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8-14-2024
Successful Strategies of Small Business Owners of Coffee Shops
Tom Gates
Walden University
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Walden University
College of Management and Human Potential
This is to certify that the doctoral study by
Tom Gates
has been found to be complete and satisfactory in all respects,
and that any and all revisions required by
the review committee have been made.
Review Committee
Dr. Michael Campo, Committee Chairperson, Doctor of Business Administration Faculty
Dr. Kenneth Gossett, Committee Member, Doctor of Business Administration Faculty
Chief Academic Officer and Provost
Sue Subocz, Ph.D.
Walden University
2024
Abstract
Successful Strategies of Small Business Owners of Coffee Shops
by
Tom Gates
MS, Mercy University, 2010
BS, Mercy University, 1999
Doctoral Study Submitted in Partial Fulfillment
of the Requirements for the Degree of
Doctor of Business Administration
Walden University
August 2024
Abstract
Many small business owners of U.S. coffee shops lack effective strategies to sustain their
business beyond the first 5 years. Small business owners are concerned that the use of
ineffective strategies can negatively impact the coffee shop’s profitability and
competitiveness. The purpose of the qualitative multiple case study was to explore what
type of skills, business acumen, and strategies small business owners of coffee shops use
to be successful within the first 5 years of operation. The conceptual framework that
grounded this study was von Bertalanffy’s general systems theory. The participants were
five small business coffee shop owners in the eastern region of the United States who
successful sustained their business within 5 years of operation. Data were collected from
semistructured interviews using open-ended questions and review of public social media
and business websites. The data were analyzed using Yin’s process methodology.
Business sustainability strategies were explored through semistructured interviews, in
which four themes emerged: diversified business practices, community and good
customer service, quality leadership, and quality products and services. A key
recommendation is for small business owners of coffee shops to implement strategies
such as employee mentoring, offer growth opportunities, and create a referral rewards
program. The implications of this study for positive social change include the potential
for small business owners of coffee shops to experience greater success and contribute to
the local economy by creating new job opportunities.
Successful Strategies of Small Business Owners of Coffee Shops
by
Tom Gates
MS, Mercy University, 2010
BS, Mercy University, 1999
Doctoral Study Submitted in Partial Fulfillment
of the Requirements for the Degree of
Doctor of Business Administration
Walden University
August 2024
Dedication
I dedicate this doctoral study to my parents, my brothers, my sisters, my aunts,
uncles, my church family, my Pastor and First Lady for their encouragement and support.
Acknowledgments
First, I give honor to God who is the head of my life. To my Lord and Savior
Jesus Christ from whom all blessings flow. I thank God for this enormous opportunity to
pursue and successfully complete this doctoral study. I want to acknowledge my doctoral
committee who contributed to my success in pursuit of completing this study. To my
chair, Dr. Michael Campo, aka “Dr. C” who has been such an inspiration and support
system like no other. He has always provided the right quote just when I needed it most
to not give up but to continue this journey. Dr. Campo you’ve given me feedback that
resulted in the completion of this study. I will forever be grateful for your assistance and
help. I hope to be an inspiration to students just like you were to me one day. To Dr.
Kenneth Gossett who has inspired me in so many ways and made me aim higher and
reach for the stars. I enjoyed our discussions and would like to work with you in any
capacity in the future. I gratefully acknowledge the assistance, help and support of Dr.
Cara Manlandro who was indeed a Godsend. She came at a time when I needed her most.
I believe every student pursuing their doctoral degree at Walden University should have
the pleasure of meeting you. Thank you all. I also want to thank Dr. Benjamin Manyido
who saw something in me that I didn’t see in myself and suggested that I pursue my
doctorate. I’m so glad I took his advice. To Dr. Fred M. Walker, Professor Robert Errico,
Dr. Teresa Jempa and so many others who encouraged me along the way. Truly with
God, all things are possible. Thank you.
Table of Contents
Section 1: Foundation of the Study......................................................................................1
Background of the Problem ...........................................................................................1
Problem and Purpose .....................................................................................................2
Population and Sampling ...............................................................................................3
Nature of the Study ........................................................................................................4
Research Question .........................................................................................................6
Interview Questions .......................................................................................................6
Theoretical or Conceptual Framework ..........................................................................7
Operational Definitions ..................................................................................................8
Assumptions, Limitations, and Delimitations................................................................9
Assumptions............................................................................................................ 9
Limitations ............................................................................................................ 10
Delimitations ......................................................................................................... 11
Significance of the Study .............................................................................................11
Contribution to Business Practice ......................................................................... 11
Implications for Social Change ............................................................................. 12
A Review of the Professional and Academic Literature ..............................................13
General Systems Theory ....................................................................................... 15
Open Systems Theory ........................................................................................... 18
Contrasting Theory: Motivational Systems Theory.............................................. 22
Small Businesses................................................................................................... 25
i
Small Business Success or Failure........................................................................ 31
Business Planning and Strategies.......................................................................... 36
Transition .....................................................................................................................52
Section 2: The Project ........................................................................................................54
Purpose Statement ........................................................................................................54
Role of the Researcher .................................................................................................54
Participants ...................................................................................................................56
Research Method and Design ......................................................................................57
Research Method .................................................................................................. 58
Research Design.................................................................................................... 59
Population and Sampling .............................................................................................61
Ethical Research...........................................................................................................63
Data Collection Instruments ........................................................................................65
Data Collection Technique ..........................................................................................66
Data Organization Technique ......................................................................................68
Data Analysis ...............................................................................................................69
Phase 1: Familiarization........................................................................................ 70
Phase 2: Coding .................................................................................................... 70
Phase 3: Axial Categorization............................................................................... 71
Phase 4: Theme Development .............................................................................. 71
Phase 5: Theme Refinement ................................................................................. 71
Phase 6: Holistic Evaluation of Data .................................................................... 72
ii
Reliability and Validity ................................................................................................72
Reliability.............................................................................................................. 73
Validity ................................................................................................................. 74
Transition and Summary ..............................................................................................77
Section 3: Application to Professional Practice and Implications for Change ..................78
Introduction ..................................................................................................................78
Presentation of the Findings.........................................................................................78
Theme 1: Diversification of Business Practices ................................................... 79
Theme 2: Focus on Community and Great Customer Service ............................. 83
Theme 3: Good Quality Leadership Helps Sustain Small Businesses.................. 89
Theme 4: Quality Products at Affordable Prices .................................................. 92
Applications to Professional Practice ..........................................................................95
Implications for Social Change ....................................................................................96
Recommendations for Action ......................................................................................97
Local Community Involvement ............................................................................ 97
Diversify Products and Services to Support Innovation ....................................... 98
Invest in Leadership .............................................................................................. 99
Recommendations for Further Research ......................................................................99
Reflections .................................................................................................................100
Conclusion .................................................................................................................101
References ........................................................................................................................102
Appendix A: Participant Invitation ..................................................................................147
iii
Appendix B: Interview Protocol ......................................................................................148
iv
1
Section 1: Foundation of the Study
Small businesses have difficulty surviving beyond 5 years from the beginning of
the operation a business (U.S. Small Business Administration, 2024). According to the
Small Business Administration (SBA, 2021), less than one-half of new small businesses
survive beyond 5 to 10 years. Small business owners in the United States employ 58.9
million people, which accounts for 47.5% of the workforce (Lauckner, 2020). Some
small business owners may lack the knowledge and skills to sustain a business
successfully. This multiple case study focused on identifying and exploring the strategies
five small business owners of coffee shops used to mitigate their businesses closing
within the first 5 years. The results from this study may contribute to the vital role small
businesses play in the economic growth and development of many local communities.
Background of the Problem
Small businesses are essential to the growth of any economy, but in the United
States, small businesses have a failure rate of over 50% (Hawkins & Hoon, 2020). Small
businesses grow naturally, and their growth is in line with population growth (Chaniago,
2022). Many of the new businesses established could fail during the infancy stage of
operation. Small business owners of coffee shops, in particular, face unique challenges.
These challenges may include lacking proper management skills, high retail or lease
space, lack of capital to sustain a small business, or competition from more established
coffee shops. Although there is no single reason as to why some small businesses fail or
succeed, Martinez et al. (2019) identified the leading causes of business failure as the
lack of a business plan, undercapitalization, underestimating strategic planning initiatives,
2
not conducting financial analyses, lack of experience, a poor choice in location,
uncoordinated business expansion, and unprofessional websites. The growth and
development of a small business depends on strategic and proactive choices that could
impact the business holistically and in the long term. Most small businesses survive 5
years, but only 30% of small businesses are successful and survive by their 10th year in
business (U.S. Bureau of Labor Statistics [BLS], 2020).
Small businesses have fewer financial and human resources than larger
organizations; therefore, small business owners must incorporate capitalization as an
effective strategic plan. Rožman et al. (2023) suggested that small business owners
integrate strategy into their business and seek opportunities to develop long-term
relationships with their customers, vendors, suppliers, and other stakeholders. Small
business owners must make carefully coordinated financial choices to create value and
the highest potential for sustainability (Collis, 2021). This study investigated
sustainability strategies from small business owners of coffee shops in New York who
survived their first 5 years in business.
Problem and Purpose
New businesses make an important contribution to the economy. In the United
States, small businesses are an important part of the national economy because they
contribute to the employment of 47.3% of private sector employees and represent every
two out of three net new jobs (U. S. Small Business Administration, 2019).
Approximately 50% of U.S. small businesses do not survive the past 5 years (U.S.
Small Business Administration, 2024). This study addressed the general business
3
problem: when small businesses do not remain in business long-term, employees, the
community, and the economy are negatively impacted. The specific business problem
was that some small business owners of coffee shops lacked strategies to succeed beyond
the first 5 years.
The purpose of this qualitative multiple case study was to explore strategies that
small business owners of coffee shops use to succeed beyond the first 5 years. The target
population consisted of five coffee shop business owners located in New York who
remained in business longer than 5 years. This study has implications for social change
because if small businesses can maintain operations for more than 5 years, they can help
sustain and increase jobs. Small businesses can then decrease unemployment and
stimulate the local economy by increasing personal employee shopping and tax revenues
to benefit communities’ citizens.
Population and Sampling
The population for this qualitative research study included a purposive sample of
5 small business coffee shop owners in New York County. Participants were required to
be small business owners who had successfully used strategies to sustain their coffee
shop business for at least 5 years. The goal of this qualitative multiple case study was to
ask open-ended questions during the interview of 5 small business owners of coffee
shops in New York County. The data source for this study consisted of a semistructured
interview collected with participants face-to-face, by telephone, or virtually, per the
participants’ preferences. I complied with certain ethical parameters. I was transparent
4
with all participants regarding the meeting modality. The size of the sample satisfies
Walden University’s standards and ethical guidelines.
Nature of the Study
I chose the qualitative methodology for this study. In business studies, researchers
can use one of three research methods: quantitative, qualitative, and mixed
methodologies (Mulisa, 2022). When making research design decisions, the researcher
should consider heterogeneity because it reflects a degree of understanding of the subject
matter being investigated and offers useful suggestions for improving collective research
practice (Linden & Hönekopp, 2021). Qualitative data often reveal differences among
individuals or sites that are not evident in the quantitative data (Mezmir, 2020). Leedy
and Ormrod (2019) defined qualitative research as a methodology addressing a
phenomenon that is difficult or impossible to quantify mathematically or with statistical
procedures. The qualitative method was the best choice for my study because I focused
on the participants’ experience, which is difficult to quantify numerically. Researchers
use the quantitative method to examine variables, characteristics, or relationships by
testing hypotheses using objective scientific methods (Mohajan, 2020). The quantitative
method was inappropriate for this research study because I focused on numerical data to
test hypotheses. Mixed methods, which combine aspects of qualitative and quantitative
research, have a long history in social scientific research (Timans et al., 2019). The mixed
method approach was not suitable because my study did not have a quantitative element.
For these reasons, the qualitative method was most appropriate for this study.
5
I selected the multiple case study research design. Case studies, ethnography,
phenomenology, and grounded theory are examples of qualitative research designs
(Tomaszewski et al., 2020). Investigators use case study research to explore a real-life,
contemporary bounded system (a case) or multiple bound systems (cases) through
detailed, in-depth data collection involving multiple sources of information; the
researcher then reports a case description and case themes (Alpi & Evans, 2019). Case
studies allow researchers to focus in-depth on a case and to retain a holistic and realworld perspective, such as studying small group behavior, organizational and managerial
processes, and the maturation of industries (Yin, 2018). The unit of analysis in the case
study might be multiple cases (a multisite case study) or a single case (a within-site case
study). can be performed across multiple distinct cases or, for a single case, a within-site
case study (Yin, 2018). The multiple case study design is the best choice for this study
because the goal of the study is to examine strategies used by multiple small coffee shop
owners, comparing findings across cases for a broader perspective. According to Volmar
and Eisenhardt (2020), multiple case studies are more parsimonious, robust, and
generalizable than single case studies. Researchers use the multiple case study design to
apply replication across multiple cases in various contexts, increasing analytic
generalizability (Volmar & Eisenhardt, 2020). For these reasons, the multiple case study
design was most appropriate for this study.
I considered other qualitative research designs for this study. Ethnographic studies
investigate the everyday experiences of people through descriptions of their
surroundings, circumstances, and activities through observation, interviews, and detailed
6
textual documentation of experiences (Morton Ninomiya et al., 2020). A key feature of
ethnography is that researchers have direct contact with participants in their natural
setting. I did not choose ethnography for this study because I did not intend to explore a
culture. Phenomenological researchers seek to deeply understand a phenomenon’s
fundamental dimensions based on the inner essence and structure of participants’ lived
experiences (Burns & Peacock, 2019). Phenomenology research focuses on interpreting
the meaning of a phenomenon and finding meaning in human lived experiences (Urcia,
2021). I did not choose phenomenology for this study because the study’s purpose was
not to investigate the participants’ lived experiences or resulting beliefs or views about a
phenomenon. Constructivist grounded theory is an inductive form of inquiry where a
social or social-psychological process is generated or derived from the data (Thomas &
Kerstetter, 2020). Grounded theory was not an appropriate choice for my study because I
did not intend to create a theory to explain this study’s findings. Thus, I chose to perform
a multiple case study, as this design best aligned with the study's purpose.
Research Question
What strategies do some small business owners of coffee shops use to sustain
their business beyond the first 5 years?
Interview Questions
1. What strategies did you use to sustain your business beyond 5 years?
2. What key barriers, if any, did you experience when implementing your
strategies to sustain your business beyond the first 5 years?
7
3. What processes or systems have you implemented to sustain your business
beyond 5 years?
4. What leadership styles have you used to sustain your business beyond 5 years?
5. What innovation strategies have you implemented for the growth of the
business?
6. What marketing strategies have you implemented to manage your supplies to
sustain your business beyond 5 years?
7. What strategies do you use to enhance employee motivation?
8. What additional information would you like to share related to strategies used
to sustain your business beyond the first 5 years?
Theoretical or Conceptual Framework
The study’s conceptual framework is von Bertalanffy’s systems theory. Ludwig
von Bertalanffy introduced general systems theory (GST) in 1949, with wholeness as the
primary construct (von Bertalanffy, 1972). The guiding concepts of the GST were
sufficiently abstract and designed to make comparisons possible so that they could easily
transcend the boundaries of different types of systems and disciplines (Van Assche et al.,
2019). Rather than considering the properties of an entity’s individual parts, GST focuses
on how components connect to form a whole. Von Bertalanffy used systems theory to
explore relationships among multiple components, objects, and events. GST focuses on
the interaction of related parts that function as an ordered whole system (Patton &
McMahon, 2021). A system comprises interrelated parts or subsystems that collaborate to
perform a function. I used GST as a theoretical lens for this study because it can focus on
8
how individuals work interdependently within the food service system. I hoped to gain a
better understanding of the subsystems that collaborate and their relationships to the
whole system, to gain a deeper understanding of the strategies, processes, and
relationships that small coffee shop owners use to improve and sustain the operation of
their business beyond 5 years.
