of change? While the
themes of both individual and collective learning are chic in the field of
management and organisation studies, one could be excused for believing that
organisations learn little, if anything, from their difficulties with IT-enabled
change. Indeed, it has been well noted that we appear to learn relatively little
from our mistakes (Andriole & Freeman, 1993).
A Social Phenomenon
Reflecting on such poor outcomes from IT investment initiatives, it is hardly
surprising that the introduction of IT into work organisations offers a potent
arena in which organisational actors are regularly drawn into a milieu of intense
discord. Evidence of such discord abounds. Many IT specialists are considered lacking in the core skills required to integrate IT with the business (Martin
et al., 1995). Company directors have little faith in the business judgement of
their IT counterparts, even though IT is recognised as critical to corporate
success (Stammers, 1997). Bosses tend to accuse IT colleagues of hiding
behind techno-babble to cover their lack of business acumen (McGinn, 1997).
IT people are often aloof and uncooperative, uncomfortable with teamwork
and unable to listen effectively to users (Vora, 1997). Indeed, a recent survey
of 340 CIOs (chief information officers) in the United States, the UK, Germany
and France noted that CIOs show a lack of business acumen and shrewdness
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184 McDonagh
and are generally perceived as geeks and not business professionals (Korn/
Ferry International, 1998).
Conversely, a UK survey of 1,000 full-time IT professionals and 200 IT
employers carried out by Harris Research revealed that 32% of IT professionals felt that senior management did not fully appreciate the role of IT in their
business (Briggs, 1996). Similarly, a survey of the UK’s top IT directors
carried out by the Butler Group revealed that 73% did not think their business
managers were IT focused (Briggs, 1997). IT specialists accuse management
of profound ignorance when it comes to new technology (McGinn, 1997).
Those who work in IT often complain that their non-IT colleagues do not really
understand the true potential of technology. This is held to be especially true of
directors, who can seem radically out of touch (Hallahan, 1998). Golden
(1997) sums it up when he says that all too often there is a yawning gap of
understanding between business management and IT professionals.
It is of interest to note from the above that much of the discord surrounding the
introduction of IT in work organisations appears to manifest itself in the
polarisation of diverse occupational groups, namely executive management and
IT specialists. Davenport (1994) notes that IT appears to have a polarising
effect on managers; it either bedazzles or frightens them. He suggests that those
who are afraid of it shun it, while bedazzled IT departments frequently become
prisoners of their own fascination, constructing elaborate technology architectures and enterprise information models. The level of intergroup dissent
highlights the need for a deeper understanding of how such groups separately
and collectively influence the process of introducing IT into work organisations.
On closer inquiry, it emerges that the plight with IT is of an enduring nature
sustained by the behavioural patterns of polarised occupational groups who
have vested, but divergent, interests in exploiting IT (McDonagh, 1999).
Executive management view the introduction of IT as an economic imperative
while IT specialists view it as a technical imperative. The coalescent nature of
these two imperatives is such that human and organisational considerations are
regularly marginalized and ignored during the process of introducing IT into
work organisations (McDonagh, 1999; McDonagh & Coghlan, 2000).
Reflecting more closely on the manner in which the executive community shapes
the introduction of IT in work organisations, it becomes increasingly apparent
that this worldwide community of practitioners has a potent effect on ITenabled change (McDonagh, 1999).
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•
•
•
•
•
•
•
185
Many senior executives see people as costly impersonal resources that
generate problems rather than solutions.
Many senior executives embrace a narrow economic focus on IT,
believing that IT merely offers an opportunity for rationalisation and cost
reduction.
Many senior executives see IT as a cost-pit rather than a strategic
capability.
Many senior executives embrace a short-term focus on IT and exert
inordinate pressure to achieve rapid payback and short-term gain.
IT executives charged with delivering business value from IT are more
often than not excluded from boards of management, executive management teams, and the corporate strategy process.
Many senior executives fail to commit to the IT strategy process.
The clear separation of managerial and technical work serves to reinforce
and invigorate the divide between business and IT.
In a similar vein, IT specialists, as a worldwide community of practitioners, have
a profound impact upon the introduction of IT in work organisations (McDonagh,
1999).
•
•
•
•
Much of the community embraces a technical focus on IT, attending
primarily to the task and technology components of work organisations
into which IT is being introduced.
The tools, techniques, and methods used by the community of practitioners sustain this narrow technocentric agenda.
Much of the community is genuinely unaware of the human and
organisational factors that account for the majority of IT-related underperformance and failure.
There is no apparent incentive for the community of practitioners to
embrace a more holistic perspective on IT-related change.
Conflict and discord between the executive and IT communities is undoubtedly
a predictable outcome considering the manner in which each community shapes
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186 McDonagh
IT-enabled change. Each community assumes a limited perspective on ITenabled change, executives assuming an economic focus and IT specialists
assuming a technical focus. Each community shares a predilection to design
people out of rather than into systems. Similarly, each community shares a
genuine lack of knowledge concerning the human and organisational aspects of
IT-enabled change.
Fragmented Change
It remains unclear then as to whom is responsible for nurturing a more integrated
approach to IT-enabled change that concurrently attends to economic, technical, human and organisational considerations. Clegg and Kemp (1986) and
Clegg (1995) note that IT specialists see their job as being complete once the
software application has been developed. Indeed, deeply held beliefs that IT
can cause change lead both line managers and IT specialists to restrict their own
efforts as change agents. With everyone assuming that change management is
the job of someone else, there is often no one left to address change
management tasks. Change then fails, and lack of learning about the root causes
of failure promotes future failures (Markus & Benjamin, 1997).
Considering the power and influence that both the executive and IT communities exert on the process of introducing IT into work organisations, the
challenge of embracing a more integrated approach seems daunting. In light of
this, and without being prescriptive, how can organisations influence the
process of introducing IT to ensure that human and organisational issues are
given equal consideration with economic and technical issues? One distinct
possibility is to consider the involvement of organisation development (OD)
expertise since such expertise is generally well informed concerning the human
and organisational factors that are generally ignored as part of the process of
introducing IT (Burke, 1994).
Over the last two decades, various writers within the disciplines of OD and IT
have advocated a potential role for such expertise. Notwithstanding such
advocacy, the reality remains that the IT and OD communities are equally
polarised with respect to their perspectives on change. IT specialists pursue a
technocentric agenda, ignoring the human and organisational consequences of
that agenda. Similarly, OD specialists pursue an explicitly humanistic agenda
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187
and do not consider the IT domain as one to which they can naturally contribute
(Burke, 1997; McDermott, 1984).
The potential role for a humanistic focus in the process of introducing IT is a
central theme for neither the OD community nor the IT community. While some
elements in both communities have pointed to the need for an integrated
perspective on IT-related change, the reality remains that the IT community
does not understand OD and the OD community does not understand IT
(Markus & Benjamin, 1997a, 1997b). Considering the lack of understanding
between these communities, should we be surprised to find that IT-related
change remains, for the most part, technically driven?
Conclusion
While the process of introducing IT into work organisations warrants an
integrated perspective on economic, technical, human and organisational
aspects of IT, it appears that technical and economic considerations dominate
the practitioner landscape. Paradoxically, when IT fails to deliver as it so often
does, human and organisational considerations are the prime determinants of
such underperformance and failure. This poses an intractable dilemma for many
organisations.
The dilemma is of an enduring nature, sustained by the behavioural patterns of
polarised occupational groups who have vested, but divergent, interests in
exploiting IT. Executive management tends to view the introduction of IT as an
economic imperative while IT specialists tend to view it as a technical
imperative. The coalescent nature of these two imperatives is such that human
and organisational considerations are regularly marginalized and ignored during
the process of introducing IT into work organisations.
Implementing a more integrated approach to the introduction of IT that
accounts for economic, technical, human, and organisational considerations is
inherently difficult since the requisite knowledge and expertise are widely
dispersed among diverse occupational groups (Andriole and Freeman, 1993;
Clegg et al., 1996, 1997; McDonagh & Coghlan, 1999, 2000). This calls for
expertise that cuts across the social, behavioural, computer, mathematical,
engineering, management, and even physical sciences (Andriole & Freeman,
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188 McDonagh
1993). Those who understand the technology tend not to appreciate the wider
organisational issues, and those who have the knowledge of these are often
technically naive. This places a very high premium on finding ways of integrating
different forms of knowledge and expertise (Clegg et al., 1996).
References
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case for a new discipline. Software Engineering Journal, 8(3), 165179.
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Clegg, C.W., Waterson, P.E., & Axtell, C.M. (1997). Software development:
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Markus, M.L., & Benjamin, R.I. (1997a). The magic bullet of IT-enabled
change. Sloan Management Review, 38(2), 55-68.
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Markus, M.L., & Benjamin, R.I. (1997b). IT-enabled organisational change:
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(Eds), Steps to the future: Fresh thinking on the management of ITbased organisational transformation (pp. 115-142). San Francisco:
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shaping strategic change: The case of information technology. Unpublished PhD Dissertation, University of Warwick, England.
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A conspicuous relationship. Paper presented to the INFORMS/KORMS
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change – The fortituous role of academia. Journal of European Industrial Training, 24(5), 297-304.
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Surfacing Occupational Threats to IT-Enabled Change
191
Sabbagh, D. (1998, July 9). Pathway hits the buffers – The £1bn project to
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Strategy, 2(1), 58.
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192 Olson
Chapter XI
Human Factors in the
“System Selection”
Stage of Library
Automation
Nasrine Olson
University College of Borås/University of Gothenburg, Sweden
Abstract
The aim of this study was to gain further insight into the suitability of a
couple of different methods for investigating the possible human factors
that have a significant bearing on the system selection of an automated
library system. The two methods tested in this study included first a set of
interviews whereby a number of people involved in library automation
were asked to identify the factors that they perceived as having a
significant bearing on the selection of an automated library system. The
second interview method tested was the story telling approach, whereby
a librarian was asked to tell her story of how and why the library that she
worked for had chosen a particular library system. The results of this
study showed that although both methods involved interviews, their
outcomes varied somewhat where the story telling method highlighted the
social interactions in a more noticeable way. A major point learned from
this study was that particular attention should be paid to extracting
information about more complex issues where the informants may not be
able to easily identify or convey the required information.
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Human Factors in the “System Selection” Stage of Library Automation 193
Introduction
Since the introduction of automated library systems within libraries1 a large
amount of literature has been accumulating on various aspects of library
automation2. According to Storey (1992, p. 1), the two lines of approach
excessively found in the library automation literature are the “ machine side” and
“what we did in our library to install a system”. Like others (e.g., Fine, 1986,
p. 84), Storey finds the amount of literature written on “human aspects” less
frequent. However, today the fact that people have a pivotal role in organizations of libraries and in the process of automation is discussed and accepted
widely (Clarke & Morris, 1998; Jordan & Jones, 1995; Farley, BroadyPreston et al., 1998; Olsgaard, 1989). For example, it is stated that more than
half of libraries’ budgets are spent on staff salaries (Jordan & Jones, 1995),
large-scale changes that result from system migration will affect all levels of staff
(Clarke & Morris, 1998), and based on indications from research, 90% of
change initiatives fail due to human factors not being taken adequately into
account (Goulding, 1996). Similarly, Olsgaard (1989) indicates that 85% of all
failures in systems implementation could be attributed to people problems.
Despite the vast range of literature and guidelines available regarding library
automation, costly mistakes are still made and problems are still recurring on
a daily basis. Furthermore, research on the human factors that are of significance in the process of adoption and use of automated library systems are still
minimal (e.g., see Clarke & Morris, 1998).
Based on this background, further research in this area seemed to be needed.
In the present study, which was conducted in preparation of the design of the
data collection instrument of a wider doctoral research, a pivotal point of
interest centers on making sense of how and why library workers select their
automated library systems.
The ever-changing Automated Library Systems3 (ALS) of today, even in their
simplest forms, are very complex due to the enormity of the number of functions
that they have to perform4. It would be very difficult (if not impossible) for a
library to make a rational, fully informed decision about its choice of automated
system based on a thorough examination of each detail of all of the potential
systems, especially in the light of diminishing library resources, the changing
marketplace (Mayo, 1995) and prevalent technologies. DiMaggio (1983)
suggests that in situations of technical uncertainty, when rational evaluation of
alternatives would be too costly, imitation (mimetic isomorphism) becomes a
decision-making strategy. It has further been suggested that under circumCopyright © 2004, Idea Group Inc. Copying or distributing in print or electronic forms without written
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194 Olson
stances of high uncertainty and unknown factors, managers’ choices and
actions will be bounded by the wider social conditions (see Alvarez, 1999).
These give rise to many questions, such as: What decision-making strategies
are used with respect to libraries’ choices of ALS? What are the wider social
conditions in which such decisions are made, and what would the effects of
these social conditions be on the decisions made? What are the factors that
affect the library workers in their pursuit of selecting a new system and what
reactions are then formed as a response to these factors? What roles do these
reactions play in making the choices? Does the structure of the library play a
role in the library workers’ automation activities? Based on what rules and
resources do members perform these activities? Do these activities in turn
affect the rules and resources?5 These are some of questions set to be answered
by the aforementioned research project. Basically, what is of interest is to see
what libraries’ automation choices are based on and what factors (specifically
human factors) play a role in the process of making these choices.
Although ALS, per se, have been in existence and in use for several decades,
when a library is about to embark on the process of selection and subsequent
purchase of a new system, that new system could be seen as an innovation for
that library.
Rogers (1995, p. 11) defines innovation as “an idea, practice, or object that is
perceived as new by an individual or other unit of adoption” (also see Zaltman,
Duncan et al., 1973). Importance is placed here on the word “perceived”. As
Rogers (1995) explains,
It matters little, so far as human behavior is concerned, whether or not an idea
is objectively new as measured by the lapse of time since its first use or
discovery. The perceived newness of the idea for the individual determines his
or her reaction to it. If the idea seems new to the individual, it is innovation.
As such, adoption of ALS by libraries could be looked at in the light of the
theories that explain the adoption of information systems by organizations6. The
research performed and the theories developed in the area of diffusion of
innovation are very extensive7 and provide insightful explanations of the
relationships between innovations and their acceptance or rejection by an
individual or groups of people. Furthermore, similar to what is set to be
achieved in the above mentioned research, among the vast number of studies
completed in diffusion research, many seek to discover independent variables,
or factors, that tend to influence the technology acceptance (Kwon & Zmud,
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Human Factors in the “System Selection” Stage of Library Automation 195
1987; Rogers, 1995). However, what differs between the mainstream diffusion
research and this research is the focal point of the study. Diffusion studies have
indeed been criticized for tending to side with the promoters of innovation
rather than adopters (Rogers, 1995). In most diffusion research, the innovation
is the center of the study with the aim to study how its adoption is spread. In
this study the situation is rather reversed and importance is placed on the
adopter rather than the actual innovation. The interest here is not to find out how
a particular ALS is diffused among the library community, or which libraries are
the early adopters of a particular system. Each library that embarks on the
process of purchasing a new automated system is faced with a collection of
potential systems. The center of interest in this study is placed on the libraries
and library workers (the adopters) and how and why they choose a particular
system among the many (often very similar) possible choices that may be
available to them; a central question being the factors (especially the human
factors) that play a significant role here. Regarding the individuals that come
together in organizations, O’Donovan (1998) describes that the many different
roles and lifestyles that make up an individual’s self-concept are integrated into
his or her life orientation or life plan that informs and orders the individual’s
activities. He then proceeds to indicate that between these individuals’ own and
the group’s interests, there can, however, exist a tension. Due to their
membership, the members accept some responsibilities while in turn they form
expectations of the other members in their pursuit for finding a shared approach
towards mutual goals. Hence, an individual’s life is essentially social, as life
orientations cannot be achieved without others.
Although the innovation theory has been praised for having made a considerable contribution toward understanding innovation diffusion, it does not fully
explain the various influences that are in play in such complex situations as the
selection of a complex, and to a great extent unknown, automated library
system among several other similarly complex and unknown potential systems
in the social organization settings of libraries. Even though the diffusion process
is said to be a social process, taking place in a social setting, the diffusion theory
has been criticized for not adequately dealing with the complexity that this
entails (e.g., Alvarez 1999; O’Donovan, 1998) and thus, the social influences
on the diffusion of information systems in organizations are being increasingly
discussed and are receiving increased attention and acceptance (see
O’Donovan, 1998).
Thus in forming a theoretical framework for studying the selection of ALS by
library workers, not only theories that explore the implications of the social
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196 Olson
context of such decisions need to be considered, but also several other relevant
research fronts such as human behavior, decision making and organizational
buyers become of interest and importance.
As such, the presentation of the theoretical framework for the wider research
and relevant literature reviews and presentation of the lines of thought behind
the planned study are beyond the bounds of this chapter. However, in
preparation for that research a preliminary study was conducted and this
chapter is dedicated to presenting it.
This chapter includes a presentation of some of the literature that is encountered
in the field of library and information science (LIS), which addresses some of
the related issues with regards to the selection of ALS.
Aim and Objectives
The aim of the present study is to add an extra dimension to the design of data
collection instruments of a wider research by contacting people involved in the
process of automation to see if their perception of the factors and events
surrounding library automation could provide further insight into the design of
the wider research.
In order to do so a couple of questions were formulated as follows:
•
•
What do library system vendors and library decision-makers see as being
the significant factors in the system selection phase of automation?
What factors can be identified as being of significance by way of listening
to the story of system selection as told by library workers?
Method
This study includes two sets of interviews:
1)
The first set comprises four approximately 1-hour long semi-structured
interviews with:
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Human Factors in the “System Selection” Stage of Library Automation 197
•
•
•
•
A sales person (hereafter referred to as SP) who has been involved
in more than 200 sales of ALS
A system developer/vendor (hereafter referred to as SD) with the
double role of being head librarian at an academic library
A head librarian (hereafter referred to as HL) at an academic library,
which now runs its third ALS
A systems librarian (hereafter referred to as SL) who has been
involved in a major purchase of an ALS for use by a consortium of
five different academic libraries
These informants were asked to identify the factors, which, based on their
experiences, could be seen as having a significant bearing on the process of
selection of ALS. The interviews were generally divided into two sections. For
the main part of the interviews no suggestions of possible factors were made to
the informants and they were allowed to freely account for all the factors that
they saw as important. Once they felt that they had come to the end of their list,
the author solicited their views on a number of other potential factors mainly to
see whether these factors had just been forgotten or whether these factors were
not seen as important.
2)
A different approach was used in an additional interview with a library
worker at a public library, where the informant was asked to tell the story
of how and why the staff at her library had chosen their particular ALS and
to relate the experiences she had with the system selection process to any
relevant past experience in her life as she would deem appropriate. Unlike
the first approach, in this life-history-like interview, the emphasis was
placed on the informant and her experiences and she was not directed to
account for possible factors. The aim with the inclusion of this different
approach was to see if the data gathered could be enriched and a new
perspective added.
When analyzing the first set of interviews a comparative perspective was used,
while for the latter interview a more hermeneutic approach was called for.
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198 Olson
A Brief Review of Some Relevant
Literature in the Field of LIS
In reviewing the literature in the field of LIS many issues that are related to
selection of ALS are discussed by both practitioners and researchers. Although
the research done in this and other related areas provide a basis for furthering
the knowledge in this field, the many issues and concerns that are raised and
discussed by practitioners (and indeed the reports of the situation in different
libraries and the guidelines provided based on local experiences) are seen as
valuable and relevant in this chapter.
To provide an overview of the topics taken up in this section and the connection
between these, a summary follows.
Change within organizations is a complex phenomenon and as such has
received much attention in the literature. Many have discussed the introduction
of a new ALS or subsequent changeovers of such systems as a change agent
within libraries affecting many aspects of the organizations of libraries. The
importance of human issues has been highlighted and reactions to change have
been examined. It has been indicated that attitudes and reaction to change can
vary from person to person, and that in anticipation of change, people can
behave in different ways, leading to different types of automation acquisition
decisions. Some of the complex issues and factors that can come to have a
bearing on the process of selection of ALS and which can be of significance in
this process have been identified in the literature. These include factors external
to ALS such as organizational (e.g., organizational structure and culture, etc.)
and human factors (e.g., staff involvement and motivation, etc.), as well as
factors more directly related to the automated systems.
Automated Library System as a Change Agent
Kinnersley (1996) suggests that change has become a constant in the lives of
most librarians and reports that automation of the cataloging, circulation, and
public access functions at a library cause changes to the tasks of virtually every
employee at that library. Similarly, whether it is the first time around or a part
of subsequent changeovers to newer systems, many have identified the introduction of ALS as a change agent. For example, Cartee (1990) examines the
effects of introducing information technology on library managers, while
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Human Factors in the “System Selection” Stage of Library Automation 199
Shaughnessy (1982) discusses technology and its effects on organizational
structure. The effects of large-scale adoption of IT on individual jobs and
organizational structures are also claimed by Cross and Bawden (1987).
Similarly, Drake (1993) speaks of technology as a factor that affects the
organizational structure of libraries. Pungitore (1986) develops a scale designed to measure the extent to which automation is utilized in public and
academic libraries in order to conduct comparative studies of the effects of
technological change on traditional library organizational and staffing patterns.
Moran (1989) names the adoption of new technologies as one of the driving
forces behind the changes and claims that as much as technology has already
changed libraries, these changes are likely to just be the beginning. New
technology represents change, even according to Morris and Dyer (1998),
who state that this would mean giving up familiar ways and facing the unknown.
While highlighting the required effort and acceptance of new ideas and
concepts, they also point out that it would disrupt well-established behavioral
patterns, habits and securities. Crawford and Rice (1997) found that changes
in the amount of library automation caused changes in several bases of power
and that automation can be a change agent within organizations, causing
changes in structure, bases of power, and in power itself. Fine (1982) claims
that other than war and other calamities, few other changes in our social lives
seem to produce a reaction with the same intensity as is aroused by the coming
of technology. As a practitioner with a directory position at a library, Mason
(1991) proposes that many of the innovations within libraries are technological
and as such these offer the most obvious and dramatic opportunity for change.
She further states that as technology does not exist in a vacuum, technological
change would create and respond to other dimensions of change within an
organization.
Importance of Human Issues with respect to the
Introduction of IT and the Consequent Management of
Change
Finer (1982) proposes that the introduction of technology affects people in a
far more complex tangle of influences and effects than does a simple matter of
changing the way they perform their work. While she presents an indication of
a reasonable awareness among people about the “people problem” in using
computers, she does not find this awareness or concern reflected in the
literature and research of the time (p. 32).
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200 Olson
This lack of attention to the human issues was further reported in the same year
by Fine (1982), who claimed the human factor to be the most complicated
aspect of any technological system, one which had received the least amount
of attention, had been the least discussed, least researched and perhaps least
understood. As such, several of Fine’s further works attempt to address this
problem. Since the early eighties the human factor, the effects of information
technology on people, and the considerations that need to be addressed with
regards to people and the introduction of information technology within
organizations8 have gained momentum, and many interesting works have been
produced. For example, Cross and Bawden (1987) present an overview of
some of the literature on IT and human and organizational factors and report
that the introduction and management of new information technologies are
important topics for every organization. They further report that consideration
of the human and organizational factors implicit in, and affected by, the
introduction of new IT systems is clearly recognized as an absolutely crucial
factor in success. Morris and Dyer (1998) state that staff would be most
directly affected by a change of system, and in highlighting the importance of the
human aspects of library automation they dedicate an entire book to numerous
issues, offering guidelines as to how different aspects should be handled for
successful management of the automation project. Clarke and Morris (1998)
point out that it is fundamental to manage the change if librarians are to
successfully respond to technological developments. Among other findings in
their study they report that the nature of staff’s reactions to change could be
linked to staff’s perception of whether the new system would be an improvement upon their older system. They also found support for the theoretical
guideline that the involvement of staff in the process of automation is both
important and beneficial. As such, they conclude their chapter by providing
further recommendations for those libraries that face a challenge of system
migration.
Reactions to Change
Attitudes towards change can vary from person to person, and according to
Kinnersley (1996), those who want change embrace it and see it as an
improvement and a good thing, while change makes others uncomfortable. She
sees both change and resistance to it as inevitable. Similarly, Fine (1986) is of
the view that human beings tend to resist change and its turmoil even when
change represents growth and development or greater efficiency and produc-
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Human Factors in the “System Selection” Stage of Library Automation 201
tivity. However, in a study done by Clarke and Morris (1998), the general
attitudes towards a new automated library system (change) were observed to
be strongly positive.
Although the reactions to change might have been reported to vary in different
studies, what seems to be of general agreement is that a strategy for managing
change would lead toward a more successful end. In addition to these, it is
change, the reactions to it, as well as its management that have been the center
of much attention and discussion in the literature9.
Fine (1982) suggests that resistance is related to whether or not people are a
part of the decision-making process in their organization and that resistance is
a feeling, indicating that unless the fear and the feeling are addressed, the
resistance is not likely to be reduced by argument and reasoning. Further, she
(Fine, 1982, pp. 217-219) suggests that “responses to technology are a
function of an individual’s personality, attitudes and values, life experiences and
technology-related experience, the environment in which the technology exists—and the attributes of the technology itself”. However, as a result of a later
series of studies based on public libraries and library schools, Fine (1986)
suggests that resistance is not a function of personality or of demographics.
Resistance is rather suggested to relate to the climate of the organization and
an individual’s beliefs, attitudes and values.
Morris and Dyer (1998) also examine the factors that can lead to resistance to
change including various fears, such as fear of the unknown, obsolescence and
failure, economic insecurity, changed relationships, changed working practices, and increased management surveillance. Others also highlight various
types of fears as factors contributing to resistance such as Finer (1982), who
also refers to the instances when the resistance to change is more likely. These
include instances of unfamiliarity with the relevant facts by employees, when
employees do not see the consequences as beneficial to them, when employees
find it difficult to relate to the change agent and when the change is not initiated
or sought by the employees.
A different perspective on this is proposed so that rather than looking at the
human reactions to the introduction of technology directly, one could first try
to identify various attributes of technology that lead to different reactions.
According to Fine (1982), it would seem that technology has certain properties
and characteristics that could become a unique and powerful stimulus and
suggests that one way of looking at technology would be in terms of its
attributes. She then proposes that human beings react to these attributes rather
than technology itself. The attributes identified by Fine include speed, volume,
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remoteness, rigidity, built-in obsolescence, foreignness, technology requiring
specialized expertise and technology being its own reinforcer. She then
suggests that although one may not be able to account for personal and historic
bases of an individual’s attitude formation, one could look at the kinds of
perceptions and reactions that the attributes of technology tend to generate.
Decision-Making and System Selection
Selecting an ALS among a number of possibilities involves decision-making,
which forms a central issue in the present study. Morris and Dyer state that a
high level of intellectual skills is required in the tasks that involve decisionmaking. In these tasks people take on the role of an information processor with
respect to which there are a number of limitations and characteristics that
according to Morris and Dyer are not usually taken into account. These include
the “primacy” effect, where too much emphasis is placed on the information that
is collected early on in the process. Furthermore, people are conservative and
their opinions do not tend to be revised based on new data, and people are also
not always able to make full use of available information, and finally decisionmakers often opt for the least effort and do not consider all courses of action
(Morris & Dyer 1998, pp. 17-19).
Regarding selection of an automated system for the library, Rowley (1990)
suggests that after having identified system requirements, it should be possible
to identify a system that best meets the requirements for a given application. In
this regard, Morris and Dyer (1998) propose that careful evaluation of all
available options should be made before a system is chosen. Furthermore, with
regards to system evaluations, they refer to the concepts of utility, usability and
likeability (meaning that the system does the job you want, can be used by the
staff and is enjoyable to use, respectively), which should be balanced against
the cost and consequences in order to arrive at a decision on acceptability.
In addition to the vast amount of literature that offers guidelines as to how one
should go about library automation10, there are an abundance of case studies
that explain how various libraries have conducted such projects in their
respective libraries, often highlighting the lessons learned and guidelines for
other libraries that plan to embark on similar projects11. Many of these case
descriptions report group decision-making and more or less successful outcomes.
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Factors that Could Directly or Indirectly Affect the
Process of System Selection
The various factors that can be found in the literature in this area are extensive.
According to Storey, particular physical constraints and emotional pressures
are evident in the people that are involved in the process of library automation,
both during and beyond the installation (1992). In introducing automation
successfully into libraries, Storey (1992, p. 2) suggests that one of the important
questions to ask is “what emotional pressures do they bring to bear on the
process”. He (Storey, 1992) then goes on to enumerate some emotional
pressures, where among others, the negative ones include various fears and
frustrations and the positive ones include personal development, anticipation of
the new and exciting, and elation at a major or minor victory. Finer (1982)
addresses similar issues in suggesting that the fact that a change will affect
people is a cause for anxiety even if people have a thorough intellectual grasp
of the reasons for change. She further suggests that there is likely to be a
judgment of the change, not just after the event, but even beforehand, which
means that preconceptions about the overall direction of the change can
color the way one sees his or her involvement in it and indeed the way one
acts.
In decision-making and selecting a system among several possible systems,
human information processing will take part. Some of the factors affecting this
human information processing such as attention, arousal, motivation, mental
capacity, perception, memory, and learning were highlighted by Morris and
Dyer (1998).
The complex array of feelings, attitudes, beliefs, actions, and reactions that
come to play a role in the process of system selection form a complicated
complex setting. While the price of potential systems could possibly directly
effect the choice as a tangible factor, the exact role of some other factors such
as motivation and the perceived future effects of a choice on one’s job design
are not so easy to trace and outline. The following is, therefore, just a selection
of possible factors that are addressed in the literature as probable factors that
somehow (directly or indirectly), to a lesser or greater extent could have
bearing on the system selection process.
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Staff Involvement
The importance of staff involvement is highlighted widely in the literature. Finer
(1982) names staff involvement as one of the key issues in accommodating the
human side of change. It is further said to help staff to feel less impotent and to
mobilize constructive forces for problem solving and commitment to the
implementation of decisions (Fine, 1986). Staff involvement in the process of
automation can lead to a reduction in the resistance and level of the uncertainty
felt (Butler & Davis, 1992). Cross and Bawden (1987) point out that by virtue
of their knowledge, involving the staff in the process would allow for a unique
contribution to the successful introduction of IT. Other studies show how the
library workers themselves indicate that they would like to be involved (e.g.,
Shaw, 1986). Although the general agreement in the literature is that staff
involvement in the process of decision making and automation is positive, some
authors warn that involving staff on all levels in developing specifications and
vendor response evaluation does not necessarily have to be beneficial, and
instead suggest that the right level of the staff should be involved in the right ways
(Clarke & Morris 1998).
Lack of System Thinking
In the trade-offs necessary in the choice of library systems, one would face a
problem if various sections of the library could not see the good of the whole
in preference to the best solution just for their part of the library. Shaughnessy
(1996) identifies the lack of system thinking, which relates to developing a
construct of the library as an interrelated whole—an organization that is more
than the sum of its parts—as a major internal problem in large libraries.
First Time Around versus Second Time Around Automation
First time around automation and subsequent changeovers are differentiated in
the literature (e.g., Clarke & Morris, 1998; Sykes 1991) mainly due to the fact
that the automation experiences and efforts of the first time around automation
seem to differ from those who have had previous experiences with the process
of library automation. As such there are different issues involved in the choice
of an automated library system depending on whether it is the first time that a
library is buying a system or whether the library is replacing an existing
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Human Factors in the “System Selection” Stage of Library Automation 205
automated library system with a new one. For example, one of the issues
touched on by Morris and Dyer (1998) involves the level of uncertainty or fear
of the unknown, which seems to be a stronger influence against change for the
people experiencing first time around automation rather than those going
through subsequent changes.
Lack of Technical Knowledge
A major disabling factor in the choice of automated system is due to lack of
technical know-how. In a study performed by Clarke and Morris (1998:), they
found that the technological complexities of the technology used in a library
automated system limited the extent to which some members of the staff felt
meaningfully involved. The lack of technical expertise was reported to have
prevented some staff from making worthwhile contributions and others from
any involvement in the process.
Lack of technical know-how is of a particular importance at the managerial
level, where organizational problems and authority and control issues could
arise when managers with limited knowledge must make a timely and possibly
costly decision or supervise workers with higher computing skills (Lamont,
1999).
Incentives, Job Changes, Job Designs and Motivation
Motivation, job designs, job satisfaction and incentives are very closely related
areas. Various studies have been done to determine the factors affecting these
and the effects on staff performance. In a case study by Farley, Broady-Preston
et al. (1998), issues regarding motivation were examined and they found that
motivation “came from internal factors to do with the work itself, such as having
the ability and experience to solve problems and provide a good service” (p.
247). In other words motivation was derived from the confidence in one’s own
abilities and professionalism.
Jones and Jordan (1987) report that change at work could have an impact on
staff job satisfaction and motivation. As library automated systems can affect
job contents and job designs, they can therefore affect levels of motivation.
Then in turn staff motivation can affect their behavior in dealing with automation
in general and in system selection activities in particular.
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In a study of a system migration done by Clarke and Morris (1998) it was
suggested that staff reactions would be particularly positive if they saw that the
new system offers improvements to both their job tasks and to the library
service. It was reported that in that particular study, staff were not reluctant to
give up their skills and knowledge of the old system and some saw the
introduction of a new system as offering wider benefits, especially in terms of
sharpening their skills and re-examining their working practices. Many also
welcomed the opportunity to learn something new.
Farley, Broady-Preston et al. (1998) have also reported that staff job satisfaction, motivation, and response to change can be radically improved if attention
is paid to job design following organizational and technological change.
