Old Dominion University ODU Digital Commons Engineering Management & Systems Engineering Management & Systems Engineering Theses & Dissertations Engineering Winter 2013 System Governance Analysis of Complex Systems Behnido Y. Calida Old Dominion University Follow this and additional works at: https://digitalcommons.odu.edu/emse_etds Part of the Industrial Engineering Commons, and the Systems Engineering Commons Recommended Citation Calida, Behnido Y.. "System Governance Analysis of Complex Systems" (2013). Doctor of Philosophy (PhD), Dissertation, Engineering Management & Systems Engineering, Old Dominion University, DOI: 10.25777/8pjq-6e64 https://digitalcommons.odu.edu/emse_etds/63 This Dissertation is brought to you for free and open access by the Engineering Management & Systems Engineering at ODU Digital Commons. It has been accepted for inclusion in Engineering Management & Systems Engineering Theses & Dissertations by an authorized administrator of ODU Digital Commons. For more information, please contact [email protected]. SYSTEM GOVERNANCE ANALYSIS OF COMPLEX SYSTEMS by Behnido Y. Calida B.S. March 2000, University of the Philippines M.E.M. December 2009, Old Dominion University A Dissertation Submitted to the Faculty of Old Dominion University in Partial Fulfillment of the Requirements for the Degree of DOCTOR OF PHILOSOPHY ENGINEERING MANAGEMENT OLD DOMINION UNIVERSITY December 2013 Approved by: les Keating (Direi Adrian Gheo/ghe (Member) Patrick Hester (Member) ames Pyne (Member) ABSTRACT SYSTEM GOVERNANCE ANALYSIS OF COMPLEX SYSTEMS Behnido Y. Calida Old Dominion University, 2013 Director: Dr. Charles Keating The purpose of this research was to develop and deploy a systems-based framework for analysis of complex governance systems using a multimethodology research design. Two research gaps motivated this research: : (1) lack of an integrated conceptualization of a system governance construct, (2) an absence of studies that consider both the governed and governing systems as well as the emergent interactions that arise from within complex governance systems. The research focused on three primary questions: (1) What are the distinctive characteristics of governance?; (2) What system-based framework can be developed for analysis of governance in complex systems?, and (3) What results from deployment of the framework in a field setting? The multimethodology research design that guided the effort included three primary phases. First, the literature was synthesized to derive a set of governance elements. This synthesis was accomplished across an extensive and multidisciplinary literature set by a novel method of content document clustering analysis to reveal important elements of governance. Second, a conceptual framework for analysis of system governance was constructed from the confluence of extant governance literature and systems theory. This governance system analysis framework was informed by Bunge’s (2003) system perspective to advance the understanding of governance that will be meaningful in a given practice. Finally, a case based application of the analysis framework was conducted to examine implications of the framework from a field perspective The original research provided contributions to theory, methodology, and practice. From a theoretical perspective, the research contributed to the body of knowledge by providing: (1) a literature derived set of generalizable elements of governance, and (2) the development of a systems-based framework to be used to analyze complex governance systems. From a methodological stand-point, the research advanced an integrated multimethodology research design that featured: (1) a novel content analysis approach for synthesis of diverse literature; (2) the development of an integrated systems analysis method; and (3) a rigorous single-case study application within the engineering management discipline. Lastly, from a practical perspective, the systems framework provided a foundation for derivative approaches to enhance practices related to system governance. V This dissertation is dedicated to my family, to whom I am deeply blessed for their love, patience and support throughout this journey. ACKNOWLEDGEMENTS I would like to express my gratitude and thanks to family, friends, mentors, advisors and organizations that provided intellectual, financial and motivational support for this disseration to arrive at its completion. To my academic family, friends and colleagues who encouraged, advised and challenged me to stay the course, in particular my advisor Dr. Chuck Keating, for sharing with me his wealth of experience acting as my valued advocate and mentor in the scholarly process; my dissertation committee members Dr. Adrian Gheorghe, Dr. Patrick Hester and (the recent addition) of Dr. James Pyne for their questions, contributions, time and for sharing their expertise in engaging my intellectual curiosity throughout this dissertation and in other research activities. To the faculty and staff of the Engineering Management and Systems Engineering department, for the support, encouragement, research collaborations, funding and resource-infrastructure support. To past and future Ph.D. students/fellows, thank you for the laughs, the discussions and the company which truly makes the seemingly lonely research/writing nights more colorful. To my wife Rachelle and two sons Sean and Andrei, for enduring, nurturing and giving me my strength, inspiration and best hopes for the future. To my parents on the other side of the globe, for breathing me life into this world, their constant prayers and for their sacrifices so I could have the best opportunities growing up. To my siblings Tricia, Ahron and Colai, for the lifelong memories and future experiences I pray we will have an opportunity to share again. To my in-laws and extended family, for their words of encouragement and timely guidance at important junctures of my dissertation journey. My deepest appreciation for their faith and confidence in me is beyond words. TABLE OF CONTENTS Page LIST OF TABLES.................................................................................................................ix LIST OF FIGURES................................................................................................................x INTRODUCTION..................................................................................................................1 1.1 Research Background.......................................................................................................1 1.2 Problem Overview ............................................................................................................5 1.3 Research Purpose, Objectives Statement and Research Questions ............................. 8 1.4 Research Significance .................................................................................................... 12 1.5 Chapter Summary ...........................................................................................................14 LITERATURE REVIEW.................................................................................................... 17 2.1 Overview of Body of Knowledge Scope ......................................................................18 2.2 State of the Literature in Systems Philosophy and Approach .....................................22 2.3 State of the Art in Governance ...................................................................................... 32 2.4 Synthesis of General Themes for Governance .............................................................41 2.5 Critique of the Literature ...............................................................................................47 2.6 Chapter Summary .......................................................................................................... 50 METHODOLOGICAL FRAMEWORK............................................................................52 3.1 Paradigm and the Research Process ..............................................................................52 3.2 Justification for “Paradigm” in Research ..................................................................... 57 3.3 Rationale for Multimethodology ................................................................................... 62 3.5 Chapter Summary .......................................................................................................... 64 RESEARCH DESIGN......................................................................................................... 66 4.1 High-Level “Multimethodology” Research Design .................................................... 66 4.2 Quantitative Phase using Content Analysis .................................................................68 4.3 System Framework Development .................................................................................78 4.4 Qualitative Phase: Single Within-Case Study ..............................................................80 4.5 Final Step: Validation, Conclusion and Write-up ....................................................... 97 4.6 Chapter Summary .......................................................................................................... 99 RESULTS AND DISCUSSION........................................................................................100 5.1 Content Analysis: Detecting Key Governance Themes ............................................ 100 5.2 System Governance Analytic Framework Development