GST can be applied to address complex problems that hinder small businesses.
Factors like growth, financial planning, competition, and management can be approached
by viewing a business holistically as a system (Settembre-Blundo et al., 2021). System
thinking includes applying problem-solving skills to complex problems so the business
can run more efficiently (Kourayem & Ghadim, 2021). GST and systems thinking can be
applied to business management to work in tandem for the business's survival and are
appropriate for this study.
Operational Definitions
Business failure: A business failure occurs when the new small business startup
fails to stay in business within the first 5 years of inception (Fuertes-Callén et al., 2022).
Responsible management: Responsible management is described as including the
development of formal knowledge, critical thinking and soft skills, a broad and holistic
triple-bottom-line understanding of management, the development of a shared vision for
all stakeholders, and a process of continuous improvements through self- and groupreflection (Silva & Figueiredo, 2020).
9
Small business: A small business is an independently owned and operated
business with a total number of employees below 500 and an income not exceeding $21.5
million (U.S. Small Business Administration, 2021).
Small-business owner: A small business owner takes risks and employs 1-500
employees to provide goods or services (U.S. Small Business Administration, 2021).
Strategic planning: Strategic planning is a process that starts with gathering input
from key stakeholders through meetings, interviews, surveys, storyboarding exercises, or
any combination thereof and captures all relevant issues within the organization to
achieve a goal (Li et al., 2021).
Assumptions, Limitations, and Delimitations
This section accounts for the study’s assumptions, limitations, and delimitations.
Understanding a study’s assumptions and limitations provides essential context for
interpreting a study’s findings (Ross & Bibler Zaidi, 2019). Defining a study’s
delimitations allows other investigators to determine the applicability of the study’s
findings to other populations and contexts (Maxwell, 2021). I first discuss the study’s
assumptions.
Assumptions
Assumptions are facts considered correct but unverified (Levitt, 2021). This study
has several assumptions. The first assumption is that the strategies discussed by the
participants were related to their abilities to remain in business for at least 5 years. A
second assumption is that the participants responded truthfully to the interview questions.
This assumption is reasonable because participation in the study was voluntary, and the
10
participants had nothing to gain by being untruthful. A third assumption is that the coffee
shop managers implemented the sustainability strategies developed by the participating
owners. This assumption is reasonable because many small business owners have large
roles in the daily operations of their small businesses (Belitski et al., 2022).
Limitations
Limitations are factors or challenges beyond the control of the researcher.
Limitations are shortcomings, conditions, or influences restricting a research study (Ross
& Bibler Zaidi, 2019). Limitations of any study are potential weaknesses that are usually
out of the researcher’s control and are closely associated with the chosen research design,
statistical model constraints, funding constraints, or other factors (Ross & Bibler Zaidi,
2019). The first limitation of the study was that the study’s findings may not reflect small
coffee shops in other geographical locations. New York City has a distinct culture that is
not replicated in other parts of the country (Waters, 2022). Focusing on New York may
limit the transferability of findings due to the difference in sample size, state regulations,
local culture, and socioeconomic circumstances. A second limitation was the availability
of eligible participants. Most coffee shop owners I attempted to recruit had not been in
business for 5 years or were too busy to complete an interview. A third limitation is recall
bias. Recall bias occurs when research participants misremember events or circumstances
(Ottenstein & Lischetzke, 2020). The participants’ accounts may have included
inaccuracies as the participants tried to recall events over the last 5 years.
11
Delimitations
Delimitations are the limitations that researchers place on their research study
(Coker, 2022). Research delimitations are essential so that the study’s objectives do not
become impossible to achieve (Coker, 2022). I delimited the study to small coffee shop
owners with at least 5 years of business operations. The study was delimited to small
coffee shops in New York County, where competition with larger chain coffee shops is
high. A third delimitation was the business size. I did not include medium and large
businesses in this study.
Significance of the Study
A lack of creative strategies may contribute to a financial crisis or business failure
(Martinez et al., 2019). Therefore, small business owners must seek strategies for
sustainability. This study’s findings are significant to small coffee shop owners who seek
to grow their businesses by increasing and sustaining profits. By implementing the
strategies outlined in this study, small coffee shop owners could help avoid the high
failure rate of small businesses that contribute to their local economies and benefit their
local communities.
Contribution to Business Practice
The U.S. Small Business Administration (2021) noted that small-business owners
comprise 99.9% of all businesses in the United States, employ 48% of the private sector
employees, and provide 41.2% of the total U.S. private sector payroll. This study
highlights critical business practices by offering small coffee shop owners information
and insights to sustain their businesses. Nearly half of new businesses started by small
12
business entrepreneurs will not survive their first 5 years of operation (U.S. Small
Business Administration, 2021). Small businesses operate without having the financial
resources or the stability of a large company (Belitski et al., 2022). Therefore, small
business owners must create innovative ways to maximize profitability to sustain the
organization’s lifespan. Small business owners must rely on long-term strategies instead
of gimmicks or schemes with fleeting outcomes. Using the study’s findings and
recommendations, small coffee shop owners could take proactive measures to address the
challenges of sustaining a coffee shop for at least 5 years by improving business
practices.
Implications for Social Change
The study’s findings may affect positive social change by providing small
business owners with increased knowledge and business acumen. Small businesses are a
key source of employment for local communities (Belitski et al., 2022). When a business
fails, jobs are lost, and the local, state, and federal economies suffer (Groshen, 2020). If
the failure rate for small businesses continues to rise, it could threaten the economy,
reduce the output of new products and services, and diminish new job prospects or
employment opportunities (Mucciaroni, 2023). Therefore, this study is critical to
identifying and sharing insights learned from small coffee shop owners who successfully
sustained their businesses. The study’s population is prime for addressing this business
problem, as the coffee shop industry is highly competitive and driven by large chains
(Areiza-Padilla et al., 2020). Therefore, this study’s findings can positively benefit local
economies by increasing job opportunities and building stronger communities.
13
A Review of the Professional and Academic Literature
The purpose of this qualitative multiple case study was to explore strategies some
small business coffee shop owners in New York County employ to successfully sustain
their business within the first 5 years and beyond. In the business context, the term
sustainability refers to the environmental, social, and economic impacts of organizational
decision-making that contribute to the business’s promotion, growth, and economic
objectives (Benkert, 2021). Sustainability is having the ability to successfully maintain,
grow, and survive (Vidmar et al., 2021). Bartik et al. (2020) reported that 50% of new
businesses fail within 5 years and that 90% of newly established businesses close.
Problems such as inefficient cash flow management, lack of employee motivation and
teamwork, and being in the wrong market have all been cited as causes of small business
closures (Kibler et al., 2021). Small businesses contribute more to the economy regarding
job creation than their larger counterparts. In 2016, small businesses created 47.4% of
jobs in the United States (Bonsu & Kuofie, 2019). In 2017, an estimated 7,795 retail
stores in the United States closed (Fisher et al., 2019). The U.S. Bureau of Labor
Statistics (2024) indicated that 51% of small businesses fail to succeed longer than 5
years, representing a significant business problem that must be addressed.
In this academic literature review, I aimed to explore literature relevant to
strategies used by small business owners who have successfully sustained their
businesses 5 years beyond their initial opening. In researching my topic, I sought to gain
depth and understanding while identifying a need for the study. To meet Walden
University’s DBA degree’s literature review requirement, I ensured the study included at
14
least 60 different peer-reviewed sources to support a critical analysis of the GST
concepts, equating to at least 85% of the total sources referenced. I ensured that 85% of
the sources had a publication date of 5 years or less from my anticipated graduation date
of August 2024.
I conducted a review of the literature by examining articles and information
related to the topic of small business successes and failures. The literature and articles I
found included numerous sources, such as peer-reviewed journal articles, books, seminal
sources, government reports, and other scholarly sources. I collected full-text peerreviewed journal articles from the Walden University Online Library database. I used a
search strategy encompassing EBSCO, Google Scholar, government websites, the
Internet, Pro-Quest, and SAGE Premier.
There were 197 total references used in the Literature Review section of this
study, of which 185 of the references (96%) were published between 2019 and 2024.
There was a total of 178 peer-reviewed articles representing 96% of the references, and
172 of those peer-reviewed articles (87%) were published between 2019 and 2024. 12.2
percent of the sources were dated prior to 2019, including six (3.37%) peer-reviewed
articles, 17 (8.63%) books, and two (1.02%) web articles. The keywords and phrases I
used to retrieve literature included small business success, small business failure, small
business owners, small business strategies, family-owned, small business survival, small
business sustainability, business failure, business growth, business strategy, business
success, general system theory, leadership, strategic planning, systems theory,
15
democratic, leadership style, Small Business Administration, and Small Business
Resources.
General Systems Theory
GST was chosen as the study’s theoretical foundation. von Bertalanffy (1972)
initially applied GST to the biological sciences. In von Bertalanffy’s view, studying
complex phenomena in disciplines like physics, biology, psychology, and the social
sciences should be approached from a systemic perspective. Systems thinking allows for
multi-level correlations rather than simple dissolution to basic elements (Tramonti et al.,
2019). A system refers to a large class of entities in which the constituting elements are
interconnected in such a way as to be eventually organized in processes of interactions or
relationships (von Bertalanffy, 1972). von Bertalanffy (1968) used GST to explore
relationships between multiple components, objects, or events.
GST is a development in engineering science but has evolved into a broader view
that transitions between physics, philosophy, biology, and other sciences. von Bertalanffy
(1968) explained that a system represents a situation or an assembly of elements joined
onto one another in an organized whole. According to Xie et al. (2023), a system is a
composition of interrelated components that work together to transform inputs into
outputs to achieve collective goals. A system is a collection of parts working together to
achieve something greater than the sum of its parts.
GST, also called systems theory, includes the natural complexity between the
coming together of the whole and parts. Systems comprise smaller subsystems and can
also be part of a supra‐system (Xie et al., 2023). Researchers using systems theory also
16
seek to examine how the overlapping parts of a system function as a whole unit (von
Bertalanffy, 1968). The emphasis on a system as an organized whole incorporates the
concept of holism (Johnson, 2019). Several core factors are affiliated with systems
theory, including the whole system, the associations, the primary purpose,
interdependency, and the standard (Patton & McMahon, 2021). Systems theory focuses
on the whole business, including people and technology.
Von Bertalanffy was revered as one of the forefathers of scientific thinking, and
his contributions have significantly impacted business and research. Uniquely and
originally, Von Bertalanffy revolutionized the scientific mainstream by synthesizing
some of the most innovative ideas of his time (Cadenas, 2019). Von Bertalanffy
introduced systems theory to explain cybernetics, but GST recently evolved to include a
variety of disciplines, such as business (Iandolo et al., 2021). GST can be applied to
business systems.
Small business leaders need support and resources to contribute to the economy
meaningfully. GST became a unifying framework for systems that applies equally to
organisms and organizations (Johnson, 2019). GST does not provide a set of strategies
for implementing organizational change. Instead, it provides a manual that explains how
social and organizational systems work (Leonard et al., 2023). The complexity of the
relationship between an organization’s internal and environmental factors may cause
constraints or liberation to a system. Internal factors impact a business’s success and
determine the direction or approach to take to maintain stability (Aldianto et al., 2021).
Leaders use GST and systems thinking as guides to identify problems within their
17
business operations (Iandolo et al., 2021). The organization or group or total system level
is the most extensive system present, and human beings are only one aspect of an
organization playing a significant role.
Systems theory will be a foundational aspect of this study. Organisms and living
systems, like businesses, are open systems that continuously exchange and interact with
their environments (von Bertalanffy, 1968). In addition, small business leaders are
beginning to recognize that they must be open to change because change is necessary,
constant, and unavoidable, and small business leaders expressed their knowledge of the
demands of change (Smith, 2020). In this type of social dynamic, relationships are not to
be viewed as naturalistic or cultural but essentially praxeological, the human capacity to
engage in purposeful and intentional behaviors (Tramonti et al., 2019). Systems theory
emboldens organizational leaders to view their business as a system and acknowledge
that laws and behaviors that affect biological organizations also govern the physical
business.
GST is applicable to business. Researchers have used GST to identify problems
and determine a plan of action to address the problem (Laszlo, 2021). GST is based on
seven critical principles of how a system functions. These principles were created to
understand how humans interact and work together to perform a function within their
environment. The principles are: (a) Systems are interrelated parts of an ordered whole,
(b) each part affects the other parts and the whole, (c) the whole is greater than the sum of
its parts, (d) systems are defined by their boundaries, (e) systems receive input and
feedback from their environment, (f) systems seek to attain goals, and (g) systems tend
18
toward equilibrium (Kossiakoff et al., 2020). These principles define and characterize a
system.
Small business owners tend to identify the connection between profit-making and
the level of detail needed for long-term success. The foundational role of GST is that it
provides the connection of new systems movement with the connection and the belief
that there is a unifying framework for systems that is equally applicable to organisms and
organizations (Johnson, 2019). Systems are dynamic and complex, where structures still
emerge and have permanence while maintaining relationships (Johnson, 2019). GST has
evolved to explain various change-related processes across many systems (Klein et al.,
2022). GST could be particularly appealing to small business leaders because of the many
different parts that affect the entire business. Financial acumen, innovation, and
marketing are all critical components for the sustainability of the small business. GST can
help small business owners look at data granularly to explain how general interactions
and applications can have tremendous outcomes between systems.
Open Systems Theory
GST involves studying two or more systems working together to explain a single
system as a whole. Another form of systems theory is open systems theory. These two
broad interpretations of a systems approach in performance management, referred to as
open-system orchestration or paraphrased as open, differ markedly from those of closedsystem orchestration or closed systems (Patton & McMahon, 2021). Systems can be open
or closed. Open systems significantly impact organizations and local communities
(Kossiakoff et al., 2020). A system is considered open or closed depending on how easily
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information flows. A complex system can only be observed by exploring multiple
perspectives, not just by someone managing the organization (Jung, 2021). Ludwig von
Bertalanffy initially developed open systems theory and sought to explain organized
complexity without reducing it to the level of elementary physical units (Zhang &
Ahmed, 2020). Like GST, open system theory is also applicable to business operations.
A central tenet of an open systems perspective is how an organization creates
value. Open systems operate in an environment that competes within the value chain
(Min et al., 2019). In certain industries, open systems can provide clues to organizational
leaders to help them understand why systems have differential characteristics (Johnson,
2019). This information will help the leadership and small business owners focus on
systems that can hinder innovation.
The notion that our world is becoming faster, more complex, and more
interconnected is a long-discussed phenomenon. Business leaders adopt in fast-changing
competitive markets that are more present in a modern economy (Oubrich et al., 2021).
Organization leaders should consider the path the organization will take to evolve with
the environment. Jung and Vakharia (2019) maintained that one-way organizations relate
better to their environment through adopting integrated reporting, a term common in
systems thinking. Open systems theory can be applied to businesses.
Leaders considering open systems theory consider chronology. Time is central to
organizational strategy, sales performance, and firm survival (Quansah & Hartz, 2021).