Furthermore, it is stated that a lack of consideration of this might lead to
considerable resistance from the staff, whose motivation, commitment and job
satisfaction would suffer much damage as a result. Furthermore, in that study
they also identified responsibility, recognition and problem solving as factors
contributing to job satisfaction, while an additional factor mentioned by all of
their respondents was the importance of contact and interaction with library
users.
Similarly, in a study done by Sykes (with the study population being nonprofessional staff), he has identified two main motivational factors (leading to
job satisfaction). One is “the personal contact with the users of the library or
other members of staff” and the other is “the feeling of doing a job well”.
However in Sykes’ study very few were equally motivated by these two factors
and the interviewees had stressed either one or the other of these factors as the
most important (Sykes, 1991, p. 42).
Uncertainty
Fine (1986) refers to business-based research in suggesting that change in
technology produces a break-up of established social routines for employees,
leaving the individual uncertain about the courses of action that should be taken.
Crawford and Rice (1997, p. 267) refer to a definition of uncertainty in which
it is defined as “a lack of information about a future event, so that alternatives
and their outcomes are unpredictable”. As such they suggest that coping with
uncertainty refers to the extent of resources that are applied to reducing or
responding to levels of uncertainty. Increased communication within organizations seems to be one way of reducing the uncertainty. Burkhardt and Brass
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Human Factors in the “System Selection” Stage of Library Automation 207
(1990) present previous research in this area and suggest that the increased
communication will take place in order to interpret the change in the organizational technology and to reduce uncertainty. It does not seem surprising that
many authors have highlighted communication as one of the keys in times of
change and uncertainty (e.g., Finer, 1982).
Organizational Factors (Structure, Culture, Managerial Style,
Environmental Pressures, Politics and Financial Resources)
As mentioned previously, the introduction of new library automation or
subsequent changeovers can affect the structure of the organizations of
libraries. On the other hand, the organizational structure of libraries is also
suggested as an influential factor in the process of introduction and selection of
ALS. Many case studies report an influence of the organizational structure on
their automation project (e.g., Reeves, 1984). Indeed, one of the crucial
factors identified by Farley, Broady-Preston et al. (1998) for the successful
implementation of change is the structure and managerial framework of an
organization. They find that organizational structures in academic libraries tend
to be rigid, task-oriented and bureaucratic, further suggesting that the flexibility,
which is essential in a period of uncertainty and change, is not allowed by
bureaucratic structures.
Sykes (1991) discusses the supportive reasons for flexible and participatory
style of management with respect to library automation, but also warns of the
risks of automatically acting on recommendations to change to this style of
management if one is not already currently doing so. He agrees that a
participatory approach will yield the best results, but he also mentions that this
will not invariably be the case.
Shaughnessy (1996) supports the idea that a reason behind not putting the best
ideas and creative insights into practice is that they conflict with deeply held
internal images of how the organization works, images that limit us to familiar
ways of thinking and acting. He further promotes the view that in order to
overcome this, the most important responsibility of leaders is to manipulate and
transmit the organization’s culture.
Paul (2000) suggests that the commitment and willingness to innovate among
library staff is most likely to be fostered if library directors posses a number of
managerial traits. Among others, these included the ability to be highly
communicative and open to the participation of others in decision-making
processes.
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Paul (2000) highlights accelerated technological change (digitalization and
networking), growing expectations of high-quality service, shrinking budgets,
and dwindling resources as factors that are steadily increasing demands on
libraries and creating enormous external pressure for innovation in the services
that libraries are intended to provide.
As for politics, Butler and Davis (1992) suggest that it could play a macro role
in the way automation is dealt with by the library workers. How the library is
perceived by the parent organization and how this enables or limits the library’s
opportunities in gaining support or funds are central issues here.
Decreasing budgets are seen as a restrictive factor. Moran (1989) mentions the
changes in library budget and budgeting for technology. As such it is highlighted
that other resource demanding areas might reduce the libraries’ ability in
allocating adequate resources to libraries’ technological needs. Budgetary
reductions and rapidly rising costs are also included among the forces that are
seen by Butler and Davis (1992) as pressing back the leaders of academic
libraries in the 1990s.
Reasons for Purchasing a New Automated Library System
The decision to purchase a new automated library system can be made for a
variety of reasons. Clarke (1995) suggests that people sometimes make
changes simply to break up boredom and monotony. If such extreme unlikely
reasons were to base an automation decision then one could imagine that a
different process would probably take place than in cases when the reasons
behind automation are of a more serious nature. Hence it would be of interest
to look at the various reasons that are reported to give rise to automation
decisions.
In a case study done by Reeves (1984), he mentions that the decision in that
first time around automation was due to problems with slowness of manual
operations leading to long queues at peak times, double work, and inadequate
access to some information, which all led to levels of service that could be
improved. In another case study by Khurshid (1996), it was found that
processing of library materials involved slow, labor-intensive procedures
involving duplication of effort in various departments of the library, and
therefore automation was suggested as a means to improve library operations,
management of collection and user services. A reason behind the decision to
automate is given by Morris and Dyer (1998) to be the libraries’ need to
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Human Factors in the “System Selection” Stage of Library Automation 209
improve efficiency because of an increased demand or reduced staffing levels.
Storey (1992) suggests that the central argument for automation should be the
advantages provided to users. Rowley (1990) highlights a couple of categories
of objectives, the fulfillment of which (collectively or individually) are the
common reason behind the installation of computer based systems. These
include improvement of efficiency and the ability to offer a better or greater
range of services.
System Related Factors
There are many introductory books and guiding literatures addressing issues
that could be classified under this topic (e.g., Duval & Main, 1992; LITC,
1992a, 1992b, 1992c; Leeves, 1994; Tedd, 1993). Such a detailed overview
of these will not be possible here; however, some of the most common general
aspects, which are emphasized as needing particular attention, are system
functionality, user friendliness, technological advancement, level and quality of
support available and the vendor company’s reliability and financial situation.
Results
As mentioned earlier, two sets of interviews were conducted. The informants
were informed of the topic of the interview in advance in order to allow some
time for reflection.
Interview Set One
In the first set of interviews, the emphasis was placed on the possible factors
that had seemed of significance to the informants (SP, SD, HL, and SL).
In comparing the list of factors presented in the literature review, the system
specific factors were given the highest priority by the three library workers (SD,
HL and SL), who spent the main section of their responses discussing these.
However, the other interviewee (SP) indicated that from the outset, it would
seem that factors such as economy or system features would base libraries’
decisions; however in reality the decisions are often based on irrelevant,
irrational grounds. He likened the situation to buying a car, where one has really
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formed a preference for a particular type and then would go around looking at
other possibilities just to collect supporting arguments for his or her original
choice. In SP’s work with sales of many library systems he had come to feel
that many libraries really know (consciously or unconsciously) from the
beginning of the process which system they would like to buy.
In his view, one could often know which system a library is interested in just by
looking at their system specification documents. They know the system they
want and they write the system specification document in order to obtain12 that
particular system.
I can take one of these [system specification documents] and say oh, they want
to buy that system. I can see it clearly; it’s obvious, because they ask the
questions that they know we’ll say yes and no in the right places, …
…It’s pretty obvious sometimes it’s ridiculously obvious.
SD also mentioned the fact that this can occur. Indeed, the other two informants
(HL and SL) who had previously indicated that systems functionality was the
most important factor in selecting a system also agreed that it would not be
possible to test all of the systems in detail against the system specification
document.
Regarding this, SL said:
I think that [testing all systems in detail] would require a lot of work and I don’t
think a library like this really has that kind of resources.
HL’s response was that from the beginning they had the intention to have the
potential systems in-house to test and compare; however, they had realized that
this would have been very time consuming and impractical.
HL then went on to say that they were not so naive as to believe everything that
vendors claim their systems can do. One experience that they had acquired
from previous purchases was that although one thinks that one has written what
one wants in the system specification document, in actual fact this is not quite
so. Furthermore, vendors only answer to each sentence, interpreting it in the
way they want. For example, if it was written that foreign currency should be
exchanged into the local currency in the accounting section of acquisition, the
vendors would answer positively to this demand, but in actual fact what they
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Human Factors in the “System Selection” Stage of Library Automation 211
mean is that it is possible to exchange the foreign currency into the local
currency in the accounting section of acquisition, but you have to do it yourself.
According to all of the respondents in the first set of interviews, price and
technical platform could be the deciding factors, but only in a fraction of the
cases.
Except for one of the respondents (SP) who named staff’s feelings, attitudes
and irrelevant reasons as being the most significant factor in the choice of ALS,
the human factors were not among the first factors named early on in the rest
of interviews.
However at a later stage of the interview, SD referred to “old habits,” by which
he meant that upgrading the current system is often preferred to buying a new
system. Later on in the interview he also referred to the staff’s level of
competence, past experiences, and staff involvement in the process of selection
as significant. He also listed emotional bindings, anxiety and anguish in relation
to decision-making, and a network of contacts as important.
HL only highlighted the first-time-around versus further system purchases and
mentioned that staff experiences with past systems play a role. This was also
a factor mentioned by SL. However, when at a later stage of the interviews
other factors were mentioned to the informants, they went on to discuss the
importance of a few additional issues. Among these were staff involvement,
attachment to the older system, and influences of key personnel on others. With
regards to the latter point, one of the informants (SP) explained that the final
choice could depend on where in the library the decision is made, as to whether
the decision is made by the top management or by the staff at lower levels. He
added that of course it often seems to be the case that people involved in the
process know what decision is expected from them by the top management
without things being said. Such cases seem to be very common. Later on in the
interview he said that in public libraries, the decisions seem to be often a team
decision, but even then it would be hard to say; what could look like a team
decision could actually be something else, because you have dominant people
influencing the decision. He mentioned that the opinion of the head librarian is
always very important. He had been involved in cases where a library had gone
through a long process and had almost chosen a system, to then suddenly
change the decision overnight only because the head librarian had changed.
Indeed all of the informants were in agreement that the head and systems
librarians’ views can have a strong effect on the other library workers’ views
and thus on the choice of the system.
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Factors such as a vendor company’s reputation, location, language or system’s
innovativeness, openness, level of support offered, and other system related
factors all were accepted as being important factors. However, the effects of
these were said to differ from case to case, affecting the outcome differently in
both directions (positively or negatively) depending on the libraries involved.
For example, with regards to support it was said by one respondent that while
some libraries look for full support and expect to do minimal administrative
work in order to run their systems, others with local expertise prefer to be
involved in the support and development of their systems to a much higher level.
Another example given indicated that if a system was Swedish this would
positively affect the choice in public libraries, while it would probably have the
opposite effect in academic libraries.
With regards to sex and age, none of the informants had found these as
influencing factors, at least not directly. One response was that these factors
could only be of importance to the level that they affect the level of technical
know-how and expertise.
Other factors that were seen as unimportant were: detailed features of the
system, politics and time constraints according to SP; sales people, dominant
personalities (not referring to the roles of head librarians or systems librarian,
but rather personalities of other staff that attempt to get their own way), politics,
interference from the parent organization and time constraints according to HL;
and finally price, marketing, and time constraints according to SL.
In general all of the factors mentioned in the literature review were brought up
except for job changes and job designs.
In response to the timing of the choice of system made by the respondents
personally in comparison with the final official decision, both HL and SL
indicated that their personal feelings about the choice of the system (which in
both cases was the same as the final decision) had occurred at sometime prior
to the final official choice. In the case of HL, this personal preference had
probably taken form a couple of months prior to the final official choice, while
in the case of SL, this personal choice had dated back to a time prior to the
writing of the system specification document.
Interview Set Two
The final interviewee was asked to tell the story of the system selection at her
library and explain as to how and why they had chosen this particular system.
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Human Factors in the “System Selection” Stage of Library Automation 213
No mention of the factors was made to her. If relevant, she was asked to relate
her experience of their system selection process to any past experience or life
event as she saw fit.
The response of this interviewee differed from the other interviews in that she
started with her own educational background and how during a job at a
bookseller she had started to experiment with building a small database just for
fun. That playing around had led her to become efficient in the use of that
DBMS, which consequently had led to improvements in that initially very simple
and small register so that it had eventually become a reasonably advanced and
useful system that had continued to grow and be used even after her departure
from that job. This experience had eventually led her to her current position as
the systems librarian at a small public library, although she had initially been
employed on a temporary basis as the person in charge of general information
technology, but not including the management of their automated library system
of the time.
In this long interview about the very uncomplicated uninvolved selection of a
new automated library system at a small library, many interwoven chains of
events were described that showed how a simple playing around with a
database program had led the informant to eventually land a systems librarian
job and be given the joint responsibility of finding a new system for the library.
The story then went on to explain how external regional politics and reorganizations had led to the possibility and initial decisions to change the system and
how among other factors, the library’s wish to mark this new identity had played
a role in changing systems.
This was followed by how the general public library culture had led them to only
consider the two Swedish library systems on the market; how the two involved
persons had come to choose one of these systems above the other (probably
mainly due to the reputation and accepted image of that system), only for the
head librarian to then go ahead and buy the other option, the system which was
not the choice of the staff. The reason for this was the price difference between
the two.
Then in a retrospective reflection, the informant came to tell the story of the time
when she as a student at the library school had spent the practice section of her
education at a library. An important issue in this story was that the person who
had been her supervisor at that library had later become a salesperson for the
system, which was later bought at her current library.
She had come in contact with that salesperson again later on while working in
her current position due to the personal contacts that her boss, the head
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214 Olson
librarian, had with that salesman. In fact, this personal contact had led her boss
to recommend her for project work at the salesman’s company while the
informant had been on leave. That short project work had been to test a new
system that the salesman’s company was developing at the time. That project
work therefore had given her the rare opportunity of seeing and testing a new
system that was being developed at that vendor company for future release.
That experience, however, had not impressed her concerning the new system
and if anything this had a negative effect on her view of the system. Therefore,
when later on she had been involved in searching for a suitable system, she had
been aware that both companies had plans to release new products, but she
also knew that the system that she had tested was not very impressive.
Although the reason for the system choice had been the price difference, the
informant could not exclude the friendship between the head librarian and the
salesperson as a very influential factor.
Later on in the interview the informant mentioned that the head librarian had
really decided about their choice of the system right from the beginning and that
the rest of staff were aware of this without words being spoken. Through the
process they had been aware that it would not be possible or easy to change
the head librarian’s view unless a very major convincing factor could be found.
It was also explained that the staff had felt resentment towards the choice, not
only because the staff preferred the system that was not chosen, but also
because some of the staff had preferred their older system to the new choice.
These resentments had led to lower inertia and a slow system implementation.
It was mentioned that there is always a kind of slowness expected as a part of
the change, and therefore the staff had moved forward with their work and the
use of the new system in due course. It was said that the staff still prefer the
system that was not chosen. It was also mentioned during the interview that the
head librarian had long since moved to other managerial positions in larger
libraries.
Discussion
Although, due to the scope of this chapter, no epistemological considerations
and discussions are included, it should be noted that this study has had a
qualitative nature, where the aim of the work completed has not been to
produce results that could be generalized; the aim has rather been to form an
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Human Factors in the “System Selection” Stage of Library Automation 215
insight that would aid a better design of data collection instruments of a wider
study. As such, a number of considerations were brought to mind as a result of
this study.
The interviews gave rise to the thought that library workers’ perception of what
happens at the system selection can differ from what actually happens.
For example, system specifications and functional requirements were mentioned by a couple of informants to be the main basis for their decision.
However, further discussions and deeper investigations indicated that detailed
full examinations of the potential systems against these specifications were not
seen as possible. This gave rise to considerations as to how to best design the
data collection instruments to better capture the actuality of the situation.
Another matter that became evident was that although the informants saw some
factors as influential, they were prevented from further clarifications, perhaps
due to the level of complexity involved. An example of this was the effects of
organizational culture and structure on the choices made. In the first set of
interviews, once this was put to them, the informants all agreed that organizational culture and structure could be important factors, but it could not be
specified as to how. In the interview in the second set, in the story told, it was
indicated that the public library culture had affected the choice of potential
systems (only the Swedish ones) that were looked at. One could also sense that
the choice made by the two persons assigned to this task could have been
affected by the image of one of the systems considered. One could also easily
observe a top steered decision making style in the organization. Another
example was that, in the story told, the price of the new system was given as
the deciding factor in choosing the library’s current system. However in
analyzing the story, other factors seem to be of importance also. This gave rise
to the considerations that the data collection instruments should be designed in
a way that would allow examining and puzzling out possible effects of such
complex issues without placing unduly demands on the informants. Similar
considerations would apply in deciphering the role and the extent of the
influence of key people, previously formed personal preferences, social and
professional networks and other social interactions and influences, which all
need careful treatment.
Furthermore, when asked to list the factors that they had seen as influential in
the selection process, several informants named issues that are of importance,
but not directly influential in the decision process. Therefore, if such questions
are to be repeated in the planned wider research, further clarifications would
have to be provided; alternatively such information will have to be elicited
differently.
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216 Olson
As for the complexity of the interactions that can exist between various factors
involved, although the first method used provided an extensive list of these, the
first set of interviews did not portray a full picture of the social settings or social
interactions surrounding the selection process; therefore the second method
seemed to provide a richer level of information indicating that this would be a
more appropriate method if a study of such interactions is of interest.
As the brief literature review above shows, many factors13 have been indicated
as possible variables and influential factors in the selection of an automated
library system. One could easily find examples of many of these in the interviews
(e.g., opting for the least effort as mentioned by Morris and Dyer, or resisting
the change when it is not initiated by staff as mentioned by Finer, or the
importance of staff involvement as mentioned by Fine). However, there were
issues that were brought up in the interviews that are more difficult to find in the
literature, for example the case where the staff had actually been included in the
process and had been assigned the task of choosing a system, only for their
findings and recommendation to be ignored. Another example is the possibility
that the selection of a system is made at an early stage of the process and that
the process could only be a justifying exercise. The importance of the views of
the head librarians and systems librarians were also emphasized by all of the
respondents, indicating that it happens that the views of head librarians are
known throughout the process by the staff, affecting their views and actions,
without it being discussed. Furthermore, one of the informants named marking
the new identity of the library as a reason for buying a new system, a reason that
is not a recommended basis for such ventures. These give rise to a couple of
considerations; firstly that reports of the worst case scenarios and irrational
system selections are difficult to find in the literature; hence a question arises
regarding the extent of such happenings in comparison with the “normal” cases.
A second question that the literature review and the findings of this study bring
to mind is with regard to the number and nature of factors that are feasible to
be included in a wider study.
A previous reflection that was further heightened as a result of the preparation
for this brief literature review was the enormity of the guidelines that are written
with regards to library automation. This gave rise to a couple of questions; firstly
to what level is this literature known and used by the library workers in their
pursuits to purchase a new automated library system, and secondly the
reliability of these guidelines. Not only would it be interesting to study library
workers’ information behavior at the time of automation, it would also be
interesting to test the available guidelines in order to examine the extent to which
research can support their value.
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Human Factors in the “System Selection” Stage of Library Automation 217
Finally, when reviewing the literature that explains the process of automation,
a more simplified view of the decision stage is often found. For example, as
shown in the above literature review, it has been said that after identifying the
system requirements it should be possible to identify a system that would
best meet the requirements, or careful evaluation of all available systems
should be made before a system is chosen. However, these interviews indicate
a more complex situation where it does not seem possible to follow such
guidelines in a straightforward manner, hence heightening the belief that further
research in this area would be beneficial.
The results of these interviews, as hoped, and in accordance with the aim of this
work, have led to several thought-provoking indications that require further
consideration in designing the data gathering instruments of the wider research.
It is hoped that this presentation will be of help to other fellow research students
in their preparatory work. Not only has the writer found the results of this study
of much value in her own work, but it is hoped that a look at the considerations
highlighted here might invoke valuable thoughts in others who plan to proceed
towards similar ventures.
Endnotes
1
2
For some historical accounts see Duval and Main (1992) or Tedd (1993).
The terms technology, automation, and automated library systems are
widely used, sometimes with divergent meanings attached. Although a
discussion of these terms will not be entered into in this chapter, the reader
should notice that the main focus of this chapter is placed on the selection
of automated library systems, which are a more identifiable entity.
Although, confusion can even arise in defining these. However, for the
purposes of this chapter it might suffice to refer to Duval and Main (1992,
p. 1) who define automated library systems as follows: “A library can be
regarded as being made up of functions such as acquisitions, serials
control, cataloging, circulation, and the online public (or patron) access
catalog (OPAC). When a computer system is used to operate these
functions, the term Automated Library System (ALS) is used.”
Issues causing confusion and further clarifications and relevant discussions will be taken up more extensively in the doctoral thesis; however for
now the reader should note that all of the referrals to technology and
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218 Olson
3
4
5
6
7
8
9
10
11
12
automation in this chapter will be with regards to information technology
and automated systems used within libraries.
Please see note 2.
Detailed description or even a listing of the functions that an Automated
Library System could include is beyond the bounds of this document and
the reader is referred to other literature, e.g., Leeves, J. (Ed.). (1994).
Library systems in Europe a directory & guide. London: TFPL
Publishing.
Please see structuration theory by Giddens (1984).
There is a vast range of research on diffusion of information systems in
organizations, so much so that classification systems have been devised to
categorize the studies in this field (e.g., Brabston, 1993; Kwon & Zmud,
1987; Swanson, 1994 in Prescott & Conger, 1995).
For some examples of these see Rogers (1995, pp. 88-95).
Including the organizations of libraries.
The amount of the literature on these topics is extensive, hence eliminating
the possibility of providing an overview of these in the scope of this
chapter. The reader is therefore referred to some examples of these, e.g.,
Atkinson, 1984; Baker, 1989; Bichteler, 1986, 1987; Branin, 1996;
Bridges, 1991; Brook, 1978; Burkhardt & Brass, 1990; Clarke &
Morris, 1998; Drucker, 1995; Edwards & Walton, 2000; Elliott, 1990;
Farley, Broady-Preston et al., 1998; Goulding, 1996; Johnson, 1988,
1991; Kinnersley, 1996; Klobas, 1990; Penfold, 1999; Shapiro &
Kirkman, 1999; Shaughnessy, 1996; Steffen, 1987; Taylor, 1999;
Underwood, 1990.
E.g., Clayton & Batt, 1992; Cohn, Kelsey et al., 1998; Connor, 1992;
Corbin, 1985; Döckel, 1992; Duval & Main, 1992; Epple, Gardner et al.,
1992; James, 1987; LITC, 1992a, 1992b, 1992c; Leeves, 1994; Lovecy,
1984; Morris & Dyer, 1998; Muirhead, 1997; Tedd, 1993.
E.g., Clarke & Morris, 1998; Gratton, 1983; Farley, Broady-Preston et
al., 1998; Khurshid, 1996; Kinnersley, 1996; Matthews, 1995; Pachent,
1996; Reeves, 1984; Shaw, 1986.
Based on Swedish law, public funds must be spent according to some
certain rules in cases where the price of the system rises above a certain
level. In such cases, if a system specification document is answered
similarly by several vendors, the cheapest of these systems should be
chosen.
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Human Factors in the “System Selection” Stage of Library Automation 219
13
E.g., first time around versus subsequent changeovers, level/extent of
automation, library type, size, number of users, reason for automation,
organizational structure and culture, managerial style, number of IT
experts in the organization, level of staff involved in initiating the process
and decision-making, mission and strategy for the decision, library’s
network of contacts, communication.
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Stressing Office Technology’s Non-Technical Side
225
Chapter XII
Stressing Office
Technology’s
Non-Technical Side:
Applying Concepts from
Adaptive Structuration
Theory
Huub J. M. Ruël
Utrecht University, The Netherlands
Abstract
Office technology projects are not a “quick and easy fix”. They often fail
to meet their objectives. This is probably due to a lack of attention for the
non-technical element in office technology projects. To develop this nontechnical side, in this chapter we introduce the concepts of spirit and
appropriation, adopted from Adaptive Structuration Theory (AST). Spirit
concerns the intention of a certain technology. Advanced information
technology use must be considered as a matter of appropriation. In theory,
office technology carries a certain spirit, which should guide users, but
this spirit can only be materialized when users work with, or appropriate,
the technology. A precondition is that users have to have a clear image of
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226 Ruël
this spirit. In this chapter, we report about the results of a study that show
that if users of office technology find the spirit of the technology clear,
they incorporate the technology better in their day-to-day tasks. Based
upon these results we come up with a number of recommendations for
office technology implementation and use.
Introduction
Projects aiming at implementing new IT systems in office environments (in short:
office technology projects) are a very common phenomenon in organizations,
but often fail or are abandoned (Doherty & King, 1998; Ewusi-Mensah &
Przasnyski, 1994). For example, Ewusi-Mensah and Przasnyski1 (1994)
collected data on IT projects from IT senior executives and system managers
in Fortune 500 companies. Their results showed that approximately one-third
of the respondents indicated that five or more IT projects had been abandoned
in their organizations within the period 1982-1986. This is supported by a
classic Dutch study on automation projects carried out by Riesewijk and
Warmerdam (1988). This showed that almost half of the projects (48.5%)
ended “problematically” or unsuccessfully2.
The figures as presented here suggest that IT projects in general are not a quick
and easy fix. Although these figures come from somewhat old studies, there is
no reason to believe that the situation has improved. One might argue that
project management tools have improved and therefore IT projects in general
are doing better nowadays. The other side of the coin is that IT has become
more complex than it was five or 10 years ago, and that therefore it is likely that
there is no improvement over five or 10 years ago. IT projects are shown to be,
in a lot of cases, hard to manage. This prompts us to consider the reasons for
the problems experienced in IT projects.
One reason for office technology project failure or abandonment is that in such
a project different parties have to collaborate. This multi-party element of office
technology projects complicates the project process, which is widely recognized in practice as well as in the literature (see for example Hirschheim, 1985;
Lyytinen & Hirschheim, 1987). However, we believe this is only one part of the
problem. The underlying problem is broader.
Ewusi-Mensah and Przasnyski (1994) identified the following project management issues that contribute to project abandonment or failure: staffing, manaCopyright © 2004, Idea Group Inc. Copying or distributing in print or electronic forms without written
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Stressing Office Technology’s Non-Technical Side
227
gerial and communicational aspects of project management, and interaction
between participants and their perception of work-related issues. In an earlier
study, Ewusi-Mensah and Pzrasnyski (1991) found that organizational factors
are an important cause of IT project abandonment (e.g., corporate management fails to deal with behavioral, political or organizational issues, or end users
contribute to project abandonment). Vadapalli and Mone (2000) state that
human and management issues play a critical role in the ability of an organization
to lead a technology project to success. Hornsby et al. (1992) provide the
following reasons for IT underperformance:
•
•
•
•
•
•
lack of guiding organizational and business strategies;
lack of end-user participation and end-user “ownership” of systems;
lack of attention to education, training and awareness;
lack of organizational resources and support (in terms of the “soft”
infrastructure);
lack of attention to organizational issues such as organization design,
organizational culture, and management style; and
lack of attention to psychological issues such as the design of jobs, the
allocation of systems tasks, and the usability of the system.
Observing this, it seems clear that several authors provide reasons for project
failure or abandonment that have to do with the fact that, in IT projects,
management, users and IT professionals have to collaborate, and especially
because they have different stakes in the process. But it is also clear that IT
projects do not give adequate attention to organizational and human factors,
which we consider to be a broader area than only the interaction between
different parties. Organizational and human factors have to do with the
organization of work and the probable changes that will occur as a result of the
implementation of new IT, in our case particularly office technology.
Clegg et al. (1997) found that:
Regarding the impact of new information technology on the way in which work
is organized and upon individual job design, the majority view (of the
interviewees) was that this is hugely important but largely ignored in practice.
Again this was seen as a topic that is significantly under-estimated. Where it
is addressed this is because the job design implications of technical change
are discovered, usually relatively late in the development process. These
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228 Ruël
findings demonstrate that IT projects remain technology-led. IT is not seen in
an integrated way as raising sets of related business and organizational issues
(p. 859).
Overall, these observations establish a belief that the lack of attention to the
non-technical side is a major cause of IT project failure or abandonment.
Our Starting Point
Office technology projects are not a quick and easy fix. They often fail to meet
their objectives and, as we have noted, this is probably due to a lack of attention
for the non-technical element in office technology projects. The question that
emerges is: how can we contribute to improving this? In the literature several
theories and approaches are available that claim to provide clear answers.
However, new insights are frequently required in order to improve our
understanding of the non-technical side of office technology projects. To
develop this non-technical side, we introduce the concepts of spirit and
appropriation. These concepts are adopted from Adaptive Structuration
Theory (AST) as developed by DeSanctis and Poole (1994). AST starts from
the assumption that the effects of advanced information technology are not a
function of the technology itself, but of the way it is used. DeSanctis and Poole
(1994) state that advanced information technology can be divided into a spirit
and structural features. Spirit concerns the intention of a certain technology.
The structural features concern the technical parts of an advanced information
technology. Further, DeSanctis and Poole state that advanced information
technology use must be considered as a matter of appropriation, in other
words that technology is not an artifact from outside that determines user
behavior, but that technology is realized by the actual behavior of users. In
theory, office technology carries a certain spirit, which should guide users, but
this spirit can only be materialized when users work with, or appropriate, the
technology. A precondition is that users have to have a clear image of this spirit.
Through being involved in the development and implementation process, it is
possible for users to influence this spirit and to become aware of it.
The concepts of spirit and appropriation are especially adopted in this thesis to
study office technology projects, as the concepts of spirit and appropriation in
our view can provide a basis to understand the non-technical aspects of office
technology. The concepts presented here will be elaborated upon in the second
section.
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Stressing Office Technology’s Non-Technical Side
229
Our Central Question
The concepts introduced, spirit of office technology and appropriation, are the
essence of this chapter. These are considered as relevant in getting a better
understanding of the non-technical side of office technology, and improving
office technology development, implementation and use. Hence, our central
research question becomes: How can office technology projects be improved
by the use of the concepts of the spirit of office technology and office technology
appropriation?
Following this first, introductory section the following section will develop the
theoretical framework that will guide our study, resulting in a research model.
The third section will elaborate on the research method used, which is basically
of a quantitative nature. The fourth section reports about the results. We apply
the theoretical framework with the help of our research method in order to
answer the central research question. Conclusions and recommendations will
be presented in the fifth section and lead to theoretical and practical recommendations.
Adaptive Structuration Theory’s
Concepts: Spirit of Technology and
Appropriation
At the start of the 1990s, Orlikowski (1991) and Orlikowski and Robey
(1991) reconceptualized the relationship between information technology and
organizations based upon Giddens’ structuration theory (1984). Orlikowksi’s
approach pronounced that information technology in organizations should not
be considered as a stable external agent that impacts on organizational forms,
nor as a subject of interpretation only. Information technology itself is an agent
of change depending on how it is used. The role of information technology is
framed in terms of a mutual interaction between human agents and information
technology. Information technology, in Orlikowski and Robey’s view, provides certain structures that are brought into action by human agents. These
structures can be altered by human agents during use.
Orlikowski’s reconceptualization of the relationship between information
technology and organizations is characteristic of an important line of thinking
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during the 1990s. It attempts to give new input to the discussion on this topic,
by withdrawing from the traditional deterministic and voluntaristic positions of
the social sciences that had influenced the discussion to date (Orlikowski &
Baroudi, 1991). Others that follow this approach include Poole and DeSanctis
(1989, 1990), Walsham (1993) and DeSanctis and Poole (1994). The
similarity between these authors’ models is that the focus is on information
technology use. Effects of information technology cannot be predicted beyond
how it is used in a certain context. In other words, effects emerge as IT is used.
It is especially the approach of DeSanctis and Poole (1994), adaptive
structuration theory, which will be the main basis for our study presented in this
chapter.
Adaptive Structuration Theory (AST)
In the former section we argued that the main reason for office technology
project failure is the lack of attention paid to the non-technical side of office
technology development, implementation and use. This suggested the need for
a study on office technology that was centered on its non-technical aspects.
Adaptive structuration theory (or AST) seems of use in carrying out such a
study, as it starts from the basic assumption that the effects of technology are
not a function of the technology itself, but of the way it is used. Furthermore,
adaptive structuration theory provides promising concepts, which emphasize
the non-technical side of office technology in organizations (Ruël, 2001,
forthcoming). Hence, AST will be considered in more detail in this section.
With AST, DeSanctis and Poole try to develop a theory that holds the middle
ground; inspired by the work of Anthony Giddens, they want to position
themselves between technological determinism (or objectivism) and voluntarism
(or subjectivism). In addition to Giddens, DeSanctis and Poole (1990) cite
Heidegger and Ong as sources of inspiration, since they are representatives of
an important school of thought that regards technologies as inherently social in
nature. Social processes create the right conditions for the evolution of
technology. Society is considered as a matrix in which technologies and their
applications are embedded. Technologies sustain and change society, which is
seen as mutual determinism. In this context, DeSanctis and Poole refer to Heim,
who notes, “modern society and technologies are so bound together that it is
impossible to sort out which causes which” (Poole & DeSanctis, 1990, p. 181).
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Spirit of Technology
AST is based upon two main ideas: firstly, that advanced information technologies are social in nature. This is expressed by the concept of spirit. Secondly,
that advanced information technologies are being realized by its use. This is
expressed by the concept of appropriation.
DeSanctis and Poole (1994) define spirit as follows:
“Spirit is the general intent with regard to values and goals underlying a given
set of structural features. The concept of spirit concerns the ‘official line’which
the technology presents to people regarding how to act when using the system,
how to interpret its features, and how to fill in gaps in procedure which are
not explicitly specified. The spirit of a technology provides what Giddens calls
‘legitimation’ to the technology by supplying a normative frame with regard
to behaviors that are appropriate in the context of the technology” (Desanctis
& Poole, 1994, p. 126).