Time becomes a crucial thread in the fabric of customer retention goals, including
moving a customer from a traditionally transactional context to relationship management
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and then to a solutions-based perspective (Hughes & Ogilvie, 2020). The organization’s
view is best understood from the approach of breaking things into small parts from the
interconnected whole. Ultimately, this allows systems theory to provide an overarching
lens through which researchers may identify and consider the implications of
environmental factors on sales dynamics within varying contexts of study (Rapp et al.,
2020). This example underscores the challenge of viewing even one construct
holistically, which raises another issue.
Open systems theory is an important theoretical lens for business. Open systems
allow people to interact with each other and their environments and use knowledge
gained to bring about purposeful change (Sony & Naik, 2020). Examples of open systems
include open source, open access, open data, open notebooks, open government, open
educational resources, and open access workflows. Being open means favoring
transparent and collaborative efforts (Brun et al., 2020). In this theory, an open system
demonstrates the key role of consistency; if a business fails to sustain sufficient funding
to maintain its operations, then business closure might be inevitable (Didier et al., 2021).
Small business leaders should consider the interconnectedness of parts within an open
system to enhance sustainability.
In open systems, information is exchanged with the environment, whereas in
closed systems, there is no such exchange. The key premise of GST is how the parts of
the system work together in an environment to perform as an organized whole. Open
system theory considers the relationships between the organizations, people, and the
environment in which they work. Organizations in open systems must process
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environmental information and show adaptive skills in changing environments (Benbya
et al., 2020). Open systems develop through differentiation and elaboration (Leonard et
al., 2023). Open systems have more to offer in a business environment than the arts and
cultural world, which is limiting (Jung & Vakharia, 2019). Open systems influence
norms, create value, and help reinforce positive behaviors. Open systems facilitate the
exchange of knowledge to bring about change.
Application of GST To Small Coffee Shop Businesses
GST is an applicable framework for understanding the sustainability of small
businesses. Small businesses often rely on vendors to purchase materials to make
products and perform services (Sodhi & Tang, 2021). Small businesses comprise a larger
system consisting of supply chain vendors, transportation companies, and customers
(Wach, 2020). Sustainability strategies may need to incorporate aspects of collaboration
with other companies (Sodhi & Tang, 2021). A small coffee shop leader must purchase
coffee, milk, and other goods for optimal daily operation. Understanding interactions
with other companies involves systems thinking.
The seven tenets of systems theory can be applied to small coffee shop
businesses. The first principle is that systems are interrelated parts of an ordered whole
(von Bertalanffy, 1968). A coffee shop is a part of an ordered supply chain involving
vendors and customers. The second principle is that each part affects the other parts and
the whole (von Bertalanffy, 1968). If prices of goods and materials rise or fall, the coffee
shop’s profitability will be affected. In addition, coffee shop leaders may have to alter
prices if demand decreases from customers. The third principle is that the whole is
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greater than the sum of its parts (von Bertalanffy, 1968). A coffee shop is not sustainable
without customers or vendors. The fourth principle is that systems are defined by their
boundaries (von Bertalanffy, 1968). The system’s boundary containing a coffee shop may
be nebulous as a small business in the hospitality industry is likely an open system
(Valeri, 2023). The fifth principle is that systems receive input and feedback from their
environment (von Bertalanffy, 1968). Coffee shop leaders must take into account
customer perceptions to be successful. The sixth principle is that systems seek to attain
goals (von Bertalanffy, 1968). Sustainability is the main goal of a system involving a
coffee shop. GST is an important framework for understanding small coffee shop
owners’ strategies to sustain their businesses.
Contrasting Theory: Motivational Systems Theory
Another theory that could be applied to the problem of coffee shop sustainability
is the motivational systems theory (MST). Motivation is a meaningful intent to achieve
specific goals (Bushi, 2021). Systems theory focuses on the larger wholes, not just
individual parts of the system. Ford’s (1992) theory of motivational systems has received
increased attention in career counseling and has played an important role in the
motivation of career development. The motivational system is a theory of motivation
anchored in the integrative living system framework (Urhahne & Wijnia, 2023). MST is
another form of systems theory that identifies the significant elements of motivation
while focusing on personal relationships that can influence individuals’ behavior. The
first element of motivation is the goals or future state that a person would like to achieve
or avoid (Ford, 1992). The second element of motivation is personal agency beliefs or the
23
individual’s personal and contextual beliefs regarding his or her capabilities and
opportunities to achieve the goal at hand (Ford, 1992). The last function is emotions or
the immediate evaluation of the goal’s desirability and energy activator to act towards its
achievement (Urhahne & Wijnia, 2023). These elements of motivation define an
individual's behavior.
Unlike GST, MST is solely rooted in human behavior. MST is derived from the
living systems framework, a theory of human functioning and development that addresses
all aspects of humans as living systems (Urhahne & Wijnia, 2023). Motivation is defined
as the organized pattern of three psychological functions. These functions are futureoriented and non-instrumental characteristics of the person, which include goals, personal
agency beliefs, and emotions (Urhahne & Wijnia, 2023). According to Ford (1992), these
terms indicate a person’s progress toward their goal, how people get motivated or
demotivated, and how people decide to try something, persist with their decision, or give
up. MST illustrates systems theory is applicable to human behavior and its overarching
reach in human development.
GST and MST have similarities and differences that can be described as general
or specific. For Von Bertalanffy, GST was a science of wholeness, a new philosophy of
nature based on a recognition of the organized nature of the world (Hammond, 2019).
GST’s narrowest definition is a complex of interacting components with the
characteristics of an organized whole (Johnson, 2019). Organisms and organizations alike
consist of structures, processes, behaviors, and beliefs. Sony and Naik (2020) found that
organizations are open systems of interrelated parts. These parts are connected by a
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common logic stemming from the kinds of activities in which an organization engages.
Sony and Naik illustrated how people also follow a set of rules and procedures, with
behaviors and beliefs, like the operations of organizations. According to open systems
theory, leaders create healthy, innovative, and resilient organizations to stabilize the
transformation process and to enable an organization to fulfill its objectives (Holbeche,
2023). MST suggests goals can be pursued and reached by offering a reward or incentive
to help achieve the goal. Stated differently, being motivated to achieve a goal requires
individuals to have an important and clear goal in mind (Urhahne & Wijnia, 2023). These
ideas highlight similarities between GST and MST.
A motivational system is responsible for organizing behavior. The impetus to
motivate humans in their desired goals and beliefs drives organizational cultures (Putra et
al., 2020). Organizational culture with closed systems behaves in a way that emphasizes
many controlling policies and processes (Dyck et al., 2019). By stark contrast, the central
tenet of an open systems perspective is how an organization creates value. How an
industry operates explains why open systems possess certain characteristics (Leng et al.,
2022). Organizations with a closed system are static, and individuals experience limited
connections inside or outside the organization (Dyck et al., 2019). An additional tenet of
an open systems perspective is that the boundaries of organizations are permeable, and,
as such, elements of an organization’s environment may also play a role in shaping and
altering organizational affective tone (Leng et al., 2022). Leaders should understand how
connections and relationships impact the system as a whole. Leadership styles and
behaviors differ when an organization’s system is perceived as open or closed.
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Small Businesses
In the United States, small businesses are an important part of American life and
have become a catalyst of the world’s economy. In the 17th and 18th centuries, the public
extolled the pioneer who overcame incredible hardships to carve a home and a way of life
out of the American wilderness (Moffatt, 2020). The first small business started in rural
areas where, during this time, families would grow crops, make clothing, raise livestock,
and even make soap to turn into a profit. Thus, the small business community was born.
In the 19th century, small business enterprises rapidly spread across the vast expanse of
the American frontier, where early pioneers embodied many of the ideals of the economic
individualists of today (Moffatt, 2020). In the 20th century, small businesses brought an
enormous leap in economic activity, mostly due to the rise of technology, and grew from
self-employed individuals to large corporations.
In the 21st century, small businesses ranged from being run by one sole individual
to some of the world’s largest corporations. Since 1982, almost half of the business
growth in the United States has been from small businesses (U.S. Small Business
Administration, 2020). According to the U.S. Small Business Administration (2020a),
small businesses comprise 99.9% of U.S. employer firms, 99.7% of firms with paid
employees, 48.0% of private sector employees, and 41.2% of its payroll. Business leaders
and entrepreneurs should know how small business leaders create jobs that impact the
economy and bolster local revenue by paying taxes. The taxes paid in the local
community offer benefits through road improvements, modern schools, lowered crime
rates, and youth programs (Bartik, 2020). New small businesses play a crucial role in
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increasing the competition of emerging sectors, which are critical for economic growth
and innovation.
The United States economy is heavily dependent on the success of its 30.2 million
small businesses (Giese & Haldane, 2020). Small businesses serve customers in different
areas such as agriculture, communications, computer systems, food services, real estate,
retail, manufacturing, service, technology, transportation, warehouse, or wholesale
(Bartik et al., 2020). Owners of these companies are small business owners. Since the
1980s, small business owners and entrepreneurs have received greater recognition as
economic growth drivers (Bartik, 2020). However, small businesses are gripped with
many different challenges, particularly within the first 5 years of operation. In highly
competitive environments, many small business owners have demonstrated the ability to
generate new ideas that offer innovative solutions to novel problems (Yao et al., 2020),
thus providing a significant advantage for the survival and success of the business.
Small businesses are influential in driving the economy and have played a
significant role in expanding the growth and development of local economies. According
to Orzechowski (2020), innovating businesses are critical to employment because they
provide new employment. Honjo et al. (2022) surveyed empirical small business
employment studies and concluded that start-up businesses are a major source of new
employment creation in the economy. Small businesses have played a vital role in
economic development, growth, poverty reduction, and employment creation (Gherghina
et al., 2020). Small businesses help to grow the economy by providing job growth and
employment opportunities. Small businesses have become the driving force of the U.S.
27
economy, with significant contributions to job creation and economic development
(Aharoni, 2024). As small business owners develop ideas and build a customer base, they
create jobs and drive innovation critical to the economy (Hawkins & Hoon, 2020).
Small businesses experience challenges that are insignificant to larger
corporations. Fong et al. (2020) stated that despite struggling with time management,
finances, competition, rent, and staffing, small business owners must learn to overcome
these challenges to strengthen their businesses. Managing a small business requires skill
and flexibility (Fachrunnisa et al., 2020). Many small business owners fail to have a
reasonable business strategy for sustainability. Small business owners could implement
strategies that solve complex business problems to achieve sustainability (Abdelkafi &
Taeuscher, 2020). My study elucidated some strategies used by small business owners to
promote sustainability.
In the United States, small businesses create jobs that help to stimulate the
economy and provide stability. The U.S. Small Business Administration (SBA) Office of
Advocacy defines a small business as one with less than 500 employees (U.S. Small
Business Administration, 2019). Small business owners should acquire knowledge of
systems by exploring inputs, procedures, and processes contributing to business success
(Abdelkafi & Taeuscher, 2020). Small business owners should implement strategies that
solve complex business problems to achieve sustainability (Abdelkafi & Taeuscher,
2020). Some small businesses fail because of an ineffective process within the
organization; hence, owners could use systems theory as a guide to formalize all elements
internally and externally (Baugh, 2022). Successful small business owners use systems
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theory to understand small business strategies and improve processes. Technology,
communication improvements, and globalization create new opportunities but are also
threats to small businesses (Naradda Gamage et al., 2020). Small business owners should
be aware of both opportunities and threats to business operations.
Small business owners’ strategies could impact the failure or success of the firm.
Schoneveld (2020) described a sustainable business as an entity that creates profit and
typically benefits from the needs of others in services or products. Creating an effective
strategy, such as systems theory, could be applied to address complex problems to give
small business owners an advantage over the competition (Simons, 2019). Systems
theory could be applied to address complex problems that hinder small businesses, such
as growth, financial planning, competition, and management, and system thinking is the
ability to apply problem-solving skills to complex problems so that the business can run
more efficiently. Systems thinking is necessary to solve ecological problems and
challenges, which require considering and understanding many elements and their direct
and indirect effects (Mambrey et al., 2022). Systems theory and systems thinking can be
applied to business management to work in tandem for the survival of the whole system.
Family-Owned Small Businesses
A significant number of small businesses are family-owned. The Counselors to
America’s Small Business (SCORE) found that of the 28.8 million small businesses in
the United States, 19% are family-owned businesses (U.S. Small Business
Administration, 2019). Family-owned businesses are a cornerstone of the world’s
economy (Zhang et al., 2023). Family-owned businesses are entities where one or more
29
family members own and operate the family business (Qiu & Freel, 2020). One or more
of the following is true: more than one family member works in the business, the owner
anticipates passing the business along to the next generation of family members, or the
owner identifies the firm as a family business (Zhang et al., 2023). Owners of familyowned businesses who fail to separate relationship issues from business issues could
become a factor in the business failure.
Family-owned small businesses have survived because of their resilience. Some
of the most successful businesses are family-owned and began as small businesses,
including Fiat, Wal-Mart, Volkswagen, Ford, BMW, ArcelorMittal, and Anheuser-Busch
InBev. These businesses represent a few family businesses with individual annual
revenues of more than $29 billion U.S. dollars (Qiu & Freel, 2020). Much of the success
of family-owned businesses comes from the higher level of commitment and unbreakable
loyalty, which takes priority in the business interest (Sharma & Sharma, 2021). The next
generation must be ready for the challenge if the business is to remain with the family.
According to the Counselors to America’s Small Business (SCORE), only 30% of
family-owned businesses survive from the first to the second generation, and only 12%
from the second to the third generation (U.S. Small Business Administration, 2020).
Families who decided to start a business made the decision based on their current
situation, such as (a) the need for more income, (b) a chance to work with family
members, and (c) new work options (Czakon et al., 2023). The small business then
sustains the family.
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Family-owned small businesses also have common problems that include
arguments over daily operations or a difference in opinion regarding the company’s
direction. Small businesses provide economic growth for local communities but are
susceptible to failure. Family-owned small business owners typically incorporate
personal values into their business strategies (Gamble et al., 2021). If managed
effectively, the values can help to cultivate close relationships between non-family
members within the company. However, if not properly managed, values incongruent
with non-family members could harm the business’s survival. According to Ginesti and
Ossorio (2021), if there is a high level of family involvement, the positive relationship
reverses and becomes negative. In most family-owned, closely held businesses, many
owners and their children (who often stand to inherit their parents’ ownership interests)
may not appreciate the role others play in the business (Zhang et al., 2023). Familyowned small businesses experience unique challenges compared to other small
businesses.
Whether family-owned and operated or run by a small group of owners, these
businesses help sustain local communities. Family-owned small businesses
simultaneously provide income and generational wealth to the individuals and families
who own them (Schiller & Price, 2021). Most family business owners are also managers
and must communicate effectively (Obermayer et al., 2022). Communication in family
organizations involves family and nonfamily members. Therefore, exploring a
communication strategy in family-owned businesses promotes a culture of sharing and
trust.
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Many reasons might prevent a small business from thriving, including operational
performance, unexpected growth, and financial challenges. Business failure is a grim
reality that small business owners face when starting a new business. The reasons for the
failure vary, but one factor might be poor management (Dvorsky et al., 2021). Examples
of poor management include lack of planning, lack of data-based decisions, lack of
capital, and lack of experience. Such missteps stem from some owners’ beliefs that the
small business could quickly generate enough revenue to sustain operations (Agustia et
al., 2020). Poor planning or lack of planning is an essential consideration that many small
business owners and entrepreneurs fail to research (Dvorsky et al., 2021). Simply
applying a business plan can help define the business, prospects, competitors, and how
much capital is needed to start your business. The reasons for business failure may be
internal or external, but ultimately, failure is whether a business or firm involuntarily
closes its doors or no longer exists.
Small Business Success or Failure
Small businesses are essential to the U.S. economy and bring innovation to local
communities. Small businesses remain an important driver of the U.S. economy,
comprising over 28 million businesses and contributing 48% of U.S. sales (U.S. Small
Business Administration, 2020a). The U.S. Small Business Administration (2020b)
revealed that 79% of small business owners close their businesses within the first 5 years.
Small business failure is derived from a lack of a clear understanding of the marketplace,
poor cash flow, or limited marketing activity (Mayr et al., 2021). Small business owners
are vital to economic development, growth, poverty reduction, and employment creation
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(Gherghina et al., 2020). Budiyati and Febriansyah (2021) stated that small business
owners or managers need to promote employee training practices to increase business
skills and knowledge and encourage business innovation practices to prevent businesses
from failure. Unlike large businesses, small business failure rates have been consistent
from when government administrators first tracked it to the present (U.S. Small Business
Administration, 2024). Business success depends on gaining and retaining customers
(Podlesni, 2017). Nguyen and Canh (2021) recommended that small business owners
experiencing financial constraints should explore additional financing options. Multiple
strategies can be used to sustain a small business.
Leadership
Leadership is essential for the sustainability of a business beyond 5 years. Small
business owners must understand how and why different leadership styles are integral to
building a team and how teams are essential to positive outcomes. Small business owners
with strong leadership skills can implement effective strategies (Liguori & Pittz, 2020).
Communication is a leadership strategy applied by successful small business owners that
is critical to the success of the small business (Naradda Gamage et al., 2020). Although
not all communicative acts qualify as leadership, it is difficult to separate effective
leadership from communication (Banwart, 2020). The ability to communicate
information accurately and as intended is vital and should not be ignored (Naradda
Gamage et al., 2020). Effective communication prevents misunderstandings between the
parties involved (Aririguzoh, 2022). Similarly, whether in the context of interpersonal
skills and negotiation, communicating ethically, empathetic leadership, building trust and
33
confidence, or even hosting effective meetings (Banwart, 2020), effective listening as a
communicative act is considered central to effective leadership. Perhaps not surprisingly,
listening has been consistently linked to communication competence and supportive
communication and is often reported to be one of the most frequent communication
activities people engage in daily (Januski et al., 2019). Communication is a key
leadership skill for small business success.
Small business owners have many goals and need effective leadership to achieve
success. Small business owners require leadership skills for optimal job performance
(Newman & Ford, 2021). Good verbal and written communication skills are essential, yet
a more critical factor is knowing when to apply those skills. Leaders can influence the
behavior of their employees; the leader’s leadership style may also play a vital role in
business success (Howard et al., 2019). Leadership styles significantly influence
organizational performance (Rahmat et al., 2019). The right leadership style can provide
the small business owner with a framework for success. For instance, transformational
leadership can motivate team members to improve performance and meet organizational
goals.
Transformational Leadership. Transformational leadership can be an asset to
small business owners. Small business owners who are transformational leaders motivate
followers by raising the consciousness of their followers and inspiring them to pursue an
energizing and unifying higher cause (Tuan & Rajagopal, 2019). Burns (1978),
considered the father of modern leadership study, identified attributes associated with
leaders who transform society. The emergence of transformational leadership theory
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began with the classical work of Burns when he suggested that leaders are responsible for
business performance and employee motivation. Burns proposed that leaders could be
classified as either transformational or transactional, and he considered the two styles
distinct. Transformational leadership gives leaders a process to initiate, develop, and
implement changes within a business or organization (Burns, 1978). Transformational
leadership can promote small business sustainability.
Transformational leadership may aid small business owners. Small business
owners should display transformational leadership skills and consistently strive to
improve communication, employee motivation, and business performance to develop
innovative and competitive products and services (Knezović & Drkić, 2021). According
to Boukamcha (2019), transformational leadership produces significantly more positive
outcomes than other leadership styles. Effective leaders must also possess excellent
people skills to connect with employees. According to O’Reilly and Chatman (2020),
transformational leaders create meaning that enables followers to identify with these
leaders and internalize their vision. Schiuma et al. (2022) defined transformational
leadership as the process leaders use to transform people. Transformational leaders focus
on changing and developing each employee’s talent. Business leaders must continually
innovate in the current global market (Tuan & Rajagopal, 2019). Transformational
leadership can aid in this goal.
Adaptive Leadership. Adaptive leadership is another leadership style that may
aid small business owners. Adaptive leaders display emotional intelligence and can
leverage each team member's differences (Ali et al., 2020). Progress could be made when
35
small business owners exercise their leadership abilities and implement strategies that
mobilize employees to produce results. Pianesi (2019) maintained adaptive leaders
engage people with business changes. Adaptive leaders take a holistic approach during
the improvement process. An adaptive leader continually searches for impediments that
may be hindering the growth of their teaching teams and endeavors to solve these (Dunn,
2020). Creating adaptive teams could help small business owners know when to pivot
and adapt to change. Leaders who can adapt can deal with complexity, unpredictability,
and change (Dunn, 2020). Adaptive leadership may be a strategy for small business
sustainability.
Leadership would be a safe undertaking if organizations and communities knew
the answers to their problems. Leaders provide a safe environment where all stakeholders
may fully contribute to the adaptive change process (Wylie, 2020). Stakeholders provide
a place to influence and encourage the community to face its problems and generate
potential solutions (Wylie, 2020). Leaders must be proactive and willing to adapt to the
problematic times destined to occur as the business continues to grow. Key individuals at
the managerial levels appear to be more effective in developing and implementing less
radical organizational innovation (Naveed et al., 2022). Some small business owners are
not adept in all facets of how to run a business. Therefore, recognizing the role of
innovations and technologies is another vital skill to acquire.
Democratic Leadership. Democratic, or participatory, leadership is another
common leadership style. The democratic leadership style involves influencing followers
to collaboratively achieve goals through activities jointly determined between leaders and
36
subordinates (Safrida et al., 2023). A democratic leader encourages employees and teams
to actively participate in the decision-making process (Woods, 2021). Democratic leaders
ask their employees to share their responsibilities to collectively achieve a positive
outcome. Democratic leadership fosters mutual respect between leader and follower and
empowers employees to take initiative (Woods, 2021). Democratic leaders involve
employees in important decision-making processes. According to Woods (2021), this
type of leadership style is typically most effective among political leaders who work to
enable diverse identities and interests, and their synergies as well as consequent tensions,
to be expressed, understood, and addressed practically. Joshi (2019) found that
democratic leadership is prevalent in the healthcare industry and nearly absent in the
hospitality industry. Based on these findings, I would not expect to find democratic
leadership practices by the small business owners interviewed in this study.
Business Planning and Strategies
Strategic planning is a structured method that can be effective in making
improvements within small businesses. Small business owners should improve operations
and cash flow (Baker & Judge, 2020). Large businesses use forecasting to plan future
events (Taymouri et al., 2020). Predicting or forecasting is often ineffective at sustaining
a small business because many small business owners lack this important skill (Taymouri
et al., 2020). Some small business owners lack a strategic plan to sustain growth or an
effective decision-making process (Aharoni, 2024). Some small business owners have
insightful ideas for marketing new products but lack the appreciation or application of
37
management skills, such as planning and financing (Tuffour et al., 2022). Business
planning or business strategies are critical to the success of a small business.
Many small business owners face challenges, which include the risk of losing
capital, lack of employees and resources, limited access to market research and
government support, and unemployment (Sharma & Sharma, 2020). A business plan is
used to start a business and secure funding initially, whereas a business strategy is
implemented to drive the direction of the business. Business planning is largely
instrumental in organizational implementation and decision-making (Barraket et al.,
2022). Small business owners can benefit from strategic planning that coordinates the
different implementation techniques formalized through business planning activities
(Barraket et al., 2022). Business owners who use effective strategies increase the chances
of a business succeeding and reaching its goal. Planning is a useful tool that conveys a
successful business owner’s mission, goal, and desired outcomes.
Strategic planning is important for small business owners. The role of strategic
planning includes identifying company actions based on plans developed during the
planning cycle to achieve competitive advantage (Haarhaus & Liening, 2020). Strategic
planning should identify emergent initiatives and discuss their strategic advantage in
advancing outcomes (Mathew et al., 2020). Strategic planning is not an event that occurs
only once. Instead, it is a continuous process that requires an array of planning, which
helps accommodate small business owners' direction, risk, and motivation (Iannucci &
Hutchinson, 2020). According to Iannucci and Hutchinson (2020), the strategic planning
process consists of five phases: setting the strategic direction, performing a strategic gap
38
analysis, documenting the strategic plan, executing the strategic plan, and monitoring the
strategic plan. Small business owners should implement these five phases.
Small business owners should make planning an essential area of their business.
The areas may include market design, growth revenue, process improvement, people
development, investments, product development, human resource management, and
stakeholder relations, among others (Iannucci & Hutchinson, 2020). Strategic planning
should identify emergent initiatives and demonstrate what strategic advantage would
manifest in advancing outcomes (Mathew et al., 2020). The plan must specifically offer
strategic value. Small business owners tend to value the importance of strategic planning
as a tool that could help identify initiatives that can be scaled and add value to growing
the business. According to Mathew et al. (2020), strategic planning is essential to the
future of a business, mainly because strategic planning is a skill that helps small business
owners achieve success. Strategic planning is a valuable tool, but strategic planning is not
a guarantee of success.
Strengths, Weaknesses, Opportunities, and Threats
A SWOT analysis is a strategic planning tool to help better understand barriers
and formulate a strategy for improving the situation. Wardhani and Dini (2020)
recommended analyzing a company’s strengths, potential weaknesses, opportunities, and
market threats (SWOT) to remain competitive. The term analysis sounds like a technique
only used by large companies. However, large and small companies can benefit from
using analytical tools and SWOT analysis to improve business operations (Benzaghta et
39
al., 2021). This analysis offers greater importance to small business owners because small
business owners have limited financial resources or human capital.
SWOT analysis could be useful for small business owners. SWOT analysis was
presented as the standard technique for analyzing an economic system by identifying
strengths, capitalizing on opportunities, and reducing or eliminating weaknesses and
threats (Chiriță et al., 2020). In a broad sense, the analysis and diagnosis of economic
systems represent the totality of approaches to systems, exact scientific methods of
investigation, diagnosis, modeling, design, and solution on this basis of real-world
problems. An intricate focus on the systemic approach may help to improve the quality of
decisions for the efficiency of economic systems (Chiriță et al., 2020). The SWOT
approach focuses on identifying initiatives that could have favorable results. In a SWOT
analysis, small business owners should continue to look for ways to improve their
business and become less vulnerable to competitors.
Small business owners should examine what they do well. Small business owners
should also inspect areas where failure to compete effectively for an increase in revenue,
growth, and profitability may be neglected. SWOT analysis could be particularly
important to small business owners to help identify those critical internal and external
factors that will help shape the organization’s future. Strengths and weaknesses pertain to
the business's internal factors, while opportunities and threats deal with external factors.
SWOT is a tool used for strategic planning and decision-making. When used efficiently,
SWOT is a rigorous technique using tactical planning for long-term goals. Palo et al.
(2020) stated that the SWOT framework could provide small business owners with the
40
tools needed for monitoring and supervision. Small business owners should consider
strategic methods and tools such as the SWOT framework to face business challenges,
which is a genuine method of viewing the business environment in its current state.
Financial Resources
Small business owners may encounter challenges when trying to obtain a loan
through commercial banks, and the business’s survival may hinge on securing capital
from a financial institution. Large companies have better access to financial capital and
can raise external funds to finance projects; thus, they would be less dependent on their
internal funds (Chiappini et al., 2022). In contrast, smaller businesses tend to experience
difficulties accessing external finance because small businesses have more credit
restrictions and are more likely to be adversely affected by financing constraints (Nguyen
& Canh, 2021). Small business owners are more likely to fail due to their inability to
obtain a loan from large financial institutions. Motta (2020) suggested that companies
struggling financially and failing in business ventures are common experiences for small
business owners. Howard et al. (2019) stated that there are resources small business
owners can explore if they have a poor credit history or are viewed as poor credit risks by
banks. For banks or lenders to agree to invest funds in businesses, small business owners
need to explain how the investments can add value to the businesses and provide
information about the business founders’ investment, evaluating the risk of investment,
the rate of return, and the methods to withdraw from the business (Belitski et al., 2022).
Small business owners should have some financial knowledge other than paying their
credit card balances on time.
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Small business owners should create new methods of acquiring financial
resources for their business needs. Small businesses are flexible in keeping up with
changing markets, responsive to new opportunities, and quicker to adapt to capture
economic upswings than large firms (Bakhtiari et al., 2020). Small business owners could
use various bootstrap financing methods to acquire the resources necessary to survive and
eventually grow their businesses (Block et al., 2021). Bootstrap financing methods
encourage business owners to use personal resources in equity and debt, loans from
informal investors such as friends and family, and leasing equipment, among other things
(Block et al., 2021). Leasing equipment and leasing office space are ways in which new
business owners can save money. Small businesses can efficiently use digital and social
media marketing to promote their businesses and engage consumers with their brands
(Block et al., 2021). Small businesses can explore using social media marketing, such as
Facebook and Twitter, as a tool to reach customers and stave away high costs.
Small business owners can gain financial assistance from the U.S. government.
The Small Business Act, created in 1953 by Congress, established resources to assist
small businesses. Galli-Debicella (2020) posited that the main objective of SBA loans is
to support small business owners who lack collateral and have difficulty obtaining
conventional loans. The loans could support the creation of high-quality new ventures
that could not get funding from conventional banks (Galli-Debicella, 2020). In 2018, the
Small Business Administration approved 51,907 loans totaling nearly $23.2 billion (U.S.
Small Business Administration, 2018). The average loan amount approved was $446,487.
Schoneveld (2020) described a sustainable business as an entity that creates profit and
42
typically benefits the needs of others in services or products. Small business owners tend
to bring stability to communities, create jobs, and revitalize neighborhoods. However,
nearly half of the new small businesses do not survive their first 5 years of operation
(U.S. Small Business Administration, 2021). Small business owners should explore
various financial options for sustainability.
Small business owners should become educated on their financial options through
training. According to Harris (2023), the SBA should develop and integrate in-person
training offered to small business owners facing cyber threats by SBDC or SBA-affiliated
nonprofits. Such a program could give small business owners the financial business
acumen and support to promote economic growth in the community. Small business
owners can have optimism, resulting in excessive risk-taking, overconfidence,
overlending, and underperformance (Zhao, 2022). Lenders also share in this optimism
and are less likely to turn down an applicant for a small business. Nguyen and Canh
(2021) found that even though small business owners have a small amount of collateral,
there are potential implications for credit to help finance small businesses. Small business
owners may represent a higher risk, but bank financing for small businesses is vital for
employment expansion and growth.
Marketing
Small business owners who implement digital and social media into their business
strategy could reach wider audience and market potential customers. Small business
failure often derives from not having a clear understanding of the marketplace, poor cash
flow, and limited or no marketing activity (Aharoni, 2024). Marketing is a key element
43
that improves the performance and growth of a small business. Today, small business
owners should think beyond traditional marketing means and seek to use different
approaches such as social networking, e-commerce tools, digital marketing, and mass emails (Rezvani & Fathollahzadeh, 2020). Place, price, product, and promotion are
considered the foundation of any strategy and require consideration as the plan is
developed (Othman et al., 2020). The most critical part of any marketing strategy is how
the four Ps of marketing are incorporated into the plan (Othman et al., 2020). According
to Bacon and Schneider (2019), small business owners tend to have more negative
attitudes toward marketing because of the myriad constraints that small business owners
face compared to their counterparts at larger firms. Small business owners may find
creating a marketing strategy difficult to deal with due to financial challenges and time
constraints that limit the degree of marketing activities they engage in (Katsikeas et al.,
2020). Marketing is critical for small business owners.