The spirit can also give signification to users, as it helps them to understand and
interpret the meaning of the IT. Finally, the spirit can be a means of domination,
because it presents the type of influential moves to be used with the IT. Some
users may be privileged by this and others constrained. Therefore, in terms of
structuration theory, the concept of spirit concerns the total set of possible
structures promoted that may be called upon by means of the structural features
(later on in this section we will discuss how to define the structural features). The
concept of spirit suits very well what Orlikowski (1991) calls the “interpretive
flexibility” of information technology. The implication of this assumption is that
the realization of any object may differ between situations, and that the object
itself can change as people change their mode of using it.
If we project this onto the type of IT included in our study, that is, office
technology, this can be clarified with the following example. A specific office
technology may contain the spirit: open organizational communication. If we
analyze this spirit, using the three types of structures (based upon Giddens,
1984), it is then possible to say that the spirit provides users with structures of
signification that appeal to interpretive schemes about organizational communication, and allow the meaning to arise that the technology aims to support
open organizational communication. The spirit also provides structures of
domination that facilitate users to send electronic messages to people higher in
the organization’s hierarchy (which might not have been allowed before the new
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office technology was implemented). Finally, the spirit of the new office
technology provides structures of legitimation with the norm that people who
use indecent words in their electronic messages are excluded from the use of
the new office technology.
Some information technologies present a clear consistent spirit, whereas others
do not. If users apply information technology in contradictory ways, this might
suggest that the technology does not present a coherent clear spirit. A clear
coherent spirit would be expected to direct appropriation in more or less predefined ways, but an unclear, incoherent spirit would have a less directive
impact on user behavior (DeSanctis & Poole, 1994). This is where the concept
of spirit can help in understanding why office technology implementation can
end in unanticipated consequences, and even in complete failure; the less clear
the spirit, the less users are likely to use the office technology in accordance with
its spirit (Ruël, 2001). This may result in unanticipated outcomes.
In conclusion, we define the concept of the spirit of information technology as
the general intent with regard to values and goals underlying a given set of
technical features. This differs a little from the definition of DeSanctis and Poole
(1994), because in our view their distinction between the non-technical part
and the technical part of technology is not sufficiently clear. A technology’s
spirit is the official line regarding how to act when using a technology. A spirit
provides signification, legitimation, and can be a means of domination. Office
technology (and thus its spirit) can only be realized in actual use, which is
referred to as appropriation. If, in a certain context, users do not appropriate
an office technology in accordance with its spirit, this may lead to unanticipated
outcomes. In this way, it can be theoretically understood why similar office
technologies, even in similar contexts, can lead to different outcomes. Related
ways of referring to a technology’s spirit in this thesis will be through the use of
terms such as underlying philosophy or intention of an information technology.
Appropriation of Office Technology
AST considers information technology use as a matter of appropriation. For the
roots of the concept of appropriation, Poole and DeSanctis (1989) go back to
Hegel and Marx3. These 19th century philosophers were interested in how
humanity progressively learned to control and shape the natural world and how
this, in turn, influenced and changed human society. The nature of subject-
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object relationships was of utmost relevance in understanding this progression.
Marx stressed the productive and self-constructing nature of humanity. In his
view the concept of appropriation was the key that unlocked the nature of
subject-object relationships. By appropriating an object, Marx meant that it
was used constructively, incorporated into one’s life, for better or worse
(Ollman, 1971). Men and women in nature make their worlds through appropriating objects, and advances in modes of appropriation are the basis for
advances of human society in general.
Placing advanced (information) technology in Marx’s perspective, every effect
of a certain technology is dependent on the appropriation of the technology.
Appropriation of an object implies that a user realizes that object (Ollman,
1971). What an object is depends on how it is used, on how it enters into human
activity. The implication of this view is that the realization of any object may
differ with situation, and that the object itself can change as people change their
mode of using it.
Poole and DeSanctis (1989) note that Marx’s conception of appropriation as
a constructive use that shapes both user and object needs to be elaborated
further to be useful in the study of GDSS and other new technologies. Things
are no longer as straightforward as Marx suggested; he used the contrast
between tools, which are controlled by the craftsperson, and machines, which
control and appropriate the worker, to explain his worldview. One could also
comment that Marx seemed to consider people as products of their historical
period, and tended to stereotype appropriation modes by class. Marx distinguished only two classes: workers and capitalists. By doing so, he ignored
differences in appropriation between individuals, groups, or organizations.
Despite this weakness, Marx’s basic conception of appropriation is a useful
starting point for an analysis of human use of information technology.
In the relatively short history of AST, its developers have gone through some
changes in the way they conceptualize appropriation. Initially, AST distinguished three dimensions of appropriation: faithfulness of appropriation,
attitudes towards appropriation, and the level of consensus on the
appropriation. However, after rethinking the theory of adaptive structuration,
DeSanctis and Poole (1994) distinguish four dimensions of appropriation:
appropriation moves, faithfulness of appropriation, attitudes towards
appropriation, and instrumental uses. So, they added appropriation moves
and instrumental uses, and removed consensus on appropriation. We
believe that a combination of DeSanctis and Poole (1994) and Poole and
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DeSanctis (1990) provides the most useful concept of appropriation. We
therefore include all the dimensions in our concept of appropriation.
AST can be considered as a general framework from which more specific
hypotheses can be drawn. It is especially the concepts of spirit and appropriation that we believe are promising (AST is a relatively young theory) and these
have not been used before in studies on office technology projects. Nevertheless, good examples of applying AST in studying electronic group system use
do exist and include Poole and DeSanctis (1992), Wheeler et al. (1993), Chin
et al. (1997), Kahai et al. (1997), and Majchrzak et al. (2000). However,
applying AST to office technology gives our study an interesting challenge
Developing a Research Model
Earlier in this section, we stated that some information technologies might
present a clear consistent spirit, whereas others will not. A clear coherent spirit
is expected to direct appropriation in more or less pre-defined ways, whereas
an unclear incoherent spirit can be expected to have a less directive impact on
user behavior. This is where we think that the concepts of spirit and appropriation can be used to improve office technology development, implementation
and use. We think the best point to start from in order to improve office
technology projects is the clarity of the spirit to users and their level of office
technology appropriation. To determine whether the clarity of the spirit is a
useful point of departure in guiding office technology projects we formulate two
main hypotheses.
The first hypothesis to be tested is based upon DeSanctis and Poole’s
expectation that a clear spirit will direct users towards appropriation in a more
pre-defined way. We translate this into the following hypothesis:
1.
The clarity of the spirit of office technology is positively related with
the level of office technology appropriation.
Thus, if users of an office technology experience the spirit to be clear, it can be
expected that they will appropriate the office technology to a larger degree than
if the users do not clearly experience the spirit.
This hypothesis forms the first part of our research model (the complete model
is presented in Figure 1). In this figure, the box containing the clarity of the spirit
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is surrounded by a dotted line representing the technical features of an office
technology. Earlier in this section we explained that the technical features are
the technical means through which users are expected to realize an office
technology’s spirit.
Our second hypothesis is concerned with the role of office technology
appropriation. It is assumed that office technology is not implemented in
organizations without reason. We suppose, if office technology is appropriated
in accordance with its spirit, that the expected effects will arise. In general, the
main reason for the implementation of office technology is to increase business
performance (productivity, efficiency, quality of services). The relationship
between new office technology implementation and business performance has
been widely discussed in the literature, and still has not led to a clear answer
(see for example: Hitt & Brynjolfsson, 1996; Pinsonnealt & Rivard, 1998). We
summarize the aspects mentioned as the effectiveness of the work processes.
The problem with most of the studies that have been carried out on the topic
of the influence of IT on effectiveness assume, implicitly or explicitly, that it is
the IT itself that causes the expected effects. This is why these studies did not
lead to clear and consistent answers. We assume it is the actual use of office
technology, referred to as appropriation, which causes specific effects. Therefore, it is our expectation that a high level of office technology appropriation
contributes to the effectiveness of work processes, as effectiveness in our
opinion is: the extent to which work processes develop in a goal direction. In
practice it is therefore the expectation that working with the new office
technology will lead to an increase in work process effectiveness. We formulated this in the following way:
2.
The level of office technology appropriation is positively related with
the level of effectiveness of the work processes.
So far, in our elaboration, we have adopted from AST the two central concepts:
the spirit of office technology and appropriation. These concepts are our main
sources in developing a research model that suits our study on office technology. However, office technology development, implementation and use take
place in a context, and so, in developing a research model, attention to this
context is necessary.
With an eye on aiming to support the context of office technology use, we
include the two sources of structure as proposed by AST: the internal
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organizational environment and the characteristics of the user tasks. These two
might influence the relationship between office technology appropriation and
work process effectiveness.
Changes in the Internal Organizational Environment
Implementations of office technologies can accompany changes in the internal
organizational environment, but the level of this change can differ extensively in
each situation. In the first section, we referred to Hornsby et al. (1992), who
discern six “problem-causing” issues regarding office technology projects.
Two of these are related to the topic of organizational change. It is our basic
belief that a change in an organization’s IT system implies a change in the
organization of work also. With this point of view, a lack of attention to the
internal organization when introducing IT projects will at least be problematic.
Users’ Work Autonomy
Office technology implementations can match differently to varying degrees the
situations in hand. An important point to take into account is the level of work
autonomy that users experience. It is our expectation that users with different
levels of work autonomy will accept a newly implemented office technology
differently. Users with little work autonomy might feel that they have no real
alternative than to work with a given office technology, while users with much
more work autonomy might feel that they can choose from a broader range of
activities than only working with a given office technology. In other words,
differences in the level of work autonomy suggest differences in office technology use
Taking into account these two contextual factors leads to the following
variations on the second hypothesis:
The relationship between the level of appropriation and work process
effectiveness is more positive among:
2a. users who have experienced a high level of change in the
internal organizational environment that accompanied new
office technology implementation;
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Figure 1. The Complete Research Model.
- Changes in the internal
organizational environment;
- Level of work autonomy;
Appropriation of
office technology
Technical features
Clarity of the
spirit of office
technology
-
-
Appropriation
moves
Faithfulness of
appropriation
Attitudes
towards
appropriation
Instrumental use
Consensus on
appropriation
Work process
effectiveness
2b. users who experience a high level of work autonomy after new
office technology implementation.
The whole research model is assembled in Figure 1.
Having explained the theoretical framework, in the following section we will
continue by discussing the research method used.
Research Method
The research model presented in the former section and the hypotheses drawn
from it are intended to be tested by using results from the questionnaires. Chin
et al. (1997) proposed developing scales for the central constructs of AST in
order to measure them more easily. We follow this approach in our study.
Constraints with available time, labor and budget were a factor in this decision.
In addition, we believe that using scales for measuring AST concepts is
innovative in the sense that for the concept of clarity of spirit, as far as we
know, never before has a scale been developed and used. It is also the first time
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that the complete concept of appropriation has been measured with the help of
scales, and that AST has been applied for studying other technologies than
group decision support systems. We will now elaborate on the scale development for each concept.
Clarity of the Spirit
For measuring the clarity of spirit, the five aspects of appropriation, experienced changes in the work situation, experienced work autonomy, and
effectiveness of work processes, we to an extent developed scales ourselves
and partly used existing scales. The scale for measuring the clarity of spirit was
developed on the basis of our definition of spirit, as inspired by DeSanctis and
Poole (1994) and Poole and DeSanctis (1990). We formulated five items, and
tested them with colleague-researchers. The items for this scale were formulated as propositions about whether respondents are clear on the goals of the
new system, whether the “thought behind” the new system is clear, and whether
respondents know what effective use of the new system should lead to. An
example of an item for this scale is: I know what effective use of [name of the
system] should result in. The reliability of the scale was very satisfactory
(Cronbach’s alpha is 0.87)
Appropriation
The concept of appropriation consists of five dimensions: appropriation
moves, faithfulness of appropriation, attitudes towards appropriation,
instrumental uses, consensus on appropriation.
DeSanctis and Poole (1994) define appropriation moves as the ways that
users choose to appropriate the available technology structures. They propose
four types of appropriation moves. In the context of our study we are especially
interested in the level of appropriation moves, or in other words, how
intensively do users appropriate office technology?
Faithfulness of appropriation is defined as the extent to which a certain office
technology is appropriated consistent with its spirit.
By attitudes towards appropriation we mean the users’ assessments of the
extent to which the structures within the system are useful and easy to use.
Attitudes set the tone for system usage and can reinforce productive or
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counterproductive trends in a group’s experience with the system (Poole &
DeSanctis, 1990).
Instrumental uses are another aspect of the concept of appropriation,
referring to the reasons why systems are used. For example, users might only
use a system for task completion, but they could also use it in an explorative
way, or for individual personal purposes. In our study we intend to apply AST
to office technology used by individuals in an organizational setting. Therefore
we believe that only task-oriented use and exploration-oriented use are
relevant. In line with the theoretical framework of AST, it is assumed that the
clearer the spirit of a certain system is to users, the more task-oriented will be
its use. When the spirit is not clear, users will more likely have a more
explorative orientation.
Finally, the fifth aspect we distinguish on appropriation is consensus towards
appropriation. The definition we apply is as follows: the extent to which users
of office technology agree upon how the technology should be used. In order
to achieve effective processes and desired outcomes, it is important that a
specific office technology is used in a similar way by all users. Poole and
DeSanctis (1989, 1990) assume that, especially with groups using group
decision support systems, consensus on how to appropriate the system is
important. If there is a lack of agreement, then appropriations may vary in terms
of the nature and degree of conflict. We believe that a high level of consensus
is necessary, not only for the use of GDSSs, but also for office technology use.
For example, if in an insurance company, employees who work with a specific
office technology do not use it in a similar way, this will probably lead to
ineffective work processes. Therefore, whether users of office technology are
linked with each other very closely or they work more as individuals, for the
effectiveness of the work processes as a whole, it is important that there is
consensus on how to use the technology.
The scales used for the aspects of appropriation were partly developed by us,
and partly adopted from others. For measuring the first aspect of appropriation,
appropriation moves, we used a single item. As we are interested in the level
of appropriation in the context of this study, we modified the aspect of
appropriation moves. In the questionnaire, we did not focus on the types of
appropriation moves, but on the level of moves (for respondents, “moves” was
replaced by “use”). This seems to be more in line with DeSanctis and Poole
(1994), who hypothesized that it is the level of appropriation moves that is of
importance with regard to the outcomes of ICT appropriation. When the
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number of appropriation moves is high, the desired effects can be expected,
naturally taking into account the levels for the other aspects of appropriation.
To investigate this, the questionnaire contained the question: To what extent
do you use [the name of the system]?
The scale for faithfulness of appropriation was based on Chin et al. (1997),
but we added three extra items, in order to enhance the scale. Based on the
results of a reliability test all of the eight items seemed valid. An example of an
item for this scale is: I use [name of the system] in a different way to the
original goals. The reliability of the scale was satisfactory (Cronbach’s alpha
is 0.77).
Attitudes towards the technology were measured by using two scales based
on Davis (1989) and Sambamurthy and Chin (1994): a 5-item scale for
measuring perceived usefulness, and a 5-item scale for measuring perceived
ease of use. We changed some elements of the scales, such as formulations of
items, as we believed that they could be improved. An example of an item from
the “perceived usefulness” scale is: The [name of the system] is useful for my
work. An example of the “perceived ease of use” scale is: The screens of [the
name of the system] are easy to understand. The reliability of the scales was
very satisfactory (Cronbach’s alpha for the scale “perceived usefulness” is
0.85; for the scale “perceived ease of use” it is 0.82).
We measured two types of instrumental use: task-oriented use and explorative use. Each was measured with a self-constructed four-item scale. An
example from the ‘task oriented use’ scale is: If I use [the name of the
system], then I know in advance for what task I want to use it. An example
of the ‘explorative use’ scale is: During my work it takes me time to discover
[the name of the system]. The reliability of the scale “task oriented use” was
moderately satisfactory (Cronbach’s alpha 0.64), and for the scale “explorative use” the reliability was satisfactory (Cronbach’s alpha 0.77).
Consensus on appropriation was measured with a self-constructed 6-item
scale. An example from the “consensus” scale is: There are implicit or explicit
rules about how to work with [the name of the system]. The reliability test
of this scale gave a satisfactory result (Cronbach’s alpha 0.70).
Effectiveness of Work Processes
Effectiveness of the work processes is defined as the extent to which work
processes that are carried out with the office technology are achieving their
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goals, are efficient, and occur with a low level of error. We measured
effectiveness of work processes with a self-constructed 4-item scale. An
example of an item on the scale used is: Within the group of users of [the
name of the system] the level of errors is low. The result of the reliability test
is satisfactory (Cronbach’s alpha is 0.73).
All scales were measured with a 5-point response format ranging from 5 =
“strongly agree” to 1 = “strongly disagree”. The scales used can be found in
Appendix 1. It was our intention to use the first case study to test the scale
reliabilities, and then improve the scales. However, this did not seem necessary,
as the scale reliabilities were adequate (the scales’ internal consistencies were
very satisfactory; Appendix 2 contains the relevant statistics).
One could counter that using scales simply presents a one-moment measurement and therefore is not a very information-rich look into the situation. We do
not agree on this since we do not believe that respondents respond to
statements based upon only their current situation, but, implicitly or explicitly,
that they take into consideration a certain time span in making their judgements.
Then one could argue that some respondents may have a bad day and so still
give extremely low scores, which would give an incorrect picture of the
situation. Our counter is that even if this did occur then it is equally possible that
another respondent has an extremely good day and therefore responds overpositively. These two scores can then cancel out so that the mean score of the
group of users as a whole will give a fair picture.
Selection of Respondents
The unit of analysis that is chosen for this study is users of office technology.
Through the opinions of users of office technology, it is this study’s goal to say
something about office technology development, implementation and use; or in
other words, office technology development, implementation and use make up
our empirical domain. Therefore we consider it important to include a variety
of office technology developments, implementations and uses in our study. We
aimed to include different types of office technologies, so that a range of office
technologies is represented in this study. In particular we included examples of
what O’Brien (1995) calls electronic imaging/document management systems,
and office management systems. These types of systems have the dearest
impacts on users’ work situation and are used in procedural offices (Panko,
1984).
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We selected users of office technology of four different organisations in the
Netherlands (three profit organizations and one non-profit organisation). In
total 250 questionnaires were distributed, of which 112 were returned (response rate 44.8%). To ensure some possibility of comparability in the context
of office technology use, all of them worked within service-oriented organizations.
Results
A major part of the study concerns the testing of the relationships between the
variables in the research model. We formulated three main hypotheses and
tested them in the four service-oriented organizations included in this study. In
this section we present the results of testing these hypotheses. The results will
provide us with an indication of whether they are correct or not.
Our first hypothesis was:
The clarity of the spirit of office technology is positively related with the
level of office technology appropriation.
Table 1 summarizes the results.
Table 1. Correlations Between the Clarity of the Spirit and the Level of
Appropriation.
Appropriation moves
Faithfulness of appropriation
Perceived usefulness
Perceived ease of use
Task-oriented use
Explorative use
Consensus on appropriation
-.11
.26**
.39**
.42**
.26**
-.04
.04
* = p < 0.05; ** = p < 0.01
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From the results as presented in Table 1 we can observe that there is a weak
(although non-significant!) negative relationship between the clarity of the spirit
and the level of appropriation moves. In other words, the clarity of the spirit
does not seem to be decisive in the extent to which users really work with the
office technology. The main explanation is that other organizational factors,
such as the nature of work, are more decisive. All our four organizations
concerned office technology in procedural offices. The technology in general
was an important tool for users in carrying out their tasks, and therefore in many
cases there were no alternatives.
There is a moderate, but significant positive relationship between the clarity of
the spirit and the level of faithful appropriation. More explicitly: if users
experience the technology’s spirit as clear, this contributes to the extent to
which they work with the technology in line with its spirit.
The clarity of the spirit is moderately, significantly positive related to the
perceived usefulness of the office technology. In other words, the extent to
which the spirit of an office technology is clear to users influences their
perception of a technology’s usefulness in a positive way. This also applies to
the perception of a technology’s ease of use and to the level of task-oriented
use.
Regarding the level of explorative use we found a weak negative correlation.
This is in line with our theoretical expectations. The clearer the spirit to users,
the less users need to explore the system. However, we expected a somewhat
stronger negative correlation.
Finally, there is hardly a relationship between the clarity of the spirit and the
level of consensus on appropriation. The results suggest that it cannot be said
that the clearer users find the spirit of an office technology, the more there is
unanimity among users on how to work with the technology.
Overall, however, we can conclude that our first hypothesis is confirmed for the
majority of the dimensions of the concept of appropriation, namely for faithful
appropriation, perceived usefulness, perceived ease of use and task-oriented
use.
The final hypothesis that was tested is as follows:
The level of office technology appropriation is positively related to the
level of work process effectiveness.
As with the previous hypothesis the results are summarized (Table 2).
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Table 2. Correlations Between the Level of Appropriation and Work
Process Effectiveness.
Appropriation moves
Faithfulness of appropriation
Perceived usefulness
Perceived ease of use
Task-oriented use
Explorative use
Consensus on appropriation
-.18
.13
.36**
.40**
-.01
-.04
.32**
* = p < 0.05; ** = p < 0.01
The results show that appropriation moves (“just pushing buttons”) does not
make a significant difference in work process effectiveness.
The results suggest that using the technology in line with its goals and intention
is poorly related to a higher level of work process effectiveness. Although
theoretically unexpected, plausible explanations are expected to come from the
contextual factors included in the research model, namely the level of internal
organizational change as part of the project, and the level of users’ work
autonomy. However, what can be learned from the current result is that the
spirit of the office technologies in use does not represent what is considered as
necessary by users in order to improve the work process effectiveness.
Further, the results show, in our view, that there are convincing indications that
when users perceive an office technology to be useful, this contributes to the
work process effectiveness. Also, for the extent to which users perceive the
new system as easy to use counts that it is positively related to the level of work
process effectiveness. That the relationship is in general somewhat weak
indicates in our view that contextual factors (such as aspects of the organizational structure, and culture, or employee characteristics) are at least of equal
importance in contributing to work process effectiveness.
Task-oriented use of the new system is hardly related to work process
effectiveness. Theoretically this is very surprising. In our view, this result again
emphasizes that contextual factors are very important regarding any improvement of work process effectiveness. It is clearly not only the new system that
makes a difference in improving work process effectiveness.
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Explorative use of a new system does not seem to be related with work process
effectiveness. Theoretically, we expected that explorative use of an office
technology would be negatively related with the effectiveness of the work
processes. That this is not the case can be explained by the fact that it is surely
not only the new system that has a role in terms of the level of work process
effectiveness. Other, contextual factors intervene in the relationship between
explorative use and work process effectiveness. We will carry this forward to
the following part of this section.
Consensus on appropriation is significantly, positively related to work process
effectiveness. In other words, the more users work in a similar way with a new
system, the higher the effectiveness of the work processes.
Considering the overall results with regard to the second hypothesis we
conclude that it is confirmed for three of the seven dimensions of appropriation,
namely perceived usefulness, perceived ease of use and consensus on appropriation. The fact that with some dimensions the relationship is somewhat weak,
or even not positive, must in our view be explained by the context in which the
office technology is used (e.g., aspects of the organizational structure, culture,
and employee characteristics). These factors are expected to play an intervening role. It is clearly not only appropriating an office technology that improves
work process effectiveness.
We hypothesized on the role of two of these contextual factors on the
relationship between the level of appropriation and work process effectiveness. These factors are the level of change in the internal organizational
environment, and the level of work autonomy. The hypotheses are presented
below:
The relationship between the level of appropriation and work process
effectiveness is more positive among:
2a. users who experience a high level of change in the internal
organizational environment that accompanied new office technology implementation;
2b. users who experience a high level of work autonomy after new
office technology implementation.
We continue with testing the role of two of the contextual factors on the
relationship between the level of appropriation and work process effectiveness. For testing these hypotheses we split the respondents into two groups:
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Table 3. Correlation Between the Level of Appropriation and Work
Process Effectiveness in Groups that Experienced High and Low Levels
of Internal Organizational Change.
“Low change” group
of users (N=62)
“High change” group
of users
(N=30)
mov
-.22
faith
.02
-.16
.21
usef
ease
.39** .53*
*
.37*
.35
task
.05
expl
-.04
cons
.29*
-.17
-.20
.41*
* = p < 0.05; ** = p > 0.01
mov = appropriation moves; faith = faithful appropriation; usef =
perceived usefulness; ease = perceived ease of use; task = task-oriented
use; expl = explorative use; cons = consensus on appropriation
one group containing those with a high score on a contextual factor, and the
other group those with a low score. Respondents who rated higher than 3.0 on
the 5-point scale with which we measured the factor were placed in the “high”
group, and respondents who rated 3.0 or lower were placed in the “low” group.
First, hypothesis 2a, of which the results are shown in Table 3.
The results in Table 3 make clear that our hypothesis is only confirmed in terms
of the level of consensus on appropriation. In other words, in the group of users
who experienced a high level of change in the internal organization, the higher
the consensus on appropriation, the higher the level of work process effectiveness. Otherwise, the level of organizational change only makes a real difference
in the relationship between the perceived ease of use and work process
effectiveness. Among users who experienced a low level of organizational
change, the more the office technology is perceived as easy to use, and the
higher the level of work process effectiveness. This is not in line with our
expectations. Therefore, how can this be explained? The organizational changes
in the organizations we covered were in general quite unanticipated. The
appropriation of the new office technology might not contribute to work
process effectiveness because of this high level of unanticipated organizational
change.
The overall conclusion is that the level of internal organizational change does not
make a real difference in the relationship between the level of appropriation and
work process effectiveness.
Table 4 shows the results of testing hypothesis 2b.
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Table 4. Correlation Between the Level of Appropriation and Work
Process Effectiveness in Groups that Experienced High and Low Levels
of Work Autonomy.
“Low work
autonomy”
group of users
(N=47)
“High work
autonomy”
group of users
(N=60)
mov
-.12
faith
.13
usef
.31*
ease
.42**
task
.12
expl
.13
Cons
.36*
-.18
.12
.33**
.36**
-.09
-.13
.24
* = p < 0.05; ** = p > 0.01
mov = appropriation moves; faith = faithful appropriation; usef =
perceived usefulness; ease = perceived ease of use; task = taskoriented use; expl = explorative use; cons = consensus on appropriation
Overall, the relationship between the level of appropriation and the level of
work process effectiveness is most positive among users with a low level of
work autonomy, although the difference between the two groups is not that
large. Theoretically, we expected the opposite. Our explanation for this
opposite result is that users who have low work autonomy are in general more
“stuck” to the office technology for their daily work. The content of their job
is limited and probably more focussed on working with the office technology
than users with a high level of work autonomy. Users who have a high level of
work autonomy will probably have the possibility to choose whether to work
with the technology or to carry out other tasks. In their work they are unlikely
to be as dependent upon the office technology as users with a low level of work
autonomy. Thus, appropriating the office technology has a stronger impact on
work process effectiveness among users with a low level of work autonomy.
It is noticeable that the relationship between the level of consensus on
appropriation and work process effectiveness is more positive among users
with a low level of work autonomy than among users with a high level of work
autonomy. Understanding the situation in which our respondents operated
provided an explanation. Users with a low level of work autonomy are in
general more “mutually dependent” for their daily work. Each user carries out
small, limited tasks. Being more dependent on the office technology means that
the level of consensus on how to work with the office technology among users
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with a low level of work autonomy impacts more strongly on the level of work
process effectiveness. Overall, we conclude that hypothesis 2b is not confirmed.
Having tested all hypotheses, a summary of the findings will be given in the final
section.
Conclusions and Recommendations
Overall, the clarity of the spirit is positively related to the level of appropriation.
The clearer the spirit is to users, the more faithful they appropriate the office
technology, the more they perceive the technology as useful and easy to use,
and the more they use the technology in a task-oriented way.
Overall, only the level of perceived usefulness, perceived ease of use, and
consensus on appropriation are significantly positively related to work process
effectiveness. With the other aspects of appropriation this was not the case.
Notably, contextual factors such as the level of organizational change and the
level of work autonomy explain to a limited extent this limited relationship, but
in the opposite way to that expected. Office technology appropriation contributes to work process effectiveness, especially among users who experience a
low level of organizational change and a low level of work autonomy. This
outcome can most reasonably be explained by the fact that most of the
organizational changes in the organizations involved were unanticipated, and
thus might have meant an extra stress factor for users. Furthermore, users with
a high level of work autonomy probably had alternatives to working with the
office technology, while users with low work autonomy probably had no choice
but to use the office technology in order to carry out their tasks. Therefore,
appropriation of an office technology has more influence on the level of work
process effectiveness among this latter group of users. It is likely that contextual
factors such as users’ satisfaction with organizational support during appropriation and users’ satisfaction with the implementation process also influence
the relationship between office technology appropriation and work process
effectiveness. These were not identified as such in the research model as
presented in the second section.
Our initial research model, presented in the second section, was based upon
adaptive structuration theory (AST). Inspired by AST, we proposed that the
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effects of office technology are a result of office technology use rather than a
result of its technical characteristics. Office technology is realized during use.
Expected effects arise only if office technologies are used in accordance with
the intents and goals underlying the technical features. These intents and goals,
or in other words the non-technical side of office technology, are referred to as
its spirit. The process of realization is referred to as office technology
appropriation. In order to realize an office technology in line with its spirit,
users must experience this spirit as clear. That was one of our basic hypotheses.
That the right way to make this spirit clear to users is to involve them in the
process of development and implementation was another of our hypotheses.
Our second hypothesis was that the better users realize an office technology,
the more this will contribute to work process effectiveness. We conclude that
it is confirmed for three of the seven dimensions of appropriation, namely
perceived usefulness, perceived ease of use and consensus on appropriation.
Reflecting on our theoretical point of departure, in the light of the results of our
study, leads us to conclude that the basic approach of the research model is
valid. The first hypothesis was confirmed, the second partly, but it has become
clear that certain contextual factors play a more dominant role than others, and
some play a role in the opposite way to that expected.
In this study we concentrated on the non-technical side of office technologies,
namely the intention underlying the technical features, which we labeled as the
spirit of the office technologies. Only if office technologies are used in line with
the underlying intention can the expected effects arise. Therefore, technically
sound office technologies on their own are not sufficient to solve the identified
problems; the underlying intention must also be sound. Hence, a major issue we
want to address in this chapter is that office technology projects should shift
from being technology-driven events towards technology use-centered
events. In use, office technology is realized depending upon how it is used. If
the spirit is clear to users, they can enable the expected effects to arise.
Shifting the focus from the office technology itself towards its use can contribute
to the extensive discussion in the literature on the relationship between IT and
business performance. The results of research on this topic are far from
consistent (Hitt & Brynjolfsson, 1996; Pinsonneault & Rivard, 1998). A main
cause of this inconsistency might be that much of the research assumes a direct
causal relationship between IT and business performance. It ignores the
process of IT use.
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Managing the Clarity of Spirit
The results from testing our hypotheses indicate that the clarity of an office
technology really does make a positive difference in terms of office technology
appropriation. In other words, the non-technical side of office technology is
an essential factor and has to be reckoned with. Since office technology is
realized when it is used, it is critical that users experience the intents and goals
of an office technology as clear. Even more strongly put, these intents and
goals should be their own. Therefore developing the intents and goals should
at least be a joint activity between users, IT experts and management. In
practice, users are usually only involved after decisions about the initial intents
and goals of new office technology have been made. It is not surprising then that
users find different intents and goals while appropriating a new office technology. The initial intents and goals may well not be the same as theirs. In our view,
office technology projects would be improved if it is taken into consideration that developing and implementing new office technology means
developing and implementing a joint belief in the intents and goals of the
technical features, and in the way to achieve these intents and goals.
The results of our study showed that appropriation of the office technology to
a high extent alone is not sufficient to give a high level of work process
effectiveness. This is an interesting result. In other words, if incorporating the
new office technology into users’ day-to-day activities did not make that much
difference in work process effectiveness, what else would? In our view, the
results make one thing clear. The internal organizational environment in which
office technology is used is of major importance in terms of improving work
process effectiveness using the newly implemented office technologies. Therefore, we would decrease the high expectations of office technology if improving
the effectiveness of the work processes is all that is at stake. Improving the
effectiveness of the work processes is in the first place a matter of
influencing human behavior and human interaction, reflected in the
organizational structure, culture, and human resources. Office technology can only play a facilitating role. In terms of managing office technology
projects we believe that ignoring the internal organizational environment is like
leaving the engine out of an automobile!
Last, but not least, new research should be carried out based upon the theory
used in developing our research model, namely adaptive structuration theory.
In this study we used concepts from this theory to test the relationships between
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certain concepts. We studied whether the concept of spirit makes a difference
in office technology appropriation, and to what extent. One of the consequences of our findings from our theoretical framework is that the concept of
spirit may need refining. We propose that the spirit of an office technology
should be considered as flexibly interpretive, to use Orlikowski’s (1991)
words. Users interpret the technical features in such a way that the features
make at least some sense to them in any given situation, provided that they want
to. Therefore, the spirit can change as the office technology is appropriated.
This dynamic characteristic of the concept of spirit can explain why users in
general at least attempt to use the technology, although in general they are
poorly involved, the technical features can be highly restrictive and neither
sophisticated nor comprehensive, and users in general are not fully satisfied
with the implementation process itself.
New research should be of a more interpretive nature and start from the view
that the concept of spirit is dynamic, or in other words, flexibly interpretable.