Small business owners should become educated in marketing strategies.
According to Daugherty (2021), marketing strategies can significantly influence the
sustainability of a business. Many businesses view websites and e-marketing tools as an
effective way to reach new customers (Sullivan et al., 2021). However, many small
business owners need help to engage in sophisticated marketing activities (Burns, 2022).
Additionally, a cost is associated with hiring a marketing or advertising expert.
Therefore, small business owners typically rely on word-of-mouth or traditional print
advertising strategies.
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Marketing knowledge among small businesses is essential to understand.
Marketing knowledge is critical to small business success (Burns, 2022). Small
businesses lacking a marketing strategy could fail without the intervention of a plan. One
intervention or marketing strategy could be the adoption of technology. Social media use
has been widely adopted on a personal level for social interaction and is increasingly
being used in businesses (Sony & Naik, 2020). The major benefits included social media
as a low-cost marketing option and a strategy to improve visibility to increase customer
base and improve customer retention (Lupo & Stroman, 2020). Social media may be a
critical marketing strategy for improving sustainability.
Some small business owners do the minimum amount of marketing rather than
taking a more formal approach to marketing or technology. However, if the business is to
grow and sustain itself, marketing technology and innovation must be implemented to
avoid failure. Alteren (2023) ascertained that marketing activities required for targeting a
product category's existing customer base differ from those required for converting noncustomers into customers. Thus, small business owners should choose a mix of strategies
to build relationships with underserved customers. Strategic marketing involves deciding
the extent to which a company targets the existing customer base of a product category
for its replacement and upgradation demand and non-customers or low-quantity users of
that category (Alteren, 2023). Marketing strategies should be targeted and specific.
Small business owners have the potential to transform the trajectory of their
business using marketing and technology. Technology has become an important tool for
connecting people working in different professions and industries. By implementing
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social media and a website, small business owners could have the potential for constant
growth and acquiring new customers (Chatterjee & Kar, 2020). Marketing is a strategy
business owners use to increase growth opportunities. However, some small business
owners lack the resources to boost sales and build a customer base with marketing. Small
businesses are privately owned enterprises with a small market share (U.S. Small
Business Administration, 2019). Tarabasz (2024) ascertained that digital media platforms
have revolutionized marketing, offering new ways to reach, inform, engage, sell to, learn
about, and provide customer service. The rise of non-traditional advertising platforms has
changed how businesses advertise. Small businesses can efficiently use digital marketing
and social media marketing to promote their businesses and engage consumers with their
brands (Tarabasz, 2024). Small business leaders realize that using a social media platform
offers value, and they can target customers in cost-effective ways. Burns (2022) noted
that developed marketing and finance skills allow small business owners to generate new
business opportunities. Marketing using social media is consistent with GST, as social
media is a means of interacting with the small business’s environment.
Small Business and Supply Chain Management
Supply chain management (SCM) offers many advantages for small business
owners. SCM also plays a critical role in the success of a business (Barbosa-Povoa &
Pinto, 2020). Start-ups and small and large businesses all require SCM help to control
and reduce waste. According to Dey et al. (2019), small business owners must adopt lean
practices to reduce waste across their organizational value chain, which helps achieve
sustainability. Sustainability in SCM helps improve efficiency and save costs (Esmaeilian
46
et al., 2020). Sustainable performance is positively linked with social, environmental, and
economic sustainability strategies, eventually translating into organizational performance
(Kraus et al., 2020). Sustainability is significant as small business owners contribute to
the future generation socially, economically, and environmentally.
Environmental considerations are also important for small business owners.
Malesios et al. (2020) stated that small businesses tend to be less engaged with
environmental management practices and performance compared to large companies.
Small business owners should learn how to reduce the environmental impact to achieve a
green supply chain, waste reduction, and low carbon development (Malesios et al., 2020).
Reducing the carbon footprint can be challenging for small business owners less likely to
have sustainability goals or practices in place. Business sustainability may be linked to
environmental sustainability.
Small business owners should consider the entirety of their business operations.
According to Malesios et al. (2020), taking a holistic approach, small business owners
follow the product's life cycle, including the selection of materials, their production,
manufacturing, packaging, transportation, and warehousing. Small business owners must
be open to innovation inventory focused on quick turnaround and profitability (Latifi et
al., 2021). Small business owners can easily be driven out of business if they fail to yield
to a different way of thinking. Otherwise, it is more likely that any strategic plan will not
yield the business needs to help it survive, grow, and gain market share (Aharoni, 2024).
Small business owners can take steps toward implementing a robust SCM. The most
crucial step is to hire and train the appropriate people who will constantly look for ways
47
to improve their operations and eliminate waste and unnecessary processes (Madhani,
2021). SCM is an integration of all activities associated with the flow of goods, starting
from raw materials to the final product reaching the customer (Madhani, 2021). SCM is
essential for small business owners.
SCM must consider both short-term and long-term success. Short-term supply
chain success should focus on measurable objectives, risk mitigation, and improved
performance. In contrast, the long-term success of the supply chain has uncertain
outcomes, high autonomy, and innovation (Odimarha et al., 2024). SCM is a source for
managing multiple relationships throughout the supply chain and streamlines the flow of
information, materials, and services to fulfill customer demand efficiently and effectively
(Kumar et al., 2019). In today’s competitive world, customers are constantly seeking
more choices, better quality, services, and quick and reliable delivery (Madhani, 2021).
Customers expect value for the money they spend on products and services. SCM can
introduce activities that could maximize customer value and achieve sustainability while
providing businesses with a competitive advantage in the marketplace. This customerfocused approach in SCM could boost financial results and improve customer
satisfaction, operational performance, and overall firm performance (Yuliansyah et al.,
2021).
SCM involves the complex integration of many parts, which can be difficult for
those without knowledge of the process. For example, many companies, directly or
through intermediaries, choose suppliers to complete their orders (Bird & Soundararajan,
2020). Suppliers compete for business through the production parameters set by
48
companies in the contracts (Bird & Soundararajan, 2020). Six Sigma is a process used to
measure the amount of time to achieve efficiency in a business integration strategy
(Tampubolon & Purba, 2021). The market is often uncertain, and the demands are everchanging within an organization; therefore, supply chain managers need new approaches,
strategies, and technologies to compete in a global environment. Hence, the current
fluctuations in trade agreements, tariff rate changes, regulatory requirements, political
events, and environmental issues have led to a chaotic global market (Gweh & Bekana,
2021). Agile leadership will be required to ensure the growth and survival of small and
medium-sized businesses (Gweh & Bekana, 2021). Choosing the appropriate strategy to
use can be challenging as well.
SCM has three levels at which they operate: strategic, tactical, and operational.
According to characteristics outlined by Oliveira-Dias et al. (2022), fundamental supply
chain strategies can be identified as lean, agile, or leagile, which is a hybrid with
characteristics of both lean and agile systems. Ciulli et al. (2020) defined supply chain as
an integrated process whereby various business entities (i.e., suppliers, manufacturers,
distributors, and retailers) work together to do the following: (a) acquire raw materials,
(b) convert these raw materials into specified final products, and (c) deliver these final
products to retailers and customers. SCM involves the selection, development, and
implementation of a new process(es) or technology (Ramdan et al., 2021). Small business
owners can stay competitive by adopting SCM processes.
SCM affects every aspect of the organization, demanding that leaders create
innovative ways to meet the demands of changing global market conditions. Management
49
should constantly be engaged with the team and look for ways to improve operations and
eliminate waste and redundant processes (Chanana & Sangeeta, 2021). The most critical
component of SCM is management. The organization’s leaders, the company’s manager,
and the small business owner must be well-trained in the company culture, operations,
and human resources (Chanana & Sangeeta, 2021). Organizational performance is
affected by supply chain practices such as the use of technology, supply chain speed,
customer satisfaction, supply chain integration, and inventory management (Yuliansyah
et al., 2021). According to Suleman et al. (2019), SCM plays a significant role in an
organization's operational activities. Nudurupati et al. (2021) stated that some business
owners implement different operations management strategies to improve performance
under turbulent business conditions. Managers who optimize strategies that align with
their skill sets will allow them to overcome challenges with greater success and ease
progressively. Applying a sustainable supply chain strategy can improve product quality
and the quality of the operation by responding to disruptions more efficiently (Kumar et
al., 2019). The success of a supply chain is dependent on the organization's competency
to compete for the competitive market demand and reduce the supply chain uncertainty.
Systematic SCM could ensure the continuity of firms’ success. There are many
advantages of SCM for small business owners. Small business owners typically have
limited resources; therefore, small business owners should maximize efficiency by using
measurements that can reduce time and cost. According to Hawkins and Hoon (2020),
small business owners must increase productivity, minimize waste, and achieve company
goals, all while simultaneously delivering products and generating a profit. Jackson et al.
50
(2023) revealed that the essence of SCM encumbers several areas of vertical and
horizontal operations throughout the chain. SCM is a key source for managing multiple
relationships throughout the supply chain. SCM streamlines the flow of information,
materials, and services to fulfill customer demand efficiently and effectively.
Innovation
Small business owners seeking growth and innovation need leadership strategies
focusing on sustainability and long-term goals. Innovation is the generation, approval,
and application of new ideas, products, services, or processes (Albort-Morant et al.,
2020). Innovation allows small businesses to compete and stay in business (Akpan et al.,
2021). Small business owners who are innovators are more likely to enhance business
operations, which leads to small business survival, especially when there are innovations
in products and services (Hanaysha et al., 2022). Small business owners use innovation to
discover new opportunities, meet the needs of a changing environment, and continue to
gain a competitive advantage (Saunila, 2020). Small business owners may have the will
to innovate, but many small business owners lack the skills, which could lead to business
failure (Silva et al., 2021). According to Farooq et al. (2021), innovation positively
contributes to business survival regardless of company size. Small businesses have made
significant contributions in developing innovations. An improvement strategy could
revitalize a small business by deploying a range of different types of improvements,
including new products, new services, new processes, or new technology.
Small businesses can achieve their performance goals by exploring and exploiting
strategies for implementing successful innovation. Innovation is one of the main
51
mechanisms for organizations to improve their competitiveness and ensure long-term
survival (Domínguez-Escrig et al., 2019). According to Bertello et al. (2022), small
businesses oriented towards innovation and technology can develop collaborations with
all relevant outside bodies. Small businesses must continuously develop new products to
stay competitive. Unfortunately, small business owners cannot provide all the necessary
capacities and resources within their supply chain and must seek outside collaborations.
Changing and adapting to the needs of targeted consumers is an effective way to create
value for small business owners (Kim et al., 2022). Innovation may be a key strategy for
the sustainability of small businesses.
The Small Business Innovation Development Act of 1982 established the Small
Business Innovation Research (SBIR) program. This program supports technology
development and commercialization in small businesses in the U.S. (Link et al., 2022).
The purposes of the Small Business Innovation Development Act of 1982 include: (a) to
stimulate technological innovation, (b) to use small businesses to meet Federal research
and development needs, (c) to foster and encourage participation by minority and
disadvantaged persons in technological innovation, and (d) to increase private sector
commercialization of innovations derived from Federal research and development. This
initiative was created for small business owners and entrepreneurs to stimulate the growth
and productivity of innovation (Link et al., 2022). Small business owners could use this
resource to aid in developing innovation strategies.
Innovation can help small business owners be successful. The rate of innovation
in small businesses can be confined by technical capability, market threshold,
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competitors, and marketing capabilities (Falahat et al., 2020). Ter Wal et al. (2020) stated
that, when necessary, meeting what is within reach results in innovation. Small business
owners who implement innovation should continuously seek to understand the types of
innovation that could help sustain their business. According to Harel et al. (2019), the
need for innovation stems from changes and shifts in the global economy, which create
competitive opportunities and challenges. Product innovation introduces a new or
significantly improved product with improved efficiency, quality, and customer benefits
(Harel et al., 2019). Process innovation is implementing and integrating a new or
significantly improved manufacturing process (Harel et al., 2019). Process innovation is
essential to small business owners because it provides the tools, technology, and methods
to stay competitive. Process innovation is typically an internal process that is developed
to allow the improvement of products and services. Technological developments have
influenced and sustained active customer participation online among companies and
customers.
Transition
The purpose of this qualitative case study was to explore the strategies small
business owners utilize to sustain their business beyond the first 5 years. The participants
were owners of small coffee shops in New York City who had been in business for at
least 5 years. They were willing to discuss their experiences and provide financial
documents within the same timeframe. Section 1 of this study included the background of
the problem, problem statement, purpose statement, nature of the study, the research
question, interview questions, conceptual framework, operational definitions,
53
assumptions, limitations, delimitations, the significance of the study, contribution to
business practice and implications for social change.
Section 1 also included a review of the professional and academic literature,
which began with the theoretical underpinnings of the study: GST, the study’s conceptual
framework, open systems theory, and MST. I reviewed the following topics: small
businesses, family-owned businesses, small business success or failure, leadership,
transformational leadership, business planning and strategies, SWOT, financial resources,
marketing, and innovation. These topics were all related to the business problem of small
business sustainability. In Section 2, I explain the role of the researcher, participants,
qualitative research method and design, population and sampling, and ethical research. I
will explain the role of ethical research practices and how these practices will be
incorporated during the study to ensure that each participant is protected. In Section 2, I
also discuss data collection instruments and techniques, data organization, data analysis,
reliability, and validity of the study. In Section 3, I present the study’s findings, the
implications for social change, recommendations for action, and recommendations for
further research. Lastly, I conclude with a personal reflection.
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Section 2: The Project
In this qualitative multiple case study, the purpose was to explore strategies that
small business coffee shop owners use to sustain the operation of the business within the
first five years and beyond. Data was collected using semistructured interviews with
coffee shop owners. A secondary data source included company public documents,
reports, and financial documents provided by the participants. In this section, I will
justify my selection of the qualitative method and case study design. I will also discuss
my selection of the participants and the participant eligibility criteria. Section 2 includes a
detailed description of my role as the researcher, the participant selection process, and the
research process, including ethical considerations, the data collection instruments and
techniques, data organization techniques, and the reliability and validity of the study.
Purpose Statement
The purpose of this qualitative multiple case study was to explore strategies that
small business owners of coffee shops use to succeed beyond the first 5 years.
Role of the Researcher
The researcher plays a prominent role in a qualitative study. In qualitative studies,
the researcher serves as a research instrument (Johnson et al., 2020). In this research, my
primary role was to select a suitable methodology and design for the study, select
participants, and collect, organize, analyze, and interpret data. I conducted semistructured
interviews with each of the small business owners who participated in the study. In
qualitative studies, the researcher controls the interview and the data collection (Busetto
55
et al., 2020). Therefore, I was the primary data collection instrument throughout this
qualitative multiple case study.
I did not have a prior relationship with any participating small business leaders or
their businesses. However, I was interested in the impact small businesses provide to
local communities. An important part of my role as the researcher involves being familiar
with the research area. Researchers in a qualitative case study play a critical role in
collecting data through real individuals experiencing a phenomenon analyzed (Priya,
2021). Researchers use semistructured interviews to ask in-depth questions (Osborne &
Grant-Smith, 2021). I gathered data using virtual interviews and reviewed the company’s
financial documents.