We expect that conceiving the spirit in this way will provide a fruitful basis for
a deeper understanding of the interaction between office technology and its
users. Adaptive structuration theory offered a valuable basis for deepening our
understanding, but humans will continue to develop new technologies. Therefore, new concepts will be needed to understand the reality we perceive.
Endnotes
1
2
Ewusi-Mensah and Przasnyski sent out more than 1,400 questionnaires
and received 82 completed usable responses (5.6%). Ewusi-Mensah and
Pzrasnyski suggest that one reason for this very low response rate might
be that discussing IT project abandonment has negative connotations, and
therefore is not a favoured topic (besides this, it was also suggested that
the length of the questionnaire (11 pages) played a role). The useful
responses were analysed and showed that approximately one-third
indicated that five or more IT projects had been abandoned in their
organizations within the period 1982-1986.
These are projects that were supported by external automation experts.
The study of Riesewijk and Warmerdam (1988) concerned 274 companies. 233 of them had carried out an automation project in the last three
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3
years. The figures on projects’ success or failure were collected by a
written questionnaire among automation experts and managers. These
might have had a certain level of responsibility in the projects, and
therefore be more positive than other people involved.
Poole and DeSanctis are not the only researchers who have adopted the
concept of appropriation. Ciborra (1996) also does, but uses Heidegger’s
“Being and time” (New York: Harper and Row, 1962) and Dreyfus’
“Being-in-the-world” (Cambridge, MA: MIT press, 1994). Ciborra
considers appropriation as a form of taking care of an innovation “fallen”
in its context of use (p. 11). This concept of appropriation is basically the
same as Poole and DeSanctis’; information technology is a “trigger” for
human behavior, but users of information technology are “active agents,”
and effects come from their interaction with the technology. In our study
we use the concept of appropriation as Poole and DeSanctis (1989) and
DeSanctis and Poole (1994) define it, as this fits into the broader context
of AST.
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Appendix 1
Questionnaire
The questionnaire consisted mostly of propositions. Respondents were asked
to express to what extent they agreed with a proposition. This could be done
by rating a proposition using a 5-point response format:
The questionnaire is translated from Dutch; between the brackets the name of
the system was placed:
1 Strongly disagree
2 Disagree
3 Partly agree, partly disagree
4 Agree
5 Strongly agree
9 Not relevant
If a respondent considered that none of the alternatives matched his or her
opinion, the respondent was asked to choose the closest alternative. Only if
propositions were really not relevant to a respondent’s situation was the
respondent then asked to choose the alternative response “9,” which meant: not
relevant to my situation.
1. Personal data
The following questions concern a number of general topics such as age,
education etc. Please, place a circle around the most appropriate answer,
place a cross in a box, or insert an answer on the dotted line.
A.
Are you male or female? (please, place a cross in one of the boxes)
male
B.
female
What is your age?…………………………………….
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C.
How long have you been working for this company?………………………………
D.
What is your current job?………………………………………………………………
E.
How long have you been working in this department?……………………………
F.
What type of education did you follow and graduate from?
1 Lager Onderwijs/Lager Beroeps Onderwijs
2 MAVO, MULO, ULO
3 HAVO, HBS
4 VWO, Atheneum, Gymnasium (zoals LEAO, VBO)
5 Middelbaar Beroepsonderwijs (MTS/MEAO)
6 Hoger Beroepsonderwijs (HTS/HEAO)
7 Universiteit, TH
2. Use of “[name of office technology (OT)]”
1.
I use the [OT]. (place a circle around the relevant answer)
yes
no
2.
To what extent do you use [OT]?
(hardly)
b.
1
2
3
4
5 (very much)
How long have you been working with [OT]?……………………………
1.
2.
3.
4.
5.
Strongly disagree
Disagree
Partly agree, partly disagree
Agree
Strongly agree
9.
Not relevant
Items 3 to 7 concern the scale “clarity of the spirit”
3.
The goals of [OT] are clear.
1
4.
3
4
5
9
The “thought behind” [OT] is quite clear to me.
1
5.
2
2
3
4
5
9
I know where effective use of [OT] should lead.
1
2
3
4
5
9
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6.
I understand what designers of [OT] aimed for.
1
7.
257
2
3
4
5
9
I know in what way according to [OT] experts, for example system managers, the
[OT] is used optimally.
1
2
3
4
5
9
Items 8 to 12 concern the scale “perceived usefulness”. Items 13 to 17
concern the scale “perceived ease of use”.
Using [OT]:
8.
…….I think is a good idea.
1
2
3
4
5
9
5
9
9.
……contributes to my effectiveness.
10.
……is not my preference, because there are better ways than using [OT].
1
2
3
4
5
9
11.
……makes my work easier.
1
1
12.
9
2
3
4
5
9
2
3
5
9
4
2
3
4
5
9
2
3
4
5
9
4
5
9
4
5
9
I find [OT] flexible in use.
1
17.
5
The screens of [OT] are easy to understand.
1
16.
4
Most functionalities of [OT] are easy.
1
15.
3
4
It is easy to learn to work with [OT].
1
14.
2
3
……is useful for my work.
1
13.
2
2
3
I think [OT] is easy to use.
1
2
3
In the following propositions sometimes the term “[OT] experts” is used.
This refers to people who are very acquainted with the [OT], such as
system managers within your organization. Sometimes propositions are
about how [OT] should be used. In these cases, start from what you
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258 Ruël
believe about how [OT] should be used, for instance as a result of what
you heard in information meetings, training sessions, or what you read in
manuals.
1.
2.
3.
4.
5.
Strongly disagree
Disagree
Partly agree, partly disagree
Agree
Strongly agree
9.
Not relevant
Items 18 to 25 concern the scale “faithfulness of appropriation”
18.
I use [OT] in accordance with what manuals and/or documentation state it is
intended.
1
19.
3
4
5
9
“[OT] experts” will not agree with my way of using [OT].
1
20.
2
2
3
4
5
9
I probably use [OT] in ways which are new, in comparison with the initial goals of
[OT].
1
2
3
4
5
9
21.
With certain functionalities of [OT] I probably work in an unusual way.
1
2
3
4
5
9
22.
I use [OT] differently from the initial purposes.
1
23.
4
5
9
2
3
4
5
9
I do not succeed in using [OT] as it is should be used.
1
25.
3
“[OT] experts” will not consider the way in which I use [OT] as the most appropriate
in order to use the system to its maximum.
1
24.
2
2
3
4
5
9
I do not use [OT] in the optimum way.
1
2
3
4
5
9
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Stressing Office Technology’s Non-Technical Side
259
The following propositions are about the way [OT] is used.
Items 26, 27, 28, 30, 31 concern the scale “task-oriented use”, items
29, 32, 33, 34 concern the scale “explorative use”.
26.
In my work I use the possibilities of [OT] which are relevant to my work.
1
2
3
4
5
9
27.
Tasks that can carry out with [OT], I really use [OT] for.
1
28.
Strongly disagree
Disagree
Partly agree, partly disagree
Agree
Strongly agree
9.
Not relevant
2
3
4
5
9
2
3
4
5
9
2
3
4
5
9
2
3
4
5
9
2
3
4
5
9
During my work it takes time to ‘discover’ [OT].
1
34.
1.
2.
3.
4.
5.
I use the manual of [OT] regularly.
1
33.
9
I use [OT] to make progress in my work.
1
32.
5
When I start to use [OT] I know in advance for which task I will use it.
1
31.
4
I discuss with my colleagues about how [OT] works.
1
30.
3
I use [OT] much in my daily work.
1
29.
2
2
3
4
5
9
By “trial and error” I still find out new aspects of [OT].
1
2
3
4
5
9
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260 Ruël
Below you are asked to make statements about the extent to which, in your
view, users of [OT] in your organization agree upon how to use [OT].
1.
2.
3.
4.
5.
Strongly disagree
Disagree
Partly agree, partly disagree
Agree
Strongly agree
9.
Not relevant
Items 35 to 40 concern the scale “consensus on appropriation”
35.
Within the group of users of [OT] there is consensus on how to use [OT].
1
2
3
4
5
9
36.
I use [OT] in a fairly identical way to my colleague-users.
1
37.
5
9
2
3
4
5
9
2
3
4
5
9
Within the group of users there is disagreement about how certain functionalities
work.
1
40.
4
There is no difference in opinion within the group of users of [OT] about what you
can do with it.
1
39.
3
Within the group of users there are still considerable misunderstandings about
[OT].
1
38.
2
2
3
4
5
9
There are (written or tacit) rules about about how to work with [OT].
1
2
3
4
5
9
1.
2.
3.
4.
5.
Strongly disagree
Disagree
Partly agree, partly disagree
Agree
Strongly agree
9.
Not relevant
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Stressing Office Technology’s Non-Technical Side
261
3. Your work situation
The following propositions are about aspects of your own work situation.
Items 51 to 54 concern the scale “internal organizational change along
with the office technology implementation”.
With the implementation of [OT]:
41…. changes have occurred in my tasks.
1
2
3
4
5
9
42…..changes occurred in my physical work environment.
1
2
3
4
5
9
43…..changes occurred in the composition of the employees in my department/unit.
1
2
3
4
5
9
44…..the performance criteria regarding my job changed.
1
2
3
4
5
9
The following propositions concern the way work processes which can be
supported by the group of users of [OT] are going. It is, however, not
necessary that you really use [OT] for these, but that you can use other
means.
Items 55 to 58 concern the scale “work process effectiveness”.
Within the group of users of [OT]:
45…..work processes are progressing in an effective way.
1
2
3
4
5
9
46…..work processes are progressing rapidly.
1
2
3
4
5
9
4
5
9
47…..the level of mistakes is low.
1
2
3
48…..the amount of work that is being carried out is high.
1
2
3
4
5
9
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262 Ruël
Items 59 to 61 concern the scale “work autonomy”.
Finally, a few propositions about your work.
49.
I can determine the sequence of tasks myself.
50.
I can determine how fast I carry out my work.
1
1
2
2
3
3
4
4
5
5
9
9
THANK YOU FOR YOUR COOPERATION!
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Expanding the Information Carrying Capacity of the New Media 263
Chapter XIII
Expanding the
Information Carrying
Capacity of the New
Media in the Context of
Virtual Teams
John D’Ambra
The University of New South Wales, Australia
Zixiu Guo
The University of New South Wales, Australia
Abstract
This chapter considers the pivotal role of computer-mediated
communication in supporting the work of virtual teams. The limited
information carrying capacity of computer-mediated communication
channels has been well documented and the subject of much research.
Media richness theory is the context for a proposed technique aiming to
increase the information carrying capacity of CMC in virtual teams. The
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264 D’Ambra & Guo
technique, based upon developing a shared social construction, is presented
and suggestions on how it may be evaluated are proposed.
Introduction
With the growth of global organisations, virtual teams, and advances in
networks and telecommunications, face-to-face meetings are no longer the sole
communication medium used by organisations to facilitate collaborative work.
Computer-mediated communication (CMC) systems that have emerged in
recent years have revolutionised communication and made possible new and
expanded forms of group work. These CMC systems have become an integral
component of organisational communication as they are more convenient and
less expensive than travelling to face-to-face meetings as well as being
integrated into multi-media environments and digital networks (Baltes et al.,
2002). CMC media include e-mail, voice-mail and video conferencing over
digital networks. These media have come to be known as the new media as
opposed to the traditional media of face-to-face meetings, telephone and text
based documents. There has been much research exploring the use of the new
media attempting to develop theoretical approaches for explaining media
choice and usage in organisational contexts where available media for communication has now been complemented by the new media. However, there has
been little work done to investigate how CMC systems can be used as
effectively as conventional face-to-face meetings to enhance group performance. This issue must be addressed as CMC is emerging as the preferred
medium to facilitate virtual workgroups.
The aim of this chapter is to address this gap by giving a synopsis of previous
work and presenting a framework based upon a shared social construction in
an attempt to advance our understanding regarding the effective use of CMC
within organisations. The structure of the chapter is as follows: firstly an
overview of the theoretical perspectives that have been developed is presented, emphasising the key issues of the effective use of CMC; secondly a
dialogue technique framework proposed by Huang et al. (1998b) is presented,
describing how dialogue technology may be adopted to help organisational
members work effectively in mediated environments; thirdly, a model is
presented that integrates the dialogue technique into a process of developing a
shared social construction in collaborative work environments, which may
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Expanding the Information Carrying Capacity of the New Media 265
increase effectiveness. The chapter closes with a discussion of the implications
of the model, and some final conclusions are drawn.
Background
CMC systems use computers to structure, manage and process information,
images and electronic resources across telecommunications networks to
facilitate their exchange. Characteristics of these systems that have implications
for organisational communication include the following (adopted from Rice &
Shook, 1988):
1)
2)
3)
4)
5)
6)
Asynchronicity – users do not have to be on the system simultaneously
in order to send or receive messages. This removes the constraint of
temporality inherent in face-to-face or telephone communication.
Synchronicity – video conferencing allows for the digital transmission of
images, voice and the sharing of electronic resources managing data and
documents in an integrated environment. This environment allows for the
simulation of face-to-face meetings, removing the constraint of geographical proximity.
Feedback – users may interact as quickly as they wish to clarify points
or requests for further information. This removes the time lags inherent in
memos and letters.
Electronic transmission and storage of information – messages
documents, images and other resources can be accessed wherever a user
has access to a terminal. This removes the constraint of geographic
proximity inherent in face-to-face communication, and the constraint of
point-to-point communication inherent in letters and memos.
Structuring of communication – users may use the capabilities of a
computer to structure their communication. For example, using preestablished distribution lists removes the constraint of having to send
separate letters or make separate phone calls to transmit the same
message to many people. Users also have greater abilities to index and
retrieve messages, documents, images and other resources.
Connectivity – users typically can contact other users on the system
without having to know them in advance, or, by using keywords for
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266 D’Ambra & Guo
7)
interest areas or distribution lists, without knowing the person exists. This
also increases the potential value of the interaction because users become
sources of information value themselves, and the value of the communication component rises exponentially with the number of users.
Integration – users have access to multiple applications and technologies
without learning multiple interfaces, and can transform information from
one medium to another. This removes the constraint that multiple
organisational media impose on the sequential transmission or formatting
of communication.
Through these characteristics CMC systems have been shown to reduce delays
in information exchange, improve maintenance of records and information
received, increase coordination of geographic dispersed groups, and improve
users’ capabilities to process large amounts of information (Baltes et al., 2002;
Kettinger & Grover, 1997; King & Xia, 1997). As these new media generally
are asynchronous and involve text and audio modes, they tend to be characterised
by a relatively lower information carrying capacity relative to face-to-face.
The effectiveness or suitability of these new media, as compared to traditional
media, for various communication activities, is still debatable and yet to be
resolved by research. It is still not well understood how these new media are
integrated into users’ communication behaviour or which traditional media are
displaced by the new media within the users’ task environments. To answer
these questions there has been research in the many dimensions of CMC usage
that emerge from the above characteristics. These dimensions include: changing
perceptions of communication media (Schement & Stout, 1989); the technical
and social characteristics of the new media (Huang & Wei, 2000); the human
conceptualisation of the underlying properties, roles and functions of the new
media (Katz & Rice, 2002); the perceived characteristics of the new media
(Culnan & Markus, 1987; Short et al., 1976; Trevino et al., 1990)); the effect
of context and social influence on the adoption and usage of the new media
(Carlson & Zmud, 1999; Rice et al., 1998); and structuration examining the
adoption and development of new organisational structures and technologies in
the domain of communication technologies (Rice & Gattiker, 2001). An
emerging dimension of research in CMC is the effectiveness of teams using
CMC technologies as the medium for all communication and collaboration of
virtual teams. A virtual team is a “group of people who collaborate closely even
though they are separated by space, time, and organisational barriers” (Lipnacek
& Stamps, 1997). Group members work on a specific high-level task or goal;
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Expanding the Information Carrying Capacity of the New Media 267
they may work at the same time but at different locations; or they may even
work over different time zones and different locations due to geographic and
time zone differences. CMC systems are used widely to facilitate virtual teams
to communicate and exchange knowledge and information to achieve the team
goal. The effectiveness of CMC in supporting the collaboration and successful
outcomes of virtual teams is the focus of this chapter.
In addressing the seminal issue of the information carrying capacity of the new
media, Daft and Lengel (1984) proposed Media Richness Theory (MRT),
which hypothesises on the information carrying capacity of the new media.
Richness is defined as the potential information carrying capacity of data. Daft
and Lengel proposed that communication media vary in the richness of
information processed. This is illustrated through a continuum of media and
their level of richness illustrated below:
Information Medium
Information Richness
face-to-face
highest
telephone
high
written, personal (letters, memos)
moderate
written, formal (bulletins, documents)
low
numeric formal (computer format)
lowest
The explanation of this hierarchy of media richness lies in the manner in which
media differs in its capability to:
•
•
•
Provide Feedback: the capability of participants to ask questions, make
corrections
Support Multiple Cues: the capability for participants to add meaning
to what is said by using multiple cues, that is, body language, voice, tones
Language Variety: flexibility offered by a medium in using words to
increase understanding
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268 D’Ambra & Guo
•
Personal Focus: the extent to which participants can show their feelings.
Face-to-face is the richest form of information processing because it provides
immediate feedback. With feedback, understanding can be checked and
interpretations corrected as well as allowing simultaneous observation of
multiple cues, including body language, facial expression and tone of voice,
which convey information beyond the spoken message. The telephone medium
is somewhat less rich than face-to-face. Feedback capability is fast, but visual
cues are not available. Participants must rely on language content and audio
cues to reach understanding. Written communication is less rich. Feedback is
low. Only the information that is written down is conveyed so visual cues are
limited to those that are on paper. Formal numeric documents are lowest in
information richness. An example would be quantitative reports. Numbers do
not have the information carrying capacity of natural language. Quantitative
reports provide no opportunity for visual observation, feedback or
personalisation.
The literature on media richness theory demonstrates that support for media
richness propositions is often mixed at best, especially when new media such
as voice and electronic mail are concerned. Part of these inconsistent results
may be due to inherent problems with judges’ ratings of task equivocality or
user ratings of media’s richness. Other reasons may be due to poor understanding of individual, positional and organisational differences in media choice.
These inconsistencies of research findings in the literature, however, have
encouraged a reconsideration of the descriptive and predictive validity of
MRT, especially for CMC systems. Some researchers (e.g., Fulk et al., 1990;
Huang et al., 1996) contend that media richness is not a fixed feature of a
medium, but could be changed by shared social constructions, which refers to
an object that is, at least in part, socially constructed and subjectively
generated, as defined by Huang et al. (1996). To choose and use CMC systems
effectively for improving group performance, the key issue is thus how to
develop a shared basis for communicators before they work together as a team
to engage in task based activities and frequent communication. This proposition is supported by the findings of recent research into the use of CMC by
computer-mediated groups. The effectiveness of computer-mediated teams
has been found to improve where: the teams had a shared history (Alge et al.,
2003); when training in developing media use and communication-related
issues took place (Lurey & Raisinghani, 2001); teams had the ability to build
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Expanding the Information Carrying Capacity of the New Media 269
personal relationships in the mediated environment (Pauleen & Yoong, 2001);
and the media allowed the team to adapt their behaviour to match the nature of
the task and other constraints (Majchrzak et al., 2000; Manevski & Chudoba,
2000). The next section of the chapter proposes a technique for expanding the
information carrying capacity for CMC media used by virtual teams.
Dialogue Technique
Based on the mental model discipline (Senge, 1992) and dialogue theory
(Bohm, 1990), Huang et al (1998b) proposed a dialogue theory-based
technique to help organisational groups build a shared basis for effective
communication. The main premise of this technique is that through dialogue,
group members could build a common mental model that facilitates shared
understanding (Huang et al., 1998b). This model serves as a group norm to
guide future interaction and activities of the group.
Effectiveness of group work depends on valid communication across group
members (Schein, 1995). Mental models encompass the ingrained frames of
reference, generalisations, and images that reflect human understanding of the
world (Tan et al., 2000). Differences in mental models among group members
can cause vastly different tacit decision rules, such as different perceptions of
communication media, inability of group members to understand each other,
disagreements during group work, and poor group work outcomes. If a group
mental model can be established, shared understanding of group members is
possible. The more a group has achieved this, the easier it is for the group to
reach a collective decision, and the more likely the decision will be implemented
in the way the group wants (Isaacs, 1993). Dialogue theory offers suggestions
on how group mental models can be developed. Dialogue is a basic process for
building common understanding and it is at the root of all effective group actions
(Schein, 1995). Through dialogue, group members will be able to determine
whether or not the communication is valid and will be able to build sufficient
common ground and mutual trust for future effective interaction.
This proposed dialogue technique, illustrated in Figure 1, comprises five stages:
small talk, corner_ stone, infinite container, laser generation, and satisfying.
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270 D’Ambra & Guo
•
•
•
•
•
Small Talk: At the small talk stage, group members introduce each other
and conduct an informal conversation with the purpose of providing an
open conversation environment for further communication.
Corner_Stone: Members have a dialogue defining and generating shared
goals for communication.
Infinite Container: Members share their ideas about “effective communication practices” based on their past experience with their group
members. They are allowed to clarify any questions raised. But criticisms
and defensive behaviours are not permitted. Every member will contribute
to this container regarding effective communication practices. As part of
the infinite container process a dialogue facilitator may intervene, when
necessary, to clarify or elucidate communication issues using concepts
and examples illustrating communication issues.
Laser Generation: At this stage, group members develop their group
communication mental model by ranking the characteristics of effective
communication practices, discussed earlier in the infinite container stage,
that are most important to the attainment of shared goals.
Satisfying: The validity of the extent to which the model reflects the
values and perceptions of all the team members will be assessed by an
evaluation instrument measuring the members’ satisfaction with the shared
mental model. If members are not satisfied the dialogue process will be
repeated until all members are satisfied.
This process should result in a shared mental model for the team’s communication behaviour, which will guide the team’s communication in the future.
Figure 1. Dialogue Framework.
Small
Talk
Corner
Stone
Infinite
Container
Laser
Generator
Shared
Basis
No
satisfying
Yes
Stop
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Expanding the Information Carrying Capacity of the New Media 271
We propose that the dialogue technique can be used to support teams using
CMC to develop shared mental models which would map agreed, effective
communication behaviour for the team in the mediated environment. The
dialogue would also contribute to the team developing effective personal
relationships, a past and future perspective.
Clearly the process outlined above requires much investigation to determine if
the proposed benefits from the dialogue process are in fact delivered. The next
section outlines how such an evaluation may be conducted.
Evaluation of the Dialogue Approach
To examine the above approach, an input-process-output model of group
interaction may be adopted. Figure 2 illustrates the relationships between the
media, the dialogue process and the group outcomes.
•
•
Media Type: The input variable. Media type maybe an asynchronous
medium such as e-mail or a synchronous medium such as video conferencing.
Interaction Process: Members of the team present to the dialogue
process with past communication experience. This experience may be
within the context of the medium to be used or it may not. Members will
share their past experience and learn from the past experience of others.
Through this process of sharing and learning the shared mental model of
effective communication will be developed and accepted.
Figure 2. Group Interaction.
INPUT
Media Type:
Face-to-face meeting
Synchronous CMC
Asynchronous CMC
PROCESS
OUTPUT
Group Outcomes:
Group effectiveness
Decision process satisfaction
Decision satisfaction
Interaction Process
Dialogue Technique
Perceptions:
Media richness
Communication satisfaction
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272 D’Ambra & Guo
•
Output: The effectiveness of the shared mental model can be assessed by
measuring group members’ perception of attributes of the media used and
outcomes of the group’s tasks. This can include group effectiveness,
satisfaction with decision processes that may have been adopted and
overall satisfaction with the decision. These dependent variables are
believed to be critical for understanding and predicting the use and
usefulness of CMC in organisational settings (Baltes et al., 2002).
Prior research has demonstrated that when communicators possess shared
experiences or social constructions, a lean medium, such as synchronous CMC
or asynchronous CMC, can be used as effectively as face-to-face meetings for
rich information, which could enhance work performance for solving a complicated equivocal problem (Dennis & Kinney, 1998; Huang et al., 1998a).
Huang et al. (1998b) propose explicitly the dimensions of teams and teamwork
that can be enhanced by a shared basis. These dimensions include trust,
cohesion, conflict, and decision process satisfaction, decision satisfaction and
decision quality in a virtual environment. These dimensions can be used to direct
the dialogue process (and training process), thereby facilitating communication
behaviour that directly addresses the critical success factors of effective
teamwork in virtual environments.
Future Trends
The adoption of CMC in the developed world has reached saturation.
However, organisations adopting new CMC technologies have not given
careful consideration to the effective use of these communication technologies
(Baltes et al., 2002). Users will have increasing access to CMC, both
asynchronous and synchronous. With this increase in access there must be
support from within organisations for training users on the effects of the new
media and how the new media can be used effectively. Training will have to be
provided to develop an understanding of communication behaviour, communication tasks and the match between the medium and the communication task.
Organisations must develop an understanding of the attributes of the new media
and how these attributes may or may not “match” organisational needs and
tasks. The dialogue process proposed here is one technique that may be used
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Expanding the Information Carrying Capacity of the New Media 273
for organisations to learn and understand communication behaviour and
thereby use CMC more effectively.
Implications and Conclusion
In this chapter, we have recognised the need to fill the gap that exists in the
theoretical approaches explaining media choice. We have proposed that as
long as a shared social construction can be developed among group members,
CMC systems may be used as effectively as the traditional face-to-face
medium for virtual teams’ interactions. We have applied the dialogue technique
to develop our model, which can also be used to evaluate the use of CMC in
organisational contexts. The dialogue technique can be adopted to assist group
members to develop a shared group norm for further effective communication,
which is the key for virtual teams to achieve their goals.
This chapter has described a mechanism through which CMC systems may be
applied effectively within virtual teams that are task based and use CMC as the
primary communication medium. One of the reasons why virtual teams have not
been as productive as expected is that teams do not develop a shared basis for
collaborative processes before they work together to perform various tasks.
The model presented in this chapter provides some guidance for organisations
regarding CMC adoption and diffusion, as well as group decision-making
performance via CMC systems. It is widely recognised that CMC systems
significantly alter communication processes and outcomes in organisations. The
framework presented by this research can provide a better understanding of
CMC systems on organisational communication processes and group outcomes in order to increase the benefits derived from their use.
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Knowledge-building experiences and opportunities in decision-making
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permission of Idea Group Inc. is prohibited.
TEAM LinG - Live, Informative, Non-cost and Genuine!
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Chapter XIV
Change and Challenge:
Managing the E-Business
Organization
John Mendonca
Purdue University, USA
Abstract
In addition to changing the ways organizations do business, the adoption
of e-business forces significant changes to the organizations themselves—
in culture, structure, and in what needs to be managed and how it is
managed. This chapter describes characteristics of e-business that impact
organizational management, focuses on four major ways in which
organizational management is impacted, and offers some major guidelines
for success in managing in an e-business environment. Understanding the
challenges and adopting new management styles and techniques are
critical success factors for the netcentric organization.
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Introduction
E-business is a major disruptive force for organizations. In addition to changing
the competitive landscape and introducing new ways of doing business, new
products, and new ways to deliver them, the extensive and rapid deployment
of e-business has caused significant changes to organizations. Net-centric
organizations—those which conduct significant business on internal and external digital networks—are finding that business-to-consumer, business-tobusiness, and other applications and business models are converging to form
the e-enterprise, in which the entire value chain, from procurement to customer
service, is fully digitally integrated. Adoption of e-business thus forces many
organizational changes that provide new and complex challenges for leaders
and managers engaged in electronic business.
Technological, economic, and societal factors have contributed to create the
modern netcentric organization. This type of organization is one that not only
uses, but also clearly exploits, digitized data and the automated processes that
use them effectively and efficiently. The netcentric organization uses networks
to share content (data) and process within the organization and without—to
customers, suppliers, and sometimes even competitors (such as with electronic
markets).
The technical capabilities of the Internet, combined with intranets and extranets,
enable new ways to communicate and exchange information at any time, in any
place, in a variety of ways. The rapid and continuing decline in technology costs
relative to productivity encourages the adoption of these technologies. Economic pressures that support the creation of network-based organizations
include the development of the global economy, a competitive environment that
demands better-faster-cheaper products and processes, business-to-business
alliances, the fast pace of market change, and the increased power of
consumers. Societal pressures include changes in the expectations of consumers and workers—for example, in the amount and types of information
expected about commercial goods and commercial and government services.
More and more, consumers expect 24-7 service levels accessible via the
Internet. As the technology matures, mobile commerce will surely become an
expectation as well.
The extent to which organizations are impacted by e-business is, of course, a
function of how thoroughly and how rapidly they adopt netcentric business
practices. A company that uses the Internet merely for posting an online catalog
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(an early, first-stage implementation of e-commerce) is not as extensively
impacted as the organization that participates in enterprise-wide inter-organizational e-business. Companies that are culturally open to change and that have
leaders who understand the capabilities and benefits of digital, informationbased processes will be affected most.
This chapter describes the general characteristics of e-business that force
fundamental change to organizational management. It focuses on four significant dimensions of the impact of e-business on managing organizations: how
organizations manage and control processes and projects; organizational
design; technology transfer management; and changes to the nature of work—
what workers do and how, where and when they work. It also offers some
guidelines for successfully managing the e-business organization as a response
to these forces.
Background
A definition of e-business, as used here, is necessary, particularly in regards to
differentiation from e-commerce. There is certainly debate among information
technologists and academics about the meaning and coverage of the terms ebusiness and e-commerce. Rayport and Jaworski (2000) argue that ecommerce encompasses the entire set of electronically based organizational
activities, including the information systems infrastructure. Kalakota and
Robinson (2001), on the other hand, use e-business as the more inclusive term,
and posit e-commerce as a precursor, developmentally, in an organization’s
progression to e-business. Laudon and Traver (2001) suggest that e-commerce primarily involves transactions that cross firm boundaries, while ebusiness concerns use of digital technologies for processes within the firm—
thus viewing the concepts as mostly exclusive with some overlap.
For this discussion a broad view of e-business is adopted, one that encompasses e-commerce and includes all digitally based transactions, processes,
and communication, both internally and externally directed, that support the
organization. Organizations that fully embrace e-business are netcentric. That
is, they conduct significant business on intranets, extranets, the Internet, and
other networks of various protocols and technologies. Under this definition, in
addition to Internet protocol technologies and online commerce, e-business
technologies include collaborative software, electronic data interchange (EDI),
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280 Mendonca
enterprise-wide databases, real time information exchange, enterprise applications (such as supply chain management and customer relationship management), mobile commerce and more.
Historically, technology has been an enabler of business transformation, and ebusiness technologies are certainly no exception. The concept of information
technology as a disruptive force within organizations is one that was developed
at least a decade ago and incorporated into basic concepts of re-engineering
(Champy, 2001).
As a set of technologies, e-business is arguably the most disruptive force in
organizations in many decades. At the core of the impact of e-business is its
capability to “collapse” time and space, allowing organizations to dissolve
boundaries to better-faster-cheaper commerce (Ashkenas, Ulrich, Jick &
Kerr, 1995). The Internet, for example, reduces or eliminates time boundaries
by enabling fast (instantaneous or simultaneous) communication and sharing of
information. E-business technologies lessen geographic boundaries that physically separate employees and organizations from one another and from their
customers. Network based collaborative software, for example, allows for
synchronous or asynchronous communication and effective team building
across boundaries. For example, workers can use search engines and intelligent
agents (“bots”) to scour global resources for the latest news, research, and
other information to support organizational objectives. Another example is the
use of streaming video, which has the capability of delivering complex, contentrich information in real time mode whenever the viewer is ready.
Operating within an e-business paradigm is also disruptive in regards to the
balance of power between companies and their customers. Fingar, Kumar and
Sharma (2000, p. 24) suggest that because of the access to information, the
Internet “turns the producer-consumer relationship upside down, with the
balance of power going to the customer”. This is very different from earlier
business paradigms in which information is tightly controlled by companies.
Some primary characteristics of e-business that contribute to its being a
disruptive force in the management of organizations include:
•
Ubiquity. Traditional, non-electronic business is limited by place. The emarketspace is available to consumers nearly everywhere at times and in
locations convenient to them. Organizations must change structure and
management approach to support this.
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Change and Challenge
•
•
•
•
281
Reach. Most traditional commerce is local or regional, concentrated in
geographically accessible merchants. E-business encompasses potentially global reach and introduces management and control challenges that
span geographic barriers.
Richness. This refers to complexity and content of a message or product.
In traditional commerce there is a tradeoff between richness and reach—
in order to provide rich content a seller needed to be face-to-face with a
customer. Through online business and mass customization of digital
content, e-business can dispel that tradeoff.
Interactivity. E-business technologies support easy, two-way synchronous or asynchronous communication among workers, between the
organization and its customers and suppliers, and between organizations.
Information transparency. This refers to the ease, efficiency and effectiveness of information collection, distribution, and exchange that surround
the netcentric organization.
These disruptive forces fundamentally alter the competitive environment in
which organizations operate and forces them to change in order to compete
successfully and, in the long run, to survive.
Challenges in Managing for E-Business
Management: Structure, Control, and Planning
One major impact on the organization is on how they manage and control
processes, relationships and projects. The fundamental challenge to management is the need to implement the processes and infrastructure that support
information management, in addition to the traditional product management
paradigm. The introduction of disruptive e-business technologies cannot help
but significantly (and appropriately) impact the organization’s management
structure and management procedures, style, and techniques.
Through the deployment of networks, information quality and richness has
improved, and its facile and rapid movement throughout the organization has
been greatly enhanced. Information transparency can provide lower-level
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workers the information they need to make decisions with less direction and
screening from upper management. Thus managers and workers who previously merely served as conduits of information can be bypassed, and eventually
eliminated. This facility of knowledge transfer tends toward less structural
formality, decentralization of decision authority and a greater reliance on skills
(Wang, 1997). It therefore promotes a flatter managerial hierarchy because
employees have greater independence and managers can effectively have a
wider span of control.
Although managers have always worked on good relationship management,
automated enterprise systems such as customer relationship management
(CRM) and supply chain management (SCM) significantly change the way in
which relationships with customers and suppliers must be managed. Because
these systems can deliver significant value to the organization, they demand
significant attention and management resources. Inter-organizational relationships are a significant aspect of e-business, but managing interfaces in these
systems and networks is particularly challenging. Businesses are extending their
internal processes and strategies into inter-organizational space in order to gain
benefits, such as cost reduction, and there is a growing reliance on interorganizational learning to improve performance (Scott, 2000). These extensions introduce an additional level of complexity. SCM systems, for example,
contribute value through the sharing of data and processes, but require a high
level of trust among participants (Hoffman, Novak & Peralta, 1999).
Project management is also more complex in a highly competitive netcentric ecommerce environment that demands better-faster-cheaper products and
processes developed and implemented via lightning-quick schedules. Yourdon
(2000) suggests that newer flexible, rapid development approaches to project
management are necessary for e-business projects. In this kind of emergent,
unformed, somewhat chaotic environment, a traditional approach to using an
optimal methodology, one that is predictable, tested, and proven, has no
application, and managers need to adapt accordingly.
In planning for e-business, organizations need to carefully evaluate their own
current capabilities and identify new capabilities needed. In the rapidly changing digital environment, traditional top-down planning is often viewed as too
cumbersome and inflexible (Kalakota, 2001). Because of this, the insights of
front-line employees have increased in significance and tend to support a more
bottom-up strategy (Wang, 1997). Unfortunately, the “just do it” approach,
which de-emphasizes planning and delivers products more quickly, also has a
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283
high level of risk. Arguably, dissatisfaction with early implementations of ecommerce applications was a result, to a significant extent, of poor planning and
design.
Managing the Transition: Technology Transfer
A second major impact for organizational management caused by the adoption
of e-business is in technology transfer management. Although organizations
have always been concerned about change management, the introduction of ebusiness significantly affects the breadth, depth, and pace of change. In order
to be successful, organizations that choose to participate fully in e-business
must undertake major changes that include adopting new technologies, changing existing business processes, and transitioning workers to new roles and
skills. A major concern of corporate leaders and managers is how to effectively,
efficiently, and quickly transform an organization from an older business design
and model to one that is competitive and fully operational in the digital business
world. These leaders and managers must function as fully informed change
agents, anticipating the need for transformation and carefully guiding the
organization through planning and implementation of all the facets of new
business paradigms. The transformation may be gradual or quick, narrowly or
widely focused, involve only internal components or extensively involve customers, suppliers and other external entities. Major characteristics and processes for successfully managing the transition include vision, process reengineering, and architecture redesign knowledge and skills.
Technological innovations by themselves introduce new learning challenges for
managers. Organizational leaders need to understand new ways to compete
effectively (Porter, 2001). E-business infrastructure is complex, requires high
levels of consistency and reliability, and often is globally implemented. For
example, technical managers must acquire new skill sets for rapid development
and implementation. They need to understand the capabilities and limitations of
new technologies and develop strategies for integration into existing processes
and systems. Managers in netcentric organizations are often faced with new
transnational legal, cultural, and social issues due to the implementation of new
technologies and processes globally.
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Organizational Re-Design
A third major way that management is impacted is in organizational design.
Information technology (IT), in general, has long been a source of consideration
regarding its impact on organizational design (see, for example, Malone &
Rockart, 1993). Lau et al. (2001) argue that design and culture are the two
most significant ways in which IT impacts the organization. Lucas and Baroudi
(1994) provide a strong view of e-business technologies as agents for organizational change, particularly for new organizational forms such as virtual
organizations, negotiated organizations, and vertically integrated conglomerates.
Organizational design is directly impacted by the ubiquity and transparency of
information in the netcentric organization. As noted previously, these forces
tend toward supporting a flatter organization. Another force for organizations
redesigning themselves is alliance building for e-commerce, something even
small companies can use effectively. Because of the facility of communication
and the lowering of coordination costs, companies can more easily exchange
information as a resource and as a commodity. The result is increased valueadded partnering, such as for SCM systems (Hitt & Brynjolfsson, 1997). The
fully developed e-enterprise includes organizations in the same and other
industries that work together through complex processes that bring together
customers, suppliers, distributors, and others. This leads to an interesting
phenomenon and management challenge—the cooperation of competitors, for
example in establishing industry exchanges that facilitate purchasing.
Still another significant way organizations change their structure for e-business
is via globalization, which is enabled by telecommunications networks and is a
feature of advanced e-business adaptation. At the simplest level of implementation, companies can adopt e-business with little change to structure. However, as organizations begin to fully exploit the e-business capabilities that
reduce or eliminate space and time barriers to commerce, they need to adopt
structures that support a global IT infrastructure. Consultant Robert Heller
(2001) argues that no matter how well a CIO wires a global enterprise, a topdown inflexible management structure will keep it slow and inefficient.
The ease and low cost of communication via the Internet has also facilitated
further growth in outsourcing (Wang, 1997). The virtual organization extends
the outsourcing facility to its maximum capability (Donlon, 1997). As an
example, application service providers sell access to Internet based software
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285
applications. Organizations that contract for these services can reduce costs
and eliminate the difficulties of developing and maintaining complex systems,
particularly those systems that are fundamentally operational and do not deliver
competitive advantage. Organizations that adopt significant levels of outsourcing
require different organizational structure than those that do not (Lucas &
Baroudi, 1994).
Organizational Impact: Work and Workers
A fourth significant way in which the management of organizations is impacted
by e-business adoption is in the change in the way people work. Efficient and
effective communications, access to a wealth of various types of information,
and the automation of processes inevitably lead to work redesign and an
increase in “virtual” (i.e., netcentric, paperless) work. In fact, to fully exploit the
capabilities of these technologies and processes, an organization must redesign
what tasks workers perform, where and when they perform them, who does the
work, and what kinds of skills are needed.
Some tasks are best done by people, but many others within the e-commerce
realm can be effectively done by computers. As more and more organizations
adopt e-commerce and its functionality expands, more and more processes will
be automated. Disintermediation efforts that eliminate the “middle man” and
allow customers direct access to information (for example, the replacement of
telephone order clerks with Web-based ordering) replace workers who once
performed basic sales and customer service tasks with higher-level knowledge
workers who need to be capable of collecting, analyzing, and integrating
information (Kalakota & Robsinson, 2001). They handle the more complex
transactions and queries that require integrated skills and that cannot be easily
automated.
Where and when people work is also changing. Network based work is
information and knowledge intensive and is less tied to restrictive time and place
parameters (Hitt & Brynolfsson, 1997). Although the wireless data communication industry has had a rocky start (Dunne, 2001), mobile e-business retains
the potential to deliver real time information to remote locations and to enable
many types of commercial transactions that can be executed outside the
traditional work environment and work hours, thus supporting a more mobile
work force. Web-enabled personal devices will greatly extend functionality
and mobility and virtual private networks will provide the flexibility and security
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workers need. Organizations will more frequently face the challenges of
managing, evaluating, and rewarding virtual workers who are globally dispersed.
As noted earlier, the changing communication patterns of workers lead to a
flatter organizational structure. They can also lead to more collaborative work
(Rudnick, 1996). Cross-functional integration, inter-organizational and intraorganizational structures are common components of e-commerce that are
facilitated by collaborative technologies. Task oriented work teams are not
limited by geographic proximity. Virtual communities, uniting managers, workers and professionals within and across organizations, and even across industries, can be more easily developed and maintained for supporting knowledge
sharing and learning (Lau, 2001).
From the worker’s point of view, there are several major negatives for
workers. One is the worker stress that is an inevitable result of extending the
work into leisure time and into homes and cars and other traditionally non-work
spaces. The fast pace of change, the need to adopt new skills quickly, and
independence in knowledge work are also stress factors. Another concern to
workers is the ease with which processes can be outsourced. Once an
infrastructure for virtual work is established, work can be accomplished abroad
as easily as it can be done domestically. While easier access to less costly
human resources is a financial benefit to companies, “electronic immigration”
can result in job losses.
Changes in what people do, the kinds of skills needed, where and when they
work, outsourcing, and the increased stress of omni-present work all present
special challenges to managers.
Managing E-Business: A “Systems”
Approach
Because of its potential extensive impact on the core parameters for managing
an organization, leaders and managers should approach e-business from a
“systems” perspective. E-business is not just about changing business processes and the way products are developed, marketed and distributed. A
systems perspective will approach the adoption of e-business as a systemic
change, affecting multiple aspects of an organization’s components and con-
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stituents. It is too easy a mistake for managers to see e-business as an “external”
objective entity that is about what to manage, instead of one that directly affects
how to manage. Managers who recognize the significant expected impact will
be better prepared for changing the way that people are managed, changing the
structures that support management, supporting employees as they change
how, when, and where they work, and enabling an organizational culture that
will support effective and successful e-business.
To manage the e-business organization successfully, managers need to do the
following:
•
•
•
•
•
Understand the impact of adopting netcentric processes on all aspects of
the organization, including structure, culture, workers, relationships,
processes, technology, and information collection and dissemination.
Redesign the organization to successfully exploit e-business capabilities
and information value. Allow for more independent workers, collaborative work, and work across traditional time and space barriers.
Adopt flexible planning and project management techniques that are
responsive to the needs and fast pace of change in the competitive digital
economy.
Adopt change management procedures that keep all constituents informed as new processes are developed and implemented.
Learn to manage geographically distributed customers, suppliers, and
knowledge workers.
Conclusion
In a survey of 33,000 organizations, IBM found that 80% were at some stage
of e-business adoption (Perna, 2003). Of these, 28% were at a second stage—
conducting business transactions for employees, customers and suppliers. As
more and more organizations face the challenges of doing e-business at a
transactional level, managers will need to understand the extensive impact on
many of the systems, components and constituents that comprise the modern
enterprise and change how they manage organizations. Understanding the
challenges and adopting new management styles and techniques are critical
success factors for the netcentric organization in the coming decade.
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Systems Management, 16, 83-91.
Yourdon, E. (2000, August 21). Success in e-projects. Computerworld, 3436.
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290 Mendonca
Section V
Case Studies of
Human and
Organizational
Issues
Regarding
IT Adoption and
Use
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Data Quality and Work Alignment 291
Chapter XV
Data Quality and Work
Alignment:
Do IT Professionals
Think Differently?
Latif Al-Hakim
University of Southern Queensland, Australia
Hongjiang Xu
Central Michigan University, USA
Abstract
Organisational decision-makers have experienced the adverse effects of
decisions based on information of inferior quality. Millions of dollars have
been spent on information systems to improve data quality (DQ)1 as well
as the skills and capacity of IT professionals. It is an important issue that
the IT professionals align their work within the expectation of the
organisation’s vision. This chapter provides some theoretical background
to DQ and establishes a link between DQ, performance-importance
analysis and work alignment. Four case studies are presented to support
the theory developed in this chapter and to answer the question as to
whether the IT professionals consider DQ issues differently from other
information users.
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292 Al-Hakim & Xu
Introduction
There is one thing we can all agree on when it comes to discussing the recent
advances in information technology (IT). IT has dramatically changed the way
in which business operates. The Internet, for instance, brings with it ubiquitous
connectivity, real-time access to information and allows the organisation to
communicate instantly with customers, suppliers and partners (El Sawy, 2001).
More and more electronically captured information needs to be processed,
stored, and distributed through IT-based business systems. Information is
shared amongst various decision makers within organisations and between
supply chain partners not only to benchmark, amend or formulate competitive
strategies but also to control day-to-day operations and to solve problems on
a real-time basis (Al-Hakim, 2003a).
On the other hand, IT advances can create problems rather than benefiting the
organisation, if data quality (DQ) issues have not been properly addressed.
Although software bugs and facility catastrophe are likely to be widely
reported, by far the most common source of business failure is data quality
(Laudon & Laudon, 2002). Firms become so critically dependent on information that DQ problems must be identified and treated as urgently as possible.
There is strong evidence to suggest that DQ has become a critical concern of
organisations (Lee et al., 2002; Redman, 1998; Wand & Wang, 1996). The
growth of data warehouses, communication and information technologies have
increased the need for, and awareness of, high DQ in organisations (Lee et al.,
2002). DQ has been rated as a top concern to data consumers (Wang, 1996)
and reported as one of six categories commonly employed in management
information systems research (Delone & McLean, 1992).
Zero defects in information systems of any complexity cannot be achieved and
there are technological barriers to perfect information systems. According to
Huang et al. (1999) most chief executive officers (CEOs) have experienced the
adverse effects of decisions based on information of inferior quality. At the
same time, most chief information officers have experienced the discomfort of
explaining why, in light of the costly investment made by the company in
information technology, these data are of inferior quality.
Many firms strive to satisfy the organisational need for DQ. “All too often,
however, DQ is not delivered or is not accessible to the user. This does not
have to be so” (Huang et al., 1999, p. 9).
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Data Quality and Work Alignment 293
Strong et al. (1997) identify three roles for people working within information
systems:
1.
2.
3.
Information producers are those who create or collect data;
Information custodians are those who design, develop and maintain the
data and information systems; and
Information consumers are those who use the information.
Wang (1998) finds an analogy between quality issues in product manufacturing
and those in information manufacturing and asserts that information manufacturing can be viewed as a processing system acting on raw data to produce
information products. Based on the work of Wang (1998), Huang et al. (1999)
add another role for the people working within information systems, that is,
information product managers. Information product managers are those who
are responsible for managing the entire information product processes. Information custodians and information product managers could be seen as “IT
professionals”.
IT professionals, information producers and information consumers are all data
users but with different degrees of complexity and scope. The people working
within the information system in an organisation can be seen as a customersupplier information network in which every employee has internal customers
who receive information from suppliers within the organisation. The IT professionals may be considered as information suppliers to the information consumers, who are the ultimate users of information. The question raised by this
research is whether the IT professionals think differently from others, that is,
from the information consumers. A gap in the thinking could disclose an
important dimension affecting DQ in organisations.
This chapter is organised into two parts. The first part provides some theoretical background to DQ and its relation to work alignment. This first part
comprises four sections. The first section emphasises the correlation between
DQ and quality management for products and considers information as an
intangible product. The second section explores the dimensions of DQ and
factors affecting DQ. The third section investigates the relationship between the
information user’s expectation from each factor and the user’s perception of the
factor’s performance. The fourth section establishes a link between performance-importance analysis and work alignment, and constructs several formulas for determining DQ alignment.
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294 Al-Hakim & Xu
Figure 1. Outline Structure of the Chapter.
Theoretical Background
Data Quality (DQ)
DQ: Information
Product
DQ: Dimensions and
Factors
Case Study
Case
Organisation
Case A
Case B
DQ; Perception and
Expectation
Case C
Case D
DQ; Work Alignment
Discussion & Conclusion
Benefits &
Limitations
Conclusion
The second part of this chapter presents four case studies. The theory of DQ
alignment developed in the first part is used to show whether IT professionals
think differently from other information users. The last section of this chapter
discusses the limitations and benefits of this study and draws conclusions from
the case studies. Figure 1 illustrates the structure of the chapter.
Part 1: Theoretical Background
DQ: Information Product
Forza (1995a) suggests that new production models (world-class manufacturing and lean manufacturing, etc.) have not clarified the role of information
systems in quality management. Forza (1995b) concludes that links between
suppliers and customers in term of quality practices and information flows
strongly influence achievement of quality performance. Wang (1998) takes a
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Data Quality and Work Alignment 295
step beyond the work of Forza and finds an analogy between quality issues in
product manufacturing and those in information manufacturing and asserts that
information manufacturing can be viewed as a processing system acting on raw
data to produce information products. He urges organisations to manage
information as they manage products if they want to increase productivity.
Meade and Sarkis (1999) emphasise that, in an agile environment, skills,
knowledge and information are no longer enough for achieving or enhancing
competitiveness without the ability to convert the knowledge, skill and information into products. “Ability to convert” is what companies are really relying on
to achieve customer satisfaction (Al-Hakim, 2003a). Clearly, there are also
some differences between product manufacturing and information manufacturing. For instance, the raw materials used in information manufacturing are data,
which can be consumed by more than one consumer without depletion, not like
raw materials in product manufacturing that can only be used for single physical
products. However, such difference will not affect the analogy proposed by
Wang (1998).
The analogy between products and information (Wang, 1998, 1999) and the
strong relation between information flows, quality practices and quality performance (Forza, 1995a, 1995b) establish a strong correlation between DQ and
quality management for physical product and service. An information product
has quality dimensions that can be measured, analysed and improved. However, DQ is different from the quality management of a manufacturing system
since the users of the end product are undefined in the former, whereas they are
clearly defined in the latter (Sen, 2001).
Information quality or DQ can be viewed by information consumers from
various perspectives; as “fitness for intended use,” “conformance to specifications” or as “meeting or exceeding customer expectations”. Sen (2001)
emphasises the importance of applying total quality management (TQM) to the
production of information. Sen argues that the zero defects goal of TQM
becomes particularly relevant to data and information producing entities to
avoid undesired consequences. Based on the principles of TQM, Wang (1998)
and Huang et al. (1999) address total data management quality (TDQM).
Further, Wang et al. (2003) emphasise the criticality of having tools and
techniques to manage the life cycle of the information product and stress the
importance of developing a mechanism for producing the Information Product Map (IPMap), just like a blueprint for an assembly line that produces a
physical product. Further, Lee et al. (2002) develop a methodology for DQ
assessment and benchmarking considering DQ dimensions that covers aspects
of DQ that are important to information consumers.
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296 Al-Hakim & Xu
The explosion of the Internet offers new challenges for marketing. Since the
birth of World Wide Web (WWW) in 1993, companies are rushing to the Web
to enhance their competitiveness. Web-based customer service provides a
close connection between customers and companies, between companies, and
among the customers themselves (Kiani, 1998; Li et al., 2003). The traditional
emphasis on the physical facilities, equipment, personnel appearance, and
other tangibles does not seem important due to the absence of physical and
face-to-face interaction (Rohan, 1998). DQ, on the other hand, plays an
important role in the evaluation of Web-based service quality (Li et al., 2003).
One can conjuncture from the above discussion that factors influencing DQ are
the same as those affecting quality management of physical products. However,
the strength or influence of each factor may not be same and it is immature to
conclude existing similarity in degree of criticality of these factors on DQ and
quality management of physical products.
DQ: Dimensions and Factors
Just like quality management of physical products, DQ has multiple dimensions.
People view quality in relation to differing criteria based on their individual roles
in the production-marketing chain (Evans & Lindsay, 2002). Thus, it is
important to understand the various perspectives from which quality is viewed.
DQ dimensions refer to issues that are important to information consumers.
Strong et al. (1997) group the DQ dimensions into four categories. These
categories are contextual DQ, intrinsic DQ, accessibility DQ and representation DQ (Table 1). These categories are widely acceptable in the literature (Lee
et al., 2002). However, there are no uniform lists for the DQ dimensions as
illustrated in Table 1. The choice of these dimensions is primarily based on
intuitive understanding, industrial experience, or literature review (Huang et al.,
1999) and depends on the actual use of information. Thus, good information for
a specific user in one case may not be sufficient in another case.
The dimensions of DQ are useful in ensuring coverage of the concept of DQ but
are not as useful for deciding what to do to improve DQ (Lee et al., 2002). In
other words, improving the quality of information comprises factors other than
DQ dimensions. DQ has, accordingly, two sets of elements. These are DQ
dimensions and DQ factors. To determine factors affecting DQ we need to
understand the concept of critical success factors (CSF).
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Implication /
Definition*
Delone and
McLean (1992)*
Goodhue
(1995)
Selected Literature
Strong et al.
Wang and Strong
(1997)#
(1996)*
Information
has quality in
its own right.
Accuracy, precision,
reliability, freedom
from bias.
Accuracy,
reliability.
Accuracy, believability,
reputation, objectivity.
Contextual
DQ must be
considered
within the
context of the
task.
Currency, level
of detail.
Value-added, relevance,
completeness, timeliness,
appropriate amount.
Accessibility
Information is
interpretable,
easy to
understand and
manipulate.
Information is
represented
concisely and
consistently.
Importance,
relevance,
usefulness, content,
completeness,
currency,
sufficiency.
Useableness,
quantitativeness,
convenience of
access.
Accessibility,
assistance, ease
of use, location.
Accessibility, ease of
operations, security.
Understandability,
readability, clarity,
format, appearance,
conciseness,
uniqueness,
comparability.
Compatibility,
meaning,
presentation,
lack of
confusion
Understandability,
interpretability, concise
representation, consistent
representation,
arrangement, readable,
reasonable.
* Adopted from Lee et al. (2002)
# Adopted from Turban and Aronson (2001).
Believability,
accuracy, credibility,
consistency,
completeness.
Relevance, usage,
timeliness, source,
currency, data
warehouse currency,
non-volatility.
Accuracy and
access security.
Accessibility, system
availability,
transaction
availability,
privileges .
Interpretability, ease Interpretability,
of understanding,
syntax, version
concise
control, semantics,
representation,
aliases, origin.
consistent
representation.
Data Quality and Work Alignment 297
Representation
Accuracy,
objectivity,
believability,
reputation.
Relevancy, value
added, timeliness,
completeness, and
amount of data.
Jarke and Vassiliou
(1997)*
Table 1. Dimensions of DQ.
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Category of
DQ*#
Intrinsic
Saraph
(1989)
Bowen
(1993)
=
Zhu
(1995)
=
Wang
(1998)
English
(1999)
=
=
Laudon
(2002)
Kirsh
(2002)
Li et al. Xu*
(2003) (2003)
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
298 Al-Hakim & Xu
Nichols
(1987)
The concept of critical success factors (CSF) was first defined by Rochart
(1997) as the limited number of identified operational goals shaped by the
industry, the firm, the manager, and the broader environment that are believed
if they are satisfactory, will ensure successful competitive advantage perfor-
* See also Xu et al. (2002).
Birkett
(1986)
Table 2. Factors Affecting Data Quality.
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Factor
Role of top management
(Data) quality polices & standards
Role of DQ & DQ manager
Training
Organisational structure
Nature of the system
Control & improvement
Employee/ personnel relations
Supplier quality management
Performance evaluation and rewards
Manage change
External factors
Cost/benefit tradeoffs
Internal control (systems, process)
Input control
Self-control/Informal control
Customer focus
Continuous improvement
DQ audit and reviews
Middle management
Teamwork/clan control
Risk management
Personnel competency
Physical environment
Web designers
Information service providers
Data Quality and Work Alignment 299
mance for the organisation (Laudon & Laudon, 2002). The CSF approach has
become an accepted top-down methodology for corporate strategic planning
(Chen, 1999). It can highlight the key requirements of top management (Byers
& Blume, 1994). One can conclude from the literature that identifying CSF
forms the first step for developing a roadmap for improving performance and
hence competitive advantage (Laudon & Laudon, 2002).
There have been many studies of critical success factors in quality management
of manufacturing systems such as total quality management (TQM) and just-intime (JIT). Some of the data quality literature has addressed the critical points
and factors for data quality. Table 2 indicates the summary of the literature
review identifying factors influencing data quality.
DQ: Perception and Expectation
There have been different conceptual approaches to quality. We do not attempt
to debate the relative merits of each approach. Rather, the “customer-driven
quality” approach (Evans & Lindsay, 2002) is chosen and used to develop a
framework that allows us to analyse DQ from the viewpoint of the customer,
making quality a subjective assessment dependent on the satisfaction of
information users.
As early as 1973, Power and Dickson (1973) concluded that customer
satisfaction is the most critical criterion in measuring computer system success
or failure. Bailey and Pearson (1983) argued that user satisfaction is correlated
to information system utilisation and system success and pointed out the need
for an accepted measure of satisfaction. Bailey and Pearson define user
satisfaction as the sum of the user’s weighted reaction to a set of factors as
shown in Figure 2.
Figure 2. Customer Satisfaction (Bailey & Pearson, 1983).
Si = ∑ Rij Wij
Where:
Si
is the satisfaction of individual i,
Rij is the reaction to factor j of individual i; and
Wij is the weight of factor j by individual i.
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The formula of Bailey and Pearson suggests that satisfaction is the sum of one’s
positive and negative reaction to a set of weighted factors. Bailey and Pearson
suggested a complicated rating method in that the individual’s feeling must be
placed somewhere between a “most negative” reaction and “most positive”
reaction.
Maister (1985) identifies two important elements that constitute customer
satisfaction. These are customer expectation and customer perception (Barlow,
2002; Maister, 1985). Maister emphasises that if a customer receives a better
service than his or her expectation, he or she will leave happy and satisfied.
Maister translated this assertion into a simple formula as shown in Figure 3.
Other researchers also support the notion of satisfaction in relation to service
quality of information systems as the discrepancy between customers’ perceptions and expectations (Parasuraman et al., 1985; Pitt et al., 1995; Watson &
Pitt, 1998).
Figure 3. Relationship Between Customer’s Satisfaction and His/Her
Perception and Expectation (Barlow, 2000; Maister, 1985).
Customer’s Satisfaction = Customer’s Perception –
Customer’s Expectation
(1)
From the viewpoint of Evans and Lindsay (2002) a reference to customer
needs and expectations is a reflection of the customer’s expected quality.
Customer-driven quality is about translating expected quality into output during
the design, production and delivery processes. Perceived quality, on the other
hand, is the customer’s perception of the overall quality or superiority of a
product or service and, accordingly, drives consumer behaviour (Evans &
Lindsay, 2002). Evans and Lindsay emphasise that perceived quality is the area
where producers should really centre their concerns. They derived formula 2
of Figure 4 for the actual product quality.
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Data Quality and Work Alignment 301
Figure 4. Relationships Between Various Aspects of Quality ( Formula 2
was adapted from Evans & Lindsay, 2002).
Product Quality = Perceived Quality – Expected Quality
(2)
Data Quality (DQ) = Perceived DQ – Expected DQ
(3)
Any differences between the perceived quality and expected quality can cause
either satisfaction (perceived quality is higher than or equal to expected quality)
or dissatisfaction (perceived quality is less than the expected quality).
Considering the analogy between DQ and product quality, formula 2 in Figure
4 is applicable also to information, whether from the satisfaction viewpoint or
from DQ perception (formula 3 - Figure 4).
Performance standards for information are difficult to measure, primarily
because information manufacturing systems deliver intangible products. Intangible products must be performed at the convenience of the users and managing
intangible quality characteristics depends on users’ performance and behaviour
and is more difficult (Evans & Lindsay, 2002).
Each information user may have different perceptions about an organisation’s
vision and then about various factors affecting DQ. The expectation from each
factor affecting DQ may depend on the user’s performance and behaviour. In
other words, the organisation’s vision may be interpreted by various information users differently. Various interpretation of an organisation’s vision represents a potential problem in information flow and then a problem in DQ.
Organisations should find a platform that helps various information users to
align their interpretation of the organisation’s vision with the actual interpretation as perceived by the organisation’s executive or CEO. The next section
attempts to link DQ and work alignment.
DQ: Work Alignment
It should be noted that the CSF method is clearly biased toward top management because they are the ones (generally the only ones) interviewed in relation
to identification of CSFs (Laudon & Laudon, 2002). The question may be
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302 Al-Hakim & Xu
asked as to whether the traditional methodology of barely determining CSF will
benefit the organisation.
Kraines (2001) argues that engagement and competence of employees in an
organisation may not benefit the organisation without their work alignment.
Kraines (2001) states:
“People can be engaged in their work with every fibre of their being, but unless
they are aligned, their work will not do the organisation much good. Employees are aligned when they understand the relationship between their activities
and goals and those of their organisation, managers, and co-workers — and
then act on that.”
Management leadership should develop a clear understanding of the passion
and competencies of every individual in their work group and then strive to align
that passion and those competencies with the work group contributions
(Roepke et al., 2000).
How can work alignment be measured? Indeed, it is difficult to measure the
actual performance of the organisation’s stakeholders. The research considers
the executives’ interpretation or perception as a scale to measure the work
alignment. Our methodology is supported by the new research authored by
Kathleen et al. (2003) and published in Harvard Business Review. Kathleen
et al. ask which of the competing views—information accuracy or information
interpretation—is the right one. They state that “in the complex world in which
most business leaders operate, information about the [work] environment,
though abundant, is seldom obvious in its implications. Executives therefore
have no choice but to interpret and intuit the data they receive” (Kathleen,
Sutcliffe & Weber, 2003). They conclude that the way senior executives
interpret their business environment is more important for performance than
how accurately they know their environment.
There are several factors affecting DQ as demonstrated in Table 2. Executives
as strategic planners and decision makers have certain expectations of each
factor that should be achieved and can assess the relative importance of factors
in respect to the organisation’s vision. They can also perceive or interpret the
performance of the factor in their organisation. The expectation from a factor
is referred to as “expected importance” and the interpretation of performance
forms the “perceived performance” of a factor. A grid similar to the one shown
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Data Quality and Work Alignment 303
Figure 5. Importance-Performance Comparison (source: Evans & Lindsay,
2002).
IM P O R T A N C E
LOW
H IG H
PERFORM ANCE
LOW
H IG H
W ho C ares? O verk ill
V uln erab le
S tren g th
in Figure 5 can be used to evaluate and analyse the importance-performance
data (Evans & Lindsay, 2002; Keyt et al., 1994). An organisation should make
a great effort to achieve high performance on factors of high importance and not
to waste effort on factors of low importance.
Importance-performance analysis was first introduced by Martilla and James
(1977). A gap between the perceived performance and the expected importance of a factor may provide some indication as to whether executives were
successful in translating their vision to their employees, and hence such
perception may give an indication regarding the degree of employees’ alignment with the organisation’s vision. Importance-performance analysis can be
incorporated with formulas 1 and 2 in Figures 3 and 4, respectively, to measure
the alignment of a factor or characteristic from the viewpoint of the organisation’s
executive as illustrated by formula 4 in Figure 6. If a factor affecting information
quality is critical and has a negative value of factor alignment (perceived
Figure 6. Factor Alignment (Adapted from Al-Hakim, 2003b).
Factor’s Alignment =
Factor’s Alignment =
Perceived Performance –
Expected Importance
(4)
Employee’s Expected
Importance – Executive’s
Expected Importance
(5)
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304 Al-Hakim & Xu
performance is less than the expectation), then the organisation may have a
potential problem with DQ. Information on factor alignment allows executives
to develop a strategy process to balance the challenges associated with the
gaps between importance and performance for CSF affecting DQ.
Information users from various managerial levels of an organisation may have
certain expectations as to what each factor should achieve. They can also
predict the relative importance of factors based on their interpretation of the
organisation’s vision and perception of their duties and responsibilities. The
determination of an organisation’s executive or CEO of the expected importance of a factor is a reflection of the executive’s vision, or more precisely, the
organisation’s vision and strategic plan. The perception of other employees on
the expected importance of the factor is the reflection of how the organisation’s
mission was interpreted by them. The gap between the expected performance
of factors as interpreted or perceived by executives and the other employees—
formula 5 of Figure 6—forms another practical measure of factor alignment
(Al-Hakim, 2003b).
If a factor affecting information quality is critical and has a negative value of
factor alignment (employee’s expectation is less than the executive expectation), then we have a potential problem in information flow, information
interpretation and then with DQ. A positive value (employee’s expectation is
higher that executive’s expectation) indicates an overestimation, which may
result in wasting effort to increase performance in less critical factors.
Ittner and Larcker (2003) find that, in far too many cases, management simply
relied on its perception about performance of their employees and what was
important to them, rather than verifying whether those assumptions had any
basis in fact. Formulas 4 and 5 provide a good indicator for top management
to examine their expectation relative to employees’ interpretation of factors’
importance — the DQ alignment. It also allows executives to implement a
corrective action, say training, to orient their employees. Based on formulas 4
and 5, one can configure four ways of determining the DQ alignment, as
illustrated in Figure 7.
Taking an advantage from Bailey and Person’s (1983) customer’s satisfaction
definition, DQ alignment can be determined as the sum of individuals’ reaction
to the set of factors affecting DQ. The relations of DQ alignment illustrated in
Figure 7 can be expressed in four formulas as shown in Figure 8. Formula 6 is
a general expression of DQ alignment in which it defines the gap between
perception and expectation for all individuals in the organisations. Formula 7
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Data Quality and Work Alignment 305
Figure 7. Ways of Determining DQ Alignment.
Two stakeholder
groups
-
Expectation
-
Expectation
-
CEO
-
Employees /
Stakeholder
Groups
Perception
Organisation’s
Vision
Perception
Workplace
Workplace
considers the gap between DQ expectation and DQ perception from the
viewpoint of the organisation’s executive. Formula 8 determines the gap
between the executive expectation and the expectation of other employees.
Formula 9 considers the gap between DQ expectations of two different
stakeholder groups. DQ alignment shown in formulas 6 and 8 can be used to
determine the DQ alignment for a certain group of stakeholders with the
interpretation of organisation executive, while formula 9 reflects the interpretation of factors’ importance perceived by two different stakeholder groups.
For this study we concentrate on formula 9 to demonstrate whether IT
professionals think differently from others.
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306 Al-Hakim & Xu
Figure 8. DQ Alignment (Adapted from Al-Hakim, 2003b).