Researchers of the study invite individuals to participate once certain conditions
are met, including gaining approval from the Institutional Review Board (IRB). The IRB
determines whether the risks and benefits of the study are appropriately balanced, that the
proposed strategy for subject recruitment is fair, and that informed consent procedures
are in place (Friesen et al., 2023). An important responsibility as a researcher is to ensure
that activities related to conducting research are ethically sound and follow the IRB and
the Belmont Report protocol. The Belmont Report summarized the ethical principles and
guidelines for the protection of humans (U.S. Department of Health & Human Services,
1979). As a researcher, I upheld the basic ethical guidelines for protecting human
subjects. The Belmont Report mandates that researchers strictly adhere to three
principles: (a) respect for participants, (b) beneficence, and (c) justice. I adhered to these
principles in the study.
56
Researcher bias is inherent in qualitative methodologies. Therefore, the potential
effect of researcher bias and ethical considerations should be acknowledged and
addressed (Johnson et al., 2020). There are several ways I mitigated personal bias in this
study. One way to mitigate any personal bias or influence is to withhold from engaging
with any participant personally or professionally (Johnson et al., 2020). Therefore, I did
not form any personal or professional relationships with the participants. Reflexivity, the
idea that a researcher’s preconceptions and biases can influence decisions and actions
throughout qualitative research activities, is a critical aspect of rigor, even at the earliest
stages of the study (Johnson et al., 2020). I mitigated researcher bias through reflexivity
protocols, such as reflexive journaling. I made a concerted effort to build trust and
rapport with the participants in the study. I followed the policies and procedures outlined
in the Belmont Report (U.S. Department of Health & Human Services, 1979).
Participants
The participants in this study were small business owners of coffee shops in New
York County who have sustained their business for at least 5 years. A researcher should
use a screening process to select the most qualified and experienced potential participants
who can positively affect the research (Yin, 2018). I used the New York Chamber of
Commerce website to identify five coffee shop owners who met the eligibility
requirements for this case study. The relationship between the researcher and the
participants is important for the success of a qualitative face-to-face study (Moriña,
2021). According to Newman et al. (2021), recruiting participants who met eligibility
requirements might help to enhance the sample size’s appropriateness and improve the
57
data quality. The participants met the requirements of being the owners of small coffee
shops in New York County, who have sustained their business for at least 5 years, and at
the time of the study, were 18 or older.
I chose semistructured interviews as the main data source in this study. Using the
appropriate medium to gain access to participants is critical to research success (Carter et
al., 2021). I conducted virtual semistructured interviews and utilized financial records
provided by the participants to access the data to answer the research questions. I
contacted small business owners via email and telephone and provided information
regarding the study. I followed up with potential participants by email and asked if the
potential volunteers responded if they were interested in participating. Once participants
indicated interest, I emailed them the informed consent form. I requested that they reply
to my email with the words “I consent” to indicate their voluntary participation in the
study. I scheduled the participant’s interviews at a time and date convenient for each
participant. Collecting interview data is appropriate in a case study, especially for novice
researchers (Yin, 2018). An audio recording of the interviews was used to ensure all
information from each participant was captured with accuracy.
Research Method and Design
In this section, I discuss my rationale for choosing the qualitative methodology
with a case study research design. I also discuss why I did not choose other
methodologies or research designs.
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Research Method
In academic research, the researcher should select the research methodology that
helps address the study's problem. A researcher’s methodology determines how a
research tool will be utilized (Pandey & Pandey, 2021). There are three types of research
methods: qualitative, quantitative, and mixed methods (Mulisa, 2022). The qualitative
methodology was the best choice for this study. Qualitative data are nonreducible text,
including words and visuals delivered in static or dynamic form (Mezmir, 2020). In the
qualitative method, researchers use direct interaction with participants through
interviews, open-ended questionnaires, or observations (Leko et al., 2021). Qualitative
case study methodology enables researchers to conduct an in-depth exploration of
intricate phenomena within some specific context (Priya, 2021). The value of qualitative
research is its ability to bring diverse perspectives, which makes it different from
quantitative research (Lanka et al., 2020). Leedy and Ormrod (2019) explained that
qualitative research allows a researcher to ask open-ended questions to get insight into
the research problem. Researchers use the qualitative method to ask participants with
relevant experiences about what, where, and how the phenomenon under the study affects
them (Levitt, 2021). The purpose of my study was well-aligned with the qualitative
method, as I sought participants’ perspectives on sustainability strategies.
I did not choose a quantitative or mixed methodology for this study. The
quantitative method allows researchers to examine statistical correlations or relationships
between data while testing hypotheses (Mohajan, 2020). Quantitative data are statistical
in nature and can be added, manipulated, and transformed into efficient data displays
59
(Cooksey, 2020). The quantitative method was inappropriate for this study because I did
not seek to quantify the strategies small business owners use to sustain their businesses.
Mixed methods research is when the researcher combines quantitative and qualitative
methods in a single study (Dawadi et al., 2021). The mixed methods approach was also
inappropriate because I did not incorporate quantitative inquiry into my research
questions. Therefore, the qualitative methodology was the most appropriate method for
this study.
Research Design
For this study, I used a qualitative multiple case study research design to answer
the research question. Tomaszewski et al. (2020) presented narrative, phenomenology,
ethnography, and case study as useful qualitative research designs used in a qualitative
method. Narrative research allows the participants to tell stories of their life experiences
and stories. Researchers use narrative design to describe the individual experience and
life story chronologically (Agazu et al., 2022). A narrative design was inappropriate for
my study because it would only provide contents of the narrative, not of the narrative
milieu of small business owners and the successful strategies they used to sustain
themselves in business for longer than 5 years. Phenomenological research is used to
explain human perception of phenomena perceived by the senses, the meanings they
attribute to the phenomena, and their feelings about the phenomenon (Gallagher, 2022).
I did not choose phenomenology for this study. Phenomenology is used by
researchers to identify lived experiences and related themes that are examined thoroughly
with various data-gathering tools (Kucukturan & Kolemen, 2020). Phenomenological
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research is subjective, and there are no objective reliability measures in place. In addition,
bias is a concern with phenomenological studies, as bias can influence the researcher
when considering the opinions and viewpoints of participants. Phenomenology is a
research approach that seeks to describe the essence of a phenomenon by exploring it
from the perspective of those who have experienced it (Neubauer et al., 2019). The goal
of phenomenology is to describe the meaning of this experience, both in terms of what
was experienced and how it was experienced (Neubauer et al., 2019). Kucukturan and
Kolemen (2020) noted that a phenomenological researcher focuses on the emotional
expression of the participants’ experiences. Phenomenology was inappropriate for this
study because I did not seek to examine the lived experiences of the participants. Instead,
I sought strategies for business sustainability.
I also ruled out ethnography as a suitable research design. Researchers use
ethnography to describe the culture of a group of people and the perspective of the group
members (Moisander et al., 2020). Ethnographic researchers immerse themselves in the
participants’ day-to-day lives as they observe events and look for consistency while
documenting participants’ social behaviors (Dumont, 2023). The ethnographic design
was not the best choice for my study because I did not seek to understand the culture of a
group of individuals.
Like phenomenology and ethnography, I did not choose narrative inquiry as a
research design. The narrative design is largely job-specific and relies on the narrator's
skills (Chien & Hassenzahl, 2020). Narrative inquiry uses stories from the participants to
document important events in their lives chronologically. The narrative design allows the
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researcher to capture the voices through storytelling but relies on what the participants
can recall. The narrative design was inappropriate because it would include personal
stories of the life of the participant, thus avoiding the exploration of strategies used to
sustain the small business.
I chose the multiple case study research design for this study. Case research is a
research method that involves investigating one or a small number of social entities or
situations about which data are collected (Yin, 2018). Case studies often use multiple
data sources to develop a holistic description through an iterative research process
(Welch et al., 2022). A multiple case study design is used to explore differences and
similarities across each case study (Shiells et al., 2020). Data in the case study method is
collected by multiple means and may consist of qualitative research techniques such as
interviews, document analysis, and various modes of observation (Welch et al., 2022). I
analyzed the data collected from each participant to understand their differences and
similarities and look for any significant influences. As the researcher, I gained more indepth knowledge from each situation by using a broader range of participants and
focusing on their business sustainability strategies.
Population and Sampling
The sample population for this qualitative case study consisted of 5 successful
independent coffee shop owners in New York City. These small business owners had
experience with strategies used to maintain a successful business for at least 5 years.
Sampling is the process of choosing a part of the population to represent the whole (Lohr,
2021). I used purposive sampling to choose the participants in this study. Purposive
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sampling is the process of selecting participants based on predefined inclusion criteria.
According to Yin (2018), purposive sampling differs from other sampling techniques.
Snowball sampling is a method used when it is difficult to find participants who meet the
target criteria for the study. In snowball sampling, existing study subjects recruit future
subjects among their acquaintances (Lohr, 2021). Random sampling in survey research is
used for internal generalization, which is not usually relevant to qualitative research but
allows quantitative estimation of the likelihood that one’s sample is representative of the
population sampled (Maxwell, 2021). Justification for the number of participants is based
on transparency of an adequate sample size. The number of participants selected showed
that the data collected is of sufficient depth to provide salient information about the
research purpose and of sufficient breadth to allow coverage within the responses (Alam,
2021). In this study, the sample size was justified by data saturation. Data saturation is
the point in qualitative research studies when interviewing additional participants will not
produce new information (Guest et al., 2020). After completing five interviews, I
assessed whether I reached data saturation by seeing if any unique codes were applied to
the fifth participant’s interview. If I had not observed data saturation, I would have
continued recruiting participants and conducting interviews until I reached saturation.
Purposive sampling was used in this study to select participants. According to
Obilor (2023), researchers use purposive sampling to establish qualifications that
participants must meet. In purposive sampling, the goal or purpose for selecting the
specific instances is to have those yielding the most relevant and plentiful data (Yin,
2018). Each participant was required to meet the following criteria to qualify for the
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study: (a) owned a coffee shop in New York for at least 5 years, (b) have used proven
strategies to sustain the business beyond 5 years, and (c) have a minimum of five
employees. I verified that the participants had been in business for at least 5 years by
consulting the New York Department of Commerce website. This inclusion criterion
ensured that the participants were knowledgeable about the research topic.
Ethical Research
Ethical behavior is a descriptive, yet subjective term based on the criteria
proposed by the one measuring the behaviors. A person’s ethical and unethical behaviors
show their capacity to act in line with or against moral norms (Morales-Sánchez et al.,
2020). Trust is a consequence of ethical behavior. Therefore, someone who behaves
ethically can be considered as an organizational benefit (Morales-Sánchez et al., 2020). I
built trust by being engaged in conversations with the participants. I created an
atmosphere of trust and took the time to develop a transparent partnership.
Conducting research of any kind requires the researcher to have a strong sense of
ethical behavior, which includes mitigating personal bias. Haven et al. (2020)
recommended that researchers focus on ethical principles in their actions and ways of
doing things throughout a research project. As the researcher, it was my responsibility to
protect the participant’s confidentiality. I followed the Belmont Report protocols by
keeping the participants’ information confidential. I provided the participants with the
purpose of the study and the research process through an informed consent form, which
was included in the introductory email (see Appendix A). The participants signified their
agreement and consent by responding to the email in writing with “I consent.”
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Research integrity means that protocols are put in place to verify that the data
collected can be trusted. I will ensure ethical protection and protect the rights of each
participant. I will keep all participant’s information anonymous and confidential. I will
observe and follow the ethical principles and guidelines for research involving human
subjects as illustrated in the Belmont Report (U.S. Department of Health & Human
Services, 1979). Ethical principles and guidelines outlined in the Belmont Report include:
(a) the boundaries between biomedical and behavioral research and the accepted and
routine practice of medicine, (b) the role of assessment of risk-benefit criteria in the
determination of the appropriateness of research involving human subjects, (c)
appropriate guidelines for the selection of human subjects for participation in such
research and (d) the nature and definition of informed consent in various research
settings. I emailed the participants the informed consent form to review, which indicates
that no compensation or incentives would be given for taking part in the study. I did not
use the participants’ or companies’ names in the data collection and analysis phase. I
used pseudonyms, such as P1 and P2, in the manuscript to protect the participants’
privacy. Furthermore, to ensure the participants’ confidentiality was protected, the data,
including interview transcriptions, observation notes, and audio recordings, were saved
on a password-protected, encrypted flash drive, which was secured in a locked storage
container. All data will be saved for a period of 5 years, after which it will be destroyed
with data destruction software. Before the start of the interview, I reminded the
participants that they could withdraw from the study at any time and for any reason.
Participants should not feel pressured to sign consent. I informed the participants that
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participation in this study was voluntary and there were no incentives or monetary
rewards for participating in this study.
Data Collection Instruments
I was the primary data collection instrument in this qualitative multiple case
study. According to Yin (2018), as a participant-observer, I must undertake some specific
activity to collect data. The data collection technique I used to gain the participants’
insights included face-to-face interviews conducted virtually, observations, and a review
of company documents. I chose to use semistructured interviews for this study. The
advantages of conducting interviews for the qualitative researcher include (a) higher
response rates, (b) elimination of misinterpretation of the question, (c) location can
enhance the comfort level of the participants, and (d) body language can be observed
(Alamri, 2019). The use of semistructured interviews allowed me to ask open-ended
questions. The advantage of asking open-ended questions is that it allows for an informal
discussion, and an interviewee may address things outside the line of posed questions
(Yin, 2018). Open-ended questions allowed the coffee shop owners to share their
responses to the interview questions. The qualitative semistructured interview technique,
in conjunction with document review, was appropriate and effective for this study.
The interviewing process was structured but was not strictly scripted, and the
views of the participants could be captured. To ensure objectivity and mitigate bias, I
asked clarifying questions to ensure I captured the correct meaning and context of the
responses. Listening with keen attention is imperative to establish a clear line of
communication and clarify any confusion for validity. I built trust relationships with the
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participants by reiterating that all transcripts and notes taken from the interviews would
be kept confidential. These measures created trust so nothing could be misconstrued or
misinterpreted during the interview. Vindrola-Padros and Johnson (2020) noted that a
researcher must record each interview and later transcribe the recordings for accurate
analysis because any discussion could deviate from the interview guide. Each interview
lasted 30-45 minutes. All electronic data collected from the interview remained
confidential and were saved on a password-protected, encrypted USB drive.
I ensured the reliability and validity of the study’s findings through member
checking. Member checking is a quality control mechanism where researchers confirm
the study's findings with the participants during the data analysis phase (Candela, 2019).
To perform member checking, I emailed a copy of the participant’s analyzed data to them
and asked them to review my interpretations. Member checking is an essential
mechanism for ensuring the validity of the study’s findings (Johnson et al., 2020)
Data Collection Technique
The focus of this qualitative multiple case study was to explore strategies small
business owners of coffee shops in New York use to sustain their business beyond the
first 5 years. The data collection process included semistructured interviews with openended questions, observations, and a review of the financial records and documents of the
small business owner. Interviews can be completed by multiple modalities using either
closed or open-ended questions (Jain, 2021). I chose open-ended questions because they
offer a level of reliability that can benefit doctoral study. An advantage of open-ended
questions is that they do not demand one correct answer, nor is the answer provided
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(Roberts, 2020). Therefore, participants provided an authentic and creative response
based on their deep understanding of the question and experiences. I used an interview
protocol for this study and followed the same process for all interviews. Using an
interview guide helps reduce researcher bias (Monday, 2019). The interview guide
ensured I asked each interviewee the same questions in the same order. I created nine
interview questions, as described in Section 1. I used the Zoom telecommunication
software to audio record virtual interviews.
There are advantages and disadvantages of each data collection technique.