DQA = (∑∑ Pij - ∑∑ Eij) / (n * f)
(6)
DQA = (∑ Pi - ∑ Ei) / f
(7)
DQA = (∑∑ Eij /n - ∑ Ei) / f
(8)
DQA = (∑∑ Êij/nJ - ∑∑ Ëih /nH) / f
(9)
Where:
DQA
Pi =
= DQ alignment.
Perceived performance of factor i by the organization executive.
Pij = Perceived performance for factor i by individual j.
Eij = Expected importance of factor i by individual j other than the CEO or the
organization CEO or executive.
Ei = Expected importance of factor i by the organization’s CEO or executive.
Êij, Ëih = These mathematical expressions represent the expected importance for factor i perceived by individuals from two different
stakeholder groups. Individual j is from a stakeholder group J and
Individual h is from a stakeholder group H.
n = Number of individuals.
nJ = Number of individuals in group J.
f = Number of factors.
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Data Quality and Work Alignment 307
Part 2: Case Study
Case Organisations
We considered four Australian case organisations. The cases are a commonwealth agency, a federal government department, a government-funded institution that has many divisions across Australia, and a public utility. Table 3
provides an overview of the four case organisations. It includes the number of
employees, the annual revenue, and the total assets. The cases have been
adapted from Xu (2003) and Xu and Al-Hakim (2003).
The Interviews
Representatives from various stakeholder groups were also interviewed. They
are divided for the purpose of this research into two categories: IT professionals and management professionals. Table 4 summarises the case study respondents who were the different stakeholder groups interviewed in the four cases.
The table gives details of participants and their positions/work roles in their
organisations. It shows also the number of officers interviewed. Interviewees
from case organisations 1 and 4 were requested to rate factors’ importance and
factors’ perceived performance using a scale of 10, 10 being the highest. For
Table 3. Overview of Case Organisations.
Description
A
B
C
D
Public utility
Federal
Government
department
Government
funded institution
Commonwealth
agency
Number of Annual
employees
revenue
($’000)
400
57,000
2,500
16,000
Total
assets
($’000)
23,000
300,000
6,400
800,000
1,300,000
1,200
98,000
139,000
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308 Al-Hakim & Xu
Table 4. Summary of Case Organisations Interviews.
Profession
A
IT Manager
IT
Professionals
Management
Professionals
Chief Finance
Officer
(CFO),
Regional
Administrator
Case Organisations
B
C
IT Manager,
IT Manager
Data Manager
and
Database
and Data
Administrator
Administrator
Senior
Senior
Manager,
Manager,
Financial
Accountant
Manager, and
and Internal
Internal Auditor
Auditor
D
IT Manager and
Database
Administrator
Senior
Manager,
Director of
Finance, and
Internal Auditor
the purpose of this research, we adopt formula 9 of Figure 8. The DQ alignment
equates the ratings of IT professionals minus the ratings of management
professionals. DQ for specific factors is aligned between IT professionals and
management professionals, where the value of DQ alignment equal zero.
Otherwise, there is a problem in DQ alignment for that factor.
Case A
Case organisation A operates SAP R/3 on a minicomputer, using an Oracle
database for financial and human resource management. Access to the Internet
and e-mail are provided through stand-alone computers. Table 5 shows the
ratings of each factor’s importance given by the interviewees.
Both IT and management professionals considered the input control as the most
critical DQ factor, (overall mean or ∑Eij/n = 9). The organisation CFO
provided an example in relation to the introduction of “Good and Service Tax
(GST)” system. The CFO noted:
When we introduced GST, we trained everyone. We told everyone that this is
a field they have to fill in called ‘the tax code’. And we made that field
mandatory, and then by having drop down fields. But the problem is they’ve
still got to choose the right one.
The IT and management professionals agreed that the nature of the IS system
and training factors are also very important factors for DQ, (∑Eij/n > = 8.60).
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Data Quality and Work Alignment 309
Table 5. Stakeholders’ Rating of the Importance of DQ Factors (Case A)
(Adapted from Xu, 2003).
Management Professionals
Factors
Nature of the IS
DQ
policies
&
standards
DQ
controls
&
approaches
DQ vision
Internal control
Input control
Understanding of the
systems and DQ
Continuous
improvement
Top management’s
commitment
Middle management
commitment
DQ manager
User focus
Employee relations
Information supplier
quality management
Audit and reviews
Personnel
competency
Training
Org structure
Org culture
Performance
evaluation & rewards
Manage change
Evaluate cost/benefit
tradeoffs
Teamwork
(communication)
Physical environment
Risk management
External factors
Overall Rating
IT
Professional
IT Manager
Overall
Mean
8
8
8.67
7.67
-1
0.5
DQA
*
Chief Fin.
Officer
10
7
Regional
Manager
8
8
7
8
5
6.67
-2.5
5
9
9
10
8
10
8
9
5
7
10
7
6
8.67
9
8.67
-1.5
-2.5
0.5
-2.5
8.5
8
7
7.83
-1.25
7
7
6
6.67
-1
-4.75
-4
-0.5
-2
Mean
(10)**
10
8
6
2
9.5
8
9
8
4
4
7
3
7.83
6.67
7.33
4.33
8
8
8
8
0
**
9
6
7
6
9
8
9
5
8
3
7
6
8.67
5.67
7.67
5.67
-1
-4
-1
0.5
8
3
9
9
7
2
8
4.67
-1.5
-4
8
10
7
8.33
-2
5
6.09
5.67
7.20
-1
- 1.66
(10)***
(8.5)***
4
7.16
8
8.34
*
DQA is the expectation of the factor I by the IT professional minus the average
expectations of the management professionals: DQA = (∑∑Êij/nJ - ∑∑Ëih/nH)/f
**
The shaded cells in the table represent factors identified by the interviewees.
*** Numbers between brackets are not considered for calculating the overall rating.
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310 Al-Hakim & Xu
However, the commitment of top management had not been seen by the
professionals to perform a critical role in ensuring data quality. Instead, the
organisation’s IT manager (IT professional) highlighted the key role of the
middle management in ensuring the DQ and stated:
Obviously, [top management] need to promote, and expect high data accuracy. But that’s about all….You can get to the senior managers, who’ve just
seen in front of them information. They assume that what they have is accurate.
So, it is important to get that information right, and it’s the person in the middle
who does that.
The internal control and understanding of the system factors were considered
extremely important factors by the management professionals, (∑Eij/n = 9.5).
The organisation CFO, (information custodian) emphasised that:
Well, in theory, it should be written down, but in practice, it’s the combination
of your system knowledge and your organisation knowledge.
The CFO linked human aspect and internal control and stated:
I’ve been the auditor. I used to audit against all these controls, and after many
many years, I realised that the most important [internal] control is trust…, the
control systems, although fantastic, if you don’t have good people who you
trust ….
In contrast, the IT professional looked at both factors “internal control” and
“understanding the system” as much less important, DQA = -2.5.
The largest gap in DQ alignment is in the expectation from the DQ manager role.
While the management professional considered the role of DQ manager
extremely important, the IT professional considered such role as unimportant,
DQA = -4.75. This is the case for the “user focus” factor, DQA = -4. The
analysis shows that IT professionals were also less interested in evaluating cost/
benefit tradeoffs, DQA = -4.
The role of DQ control was rated less important in comparison with the rating
of management professionals, DQA = -2.5. The interviews’ results show also
that IT professionals rated the role “teamwork” in DQ as “ordinary” in
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Data Quality and Work Alignment 311
comparison to management professionals, who highlighted the role of teamwork as very important, DQA = -2.5.
The overall DQ alignment for this case is equal to -1.66, which represents an
overall tendency of IT professionals to rate DQ factors with less importance
than the ratings of management professionals.
Case B
Both IT and business professionals consider the commitment of top management extremely important, while the nature of the system is considered an
unimportant factor for the data quality. However, it was found that IT
professionals were more concerned about systems and technical issues. They
seemed to have confidence about the newer technology, and have greater trust
in the systems’ abilities to produce high-quality information. Even when they
were considering organisational issues, they still related those issues to the
systems. IT professionals seemed to be more systems-orientated.
On the other hand, management professionals were more concerned about the
human related factors’ impact on information quality, such as communications
and staff turnover. Even when they were talking about systems issues, their
focus was still from the human perspective, rather than the technological
perspective. They believed that people’s understanding of systems would
impact on the quality of the information that systems produced.
IT professionals believe that the usage and the usefulness of the information
have an impact on the information quality. The IT manager noted:
One of the problems is it isn’t fully used, and hopefully it should improve the
quality of your data after you re-use its code. But on the other hand, you have
a system that is being used by a lot of people, and therefore, all the bugs should
have been found in it.
The IT manager emphasised that human errors had much more impact on
accounting information quality than system failure:
From one area, a lot of data quality is affected by how accurately the
information is entered into the system by business users of system. Well, the
systems get more complex. However, a well designed system, old or new, should
be able to accommodate.
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312 Al-Hakim & Xu
Communication within the organisation was perceived by business professionals to be an issue that might cause data quality problems. The Senior Manager
of the organisation stated:
I think when you find things aren’t going well in an organisation; it always
comes back to the same problem. It is communication. Everybody complains
of not knowing what is going on, not being told the right things.
However, it appears that this may be due to the nature of some people, as they
were reluctant to disclose information that they had. As the information
producer stated:
Well, that is the case. If you know something that someone else doesn’t, then
you are in a stronger position.
Case C
IT people thought systems controls were more important than did the management professionals. Management professionals tended to believe that human
process controls were more important than system controls. They believed that
human related factors had much more influence on accounting information
quality. They argued that although IT people could build many controls into
systems, at the end of the day it still relied on people to enforce those rules and
controls. Furthermore, there were some human related factors that the computer could not control.
From the viewpoint of business professionals, Case C had issues of underreasoning for education and training because, as stated by the System Accountant Manager, “it is not just how to use the system, but you need to incorporate
policies and procedures and best practices”.
However, the IT manager believed that organisations have to implement new
systems because technology had changed and so had business needs. He
stated:
At the moment we are actually doing a review, talking to all of our finance
people in our divisions. It is a business needs review to see if the system we have
now is meeting our requirements. So we will either decide whether to stay with
it or to change to something else.
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Data Quality and Work Alignment 313
The answer of Case C Internal Editor was that:
If there is change, I guess everyone has to be on board with the change, or at
least know what their responsibilities are and what they need to do. So things
need to be well-planned and well-documented, so that if we just suddenly
change everything and there hasn’t been enough thought about what procedures need to change, it will cause serious problems.
Case D
The analysis of Case D reveals that there is consistency in the overall
expectations of both IT professionals and management professionals with DQA
= -0.04 only (Table 6). Training was regarded as one of the most important
critical factors for DQ by both IT and business professionals, with mean equals
9.3 and DQA equals only -0.33. IT managers tended to have the same
viewpoints of the business professionals in regard to the “internal control” and
“DQ policies and standard” factors, with rating equal 9. This was not the case
with the DBA. DBA rated the “internal control” and “DQ policies and
standard” factors with 3 and 2, respectively. Input control, continuous improvement, change management and teamwork factors were considered very
important by both IT and management professionals, with DQA equals 0.33,
0.67, 0.33, and 0.67, respectively, as shown in Table 6.
Discussion and Conclusion
Benefits and Limitations
Meeting and exceeding DQ expectations requires looking at the factors
affecting DQ through the information user’s eyes, not only the executive’s. As
far as this research is concerned, the methodology used was to interview
various stakeholders in organisations with the aim to determine their assessment
on critical factors affecting DQ and also to answer the question as to whether
various groups of IT professionals perceive the importance and performance
of various factors affecting data quality differently from other system users.
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314 Al-Hakim & Xu
Table 6. Stakeholders’ Rating of the Importance of the Factors (Case D)
(Adapted from Xu, 2003).
Factors
Nature of the
AIS
DQ policies &
standards
DQ controls &
approaches
DQ vision
Internal control
Input control
Understanding
of the systems
and DQ
Continuous
improvement
Top
management’s
commitment
DQ manager
User focus
Employee
relations
Information
supplier quality
management
Audit
and
reviews
Training
Org structure
Org culture
Performance
evaluation
&
rewards
Manage change
Evaluate
cost/benefit
tradeoffs
Teamwork
(communication)
External factors
Overall Rating
Management Professionals
Auditor
Director
Senior
Finance
Manager
7
5
5
IT Professionals
IT
DBA
Manager
9
7
Overall
Mean
DQA
6.6
2.33
9
9.5
8
9
2
7.5
-3.33
7
8
8
9
9
8.2
1.33
10
9
9
8
5
10
9
9
6
9
8
8
8
10
9
9
6
3
9
9
7
8.2
8.8
8.6
0
-2.83
0.33
0.67
6
9
7
9
7
7.6
0.67
8
9
9
9
8
8.6
-0.17
3
7
7
?
8
9
?
1
7
?
8.5
10
7
8
8
6.5
8.2
2.93
1.33
10
9.5
5
7
8
7.9
-0.67
6
9
6
9.5
3
6.7
-0.85
9
5
9.5
8
9
6
10
7
8
5
7
9.3
6
8
7
-0.33
-0.83
10
9
4
8
5
10
10
9
9
7
6
10
6
8
7
8.8
7.6
0.33
-1.83
10
9
6
10
8
8.6
0.67
8
8
5
8.33
5
6.55
5
8.55
3
6.63
5.2
*
-1.67
-0.04
*
DQA is the expectation of the factor I by the IT professional minus the average
expectations of the management professionals.
?
The interviewee was not sure/clear about the factor.
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Data Quality and Work Alignment 315
The study has two main limitations. First, the actual performance of factors is
not measured and the link between the expectation and actual performance was
not examined.
Empirical research considering individual evaluations has been strongly criticised
as lacking strong theoretical support (Melone, 1990). There are compelling
arguments that individuals may comment retrospectively about their own usage
behaviour and evaluate the performance of a factor according to their subjective understanding. However, objective measures for information system
success are difficult to achieve and many researchers have relied on individuals’
evaluations (Goodhue, 1995). Possible reasons may include restrictions imposed by the study site, the lack of system monitoring, and the potential
influence of direct measurement of usage behaviour, and so forth (Melone,
1990). Goodhue noticed also that there are so many different underlying
constructs and argued that “it is probably difficult to develop a single theoretical
basis for user evaluation. Rather, what is needed is the identification of some
theoretical perspective that can usefully link underlying systems to their relevant
impacts.”
The study focuses on the interpretation of the organisation’s vision. It is
emphasised by Kathleen et al. (2003) that the way senior executives interpret
their business environment is more important for performance than how
accurately they know their environment. The executive’s interpretation or
perception cannot be separated from the organisation’s vision. The employee’s
perception, on the other hand, provides an indication of the interpretation of,
and the alignment with, the organisation’s vision. Such subjective measures are
highly needed for orientating individuals to correct their perception and
improve their performance based on the actual interpretation of the organisation’s
vision as perceived by the top management (Al-Hakim, 2003b).
Another supportive argument was provided by Roepke et al. (2000). Roepke
et al. argue that “the greatest impediments to success are often related to people
rather than to information, technology, and systems. What is not quite clear to
IT leaders, however, is exactly how to develop and leverage this human capital
in support of business needs.” Indeed, individual perception plays a major role
in determining a methodology to develop and leverage human capital.
According to self-perception theory (Bem, 1976) people form their attitudes
by watching and learning from their own and other people’s behaviour
(Melone, 1990). Within the context of this theory, employees form their own
“vision” in relation to the workplace. They can form their own opinions about
the relative importance of DQ factors and they form certain perceptions about
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316 Al-Hakim & Xu
DQ factors’ performance. Modern organisations are searching and investigating the “inner voice” in business and are helping employees to examine their own
personal visions and align them with the organisation’s vision (Cacloppe,
2000). The formulas stated in Figure 6 are very helpful in this regard.
Conclusion
The results of the case studies reveal some conclusions regarding the IT
professional perceptions, including:
1.
2.
3.
4.
IT professionals were more concerned about systems and technical
issues. They seemed to have confidence about the newer technology, and
have greater trust in the systems’ abilities to produce high-quality information. Even when they were considering organisational issues, they still
related those issues to the systems. IT professionals seemed to be more
systems-orientated.
There is a great emphasis on the “input control” and the “nature of the IS”
by the IT professional. IT professionals’ perception about the importance
of “internal control” is relatively low. Other professionals tended to
believe that human related factors have much more influence on the quality
of IS.
Similar to other professionals, IT professionals consider training and
continuous improvement as critical factors for DQ.
In three out of four case studies, the commitment of top management had
been seen as a very important factor for DQ. In one case, the IT
professional highlights the critical role of middle management.
Acknowledgment
The authors would like to thank Dr. Heather Maguire of the Department of
Economics and Resources Management at the University of Southern
Queensland for revising the first draft of this chapter and for her valuable
comments.
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Data Quality and Work Alignment 317
Endnote
1
The term data and information are often used synonymously — for
instance, see Huang et al. (1999). Some literatures differentiate information from data. They consider data as a collection of facts, measurements
and statistics, i.e., raw data. Information is defined as organised or
processed data that are timely (Turban and Aronson, 2001). This chapter
uses “information” interchangeably with “data”. Data quality, in this
chapter, is a reference to information quality.
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Xu, H. (2003). Critical success factors for accounting information systems data quality. PhD Thesis, University of Southern Queensland,
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Xu, H., & Al-Hakim, L. (2003). Do IT professional think differently? 2003
Information Resources Management International Conference, Philadelphia, PA.
Xu, H., Andy, K., & Al-Hakim, L. (2002). Critical success factors for financial
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Manufacturing and Management, Bangkok, 512-518.
Zhu, Z., & Meredith, P.H. (1995). Defining critical elements in JIT implementation: A survey. Industrial Management & Data Systems, 95(8), 2129.
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321
Chapter XVI
Human Issues and
Computer Interaction:
A Study of a U.K.
Police Call Centre
Steve Clarke
The University of Hull, UK
Brian Lehaney
University of Coventry, UK
Huw Evans
University of Luton Business School, UK
Abstract
The Barfordshire Police Call Centre project began as an attempt to find
a more efficient way of dealing with the public. Arguably, what this study
has demonstrated is that often, in the quest for technical efficiency,
effectiveness, which requires attention to both technical and human issues,
is compromised. By taking a more human centred approach, focusing on
the whole information system rather than just the information technology,
those factors left unsolved by the new technology have been addressed,
and a way has been found to improve both the efficiency and effectiveness
of this project.
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Introduction
The subject of this study is the implementation of a new call centre in
Barfordshire (a pseudonym). Our involvement began after this centre had
already been in operation for a year, and was experiencing serious problems
indicated by negative client reaction. The approach taken to dealing with the
outstanding issues, and the results of the intervention, are reported below. First,
we have outlined the issues and problems that preceded the call centre
implementation. Following this, the background to the intervention is outlined,
and the consultancy itself detailed in the form of an action research project.
Finally, the learning from the work undertaken is reported in the form of findings
and conclusions.
Barfordshire Police: Issues and
Problems
There are 43 police forces in England and Wales, all of which operate as
independent organisations under National Government control and report to
the Home Office. Within each force, smaller groups known as divisions may
contain up to 250 officers. Each division manages a few police stations, each
of which has up to 50 officers working in it. Although all police forces are
governed by the same statutory regulations, each has a great deal of autonomy
as to policing operations and internal management. One such police force,
Barfordshire (a pseudonym), is medium-sized, with around 1,200 police
officers.
A key issue for police forces is the management of information as it is received
from the public and acted upon. In the United Kingdom, such information is
divided into emergency (999, or 911 in US terms) and non-emergency.
Prior to April 2000, Barfordshire Police operated a Force Information Room
(FIR), which received and allocated all emergency (999) calls, managed the
radio channels for all divisions in Barfordshire, and dispatched resources to
incidents. The FIR did not deal with non-emergency calls. In April 2000, a new
state-of-the-art Information and Call Centre was opened at the Headquarters
building. The key change as a result of this was the routing of almost all
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323
emergency and non-emergency telephone calls to the Call Centre, rather than
to individual divisional police stations.
Seen as an information system, the original combination of a centralised
(emergency) system and a distributed (non-emergency) one was replaced with
a single centralised system. In order for this to operate effectively it was
essential that the acquisition, storage and transmission of information was
restructured in line with the new organisation.
The Call Centre appeared to operate efficiently, with advice of call handling
ergonomists and the outcomes of a simulation exercise being taken into account
in enhancing operational procedures during the first year of operation. However, there were still concerns regarding its overall effectiveness, based, for
example, on feedback from the public subsequent to the changeover. A key aim
of this consultancy was to address this overall effectiveness, and make
recommendations as to how to proceed. The objective of the study was to
review the IS issues of the call centre, with particular reference to cultural,
systems, and management issues, and prepare a report suggesting actions for
improvement and proposing a schedule for progressing the issues.
The key issue to surface very early in the discussions was that the call centre
had been implemented as a technological solution. But it was not the information
technology that was giving rise to current problems, but rather the functioning
of the whole system of technology, people and organisation, as an information
system (see Clarke, Coakes et al., 2002; Hirschheim & Klein, 1989; Hirschheim,
Klein et al., 1991; Lehaney, Clarke et al., 2002 for further examples and
background to this).
Background to the Study:
Prior Documentation
The study began with a documentation review: there was a significant history
in relation to the call centre development, and this had to be understood in order
to proceed with the current activity. The key documentation reviewed was a
call handling strategy document, a call handling centre implementation project
document, and a selection of other documentation. This appears initially to have
been driven by technological considerations in many cases, though, from the
call handling strategy document, it appears that at a strategic level the
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324 Clarke, Lehaney & Evans
objectives display a wider IS remit than at the operational or implementation
level. For example:
1.
2.
3.
4.
5.
6.
Reduction of lost calls to a measurable minimum.
Increase in public satisfaction with the resolution of calls.
Increase the number of calls resolved at first and second point of contact.
Faster call answering times.
Improved effectiveness and efficiency in handling messages for staff.
Reduced direct revenue budget year on year costs of call handling
process.
These objectives demonstrate, implicitly if not explicitly, a commitment to
issues that include substantial non-technological factors (for example items 2
and 5 above). It is precisely in respect of these non-technological factors that
concerns arose that gave rise to this consultancy. Importantly, while faster call
answering times might be technologically achievable at present, the quality of
call answering is seen as a potential area for improvement. Put another way:
while the technology was functioning to specification; the system was failing
(for further examples, see Clarke & Lehaney, 1999; Mallalieu & Clarke,
2000).
Activities listed in the call handling centre implementation project document
included:
1.
2.
3.
4.
Conduct research into call handling activity within Barfordshire Police,
using simulation techniques to enable the implementation to be based on
a staffing model in line with the structural model.
Verify that job analysis and training needs analysis are undertaken and
assessment criteria are developed to ensure correct staffing capability is
provided.
Ensure that the people elements of the project are managed with sensitivity, professionalism and within legal constraints.
Evaluate all activities and processes to be conducted within the call centre
and formulate activity flows, policies and user system design requirements.
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5.
6.
325
Examine and monitor all elements of the material means provision, to
ensure that the correct facilities are available to the call handling process
prior to implementation date.
Ensure that the necessary capability exists to continue those activities that
will not be conducted within the new call centre.
Of these activities, those that did not rely wholly on effective implementation of
technology seemed to be giving rise to the greatest problems. Generally, the
other documentation relating to the project was very inwardly focused, and
concentrated on call handling functionality, rather than the needs that the call
centre has to address, the latter being taken as effectively agreed. However,
this conflicted with the evidence “on the ground,” which had the primary task
of satisfying public demand for services. The problem that gave rise to the
project — the perceived poor quality of public service and the opportunity to
improve this by a more centralised system — seemed to have been lost in a
drive for a technological solution. The overall impression was of documentation
that focuses predominantly on technology, and this set the scene for the action
research stage of the consultancy.
The Study: Action Research
Following the review of documentation, action research was conducted
(Clarke & Lehaney, 1997), consisting of: shadowing call centre and divisional
operations; participative sessions with call centre staff; and a visit to another
police force. Once a picture of the implementation had been gained from the
documentation, the next stage was to carry out primary research into call centre
activity through those participating in that activity. Initially, to gain an improved
understanding of the call centre, a decision was made to shadow all of the
operations within it. Shadowing encompassed management and operations for:
switchboard, call handling, dispatch, and radio support. Generally, the impression was of a professional, well managed operation, but there were nevertheless management and operational issues that, if addressed, would improve
overall effectiveness.
Once again, and following on from the documentation review, the action
research took a total system focus, seeing the IS as a combination of
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organisational processes, people, and technology, rather than simply focusing
on technology as had previously been the case.
At the time of our visit, the switchboard was very busy, and was a bottleneck,
causing delays in routing calls to call handlers. Given its critical nature in
addressing client perceptions, it was necessary to ensure:
•
•
The switchboard was being adequately manned at all times. There were
times, for instance, when the switchboard was not manned, all calls going
to call handling direct, and if the lines were busy, the caller heard a
recorded “in queue” message.
Other staff in the centre were available for switchboard duty when the
latter was overloaded.
Part of the call handling function, usually consisting of two call handlers, was
dedicated to answering emergency (999) calls, giving rise to some “idle time”.
However, dispatchers and supervisors were able to pick up 999 calls through
the telephone system, and on the shifts that we observed, doing so enabled the
number of call handlers dedicated to 999 calls to be reduced to one. In practice,
the extent to which this was done seemed to vary from shift to shift. At the time
of our visit, most 999 calls that were not picked up by the dedicated call
handling agents seemed to be taken by the duty inspector. The implication here
was that, with closer attention to call volumes versus staffing, efficiency could
be improved.
Radio dispatch received calls through the IT system, with each dispatcher
managing an ongoing list of open incidents. Where there were issues that were
seen to go beyond “normal” radio dispatch activities, calls were passed to radio
support. This activity, being the primary point of communication between the
call centre and the divisional resource, seemed to be where the greatest benefit
was to be derived in terms of improved call centre effectiveness. For example:
•
•
•
•
The caller may have been promised something which cannot be delivered.
Allocation of resource is constrained by availability.
The radio system is not always reliable.
While jobs are allocated from the call centre, some tasks that used to be
based at the division have not been taken over by the centre (e.g.,
keyholder and alarm files); so they are falling into a “black hole”.
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•
327
Open incident logs seem to stay open for too long, leaving important issues
not fully resolved and adding to ongoing workloads and lack of public
satisfaction.
Demand was very unpredictable, but work rotas seemed to lack the flexibility
to address this adequately. Partly, this might be seen as a multi-skilling issue,
but also the possibility of not all staff having fixed hours, with some degree of
on-call work, might be considered. Interestingly, there seemed to be no
insurmountable issues related to unions or the customs and practices adopted
that would prevent more flexible working arrangements.
The call handling design document made reference to multi-skilling only of call
handling agents, so that in practice most tasks were performed by specialists
concentrating on a given function, and this exacerbated the bottlenecks caused
by fluctuating demand. The reason for functions other than call handling agents
being excluded from multi-skilling was not clear; for example, the switchboard
was arguably the one area that would most benefit from such an arrangement.
Prior to the introduction of the call centre, the system was that:
•
•
•
•
The force information room (FIR) at Barford (the county town, and one
of the largest police divisions in Barfordshire) controlled all radio channels.
FIR at Barford controlled all 999 calls.
FIR at Barford dispatched resources.
Non-emergency calls went to divisions.
Under the call centre arrangements, non-emergency calls were received
centrally, and resources dispatched accordingly. Notwithstanding this change,
the division remained as the “public face” of the police in a given area, but much
of the ability to deal with public demand rested with the call centre and its
associated organisational procedures. This gave rise to a number of perceived
issues to be addressed, examples of which are:
1.
2.
Public frustration: the caller wants a timely response, both on the telephone and in terms of police action.
Divisions have lost staff and resource to the centre, but are still left with
part of the problem.
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328 Clarke, Lehaney & Evans
3.
4.
5.
While there is no argument in principle with a centralised call handling
system, the loss of information at divisions is problematic.
Divisions still “own” the job, but have no divisional location for taking and
managing calls.
Some calls taken at the call centre, either due to error or incorrect
information, are incorrectly allocated.
While the previous were examples of perceived problems, the key issue here
was not what these perceived problems were, but that there were issues still
unresolved. It was an important outcome of this report that investigation of
these issues was clearly necessary. This work built on the understanding gained
in the documentation review, and cemented the view that much was to be gained
by a deeper investigation of call handling through those most closely involved
with it. In IT/IS terms, the solution seemed to lie in understanding the whole of
the IS through the eyes of its participants. As a result, a number of participative
sessions were undertaken, of which the brainstorming event detailed below is
an example.
Call Handling Centre (CHC) Participative Session
This took the form of a brainstorming session with call centre staff. There were
11 attendees. A chair and note taker were elected from the attendees. The
problem to be addressed, as determined and agreed by participants, was stated
as:
The issues to be considered for effective co-ordination of control activities
The central issue to be addressed, as determined and agreed by participants
was:
How can management of responses be better facilitated by the command and
control system?
One of the aims of the session (de Bono, 1977) was to produce three lists of
potential actions:
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Human Issues and Computer Interaction
•
•
•
329
Ideas of immediate usefulness.
Areas for further exploration.
Any new approaches to the problem.
These lists would be evaluated later by the group, and other groups within the
force. For space reasons, only a summary of the immediately useful list is
reproduced in the following:
•
•
•
•
•
•
Participation: Continuous improvement through involvement — user
groups set up to discuss and resolve issues of concern. Allow for more
participation in change decisions.
Communications: Address the “black hole” that exists in communication
between the call centre and divisions.
The information passed between all groups needs to be investigated and
improved.
HRM: Address “them and us” issues between divisions and call centre.
Resources: Officer numbers on divisions and at call centre, available for
tasks, and also their timely updating of availability.
Training of CHC staff: Training generally considered as poor.
Management and leadership issues in CHC: Allow for more participation in change decisions.
Evaluation of the processes by which incidents are managed.
Finally, to further verify the outcomes of the study, it was decided to visit
another force facing similar issues.
Comparative Study: Visit to West
Midlands Police
The purpose of this visit was to begin the process of understanding how other
police forces have addressed the problem of call handling. West Midlands
Police were seen to have some similarities with Barfordshire, since they are in
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the process of reorganising both emergency and non-emergency call handling.
The West Midlands 999 Centre handles an average of 1,600 emergency calls
per day, and has the task of answering the calls, and passing the tasks to
Operational Control Units (OCUs). There are 21 OCUs, each of which has
four to six sector stations within its control, and which in total have 7,500
officers. All resourcing and management of incidents is carried out by OCUs.
Prior to the November 2000 changes, all non-emergency calls went to
divisions, from where they were allocated to OCUs, which were then subdivisional level. Emergency calls (999) were dealt with by a central control
room (the “Force Control Room”). These calls were logged and passed to
division, who controlled the incident from that point on. Under the new system,
central call handling was introduced whereby 999 calls are logged and passed
to operational control units (OCUs) via the IT system, from where the
resources are allocated: In other words, similar to Barfordshire, divisions were
being marginalised in the new process. There was, under this system, the
growing conviction that incidents were not managed effectively, with OCUs
seen to be taking calls and “dumping” them on officers.
This new system is giving rise to a number of issues currently under review,
including:
•
•
•
•
•
Poor local knowledge of the call takers.
Inadequate call distribution: call takers seem to prioritise getting rid of the
calls.
Callers complaining that they cannot get through on the phone.
The resource problem appears to be still evident.
A quality “first line” response, both from the call centre and on the ground
is needed, together with the flexibility to deal with ongoing unpredictability
of demand: The call centre approach is failing to deliver this.
The outcomes from the West Midlands investigation were then combined with
outcomes from the Barfordshire study to produce an overall picture of the
issues to be addressed in Barfordshire.
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Barfordshire Findings and
Recommendations
In the original call handling strategy document it is possible to find the traces of
the new call centre being considered as a combined organisational, technical
and human system. But this was largely lost in the implementation of the call
handling project, which placed increasing emphasis on technical factors,
privileging an information technology ahead of an information systems perspective. The evidence of this study strongly suggested that the wider IS issues
should be revisited. Specific areas identified as needing attention are detailed
in the following:
•
•
•
•
There were bottlenecks in the call centre (the switchboard seemed
frequently to fall into this category). Largely this seems attributable to
unpredictable demand, which called for a flexibility in work patterns
beyond that which was practised. Some degree of multi-skilling was
indicated in early specification documents, but its implementation was not
widely apparent.
There was a view that the technology and structure of the call centre could
be improved.
Training was seen to be an area of weakness. A review of training needs
and assessment of training programmes was indicated.
The link from dispatch/radio support to divisions was not always reliable
— examples of problem issues are given below.
•
Communications and operations between call centre and divisions
needed to be reappraised. There was a perception of a black hole
into which were falling the tasks that used to be carried out by
division, but that were seen to be call handling operations. All of
these had not been picked up by the call centre, and perhaps did not
even belong there.
•
There was an overall impression of a “them and us” culture, with call
centre and division passing blame whilst tasks were left undone.
•
A lack of ownership of incidents. Divisions seemed the logical place
for this, and they appeared willing to take on the task, but saw
themselves as lacking the necessary information to do so.
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332 Clarke, Lehaney & Evans
•
•
•
•
•
Public frustration was evident in the complaints received, and in
feedback from the visits made. A similar problem existed at West
Midlands, and was proving equally difficult to resolve.
•
Divisions had no location from which to manage incidents.
Participation:
Operational staff felt that they had information to offer that would improve
the situation, but that this was not taken into account. Their desire to
enhance the performance of call handling was clearly evident, and more
use should have been made of this.
Resources:
Allocation to incidents was resource constrained, both at the call centre
and “on the ground”. The monitoring of effectiveness versus resources at
the call centre and divisional levels was an ongoing requirement.
Management:
•
It seemed no longer clear what the management process was or,
perhaps even worse, should be.
•
Within this process, whilst the current technical operation of call
handling was accepted as “here to stay,” there was a clear need to
give more control to divisions.
Public perceptions:
•
Call handling needed to address public expectations.
•
Local knowledge had been lost in the move to centralised call
handling.
These findings were used to provide an action plan for the call centre, which is
currently being implemented.
Conclusion
At the time of our engagement, the Barfordshire Call Centre had been in
operation for a year, and had been extensively reviewed from a technological
and ergonomic perspective. Nevertheless, it was still giving rise to concerns as
to its efficiency and effectiveness, as indicated by client responses.
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333
A review of the background to its implementation pointed to a need for a less
technological (IT) and more human-centred (IS) approach, with the use of
participative rather than technological approaches to the study. By involving a
wide range of those affected by the system of concern in the exercise, through
the use of participative methods such as brainstorming, metaphor and interactive planning, a richer view of the problem domain as an IS was formed.
The outcome was a series of actions to be undertaken within the call centre, the
value of which were clearly demonstrated by the study.
References
Clarke, S., & Lehaney, B. (Eds.). (1999). Human centered research and
Practice in information systems (special issue). Journal of End-User
Computing. Hershey, PA: Idea Group Publishing.
Clarke, S.A. &. Lehaney, B. (1997). Total systems intervention and human
inquiry: The search for a common ground. Systems Practice, 10(5), 611634.
Clarke, S.A., Coakes, E. et al. (Eds.). (2002). Socio-technical and human
cognition elements of information systems. Hershey, PA: Idea Group
Publishing.
de Bono, E. (1977). Lateral thinking. Aylesbury, UK: Pelican Books, Hazell
Watson & Viney Ltd.
Hirschheim, R., & Klein, H.K. (1989). Four paradigms of information
systems development. Communications of the ACM, 32(10), 11991216.
Hirschheim, R., Klein, H.K. et al. (1991). Information systems development as
social action: Theoretical perspective and practice. Omega, 19(6), 587608.
Lehaney, B., Clarke, S. et al. (2002). The human side of information systems
development: A case of an intervention at a British visitor attraction. In E.
Szewczak & C. Snodgrass (Eds.), Human factors in information
systems (pp. 31-44). Hershey, PA: IRM Press.
Mallalieu, G., & Clarke, S.A. (2000). Information systems as wicked problems. In S.A. Clarke & B. Lehaney (Eds.), Human centred methods in
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permission of Idea Group Inc. is prohibited.
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334 Clarke, Lehaney & Evans
information systems: Current research and practice (pp. 131-144).
Hershey, PA: Idea Group Publishing.
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The Role of Group Learning 335
Chapter XVII
The Role of Group
Learning in
Implementation of a
Personnel Management
System in a Hospital
Tatyana Bondarouk
University of Twente, The Netherlands
Klaas Sikkel
University of Twente, The Netherlands
Abstract
A new HR system was introduced in a Dutch hospital. The system implied
collaborative work among its users. The project planning seemed to be
reasonably straightforward: the system’s introduction was intended to
take place gradually, including pilots in different departments and
appropriate feedback. After some time, the system was successfully
adopted by one group of users, but failed with another. We conceptualize
the implementation process of groupware as group learning to frame the
adoption of the system, and analyze the qualitative data collected during
the longitudinal case study. We found that in the user group with strong
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336 Bondarouk & Sikkel
group learning, adoption of the system occurred effectively and on time.
In another user group with rather weak group learning, the use of the
system was blocked after a short time. The results provided a first
confirmation of our assumption about the importance of group learning
processes in the implementation of groupware.
Introduction
It is broadly recognized that the IT use often develops differently from the
expected plans, and that the degree to which use of technology corresponds to
the anticipated rules and norms can vary a lot, depending on an organizational
context, type of IT, end-users’ awareness of the system, and so forth
(Bardram, 1998; DeSanctis & Poole, 1994; Orlikowski, 1996).
Different research perspectives have developed their views on this issue in
parallel. Orlikowski (2000) gives the following examples. Social constructivists
refer to the IT “inscription,” analysing further the role of debates, social
interests, and conflicts in achieving a consensus in IT functioning (Akrich,
1992). Structurational traditions examine how technologies develop through
the interplay between “embodied” and “embedded” structures (Orlikowski,
1992). Similarly, adaptive structuration theory focuses on the differences
between “faithful” appropriation (use in line with IT intention) and “unfaithful”
appropriation (actual use) (DeSanctis & Poole, 1994). Developing the
structurational concepts, Orlikowski (1996) talks about “institutional” (prescribed) and “on-going,” “enacted,” or “situated” use of technology. All these
views start with characteristics of technology, and analyze how those are used,
appropriated, accepted, or adapted by the targeted employees.
Rather then starting with technology and examining how people appropriate,
adapt, or accept it, we shall start with the employees and explore how they
develop their work with the system. Whether through mistakes, or purposefully, users often ignore, alter or play around the “anticipated,” “inscribed,” and
“institutionalised” technological characteristics. Even if technology is given and
its use is mandatory, employees will influence their recurrent work with it
through developing certain interpretive schemes like making preferences, new
rules of the work being automated, new tasks facilities, norms (e.g., traffic
regulation), interpersonal interaction via IT, modification of technological
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The Role of Group Learning 337
properties, choosing or ignoring optional properties, inventing new ones, and
so forth (Orlikowski, 2000).
Various studies have applied this to introduction of collaborative technologies,
also known as groupware, which are intended to support interdependent tasks
(e.g., Bikson & Eveland, 1996; Orlikowski, 1996). Engagement of different
employees in a common task through the system in fact decreases technological
malleability. Anticipating any technological changes involves negotiations of all
users if their interdependence is based on the functionality of IT. In other
words, employees probably will look for a community consensus in order to
develop interpretive schemes to work with the technology together, within
given or created interdependent tasks. As a result, implementation of groupware
may have “drifted” (Ciborra, 1996) from its intended use because of those
negotiation processes that result in new collaborative interpretive schemes.
The question arises as to how group interactional processes are related to the
adoption of groupware. Some interactional processes that influence IT adoption are emphasized in the literature: reflective group processes (Hettinga,
2002; Tucker et al., 2001); sharing understanding (Mulder et al., 2002); and
collaborative knowledge building (Stahl, 2000).
We propose to look closer at groupware implementation from a learningoriented approach, which focuses on the group interactional process as the
core factor in adopting a new system.
Why would we want to consider a collaborative technology implementation
process as a learning-oriented process?
•
•
User groups adapt a novel way of working when a new technology is
introduced. Not all groups do this in the same manner, and this adoption
process, called appropriation (DeSanctis & Poole, 1994; Ruel, 2001),
depends on the group processes. The terms in which one describes the
appropriation process — sharing understanding, mutual adjustment —
are closely related to learning theory.
Changes in technology do not only allow more effective ways of doing the
same work, but in addition, lead to changes in various aspects of
professional competency such as knowledge, skills, and attitudes. That,
in turn, could influence ongoing use of technology. Hence, in theory, there
is an ongoing evolutionary process of professional and technological
development.
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•
•
While using collaborative technology in practical situations, user groups
gradually discover the affordances provided by the system and come up
with new, unforeseen ways of working. We believe that lots could be
gained from collaborative technology if users exploit their group learning
potential to a large extent.
In several accounts of case studies, the implementation process did not
take place in an optimal way, and the cause of this has been attributed to
a lack of reflective restructuring among the users (Hettinga & Schippers,
2001; Tucker et al., 2001).
In the next section we present a theoretical framework for groupware implementation based on collaborative learning. Then we apply the framework to a
longitudinal case study, involving implementation of the same system with two
different user groups. The differences in success of the implementation processes can, at least in part, be attributed to the different learning processes
involved. Finally we conclude that the case gives a first validation of the
proposed framework.
Group Learning as a Focus for
Groupware Implementation
The learning-based framework for groupware implementation is built upon
different areas of knowledge. We will briefly summarize relevant characteristics
from the different areas of research. Implementation of technology is considered from an organizational and management science perspective. Computer
supported cooperative work is a distinct interdisciplinary research area that
provides understanding of the design and use of collaborative technologies.
Group learning, finally, draws upon educational sciences.
Groupware Technologies
Our study focuses on a specific type of IT that aims at supporting collaborative
work. These systems are commonly called groupware, or collaborative technologies. Keeping in mind that groupware has existed in the research agenda
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since the 1960s, we take the risk to broaden our understanding of it and
introduce in this work our definition of groupware.
Holtman (1994) has recognized four generations of groupware: basis groupware
(1960s), educational (1970s), commercial (1980s), and diverse (1990s). And
probably, the beginning of the 2000s has brought the next, multiple, groupware
bracket.
1960s
The basic functionalities of shared multimedia started in 1960s from the
groupwork experiment with very basic equipment initiated and sponsored by
U.S. Military and invented by Douglas Engelbart of the Stanford Research
Institute. Engelbart had main problems with the display quality — VDUs were
at the beginning of their development and the output was via the TV-style
display. But that was the first mix of text and video on screen. The term
groupware was not in use by that time, but it was a shared technology two
decades before people had even heard of the term.
1970s
The era of educational applications of groupware began. First, it was for
university distance education purposes. Secondly, groupware products supported groups of teachers who wanted to communicate at different times.
Holtman (1994) distinguishes three notable educational groupware areas.
First, the EIES — Electronic Information Exchange System from the New
Jersey Institute of Technology — provided information and conferencing to
distance students based on conventional telephone lines via modem access.
Then, the PLATO — Programmed Logic for Automated Teaching Operations,
based at the University of Illinois — supported campus students with inter-site
connectivity via private leased lines. And finally, there was the rapid growth of
the Unix operating system. Unix appeared at the AT&T Bell laboratories, and
later on it was taken up by universities and research establishments in North
America. That system indicated a significant change in groupware orientation.
Without any commercial purposes, it was used by scientists and researchers,
both individually and in groups, to develop small team applications, but besides
all, to connect to each other.
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1980s
By the end of 1970s groupware was focused mainly on special functions in the
science and research domain. The introduction of IBM PC in 1981/82
determined a new era in business computing, which is still continuing. It was not
initially a revolution in groupware applications, but the diffusion of the PC
actually influenced groupwork. Several reasons motivated connecting PCs
together. Firstly, it was the need to share databases; secondly, it was partly a
top-down pressure from some IT departments to avoid the problems of
individual PCs working in isolation. Thirdly, it was pressure from traditional
hardware vendors seeking also to retain connectivity to their proprietary
products. Fourth, there was bottom-up pressure from the new local area
network vendors (LAN), each unfortunately with their own standard for
communications. The mid- to late 1980s was the period of significant growth
of group-oriented software, which mostly included group decision support
systems. Introduction of the most innovative groupware products is usually
credited to Lotus Notes. Notes improved the business performance of people
working together by compressing the time and improving the quality of
everyday business processes, such as customer service, account management
and product development (Papows & Fielding, 1994).
1990s
During the 1990s groupware products clustered into several broad groups and
attracted the most scientific and commercial attention. Coleman (1995) has
noted that groupware never took off in the 70s and 80s because there was no
sufficient network infrastructure. In the 90s infrastructure was put in place, and
business was using groupware to restructure itself for global competition.
Numerous definitions of groupware were presented at various conferences
(CSCW, ECSCW, GROUP). We have chosen two of them, the most
illustrative in our view. Baecker (1993, p. 1) defined groupware as “any multiuser software supporting computer-assisted coordinating activities”. Ellis et al.
(1991) considered groupware as “computer-based systems that support
groups of people engaged in a common task and that provide an interface to a
shared environment” (p. 40).
The 1990s were an intensive period of exponential growth of a variety of
groupware systems. Organizations were offered video- and audio confer-
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ences, group decision support systems, electronic meeting rooms, electronic
mailing, shared document applications, shared whiteboard applications, project
management tools, group calendaring systems, collaborative authoring systems, and so forth. The research community offered a variety of groupware
typologies based on locus of control (Coleman, 1995), level of support, group
processes (McGrath & Hollingshead, 1994), time/space taxonomy (Ellis et al.,
1991), application level (e.g., Put, 1996), to name a few.
At the same time it became obvious that groupware lay at the convergence of
a number of technical, economical, social, and organizational trends that had
combined to propel groupware into the minds of managers in both the business
and technical communities.
Meanwhile, the rise of the World Wide Web led to a revolutionary change in
the possibilities, diffusion and perception of Internet and intranet technology.
2000s
While traditional understanding of groupware developed in the 1990s focuses
very much on the support of group work in dedicated teams, nowadays in
organizations the available IT infrastructure supports lots of fragments of
cooperative work embedded in traditional tasks and group structures. Such
cooperative fragments can be recognized often in different work situations
ranging from document sharing, cross-functional and cross-departmental
projects, to even incidental correspondence between employees linked by a
given task. Stand-alone computers nowadays are limited to tests and experiments in organizations, while the norm is that workstations are linked in an
organizational network. Common understanding of the way collaborative tasks
are performed also gets a broader perspective: employees can work together
virtually, intra- and inter-organizationally, globally, and so forth. Modern
collaborative technologies have a role in almost all kinds of business and the
public sector. Such a multiplicity of groupware in terms of its targeted sector,
employees tasks and structure of collaboration, calls for a broader definition.
We define groupware as:
any software systems that facilitate and/or induce collaboration between end
users. These can be either dedicated systems (traditional groupware), or
embedded fragments that are part of more general applications such as ERP,
CRM, or PDM.
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Group Learning
The concept of group, or collaborative learning strengthens our view on the
social issues in the adoption of groupware. This is the core of the theoretical
foundation for groupware implementation, in our view. We define learning as
changing knowledge and behaviour, and focus not on learning in general, but
learning “in the work place” (Watkins & Marsick, 1996), or on-the-job
learning (Onstenk, 1995).
The findings from a number of studies (Crossan et al., 1999; Dixon, 1994;
Onstenk, 1995) have validated that the fundamental characteristic of learning
in the work place is work socialization. Socialization calls for collaboration,
which includes mutual interdependence of individual and a group. Collaborative learning does not consist of the arithmetical sum of individual learning
contributions, but appears to be a more complex and integrated phenomenon.
If employees work collaboratively and engage in a common task with the use
of technology, on-the-job learning gets the features of group learning. We view
group learning as behaviour that consists of actions carried out by team
members through which a team obtains and processes data that improves
cooperation. In other words, group learning consists of group interactional
processes, like seeking feedback, asking for help, talking about errors,
experimenting, discussing failure, looking for information from outside, critiquing, comparing, evaluating, developing a collective vision, and so forth
(Edmondson, 1999; Schippers et al., 2001; Stahl, 2000).
Numerous studies have shown that implementation of collaborative technologies is a process that takes time. User groups do not change their ways of
working overnight but gradually appropriate the available technology. In order
to allow further support of such processes, a further understanding of the true
nature of these processes is needed.
In order to build our understanding of collaborative learning we have transferred the experiential individual learning cycle of “acting–reflecting–thinking–
deciding” (Kolb, 1984) to a collective one. On the inter-personal level, the
mechanism of group learning is described with the following wheel: “collective
actions–group reflection–knowledge disseminating–sharing understanding–
mutual adjusting” (Figure 1).
At a group level, learning is conceptualized as ongoing group interaction
activities of group acting and reflecting (Edmondson, 1999).
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Figure 1. Group Learning Processes.
Collective
acting
Mutual
adjustment
Sharing
understanding
Group
learning
Collective
reflecting
Knowledge
disseminating
Figure 1. Group learning processes.
A group learning cycle begins with the collective experiences and actions,
when a group of people is given a certain task to perform. This step reflects
apprehension of knowledge, when a group is expected to accept new knowledge through perceptions and direct experiences. According to West (2000),
action refers to the goal-directed behaviours relevant to achieving the desired
changes in team objectives and strategies. This stage is assumed to be important
in all learning cycles as it helps to experience assumptions. Acting might lead to
new information, which can lead to further reflection, planning, and again action
as an ongoing process (West, 2000).
When a new technology is introduced to the targeted employees who are
networked together, they will start operating with the system in order to execute
the tasks. This can develop through different activities, including operating with
basic modules in the performance of everyday tasks, or searching for new
techniques in the system. The employees can simply replicate the techniques
they have learnt during instructions or try to find out new functionality in using
the system. More experienced members of a group may take the initiative for
testing new techniques.
The next stage is group reflection — the extent to which group members
reflect upon, and communicate about the group’s objectives and strategies
(e.g., decision-making) and update them to the current circumstances (Schippers,
2003). A group is expected to move inward to reflect upon previously acquired
knowledge. Reflection takes place through a variety of activities such as
discussions, asking questions, declaring difficulties, collective debates, and
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presentations, which aim at knowledge externalisation. It is considered crucial
in learning from experience because it might help neutralize biases and errors
in group decision-making.
A lot of research has been conducted on group reflective processes. Swift and
West (1998) have identified three levels of reflection based upon its depth.
Shallow reflection is seen as the first level of group awareness (for example,
discussing aspects of the tasks). Moderate reflection is viewed as a more
critical approach towards tasks (for example, discussing strategies used by a
group to accomplish the tasks). Deep reflection occurs when a group questions
the norms and values of the group or an organization. Schippers (2003)
summarises that reflective group behaviour includes evaluation of actions,
ascertaining whether everyone in the group agrees about the way in which the
task will be handled, discussing the effectiveness of methods of working and
communication, and discussing the norms and values of the groups and
organization.
A group may reflect on its knowledge before actions, during task execution, or
after that. Reflection before task execution may include open dialogue about
strategies and goals. Reflection during task execution mainly aims at identifying
whether a group is still on track. It can be also achieved by organising dialogues,
forum groups, and discussions (Schippers, 2003). Reflection after task execution is characterised by evaluation of the performance that might lead in our
model to knowledge extension during the “deciding” processes.
In the situation with introduction of a new technology, group reflecting can take
place at different stages, too: after some operations with the system, or along
the way during implementation, but it can happen even before the system
introduction when the future users discuss design issues of technology. In any
case, group reflecting would include communicating upon the extent to which
the system supports performing tasks. Discussions, open dialogue, focus
groups, and meetings with a project team might concentrate on speaking out on
difficulties in use of the system, comparing with another software experience
and with another IT, and declaring individual problems in use of the system.
Users might express doubts and suspicions or trust and beliefs in existing ways
of solving IT-related difficulties, consider possible reasons and outcomes of
mistakes made during operating the system, and discuss errors in working with
different IT functionalities
The knowledge disseminating step brings the crucial difference between
individual and group learning. When we are to transfer individual learning to the
cooperative level, the act of knowing becomes more complicated. In a group
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environment people would think together, which means they would share
results of their thoughts. But knowledge is not something that can be easily
passed around (Hendriks, 1999). There is no doubt that some information can
be codified, stored and reused to enable effective action at a later stage, but a
representation is not equivalent to knowledge (Sutton, 2001). Let us clarify
these processes.
With the assumption that the knowledge is created through conversion between
explicit knowledge (that is transmittable and communicable in formal language,
and often referred to as information) and tacit knowledge (that has a personal
quality and is hard to communicate), there are four modes of the knowledge
conversion processes that can take place in group learning: externalisation —
from tacit knowledge to explicit knowledge; combination — from explicit
knowledge to explicit knowledge; internalisation — from explicit knowledge to
tacit knowledge; and socialisation — from tacit knowledge to tacit knowledge
(Nonaka, 1994).
In other words, to break experiences into meanings, a group would need two
phases: first, reconstruction and codifying of knowledge (externalisation and
combination); and only then, knowledge can be shared or transformed to a tacit
form (internalisation and socialisation) (Hendriks, 1999). We label those
phases knowledge disseminating and sharing understanding.
Knowledge disseminating can appear in many forms, including presentations,
lectures, oral explanations of ideas, or “codifying it in any intelligent knowledge
system” (Hendriks, 1999, p. 92). This process is not necessarily conscious.
For example, employees can learn by watching someone’s performance, even
if they are unaware of the specific knowledge needed for the task performance.
But we are convinced that in almost all practical situations where knowledge
sharing is going to occur that it is important to stimulate “knowledge owners”
to externalise their knowledge in a way that is suitable for others.
Knowledge disseminating during the implementation process of a new information system would include behaviors of the group members that aim at
externalization of ideas about the system in order to improve its usage. It might
emerge in demonstrating working with technical modules both in formal
situations (workshops) and informal (work pauses), proposing new actions to
improve the usage, and clarifying difficulties and questions to the peers. Users
may take the initiative to show their colleagues how to generate new options in
the system or to come up with new suggestions to improve the system.
After that the wheel cycles to sharing understanding. That involves using
insights to help people see their own situation better (Kim, 1993). Internalisation
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also takes on a great variety of forms: learning by doing, reading books, and so
forth. It is oriented to those people who look for acquisition of knowledge. It
implies mutual informal acceptance and respectfulness of diverse ideas and
suggestions. Nelson and Cooprider (1996) define sharing understanding as an
appreciation of knowledge among the group members that affects their mutual
performance (p. 410). Appreciation among the group members is characterised
by sensitivity to the frames of reference and interpretations of others in a group.
Effective shared understanding can be viewed as a synergy between group
members that mutually respect and trust each other. Appreciation and trust are
two main components of shared understanding.
Knowledge internalization concerning new technology will lead to a shared
meaning of the system among the users. They will share their understanding of
the global role of IT in a company and its intentions for every member of a
group, as well as design intentions of the developers of the system. Understanding of technical possibilities and different functionalities (main and optional) can
also be considered as a result of this stage. A group would come up with
common attitudes towards the technical functionality and content of IT —
whether technology helps to accomplish job tasks and responsibilities and to
what extent.
The last step in the cooperative learning is mutual adjustment, or arrangements initiated by the group members. In Kolb’s model this step (“deciding”)
is related to the extension of knowledge, when learners are expected to move
beyond the selves to interact with an external environment. Reflections and
knowledge sharing do not lead to changes in group learning. At this stage, the
group engages in activities that lead to a choice to make decisions together, to
reject or adopt, to evaluate or to ignore tasks, strategies, or new rules.
Some adaptations need to occur. Joint regulations, planning, arrangement and
deciding — these are activities undertaken by group members in order to move
the learning cycle further. In this phase, goals are presented and ways to achieve
them are planned. According to some authors, adjustment takes place not only
before task execution, but also during it as well (Schippers, 2003).
In a situation with a new technology, this step in the group learning cycle will
include activities that aim at collective agreements to improve the use of the
system in the group. Group members may take initiative to arrange (request)
additional training, instructions, manuals, and other learning activities. Developing regulations in order to improve the use of technology can become a
crucial issue, especially if the users never worked before as a group. For
example, this might involve decisions about dividing responsibilities in making
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inputs and schedules of making outputs. Decisions may be also made about
sorts of documents to be submitted or about the data traffic and classification.
IT might also concern group process issues like developing regulations for
intermediate evaluations of the IT project, supporting on-line chat about hot
issues in the project and news overviews.
These plans will be implemented in the action phase. After planning is
completed, its implementing starts and this provokes a new wheel beginning
with collective acting.
A new learning cycle will be based on the previous group experience and
knowledge. Planning can also take place during the action, or executing of a
task, when plans are developed and shaped by seeking feedback or group
reflecting processes. This strengthens the importance of group reflexivity.
It should be noted that the five steps in group learning do not necessarily take
place in consecutive order. The decomposition into five steps is not a temporal
but a logical decomposition, which serves to understand and analyse group
learning processes.
To summarise, group learning is understood in IT implementation as negotiations among the targeted employees aimed at developing implementation of a
new system: they practice with the system and discuss the experience,
experiment and search for new possibilities and communicate upon it, ask for
help, clarify difficulties, talk about errors while working with it, propose new
actions to improve its use, plan further implementation, develop common rules
on working with the system, evaluate its use at different stages, and sometimes
reject it.
Group learning in groupware implementation is defined as all interactional
processes through which group members develop interpretive schemes about
a newly introduced system that help them to implement it, that is, to work
together with it skilfully and task-consistently.
Methods
We have conducted a case study research in one of the larger hospitals in The
Netherlands, called Medinet, where a new personnel management system was
introduced.
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The case study lasted 10 months and was based on qualitative methods like
semi-structured interviews, observations, field notes, and documents analysis.
Thirty-four interviews were conducted, lasting from 45 minutes to two hours,
in total of 48 hours. During interviews we asked employees to describe how
and why the new system was introduced, what kinds of job tasks were
supported by the system, characteristics of the system, and so forth. Such
questions allowed listening for understanding of technological features and
functionality, attitudes towards technology, examples of group learning
behaviour, and learning climate in the company. Postscripts of all 34 interviews
were again discussed with interviewees for verification.
The qualitative approach supported an analysis of different actors’ interpretations of the technology and their actions around it. In order to analyse the
qualitative data, we operationalised group learning processes for groupware
implementation. The definitions are given in Table 1.
Table 1. Operationalisation of Adoption of Groupware through Group
Learning.
Dimensions of group learning
1. Collective acting – task-related
operations with the system undertaken by
members of a group.
2. Group reflecting – communicating
upon extent to which the system supports
performing tasks.
3. Knowledge disseminating – behaviors
of the group members that aim at
externalisation of ideas about the system
in order to improve its usage.
4. Sharing understanding – the level of
common meaning of the system
regarding the role of the system and its
functionality.
5. Mutual adjustment – activities that aim
at collective agreements on ongoing use
of the system in the group.
Components
§
§
§
§
§
operating with basic modules in everyday tasks
performance
searching for new techniques in the system
discussing difficulties in use of the system
comparing with another software experience
declaring individual problems in use of the system
§
§
§
demonstration of operating with technological options
proposing new actions in order to improve ongoing use
clarifying difficulties to the team members
§
§
§
clearness about the purpose of the system
users’ needs in the system
understanding of operating with the modules in the
system
attitudes towards functionality of the system
attitudes towards future state of the system
arranging (further) learning activities to improve use of
the system
developing regulations
evaluating intermediate results
§
§
§
§
§
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Case Study
Our case study reports on the implementation of a personnel administration
system — Beaufort — in one of the larger Dutch hospitals, called Medinet,
which has 1,070 beds and around 3,700 employees. The project, involving
acquisition of a new information system, development of the project plan, and
realization, started in June 1999 and was expected to be completed in
December 2001.
The project had two planned phases: introduction of the system to the central
personnel and salary administration (PSA) department, and introduction of the
system across the entire Medinet. From our theoretical perspective, these
became two distinguishable sub-cases. The PSA department implemented
Beaufort effectively, efficiently, and in accordance with the initial plan (subcase 1). The introduction of the same system to the personnel specialists in
other departments failed, which led to the blocking of the whole project in
October-November 2001 (sub-case 2).
Organizational Context
There is a tight cooperation between the PSA and the local managers: every day
the latter send information in special paper-based forms about all changes in
personnel data to the PSA. Day-to-day communication between all representatives of the personnel service in all departments and units was made via
internal paper-based mail, e-mail, fax and telephone.
The idea of the new system was that local managers could input the personnel
data straight into the system and could share that information across departments. At the same time PSA employees could immediately use these data to
make any salary mutations.
System Specification
The Beaufort system, developed by the Dutch software company Getronics, is
a personnel and salary administration system extensible with modules for time
registration, human resource management, financial management, and so forth.
One of the strengths of the system is that it allows decentralized use. Data entry
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can be done locally in each department. Department managers can have access
to management information for their department.
Beaufort is a system that provides a company with the opportunity to improve
and decentralize its internal personnel management processes. It is a modulebased personnel and salary administration system that contains technical
options for publishing, composing, structuring, improvisation, and storing
personnel data. There are seven modules with which users can perform
document administration: personnel management, salary administration, sick
leave administration, formation and organization, time registration, office link,
and report generator.
The basic module is personnel management, through which the users input and
update all the information concerning personnel data (see Table 2). These
inputs do not require specific codification, as they are registered using normal
words.
The sick leave administration and time registration modules are very important
in salary calculation. All inputs in those two modules are coded using special
numbers, consisting of 3-5 digits. Any changes in the code numbers might
indicate changes in the working conditions (for example, less or more working
hours per week, or urgent working hours, or differences in types of sickness,
including professional sicknesses) that will automatically modify the salary in the
salary administration module.
The salary administration module also requires codified inputs. The users
(salary administrators) combine all the personnel data in this module (such as
sick leave days, participation in the optional schemes for fringe benefits, flexible
and urgent working hours, types of professional qualification, and medical
authorization). Any small mistake in numerical input would lead to an incorrect
salary for an employee.
Beaufort’s formation and organization module provides the structure of the
company in a hierarchical manner: sub-departments and units, clusters, divisions, and so forth. It gives an overview of the whole company and allows one
to see the place of any employee in this structure. Only Medinet’s IT
department is authorized to make changes in this module and update the
information; other users can only read it.
Office Link is a special HRM module that allows HR administrators to send
letters to employees using mailing lists within Medinet, for example to a certain
department, or to all nurses. Such letters may concern a range of personnel
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information — changes in work contracts, invitations to special events, update
on labor conditions, information, and so forth.
The final module — “Informer” — provides the possibility to generate nonstandard reports upon requests from the HR managers: reports about different
expenses on yearly or monthly bases (such as travel expenses or telephone
bills), salary and premium overviews, and so forth.
Specification of the Beaufort functionalities is given in Table 2.
The Beaufort project’s strategic plan (January 2000) contains information
about the reasons for Beaufort’s introduction at Medinet. It states that the
introduction of Beaufort is aimed at improving the efficient processing of HR
Table 2. Specification of the Beaufort Modules.
Module
Personnel
Management
Specification
Registration of:
•
Personnel data: name, title, address, family status, date and place of birth,
employee number, type of contract, department and function, special
authorization issues, participation in the fringe benefit options, and so forth
•
Career development data: educational background, professional experience,
ongoing professional development (courses, education, etc.), and social
activities.
Inputs are not coded.
Salary
Administration
Operating with all inputs from other modules in order to calculate salary. All
inputs and outputs are numerically coded.
Sick Leave
Administration
(SLA)
Registration of absence (total or partial) due to sickness, and notification of this
absence to the various external administrative bodies related to the social security
system in the Netherlands.
Inputs are based on the date, type of sickness, necessary treatment, pregnancy,
frequency of sickness, and relationship with the occupation in the hospital, and so
forth. Inputs are crucial for salary administration. All inputs are numerically
coded.
Formation and
Organization
Detailed picture of the organizational structure and employees within the
hierarchical order: divisions, clusters, departments, sub-departments, sub-units,
and so forth.
Time Registration
(TR)
Registration of working hours in accordance with the collective agreements for
Dutch Hospitals (special registration of weekend and holiday working hours,
emergency hours, day and night shifts, etc.). Inputs are essential for calculating
monthly salaries. Inputs are numerically coded.
Office Link
Administration of various types of letters to employees (invitations,
congratulations, bulletins, etc.).
Report generator
“Informer”
Creating non-standard reports.
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352 Bondarouk & Sikkel
administrative data, simplifying admission to strategic information, and improving the protection of sensitive personnel information. Other goals were described as follows:
•
•
To increase the efficiency of personnel administration by restructuring the
HRM processes from a highly centralized approach to a decentralized
one. Local HR managers were expected to carry out data processing
directly using the system.
To create shared information files, leading to the use and exchange of
personnel information among local managers.
In the Beaufort project at Medinet, two modules were selected for decentralized use: sick leave administration and time registration. Sick leave administration involves registration of absence (total or partial) due to sick leave and
notification of this absence to various external administrative bodies related to
the social security system in the Netherlands. It is important that these
notifications are timely and correct; failure to do so may lead to a situation
where Medinet is held liable for a financial compensation that could have been
claimed elsewhere. Time registration is essential for calculating the monthly
salary. For doctors and nurses the salary is a function of the number of hours
worked on different kinds of duties.
Findings
In this section we present our findings from the case study in the following order:
first results of the implementation in the PSA department, after that the results
among the decentralized users.
Beaufort and the PSA Department
The group learning processes in the PSA department in order to adopt Beaufort
were characterised as moderately high. We provide the description of these
processes based on the textual analysis of the interview transcripts.
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The Role of Group Learning 353
The PSA employees operated with the system very actively in their day-to-day
task performance. Mainly it was based on the running basis modules, while
searching and testing new techniques were exceptional.
They critically reflected upon their experience with the system. Every morning
they discussed different problems in ongoing use during special sessions. Also
informal discussions took place often. They had special notebooks, where they
noted every nuance from Beaufort that must be discussed together. It led, for
example, to a long chat about rules for sending the salary data away. At the
beginning the system used to make some unexplainable errors (e.g., mixing up
the numbers, or miscalculating working hours). An employee who first found
that immediately pointed out those errors.
Everybody felt free to declare their individual difficulties and lack of skills in use
of some modules. They knew each other’s difficulties with operating the
system.
Knowledge disseminating was rather intensive and based on two streams.
Firstly, some active members stimulated, proposed and demonstrated new
ideas with the intention to improve the usage of Beaufort. Secondly, at a more
modest level, colleagues clarified for each other different aspects of Beaufort.
Sharing understanding among the PSA employees was moderate. What is
interesting is that they all had similar ideas concerning the role and functionality
of Beaufort, but their understanding did not reflect the real purpose of the
system.
Mutual adjustment was moderate and mainly related to arranging further
learning activities and suggestions concerning improvements of the system.
Collective agreements and developing new regulations to apply new ways of
working with new system were not initiated.