According to Yin (2018), the benefits of using semistructured face-to-face interviews
include: (a) allowing the researcher to prepare questions ahead of time, (b) empowering
participants to express their views in their terms, (c) enabling researchers to capture
participants’ emotions and behaviors during each interview, (d) providing reliable and
comparable qualitative data, and (e) encouraging two-way communication. Another
benefit of semistructured interviews is that they allow the participants to include ideas not
presupposed by the researcher (Roberts, 2020). The researcher should follow a sequence
of questions to gain or explore information regarding a phenomenon (Roberts, 2020).
According to Yin, the relevant data may not be limited to field observations and
interviews. However, they can involve surveys and retrieving and examining archival and
documentary information such as balance statements, operations, and procedure manuals.
Furthermore, Mays and Pope (2020) stated that the choice of a data collection technique
might affect the quality of data collected in a qualitative study. The semistructured
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interview was appropriate for this study because it allowed direct consultation with each
participant about their business strategies.
There are several disadvantages of semistructured interviews. Semistructured
interviews can be time-consuming, requiring the participants to devote significant time to
the interview (Roberts, 2020). The researcher might inadvertently introduce bias into the
study (Yin, 2018). Virtual interviews can also be challenging due to connectivity issues
(Mirick & Wladkowski, 2019).
Document analysis also has advantages and disadvantages. An advantage of
reviewing company documents is the potential for data triangulation. Data triangulation is
the use of multiple data sources to understand a phenomenon, which can enhance the
reliability and validity of the study (Moon, 2019). Document analysis has disadvantages
in that participants may be uneasy about disclosing documents pertaining to their
business operations.
I enhanced the reliability and validity of the study's findings through member
checking. To perform member checking, I emailed a copy of the participant's analyzed
data to them and asked them to review my interpretations. Through member checking,
the participants have an opportunity to confirm the study’s data or indicate that the data is
not consistent with their thoughts (Candela, 2019). Member checking is an essential
mechanism for ensuring the validity of the study's findings (Johnson et al., 2020).
Data Organization Technique
I maintained a research log to denote the methodological details I used to conduct
the research study. During the study, I coded each participant’s interview transcripts and
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question responses using pseudonyms such as P1 and P2 to ensure participant
confidentiality. I organized the semistructured interview data using NVivo Version 14, a
qualitative data analysis software. NVivo is frequently used to manage and store
qualitative research study data (Alam, 2021). Company documents provided by the
participants were also saved using the participants’ pseudonyms. Any sensitive or
identifiable information was redacted from these documents. I kept a reflexive journal,
where I took notes regarding my perceptions of the participants’ responses and behaviors.
Reflective journaling is an important mechanism researchers can use to acknowledge
their reflexivity and mitigate researcher bias (McGrath, 2021). I stored all electronic data
collected on a secure, password-protected, encrypted flash drive. After 5 years, I will
shred any hard copies and use data destruction software to destroy all electronic data, as
mandated by Walden University’s IRB.
Data Analysis
Data analysis is the process of determining the meaning of the collected data. I
used Braun and Clarke’s (2019) method for thematic analysis. I used the NVivo Version
14 software for compiling, sorting, and coding the data from semistructured interviews.
Company documents were scrutinized and compared with the findings from the interview
data. Member checking allows participants an opportunity to confirm a researcher’s
interpretations of participants’ answers to interview questions to enhance the reliability
and validity of the study’s findings (Candela, 2019). I emailed participants my
interpretations of each participant’s answers to interview questions and asked them to
verify the accuracy of my interpretations.
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I analyzed the data collected from semistructured interviews through thematic
analysis. Thematic analysis is commonly used to analyze verbal data derived from
qualitative studies (Lindgren et al., 2020). Data analysis involves organizing and
dissecting the data to identify themes and patterns relevant to the research questions. I
analyzed the interview transcripts using Braun and Clarke's (2019) method for thematic
analysis, which involves six steps, as described below. Thematic analysis is a common
approach to qualitative data analysis for data collected from semistructured interviews
(Braun & Clarke, 2019). Data analysis is methodical and systematic, allowing researchers
to extract meaningful patterns from the data (Braun & Clarke, 2019).
Phase 1: Familiarization
The first phase is familiarization with the data. In this phase, I transcribed the
audio files into transcripts. I read the transcript results of each interview from start to
finish to get an overall understanding of the data collected. This phase often involves
multiple readings of the interview transcripts (Braun & Clarke, 2019). During this phase,
I ensured that any personally identifiable information mentioned in the interview was
redacted from the interview transcripts.
Phase 2: Coding
Phase 2 is the coding phase. This phase involves categorizing the data into
meaningful units, also known as coding (Saldaña, 2021). During this phase, I created a
codebook that outlines the codes for categorizing the data. The codes were descriptive
phrases based on the participants’ ideas and thoughts. I used NVivo Version 14 beginning
in Phase 2.
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Phase 3: Axial Categorization
In Phase 3, I reviewed the coded data and formed axial categories. Axial
categories are created based on an existing code, or a more abstract category can be
developed, encompassing multiple codes (Vollstedt & Rezat, 2019). To form categories, I
grouped similar codes into a descriptive category encompassing the meaning of all codes.
Phase 4: Theme Development
In Phase 4, I developed themes from the axial categories. Themes represent
patterns and relationships between the data (Braun & Clarke, 2019). To extract themes, I
grouped axial categories. In this phase, I created a thematic map that details the
connections between the codes, categories, and themes. The thematic map is a visual
representation of the data that helps researchers organize their data logically (Braun &
Clarke, 2019). This approach allowed me to identify similarities and differences between
themes.
Phase 5: Theme Refinement
In Phase 5, I evaluated the thematic map and determined whether any new themes
had emerged. During this phase, researchers rename and redefine the codes and themes
when necessary (Braun & Clarke, 2019). I redefined and renamed similar themes into a
new encompassing theme to remove redundant themes. In this phase, I addressed
discrepant cases or participants who expressed different ideas than the others. According
to Bingham and Witkowsky (2021), researchers should compare their study’s findings
with themes present in academic literature using their conceptual framework as a
theoretical lens. Therefore, during Phase 5, I correlated key themes from my findings
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with themes identified in the study’s literature review. I also analyzed the findings using
the theoretical lens of GST.
Phase 6: Holistic Evaluation of Data
I evaluated the data and data analysis holistically. This procedure is done to
ensure that themes relate to the research topic. During this phase, I interpreted the data in
the context of the study’s conceptual framework, GST. Finally, after I analyze the data, I
will summarize my interpretations of each participant’s data and perform member
checking. Member checking enhances the credibility and validity of qualitative studies’
findings (Candela, 2019). Methodological triangulation is the process of using more than
one method to study a phenomenon (Farquhar et al., 2020). In Phase 6, I used
methodological triangulation to compare company documents with the findings from the
semistructured interviews to determine if data alignment occurs. The six-phased method
for thematic analysis, coupled with document analysis and member checking, provided a
robust analysis of the participants’ data.
Reliability and Validity
Researchers should ensure the rigor of their research. Validity and reliability are
central tenets of ensuring good quality research (Johnson et al., 2020). A common
procedure to increase the reliability of observational evidence is to have more than a
single observer make an observation, whether of the formal or casual variety (Yin, 2018).
However, when having two researchers is not feasible, triangulation could be
implemented. Triangulation is a process that uses different methods or collects evidence
from multiple sources to ensure validity (Moon, 2019). The use of evidence from
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multiple sources would then increase confidence that your case study had rendered the
event accurately (Yin, 2018). This section explores the methods used to enhance the
reliability and validity of the study.
Reliability
Reliability is an essential component of all research studies. In qualitative
research, reliability pertains to the soundness of the research methodology, research
design, sampling method, and how the data are analyzed (Adler, 2022). Researchers can
improve the reliability or dependability of qualitative research through several strategies,
including: (a) identifying researcher biases and reporting any preconceived assumptions
or notions, (b) rigorously establishing the methods for participant recruitment and data
collection and analysis, and (c) accurately report the information provided by the
participants (Rose & Johnson, 2020). Following these guidelines, I used various methods,
including extensive researcher reflexivity protocols, to enhance the reliability and
dependability of the study.
Dependability
Dependability is a method researchers use to establish rigor and trustworthiness in
qualitative studies that rely on the use of rigorous protocols for data collection and
analysis (Rose & Johnson, 2020). In this study, I promoted the dependability of my
findings in three ways. First, I documented my research protocols in my research log to
rigorously establish the participants and research methods. Using a research log enhances
methodological rigor by allowing researchers to thoroughly document their
methodological choices (Johnson et al., 2020). Second, I kept a reflexivity journal to note
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my preconceived notions and thoughts at each stage of the research process. McGrath
(2021) indicated that using a reflexive journal makes researchers aware of potential bias.
Third, I used member checking to allow the participants to confirm my interpretation of
their data. Member checking is an essential mechanism qualitative researchers use to
enhance the trustworthiness of their studies’ findings (Candela, 2019). These
methodological choices may enhance the dependability of the study’s findings.
Validity
Validity is another important aspect of research studies. Moon (2019) noted that
qualitative researchers can improve the validity of their findings through data
triangulation and data saturation. According to Quintão et al. (2020), qualitative
researchers achieve external validity, or transferability, in multiple case studies by
evaluating multiple cases, using triangulation, and comparing their findings to those in
the academic literature. The validity of a qualitative study is assessed through credibility,
transferability, and confirmability.
Credibility
Credibility refers to the confidence of the data collected in qualitative research.
Researchers can use robust designs to strengthen the credibility of their studies and to
ensure that the collected data will properly address the research topic being studied (Rose
& Johnson, 2020). In qualitative research, one of the most crucial techniques for
establishing credibility is member checking. Member checking refers to the
recommended procedure of providing the participants with a copy of the researcher’s
interpretation of the study’s findings for review to confirmation (Candela, 2019).
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Member checks can be a key component for establishing credibility or authenticity;
however, according to Candela (2019), there are common problems with member checks,
including a lack of response from most participants, creating additional intrusion for
participants, little or no substantive changes in research findings, and the need for
additional project resources.
Researchers using the qualitative methodology must use various sources and
triangulate them to increase credibility (Moon, 2019). Methodological triangulation
involves using more than one data collection method (Santos et al., 2020). Along with
face-to-face interviews, I examined data collected from business websites, financial
reports, and observation notes. I used triangulation to enhance the credibility of my
qualitative research. To ensure the findings are credible, I implemented the following
steps: (a) select and verify participants, (b) member checking, (c) triangulation, and (d)
usage of field-based data collected, such as journals, writings, and artifacts. According to
Shufutinsky (2020), the additive or comprehensive uses of these tools and instruments
can foster increased rigor and transparency around the research, increasing confidence,
trustworthiness, and credibility surrounding research design, data collection, data
analysis, findings, and qualitative interpretations. The sample size of my study, member
checking, and the steps I have outlined created a strong sense of credibility of my study’s
results.
Transferability
Transferability is like the concept of generalizability in quantitative studies.
Specifically, transferability refers to the ability to apply the research findings to other
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cases with similar individuals (Rose & Johnson, 2020). Johnson et al. (2020) indicated
that thoroughly documenting methodological choices can promote the transferability of a
study’s findings. To address transferability, I rigorously documented my data collection
and analysis methods and provided a detailed description of the interview protocol, case
study, participants, and research findings. According to Campbell et al. (2020), the
purposeful sampling technique can also enhance the transferability of a study’s findings
by allowing diverse participants to be selected. I attempted to select participants from
different regions in New York City, so that local community culture did not influence the
study’s findings. I addressed transferability by ensuring that the purposefully selected
participants interviewed in the study are diverse and representative of the study’s general
population.
Confirmability
Confirmability refers to the extent to which other researchers can replicate the
findings. The confirmability of a study can be enhanced by rigorously documenting the
study’s anticipated and actual methodology (Halkias et al., 2022). Using an interview
protocol can enhance confirmability by ensuring that researchers ask all participants
questions in the same order (Adeoye-Olatunde & Olenik, 2021). To confirm my study’s
accuracy, I used an interview protocol for the semistructured interviews. Ensuring the
accuracy of interview transcripts is another mechanism for promoting confirmability
(Prosek & Gibson, 2021). Therefore, I accurately documented the interview transcripts
and compared them line-by-line with the interview audio recordings. Confirmability can
also be promoted through researcher reflexivity (McGrath, 2021). To minimize
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researcher bias, I used reflexivity protocols, including journaling, to document my
perceptions as a researcher.
Data saturation is important for confirmability. Data saturation is when no new
information will be gained by interviewing more participants (Guest et al., 2020). Once
saturation has been reached, data collection is thought to be exhausted (Guest et al.,
2020). I interviewed five coffee shop owners, which was sufficient for saturation.
Transition and Summary
In Section 2, I restated the purpose of the study and discussed my role as a
researcher. I reported the participant selection criteria, recruitment strategy, research
methodology, and design. I identified the population, sample, and sampling technique
and discussed ethical research principles applicable to this study. I described procedures
for participation, data collection, and data analysis. I also discussed the procedures I used
to ensure the reliability and validity of the study. In Section 3, I will present the research
findings, applications for professional practice, implications for social change,
recommendations for action, and future research. I will also discuss my reflections on the
research process and provide conclusions.
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Section 3: Application to Professional Practice and Implications for Change
Introduction
The purpose of this qualitative multiple case study was to explore strategies that
small business owners of coffee shops use to succeed beyond the first 5 years. Over 50%
of small businesses will discontinue their operation within the first 5 years (U.S. Small
Business Administration, 2019), underscoring the need for the present study. The
conceptual framework was GST. The population for this study consisted of five small
coffee shop owners. I developed the research question to understand the different
strategies small coffee shop businesses use to sustain their businesses. I conducted oneon-one semistructured interviews via Zoom with five small business owners who had
sustained their businesses for at least 5 years after the beginning of operations. Data
collected included archival information from company websites, menus, and in-depth
interviews with participants to better understand strategies implemented to successfully
maintain their businesses. Four themes were identified based on the participants’
interviews. Theme 1 was that the participants diversified their business practices. Theme
2 was that the participants focused on community and good customer service. Theme 3
was that the participants focused on quality leadership, and Theme 4 explored the
participants’ use of quality products and services.
Presentation of the Findings
The central research question for this study was: What strategies do small
business owners of coffee shops use to be successful beyond 5 years? The U.S. Small
Business Administration (2024) revealed that 79% of small business owners close their
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businesses within the first 5 years of business operations. GST, which focuses on the
interconnectedness and interdependence of elements within a system, was used to frame
the study’s analysis. GST presents a method for understanding how system elements
within a coffee shop are connected and cooperate. The five participants, small coffee
shop owners in New York County, engaged in virtual semistructured interviews with
open-ended questions about their business sustainability practices. The five participants
were qualified for the study because they had conducted business operations in New
York County for at least 5 years. I labeled participants with pseudonyms (P1, P2, P3, P4,
and P5) to protect their privacy and to ensure confidentiality. Each of the five participants
was asked the same eight interview questions, which aligned with the central research
question.
The data was analyzed using thematic analysis, with NVivo version 12 facilitating
the identification of themes. Four themes emerged from the study, leading to a better
understanding of strategies used by small business coffee shop owners to sustain business
operations. The four themes were: (a) diversification of business practices, (b) focus on
community and good customer service, (c) quality leadership, and (d) quality products
and services.
Theme 1: Diversification of Business Practices
The first emergent theme involved the participants developing diversification as a
growth strategy and business practice. All five participants had diversification strategies
designed to address their current customers' needs and attract new ones. P1 stated, “We
had a truck. It was basic, no frills, but it became our coffee truck, which was the first
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thing out there. The truck has been a saving grace.” During the pandemic, when the
government mandated shutdowns, P1 looked for innovative ways to reach current
customers and acquire new ones. By going directly to the customers using the coffee
truck, P1’s company maintained its customer base.