In sum, collaborative learning processes within the PSA group members can be
characterised as strong. Task-related operations with Beaufort, communicating about different aspects of it, activities oriented towards knowledge
externalisation and achieving collective agreements were strong. Only the
group understanding of the role and functionality of Beaufort was moderate.
The PSA employees valued the system as very helpful and advanced in
supporting their tasks. In particular, they rated highly that all the personnel
information was placed on one screen. They estimated that they could perform
the documents and administration procedures faster than with the previous
system.
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354 Bondarouk & Sikkel
Also they found valuable that the system helped them in communicating with
their clients (employees of the Medinet): during telephone calls it was enough
to use only one screen without difficult paper-based searching processes.
Based on the observations and interviews we may conclude that PSA members
have adopted the newly introduced system with high level of efficiency. All
employees got used to Beaufort in accordance to the scheduled plan — within
three months.
Beaufort and Decentralized Use
We identified group interactional processes among HR local managers as low:
group acting, reflecting, sharing understanding, and mutual adjustment hardly
took place, and only under strong pressure from the management. Only
knowledge disseminating was observed as promising. Below we illustrate it.
Every time when decentralized users met even small technical difficulties, they
stopped operations with the system. They were not clear about the idea behind
the decentralized use. Actually they did not need Beaufort for their usual job
tasks. Operating with the system brought only additional duties and complexity
into their tasks. Collective acting did not develop through exercising; instead,
end users had to start working with a new system immediately. Decentralized
users did not try to search for any new techniques in the sick leave administration module.
We did not identify group reflecting at all. They did not want to discuss any
problems, but passively waited for the external help. They did not communicate
about errors in the system with each other, and preferred to talk about it directly
at a higher level — to the project management.
Knowledge disseminating was initiated by the PSA employees, who gave
advice anytime upon the request of the decentralized users. The low level of
sharing understanding resulted in a lack of clarity about even the content of the
sick leave inputs. Mutual adjustment was observed as absolutely low. Tasks
and rules were not written down — there was not any agreement on how to
work together.
The HR managers were of opinion that the system did not facilitate their tasks,
but rather brought new ones for them. They acknowledged the importance of
Beaufort for the salary administration, but did not find their participation in it
essential. They stressed that time registration and sick leave administration
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The Role of Group Learning 355
were just small administrative responsibilities among their HR work, but the
system made them pay too much attention to those tasks.
At the same time the users even lacked some data necessary to make inputs to
the system.
The system required changing the usual way of performing the tasks (new
collaborative responsibilities, sharing the data, duplication or triplication of the
task performance, new schedule for making inputs).
The local HR managers have not adopted the newly introduced two modules
of the system in accordance to the project plan. They were struggling with the
implementation process, described above, during seven months, and finally
decided to stop it. All end users (100%) shared the opinion that it was
necessary to suspend the project until better times.
Discussion
The perspective of group learning provides us with interesting notions about
different outcomes between the two sub-cases. We discovered that group
learning processes did take place in both cases, but the content of them was
rather different. In the PSA department these processes helped to improve
adoption of the new system and led to the stable use of it. In the group of
decentralized users learning processes blocked adoption of the new system and
contributed to termination of the whole project.
While we credit success and failure of Beaufort adoption to differences
between group learning, we also realize importance of the organizational
circumstances for those processes. First, we summarize and conclude about
the content of group learning in adoption of Beaufort, and after that we discuss
the organizational environment for the system implementation.
To estimate group learning we gave qualitative labels ranging from “weak” to
“strong” (active-passive, high-low, intensive-fuzzy, etc.). Giving such labels,
we kept our operationalisation scheme, where “high” learning meant the
intensity of the users’ activities and orientation towards improvement of system
adoption. We have categorized group learning in the PSA department as
relatively strong towards adoption of Beaufort. In the group of decentralized
users, group learning was labelled as weak towards adoption of Beaufort.
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PSA employees communicated and discussed different aspects of Beaufort
implementation with the aim to improve its use. We discovered the leading role
of group reflecting and knowledge disseminating. “Activities-based” group
learning processes (collective acting and mutual adjustment) were lower.
Sharing understanding — the content of the shared meaning of Beaufort among
PSA members — at the beginning slowed down implementation. This has
changed while using the system: PSA members transformed their perceptions
of the system from ignoring to acknowledging its advantages.
Decentralized users also communicated actively about different aspects of
Beaufort. Their discussions aimed at sharing negative feelings concerning the
system and the future introduction of it in the whole company. They exchanged
their experience and evidence against using Beaufort, and suggested terminating the pilots. They perceived the system as unreasonably difficult and complex
to operate.
It was interesting to find the development of employees’ needs in a new
technology. We think that in an ideal situation, employees should need a new
system before its introduction. These personal needs can differ from the main
goal of a system in a company. However, in both Medinet sub-cases we have
observed an absolute disregard of the individual needs in introduction of a new
system. PSA employees developed and realised their needs in Beaufort while
implementing it (this even helped them to clarify the intention of the system).
Decentralised users kept on lacking any individual needs for more than six
months.
The most illustrative opposite results were discovered in the processes, which
we labelled “mutual adjustment”. In the PSA department, employees arranged
educational activities to learn more about Beaufort; they strived to reach new
departmental rules and agreements in order to ease the use of Beaufort.
Decentralized users put efforts to arrange different sessions to convince the
project team to stop the pilots. We have characterised the group learning
process in the two settings in Table 3.
Table 3. Group Learning Processes in Two Settings.
Group learning in PSA
Collective acting
Group reflecting
Knowledge disseminating
Sharing knowledge
Mutual adjustment
Moderate to Active
Mostly strong
Mostly intensive
Moderate
Moderate to Strong
Group learning among
decentralized users
Passive
Moderate to weak
Fuzzy
Low
Weak
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The Role of Group Learning 357
Although the insights that come out of the learning perspective are remarkable,
the results need to be considered from a broader perspective.
The two sub-cases led us to the notion that functionality played an essential role
and even to some extent predicted the results. The system aimed to carry
organizational changes in the whole company regarding task design and
collaboration among employees. In fact it is not a novel idea to say that the
organizational change can hardly be realized by technical introduction of a new
technology. Beaufort did not bring any task changes to the work of the PSA
specialists. But the decentralized local managers had to change their work a lot.
They had to learn new tasks, which were just secondary, and to take higher
responsibilities to perform those tasks. The PSA employees did not face
changes in the way they used to cooperate before introduction of Beaufort. But
the local managers faced a new, very complex collaboration in a new situation.
They faced the necessity to serve the system instead of getting support from it.
At the same time the content of the tasks appeared to be crucial. The Medinet
case study convinced us that the tasks related to the personnel information —
administering and managing — were very sensitive. They are associated with
the privacy and the security of very sensitive information, and therefore require
strong responsibility if they are to be transferred.
In the PSA case, Beaufort played a role of the intensive groupware and
supported reciprocal interdependence within one department. In the decentralized case there was a need for a higher cooperation between the departments,
within the local communities, and with the PSA specialists. Beaufort became a
multi-channel groupware and supported associated interdependence. A complexity of the groupware contributed to the negative results in the decentralized
sub-case.
We suppose that before Beaufort was implemented for decentralized users,
there was also a need to create collaboration among them. It does not mean that
groups of users must have perfect collaborative prerequisites in advance in
order to adopt the system. As we have said earlier, group processes do
improve over the use of groupware. But essential group characteristics must be
built up in advance. Those are interdependence, individual accountability, and
task division. Such prerequisites prepare the basis for interactional processes,
through which implementation of groupware, in our view, develops.
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Conclusion
We have proposed a model for implementation of collaborative technologies
that regards it as a learning process. The longitudinal case study in the Dutch
hospital confirmed our theoretical assumptions that adoption of collaborative
technology developed through group learning; when the system was introduced
to the users they had to collaborate to perform the tasks. However, we should
notice that the chapter presents the results of only one organization’s experience. In order to validate the model, IT implementation in different organizations should be studied. That must include different types of companies and
different types of information technologies.
Group learning includes interactional processes through which group members
develop implementation of technology: they practice with the system and
discuss this experience, experiment and search for new possibilities and
communicate upon it, ask for help, clarify difficulties, talk about errors while
working with it, propose new actions to improve its use, plan further implementation, develop common rules on work with the system, evaluate its use at
different stages, and so forth. We have found that the five steps of group
learning in accordance with our operationalisation scheme — collective acting,
group reflecting, knowledge disseminating, sharing understanding, and mutual
adjustment — existed in reality in both settings, PSA and decentralized users.
An important finding is that in both settings group learning emerged immediately
after a new collaborative technology was introduced to the targeted users.
At the same time the content of group learning in sub-cases was opposite. In
the PSA department it was categorised as strong, as it helped improve adoption
of the new system and led to the stable use of it. Decentralised users blocked
adoption of the new system and initiated termination of the whole project —
also through group learning, which was oriented towards blocking system
usage.
The technology may trigger group learning, requesting redirecting of its scope
towards alignment with a new user group. We have seen that the higher the level
of interdependency between the users was requested by the system, the more
efforts were needed to redirect group learning from a smaller group to the entire
group of users across different departments.
Investigation supports the idea that organisational support does influence
adoption of the system. The idea is not new. However, based upon our research
we propose that organisational support should include special practices to
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The Role of Group Learning 359
advance group learning in order to promote implementation of collaborative
technologies. We realise that this itself it is not a guarantee of successful
implementation yet, but ignoring group learning processes by project managers
may lead to slowing down or even terminating it.
To summarise our discussion we may conclude that group learning processes
do play an important role during adoption of the newly introduced groupware
system and can explain its implementation success or failure. Independently of
the organisational conditions, group learning emerges immediately after introduction of a new groupware system. However, the direction of group learning
can differ depends on the conditions in which it takes place.
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About the Editor 363
About the Editor
Anabela Sarmento obtained her first degree in Management Studies, her
Master’s in Science of Education and her PhD in Technology and Information
Systems at the University of Minho, Portugal. She is a Professor at the School
of Accountancy and Administration (ISCAP)/Polytechnic Institute of Porto
(Portugal). She lectures on business communications and the information
society. She is also a researcher at the Algoritmi Research Centre (Information
Systems Group), University of Minho. Her research interests are: the impact of
information systems on organisations and knowledge management (SMEs,
intellectual capital, higher education and lifelong learning). She is an Associate
Editor of the Information Resource Management Journal and of the International Journal of Technology and Human Interaction. She has served on
the program committee of several national and international conferences. She
is also an evaluator of project proposals for the European Union.
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364 About the Authors
About the Authors
Latif Al-Hakim is an independent consultant specialising in information
systems design. Currently, he is the lecturer of logistics and operations
management in the Department of Economics and Resources Management Faculty of Business (University of Southern Queensland, Australia). His
experience spans 34 years in industry, research and development organisations
and in universities. Dr. Al-Hakim received his first degree in Mechanical
Engineering in 1968. His MSc (1977) in Industrial and Systems Engineering
and PhD (1983) in Management Science were awarded from the University of
Wales (UK). Dr. Al-Hakim has held various academic appointments and
lectured on a wide variety of interdisciplinary management and industrial
engineering topics. He has published extensively in facilities planning and
information systems design and modelling. Research papers have appeared in
various international journals and have been cited in other research and
postgraduate work. His current research interest is in supply chain management
and service quality. He has supervised several DBA and Masters students in
topics related to his current interest. Starting with designing of information and
quality systems, Dr. Al-Hakim’s involvement with industry continued in the
form of consultancy and technical advice. He has consulted in the automotive,
aerospace, house appliance, metals, plastics, clothing, food and service
industries. In addition to teaching and consulting, he has conducted technology
transfer training courses and seminars in various fields of advanced manufacturing.
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About the Authors 365
Tatyana Bondarouk works on her PhD project in the field of business
administration in the University of Twente, The Netherlands. Her research
focuses on how group interactional processes are transformed into implementation and acceptance of collaborative information technologies.
Susy Chan is an associate professor and directs the Center for E-Commerce
Research in the School of Computer Science, Telecommunications and Information Systems at DePaul University (USA). She is the founding director of
DePaul University’s pioneering master’s and baccalaureate programs in ecommerce technology. As a former CIO at DePaul, she developed its sixcampus IT infrastructure. Her research focuses on e-business strategies,
enterprise applications and transformation, e-commerce curriculum, and mobile commerce. The Mobile Commerce Research Lab that she co-leads studies
usability and development issues concerning wireless applications. She received a PhD in Instructional Technology from Syracuse University.
Steve Clarke received a BSc in Economics from The University of Kingston
Upon Hull, an MBA from the Putteridge Bury Management Centre, The
University of Luton, and a PhD in human centred approaches to information
systems development from Brunel University — all in the United Kingdom. He
is Professor of Information Systems at The University of Hull (UK). Steve has
extensive experience in management systems and information systems
consultancy and research, focusing primarily on the identification and satisfaction of user needs and issues connected with knowledge management. His
research interests include: social theory and information systems practice;
strategic planning; and the impact of user involvement in the development of
management systems. Major current research is focused on approaches
informed by critical social theory.
John D’Ambra is a senior lecturer in the School of Information Systems at The
University of New South Wales, Sydney, Australia. He holds a doctorate in
Information Systems and has considerable experience in the commercial
information technology industry. John’s research interests include the study of
computer-mediated communication within organizations and user perceptions
of the value of the World Wide Web. He has published widely in international
journals and conferences.
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366 About the Authors
Ibrahim Elbeltagi is a senior lecturer in Information Management at the
School of Computing, De Montfort University, UK, and a member of the IT
Service Management Research Group. He has a PhD in the Strategic use of
Decision Support Systems from the University of Huddersfield. His research
interests include Internet usage in small businesses and IT diffusion in developing countries.
Huw Evans received a BA in Social Sciences from the Open University and
is currently working towards a PhD developing a framework for the transparent
and critical mapping and evaluation of methodologies for the engagement of
large numbers of people. Mr. Evans is an Inspector with Hertfordshire
Constabulary in the UK, having been a serving police officer for almost 30
years. He developed an interest in group facilitation during his work with the
police and incorporated participative approaches to work on organizational
development. For the last two years, Huw has been seconded to the Audit
Commission, undertaking assessment of other police forces and local authorities in the UK.
Yuan Gao is an assistant professor of information systems at Ramapo College
of New Jersey (USA). He holds a master’s degree in Computer and Information Science, and an MBA and a PhD in Business from Zicklin School of
Business, Baruch College-The City University of New York. His research
interests include systems design and consumer behavior in hypermedia, user
acceptance of technology, online computer games, and e-commerce strategies.
His work has been published or is appearing in numerous conference proceedings, book chapters, and such academic journals as The Electronic Library
and Journal of Electronic of Commerce in Organizations.
Kisha-Dawn Greenidge is a Master’s of Science degree candidate at The
Center for Applied Information Technology, where her concentration is in
software engineering. Her research interests lie in Web usability, accessibility,
analysis and design requirements gathering. Additionally, other computer
technology related interests include Web and interface design and development, database implementation and system analysis and design. Her recent
publications are in the Universal Access in the Information Society Journal,
the Information Resources Management Association 2003 and the Human
Computer Interaction 2003 conferences.
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About the Authors 367
Zixui Guo is a lecturer in the School of Information Systems at The University
of New South Wales, Sydney, Australia. Guo received her PhD in Information
Systems in 2003. She has considerable academic and industrial experience in
China.
Bernard J. Jansen has more than 40 publications in the area of information
technology systems and Web searching. His articles appear in journals such as
the Communications of the ACM, IEEE Computer, Information Processing and Management, and the Journal of the American Society of Information Science and Technology, among others. Dr. Jansen’s recently coauthored paper in IEEE Computer analyzing a four-year trend in how users
search the Web generated progress coverage in over 100 news organizations
worldwide, including wire services, cable and network television, radio,
newspapers, and commercial Web sites. He has received several awards and
honors including an ACM Research Award, six application development
awards, along with other writing, publishing, research and leadership awards.
Murray E. Jennex is an assistant professor at San Diego State University
(USA) and president of the Foundation for Knowledge Management (LLC).
Dr. Jennex specializes in knowledge management, system analysis and design,
IS security, and organizational effectiveness. He has managed projects in
applied engineering and business and information systems development and
implementation. His industrial and consulting experience includes nuclear
generation, electrical utilities, communications, health services, and governmental agencies. Dr. Jennex is the author of numerous publications on knowledge management, end user computing, international information systems,
organizational memory systems, and software outsourcing. He holds a BA in
Chemistry and Physics from William Jewell College, an MBA and MS in
Software Engineering from National University, and an MS in Telecommunications Management and PhD in Information Systems from the Claremont
Graduate University. Dr. Jennex is also a registered professional mechanical
engineer in the state of California.
Adam Jones is obtaining his Masters of Science degree at The Center for
Applied Information Technology with a concentration in information security.
He has worked with Dr. Jonathan Lazar for several years. Current research
relevant to Web-STAR includes Web accessibility, usability, requirements
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368 About the Authors
gathering, and various forms of user frustration studies. Other computer and
information science related interests include computer and information security,
programming, interface and information design, and systems development. His
most recent publications and presentations have occurred at the Americas
Conference on Information Systems, the Information Resources Management
Association, and the Universal Access in Human Computer Interaction conferences during 2003.
Jonathan Lazar is a faculty member in the Department of Computer and
Information Sciences at Towson University (USA). He is the author of the book
“User-Centered Web Development,” and editor of the book “Managing IT/
Community Partnerships in the 21st Century”. He is on the editorial board of
the Information Resource Management Journal, and associate editor of the
Journal of Informatics Education and Research. Dr. Lazar regularly presents and publishes papers on the topic of Web usability. He has also served
on the program committee for conferences sponsored by the ACM Special
Interest Group on Computer-Human Interaction (CHI), and the Information
Resource Management Association. He is also the 2002 winner of the
“Excellence in Teaching” award in the College of Science and Mathematics at
Towson University.
Brian Lehaney is Head of the Statistics and Operational Research Subject
Group. He is Professor of Systems Management, and his research is in the area
of decision support for organisations. This includes the theories and application
of simulation modelling, intervention methodologies, and knowledge management. Professor Lehaney has developed the mixed-mode modelling approach
to decision support. He publishes widely in internationally renowned journals,
including the Journal of the Operational Research Society, and the Journal
of End User Computing. His books include “Mixed-Mode Modelling: Mixing
Methodologies for Organisational Intervention” (Kluwer). His latest book is
entitled “Beyond Knowledge Management,” and this will be published in 200304. Professor Lehaney recently completed an EC-funded project on the
development of tools and methodologies for knowledge sharing within
organisations. Other related projects are in the process of development.
Lynda Roberson Louis is an assistant professor in the Computer Sciences
and Computer Engineering Department of Xavier University of Louisiana
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About the Authors 369
(USA). Prior to joining Xavier (Fall 2003), she was an advanced project
analyst for electronic data systems (EDS). Dr. Louis received her undergraduate degree in mathematics from Clark Atlanta University, and her Master of
Science and Doctor of Philosophy degrees in Information Systems from the
Graduate School of Computer and Information Sciences at Nova Southeastern
University. She was recently elected to a two-year term on the IRMA
Executive Council. Dr. Louis has served as a blind reviewer for several IT
conferences and publications. She holds membership in ACM, IRMA, and
AITP. Her research interests include IT outsourcing, gender inequity in
computing, human computer interactions, end user support and information
resource management.
Neil McBride is the leader of the IT Service Management Research Group at
De Montfort University (USA). The group specialises in applying concepts
from service management research to IT Service management. Dr. McBride’s
research interests include the management of help desks, IT service strategy
and information systems evaluation. Recent work has applied the chaos theory
and actor network theory to information systems research. His publications
have appeared in several journals including the European Management
Journal, Information Systems Journal, the Communications of the AIS,
Information and Software Technology, and Geography.
Joe McDonagh specialises in the fields of organization development and
change (OD&C) and information technology (IT), concentrating on executive
leadership, managing strategic change, and the dynamics of large-scale ITenabled business change. He teaches senior management at Trinity College
Dublin and at a number of business schools in Europe and America. His work
focuses on executive leadership and the management of large-scale strategic
change with many European and American multinationals as well as government. He has extensive practical experience with large corporations including
Continental, Imperial Chemical Industries, Philips, and Price Waterhouse.
Some recent corporate and government assignments include ABN Amro, AIB,
Cabinet Office, Department of Finance, Department of Social and Family
Affairs, Department of the Taoiseach, ING, JP Morgan Chase, National
Assembly for Wales, Office of the First Minister, Reach, Scotia Capital, and
The Health Boards Executive. He publishes widely on the management of
change. Recent and forthcoming publications are to be found in Public
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370 About the Authors
opment, Organization Development Journal, Handbook of Action Research, Handbook of Information Systems Research, Information Technology and e-Business in Financial Services, and Global Perspectives on
Information Technology Management, among others. In between researching, consulting, teaching and talking he devotes himself to walking, mountain
biking, gardening, reading, and fundraising for Dublin’s homeless. He lives in
Dublin with his wife Majella, and two sons Colin and Sean.
John Mendonca is an associate professor in the School of Technology,
Purdue University (USA). He serves as the Computer Technology Department’s
chair of the graduate program and teaches graduate courses in IT leadership
and management. He serves on the board of the Society for Information
Technology Education and is active in other professional organizations. Prior
to beginning his teaching career, he worked for more than 20 years as a systems
developer, manager and consultant in the banking and insurance industries. His
interests include organizational impact of IT, strategic IT, management of IT,
and software engineering.
Abdulrahman Mirza has been with the Information Systems Department,
College of Computer and Information Sciences at King Saud University (Saudi
Arabia) for the past six years, where he has recently been appointed as the
department chairman. He spent his sixth year as a senior Fulbright scholar at
DePaul University’s School of Computer Science, Telecommunications, and
Information Systems. His previous IT experiences include employment at
Genesis International Inc., Hoffman Estates, IL, Knowledge Systems Institute,
Skokie, IL, and Oakton Community College, Des Plains, IL. Dr. Mirza’s
research interests include knowledge-based systems, Web-based tools, and
e-business. He received his PhD in Computer Science from Illinois Institute of
Technology (1995).
With a background in computer science, Nasrine Olson is a lecturer and a
PhD student at the Swedish School of Library and Information Science. Olson
has had a wide range of practical experiences with automated library systems
in her previous positions as systems librarian, system manager, software
support for a leading automated library system at a commercial firm, and as a
consultant in her own firm helping libraries with various automation related
projects and/or problems. Olson has been a lecturer in various related topics
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About the Authors 371
since 1995 and currently studies IT acquisition decisions as part of her PhD
program.
Huub J. M. Ruël works as an assistant professor at Utrecht University,
Utrecht School of Governance (The Netherlands). He holds a bachelor in
Human Resource Management (HRM), a master in Work and Organizational
Psychology, and a PhD in Business Administration. In the thesis for his
doctorate he applied concepts of adaptive structuration theory on office
technology development, implementation and use. Currently, his main field of
research interest is e-HRM. He is a main author of a book to be published in
the beginning of 2004, reporting about a qualitative study in five large
companies who are e-HRM fore-runners.
Carmine Sellitto is a lecturer in the School of Information Systems at Victoria
University, Melbourne, Australia, and teaches in the area of Web enabled
business systems, systems analysis and management information systems.
Carmine also is a PhD candidate at RMIT University studying the adoption of
Internet technologies by small Australian wineries. Carmine has a number of
publications that span the e-business and e-commerce area, Web site design
and implementation and socio-technical aspects of IT implementation.
Klaas Sikkel has an MSc in Software Engineering and a PhD in Theoretical
Computer Science. From 1994 he was involved in the design and implementation of groupware systems. At GMD, the German National Research Institute
for Computer Science, he was one of the founders of the project “Basic
Support for Cooperative Work,” one of the first to deliver Web-based
groupware services. Currently he is assistant professor at the Information
Systems group at the University of Twente (The Netherlands). His interests
include requirements analysis, evolutionary use of groupware and the use of
ICT in higher education.
Andrew Wenn is a lecturer in the School of Information Systems at Victoria
University, Melbourne, Australia, and is currently undertaking his PhD. His
main field of research is the nexus between the social and the technical,
particularly in the area of global information systems. Andrew has a number of
publications in this area as well as in the area of Internet-based education and
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372 About the Authors
e-commerce and small business in Australia. He was recently appointed to the
Editorial Review Board of the Information Resources Management Journal,
has just co-edited a book, Socio-Technical and Human Cognition Elements
of Information Systems, recently published by Information Science Publishing, and edited Skilling the e-Business Professional, published in 2002 by
Heidelberg Press. He was co-editor of the Proceedings for ACIS 2002.
Hongjiang Xu is an assistant professor of Business Information Systems
Department at Central Michigan University (USA). She did her PhD at
University of Southern Queensland, Australia. She also has a Master’s degree
in Information Systems from the University of Queensland, Australia. Prior to
her academic career Hongjiang was a supervisor accountant—accounting
general in a Sino—HongKong joint venture company for years. She is a
member of CPA Australia, and also holds several accounting qualifications
from China. Her research interests are in the areas of data and information
quality, accounting information systems, ERP systems, and electronic commerce.
Kai-Hsiang Yang is currently a PhD candidate of the Department of Computer Science and Information Engineering from National Taiwan University,
Taiwan (R.O.C.). Since 1997, he joined the Office Automation and Networking Laboratory under the supervision of Dr. Tzao-Lin Lee. His research
interests include information security, network and distributed systems, and
information retrieval.
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Index 373
Index
business-to-business 278
business-to-consumer 278
A
academic preparation 111
accessibility standards 90
action research 325
ad hoc reporting 147
adaptive structuration theory (AST)
225, 230
advanced searching operators 51
appropriation 229, 238
appropriation moves 233, 238
appropriation of office technology 232
asynchronicity 265
ATMs 2
attitude toward the game (Ag) 22
attitude toward the site (Ast) 22
attitudes towards appropriation
233, 238
automated library system (ALS) 193,
198, 208
automation 204
B
Barfordshire Police 322
Barfordshire Police Call Centre 321
Beaufort system 349
“black hole” 326
Boolean or phrase searching 50
business intelligence (BI) 115
business transformation 280
business Web sites 85
C
caching 73
California Department of Motor Vehicles
181
call centre 322
call handling centre (CHC) 328
call handling function 326
capability maturity model (CMM) 143
case sensitivity 88
cash infusion 154
Centre for Applied Special Technology
(CAST) 92
change agent 198
change within organizations 198
chief executive officers (CEOs)
158, 292
CIOs (chief information officers) 183
clarity of the spirit 234, 237, 238
collaborative learning 342
collaborative software 279
collaborative technologies 338
collective actions 342
collective experiences 343
commercial information systems 1
complex queries 65
computer interaction 321
computer interface 1
computer systems 2
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374 Index
computer-mediated communication
(CMC) 263
concept architecture of URL 75
connectivity 265
consensus on appropriation 233
consensus towards appropriation 239
consumer behavior model 26
count filtering 79, 81
critical success factors (CSF) 296
critical thinking approach 97
customer relationship management
(CRM) 115, 280, 282
customer satisfaction 295
“customer-driven quality” approach 299
electronic transmission 265
employee perceptions 152
encoding standards 87
end users 8
end-user behavior 136
end-user computing (EUC) 137, 138
end-user organization 137
enterprise applications 280
enterprise resource planning (ERP) 115
enterprise-wide databases 280
entertainment 26
entire value chain 278
“expected importance” 302
eXtensible Markup Language (XML) 88
D
F
data collection 38
data quality (DQ) 291, 292
data warehouse (DW) 115
DC-dot 96
decentralized use 354
dialogue theory 269
domain name system (DNS) 73
Dow Chemical 181
DQ alignment 293
Dublin Core (DC) 94
Dublin Core metadata consortium 87
Dutch hospital 335
faithfulness of appropriation 233, 238
filter conditions 79
force information room (FIR) 322
fourth generation languages (4GLs) 138
FoxMeyer Drug 181
fragmented change 186
E
eOrganizations 285
e-business 113, 277, 286, 279
e-business enterprise 111
e-business IT skills portfolio 111
e-business organization 277
e-business technologies 280
e-business transformation 113
e-commerce 279
e-government 180
e-procurement (EP) 115
edit distance 74, 75, 76
Electronic Commerce (EC) Institute
120
electronic data interchange (EDI) 279
electronic information exchange system
(EIES) 339
G
“Good and Service Tax (GST)” system
308
Grassian list 97
group learning 335, 342
group learning cycle 343
group reflection 342, 343
groupware 341
groupware implementation 338
groupware technologies 338
H
HCI designer 6
head librarian 197
help desk operator scripts 15
help desk staff 8
help desk system 7
HTML encoding 87, 88
HTML tidy 89
HTML validator 89
human centred approach 321
human interface interaction 99
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Index 375
human issues 321
human resource 156
human-computer interaction (HCI) 1
Hypertext Markup Language (HTML) 87
I
incentives 205
index architecture 79
industry demand 111
infinite container 270
information accuracy 98
information carrying capacity 263
information consumers 293
information custodians 293
information management 281
information processing 268
information producers 293
information product 294
information product map (IPMap) 295
information quality 42, 96
information quality survey 40
information retrieval (IR) systems 51
information systems (IS) 137
information technology (IT) 137, 152,
284, 292
information transparency 281
informational Web page 97
informativeness 27
innovation theory 195
instrumental uses 239
integration 266
intention 232
intention to return 23
interaction process 271
internal organizational environment 236
Internet business solutions 112
Internet shopping sites 2
Internet-based enterprise systems 112
intra-enterprise collaboration 111
irritation 28
IT career objectives 163
IT employees 152
IT help desks 7
IT “inscription” 336
IT investment initiatives 183
IT skills portfolio management 111, 118
IT workforce 111
J
job changes 205
job designs 205
joint application design (JAD) 139
joint implementation process (JIP) 139
just-in-time (JIT) 299
K
knowledge disseminating 342, 344,
354
knowledge internalization 346
knowledge transfer 282
L
language variety 267
laser generation 270
learning-based framework 338
length filtering 79, 81
level of consensus on the appropriation
233
library and information science (LIS)
196
library automation 192
linkrot 101
local area network vendors (LAN) 340
M
management action plan (MAP) 159
management leadership 302
management outsourcing adoption
model (MOAM) 159
managing for e-business 281
markup language 87
mean query length 54
media richness theory (MRT) 263, 267
media type 271
Medinet 347
metadata 93
metadata creator 96
metadata editor 96
mobile commerce 280
motivation 205
motivational quality of a Web site 42
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376 Index
mutual adjusting 342
mutual adjustment 346, 356
N
N-grams 78
Net-centric organizations 278, 284
new media 263
non-technical side 228
Nordic metadata project 96
O
objectivism 230
office technology 228, 232
office technology’s non-technical side
225
offshore IT outsourcing 118
online accessibility assessment tools
92
online computer games 21
online navigation 99
online security 73
online tools for creating metadata 95
open organizational communication
231
operating costs 154
operational control units (OCUs) 330
organisation development (OD) 186
organizational design 284
organizational Impact 285
output 272
outsourcing 117, 155
P
participation 332
perceived ease of use 25
“perceived performance” 302
personal computers (PCs) 138
personal focus 268
personal proxy server 72
personnel and salary administration
(PSA) 349
personnel management system 335,
347
plug-in applications 41
position filtering 79
process of system selection 203
production-marketing chain 296
provide feedback 267
proxy server 73, 79
“public face” 327
public frustration 327
Q
query operators 50
questionnaire for user interaction
satisfaction 40
R
radio dispatch 326
real time information exchange 280
requirements gathering 37, 38, 39
research structure 57
retained employees 163
S
sales force automation (SFA) 115
sales person 197
satisfying 270
screen-readers 91
script theory 4
scripting 1
scripts 5
searching capabilities 55
searching environment 55
searching rules 57
self-service airline ticket dispensers 2
service industry researchers 3
service interaction 2
service-oriented human computer
interaction (HCI) 1, 4, 17
sharing understanding 342, 345
simple queries 65
skills acquisition 119
skills development 119
skills maintenance strategies 119
small talk 270
staff Involvement 204
storage of information 265
subject matter experts (SMEs) 140
subjectivism 230
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Index 377
supply chain management (SCM)
115, 280, 282
survey design 42
survey development methodology 42
survey tool 37, 42
synchronicity 265
system developer/vendor 197
system selection 192, 202
system thinking 204
systems integration 113
systems librarian 197
T
tag closure 88
technical knowledge 205
technological determinism 230
technology acceptance model (TAM)
21, 22, 24
technology transfer 283
theory of reasoned actions (TRA) 22
total data management quality (TDQM)
295
total quality management (TQM)
295, 299
transitioned employees 163
U
underlying philosophy 232
uniform resource locator (URL) 72
universal resource locater (URL) 94
university distance education 339
URL correction 72
URL correction mechanism 75, 79
URL preprocessor 77
URL similarity measurement 76
usability 38
user interface 38
user interface design 21
user involvement 38
user satisfaction 42
users’ work autonomy 236
W
Web accessibility 42
Web accessibility initiative (WAI) 87
Web analysis and measurement
inventory 40
Web application 41
Web caching 74
Web development 38
Web elements 73
Web page caches 72
Web page download 104
Web pages 85
Web search engines 52
Web searchers 52
Web site 23, 41, 85
Web site design 86
Web site development 37
Web site navigation 99
Web survey tool for analyzing requirements (Web-STAR) 37, 40
Web usability 41, 42
Web-STAR project 37
Web-STAR survey 43
WEBMac 40
West Midlands Police 330
work alignment 291, 301
World Wide Web (WWW) 26, 72
World Wide Web consortium (W3C) 87
X
XHTML 88
Y
Y2K 140
V
virtual teams 263
voluntarism 230
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