While P1 diversified how their business sold coffee to customers, P4 took a
different approach to diversification and sold products other than coffee. P4 stated,
We sold beer and wine. I just wanted to see whether the pandemic influenced it. In
the state of New York, the governor allowed wine and beer to be sold at
restaurants and bars on the go. We leaned into the proclamation of wine and beer
to-go and took advantage of that. And the other things that we sold during the
pandemic were toilet paper.
P4 shared that some senior customers voiced concerns about not having Internet service
and feeling uncomfortable going to stores. P4 procured toilet paper and other essential
products at their store to meet these customers’ needs, allowing them to purchase
essential products while buying their morning coffee. P4 also diversified its product line
by offering alcoholic beverages not typically sold by coffee shops, potentially increasing
the shop’s customer base by appealing to younger customers. Implementing a
diversification strategy enables enterprises to expand their scope of business and venture
into related or unrelated business areas to gain a competitive advantage and establish
market presence (Enobong et al., 2022). Some small coffee shop owners interviewed in
this study diversified their business practices and products to enhance sustainability by
offering unconventional products and services.
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Diversification strategies can be simple or complex but are often creative. A
diversification strategy enables a firm to assess industry competitors and develop
products and services to help the company remain competitive and sustainable in the
market, performing efficiently over time (Rubio-Andres et al., 2022). P5 asserted that
developing a mobile ordering application was an important component of their
diversification strategy. P5 explained, “We built an app, so that was a big one. That has
helped tremendously because [the app] is convenient for our customers, and it keeps the
flow of the cafes much more manageable.” Customer flow management within the café
helped the organization serve more customers during busy times. This strategy also
facilitated customer satisfaction by reducing order bottlenecks and shortening wait times,
a common challenge with small coffee shops (see Kang & Moon, 2020). Creating a
mobile ordering application for the coffee shop was transformational for P5’s business,
reducing wait times. The mobile application also allowed customers to place orders for
items they would not normally encounter, leading to upselling and item add-ons. P5
further explained, “We created a loyal program and sold merchandise, all of which
created increased orders and repeat customers.” Diversification strategies have become
groundbreaking for small business leaders looking to enhance business growth and
sustainability (Omaliko & Okpala, 2023). The participants in this study creatively used
various diversification strategies to enhance their businesses’ sustainability.
Analysis of Theme 1 Under GST
Diversification of services adds more elements to a system. Diversification is a
strategy whereby small business owners can add new products or services to help
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increase profits and gain a competitive edge (Sohl et al., 2022). Diversification can
include implementing new technology to make the flow of the business more efficient
and organized (Pichler et al., 2021). Diversification could also include branching out into
a new market or geographical location (Sohl et al., 2022). Introducing beer and wine to a
coffee shop menu to expand sales revenue is an example of diversification.
Adding more elements to a system may increase the number of people within a
system. General systems thinking involves adding new tools and methods to a process to
create more efficiency in managing persistent problems. By diversifying products,
services, and service modalities, the participants increased the elements in their coffee
shop systems, which concomitantly increased patrons. Diversification is consistent with
systems thinking associated with GST.
GST is also useful for understanding how product and service diversification can
influence interactions with unrelated systems. Adding additional individuals to a system
allows for greater connections to be made to unrelated systems (von Bertalanffy, 1968).
Diversification involves adding more elements to the system and providing new ways to
tackle old problems. The participants’ diversification of services by adding coffee trucks
and mobile applications allowed the participants to solve problems associated with wait
times and reaching additional customers. This finding is consistent with GST, as
diversification expands the breadth of a system. Diversification is a strategy that will help
business owners incorporate system thinking that involves problem-solving as part of the
business ethos.
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Comparison of Theme 1 to the Academic Literature
The findings from Theme 1 are consistent with findings in the academic literature.
Many small business owners recognize that to reduce the risk of failure and achieve
profitability, they must expand their products and services to remain competitive and
facilitate business survival (Hawkins & Hoon, 2020). A common way to accomplish this
goal is to diversify products and adjust services to appeal to a larger customer base (de
Ruyter et al., 2022). Diversification is a term used by business leaders who wish to
expand their geographical markets or add new products or services (Sohl et al., 2022). In
recent years, diversification has been a popular and necessary method employed by
companies to improve profits (Adesina, 2021; Yu et al., 2021). Applying resources across
multiple uses allows the firms to achieve cost-reducing synergies (Sohl et al., 2022).
According to Thirathon and Meeprom (2020), diversified businesses increased value
more than single-segmented companies operating in similar industries. According to the
academic literature and the participants in this study, diversification can improve business
profitability.
Theme 2: Focus on Community and Great Customer Service
Each participant spoke about the importance of being active in the community,
which extended the life of their businesses while creating an esprit de corps customer and
the community, particularly during the pandemic. Within this theme, the participants
spoke about providing great customer service and building strong relationships with
community members. Through a person-centric strategy, the participants enhanced the
sustainability of their coffee shops.
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Providing Great Customer Service
P1 explained, “I tell people that if someone looks like they’re having a really bad
day, just give them a free coffee.” P1 indicated that they try to understand their
customers, focusing on their individual needs. The participants credited their success to
providing outstanding customer service, which was instrumental in retaining and not
losing customers to competitor shops. P1 further explained, “One of the first things I
teach my staff is if someone ordered something they didn't like and wanted no
replacement, give it to them for free. I emphasized always treating the customer with the
utmost care.” Like P1, P2 also indicated that customer service is critical for sustainability.
P2 said, “It all goes back to good service quality service, being on top of customers’
needs, and making sure all the employees were on the same page.” P2 works with
employees to ensure they can provide excellent customer service. P5 also works
individually with employees to ensure they understand the standards for customer
service. P5 said, “Whenever we hire somebody new, the first thing that they do is they
meet with me, and we go over customer service from top to bottom.” By emphasizing
customer service, the participants sustained their coffee shops.
P5 further explained that customer service is the cornerstone of business
sustainability. P5 said:
Customer service is not just about giving people what they want but giving people
what they need. A lot of times, what people need is companionship, compassion,
somebody to talk to, somebody to say good morning to them, and that has
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strengthened our relationships with the customers. It lets people realize this isn't
just slinging coffee. You're having an impact on people.
P5 believed that employees should invest in understanding people and providing them
with quality service with compassion. By investing in customers’ experiences, the
participants provide quality customer service and enhance business sustainability.
Focus on Community Relationships
In addition to focusing on customer service, the participants believed that forging
relationships with their communities helped them sustain their businesses. P1 explained:
I try to build relationships in the community and public servants (Police,
Sanitation, Firemen, etc.). It’s two or three bucks that we’re giving away to make
you brighten someone’s day a little bit. I think it goes just such a long way.
In addition to focusing on individual community members, P1 invested in essential
members of their community, including police and sanitation workers. P2 also spoke
about their focus on community. P2 said:
We’re really focused on making it a neighborhood place. We had a lot of repeat
customers coming from the community. By becoming a fixture in the community
and partnering with people in the community, such as allowing them to post helpneeded flyers, entertainment events, and host holiday parties, we became the go-to
place.
According to P2, customer satisfaction builds strong customer relationships, which is key
to sustainability. P2 further explained:
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We want to be stability for the community and in the neighborhood. Our coffee
shop helps people feel connected to the community. We are really focused on
making it a neighborhood place. Customer relationships were the key. [We] had a
lot of repeat customers coming from the community.
P2 credited their success in sustainability to their focus on building strong relationships
with community members. Like P2, P3 emphasized forming relationships with
neighborhood businesses. P3 said, “We create more partnerships with the businesses in
the neighborhood. We probably have more than 40 companies on our list where we give
out their discounts.” P3 provides community businesses with discounts to encourage
customer and community loyalty. P4 also articulated that they wanted customers to stay
in the coffee shops for as long as they wanted. P4 said:
We offered things like free wi-fi because we wanted [customers] to sit down and
chat. People come to work, study, and network. That’s how people make those
type of connections without all the hassle of needed to do it fast or they will get
kicked out of the establishment.
By focusing on community relationships, the participants enhanced their businesses’
sustainability.
Some participants explained that they engaged the community through
community events. P3 said:
One of the things I did at my location, which really helped us, was I had what's
called an open mic night where we allowed talent from the community come and,
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you know, somebody can come in, they play the guitar for like an hour or two.
Somebody can read poetry, anything like that. My numbers went up huge.
P3 sponsored an open mic night at their coffee, allowing community members to
socialize and express their creative talents. P5 also indicated their focus on community:
“We also do a lot of community work. We sponsor a lot of sports teams.” Through the
symbiotic relationships between businesses and local communities, P1, P2, P4, and P5
achieved successful outcomes through community involvement and customer service.
Comparison of Theme 2 to Academic Literature
The academic literature also contained information about the importance of
community involvement. According to Willis (2023), by leveraging the power of in-store
events, neighborhood engagement, social media, and store design, small business owners
can foster a sense of belonging, increase customer flow, and cultivate a loyal customer
base. The community small business is a center of employment, creating jobs for the
community members who are unemployed, elderly, and disabled (Phanphairoj &
Kitcharoen, 2023). Whether it is the ties of the relationships, the potential for enlightened
gain, or a desire to improve things, small business owners are motivated to connect with
their communities (Cunha et al., 2020). The local community is often regarded as a silent
stakeholder with a limited influence on business decisions, even though those decisions
may greatly impact community life (Babaei et al., 2023). Community is critical for small
business owners.
One of the most powerful tools available to small business owners is that of the
community. Small businesses need local communities, and local communities need small
88
businesses (Sheth, 2020). Communities need small businesses for several reasons,
including providing jobs and supporting schools, charities, and church organizations
(Sawhill, 2020). Small businesses also impact the economy by keeping money in the
local community (Sheth, 2020). Small businesses and communities have a symbiotic
relationship.
Customers are the foundation of any company’s success and revenue. Business
leaders are becoming more conscious of achieving customer satisfaction (Arslan, 2020).
Customer satisfaction is important for creating a competitive advantage, distinguishing
one’s business from competitors, increasing loyalty, enhancing positive word-of-mouth,
and reducing costs of error correction (Rubio-Andres et al., 2022). Many small business
owners recognize that a loyal customer base and an active neighborhood or community
can help promote an organization’s business longevity.
Analysis of Theme 2 Under GST
GST can be used to understand Theme 2. GST asserts that a system comprises
interrelated parts or subsystems collaborating to perform a function (von Bertalanffy,
1972). Seemingly, any business-related problem has the behavior of a general system
because it can be broken down into various components or parts (Monat et al., 2022).
Four participants in this study identified customers and the community as important
components of their coffee shop system. To enhance the system’s profitability, the
participants focused on providing community services to increase their shops’ presence in
the community. The owners described how they built their businesses by establishing
relationships in the community, increasing the number of individuals within the system,
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and the system's complexity. The participants used system thinking to show how
individuals work interdependently within the coffee shop and community system.
Theme 3: Good Quality Leadership Helps Sustain Small Businesses
The third theme identified from the analysis of the participants’ interviews is that
quality leadership helps sustain small businesses. P2 explained that they hire community
members to be a part of their team. P2 said, “I hired people from the neighborhood, so
they had a vested interest, and I always. I was always, always trying to be
accommodating as much as I wanted them to be accommodating to me and my schedules
I needed from them.” P3 also indicated that they invest in and empower employees. P3
said:
Investing in employees is a strategy that has been cost-effective and improves
their skills, boosting performance and morale. I try to spend more time with them,
listening to more stories, spending time just chatting, trying to call them and see
them in person. See them more often or for more periods of time, maybe putting
more time and effort into working together.
P3 invests in employees by working with each of them individually, forming strong
personal and professional relationships with each employee. P3 further explained, “[It’s
about] putting efforts, energy, or love into my employees. Helping them throughout the
COVID in terms of giving them a little pocket money if they don't work or they couldn't
work right?” By investing in employees, P2 and P3 enhance the sustainability of their
coffee shops.
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Giving employees autonomy can help promote employee engagement and
empowerment. P1 and P2 stated that they give employees autonomy to run the business
in their absence, which empowers employees to be innovative, creative, and productive.
P1 indicated that they use democratic or participatory leadership in working with
employees. P1 said:
I would say [I have] an in-the-trench kind of leadership style. I'm not above doing
anything I would ask anyone else to do. If there’s a slot that needs filling, I'm
going to be the one who does that. Whether that's cleaning a grease trap or driving
the bus to an event location, I’ll be there.
P1 explained that they empower employees by doing similar work, leading my example.
Through this approach, employees can observe leaders working alongside them. The
employees visualize leaders willing to perform challenging tasks and work late to ensure
a project’s completion. P2 also indicated that they use a participatory or democratic style,
saying:
I would talk with my employers very much, being hands on, make them feel
consulting like make them feel like they're part of the business. I make them feel
like they're part of the whole operation and of the whole neighborhood. So, the
main function is to have them try and own it themselves and be accountable for it.
P1 and P2 promoted employee engagement in the coffee shop by allowing them to take
leadership roles and providing them with autonomy.
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Comparison of Theme 3 to the Academic Literature
Business sustainability requires investment from leaders and employees. In many
companies, leaders must demonstrate adaptability and can solve problems (Eliot, 2020).
Leaders should have characteristics that include inspiring others, showing courage,
trustworthiness, valuing building relationships, and adaptability. The participants
highlighted their ability to adapt to change, demonstrating that they work collectively
with employees to solve problems and provide quality customer service. Smith (2020)
argued that adaptability is critical for business sustainability, underscoring the importance
of futuristic thinking in acclimating to business problems. Being flexible and positive
during times of change assists in internal and external relationships being more adaptive,
positive, and productive with less negativity, stagnation, or conflict (Ahern & Loh, 2021).
Investing in employees enhances business sustainability.
Building a team is essential for successful outcomes. Employees need guidance
and often look to their leaders for direction (Tummers & Bakker, 2021). Therefore, good
quality leadership skills in small businesses can offer many benefits. The participants in
this study recommended giving employees autonomy to do their jobs, which helps them
improve efficiency. Providing employees with autonomy improves trust in their leader
and promotes job satisfaction by building trust and respect (Cho et al., 2021). Investing in
employees entails providing training and offering opportunities for promotion or more
responsibility (Tummers & Bakker, 2021). Employees who feel valued and believe they
have a path for growth are likely to be productive and remain with an organization
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(George et al., 2022). Small business owners can be the change agents for the success of
their businesses by investing in employees.
Analysis of Theme 3 Under GST
Theme 3 supports the study’s conceptual framework. GST focuses on how
components connect to form a whole (von Bertalanffy, 1972). When leaders invest in
learning new leadership skills that fit business and employee needs, there are residual
benefits related to the success and sustainability of the business (Faulks et al., 2021).
Good leadership qualities include empathy, ethical behavior, the ability to delegate, and
motivation (Grigoropoulos, 2020). Employees working interdependently within the
coffee shop or food service system can communicate and collaborate to understand better
what is required for success. Leaders can promote the sustainability of the whole system
by encouraging teamwork and investing in the health and welfare of each employee who
is a component of the system.
Theme 4: Quality Products at Affordable Prices
The fourth theme identified from the participants’ interviews is to provide quality
products at affordable prices. Four of the five participants (P1, P2, P4, and P5)
contributed to developing Theme 4. P1 stated, “Just making really, really high-quality
products is the name of the game. We’re using really high-quality coffee. We're using a
local dairy farm, and we go to the orchards in our farmer’s market every week.” P1
focused on providing customers with quality products, shopping at local farms and
orchards to obtain their ingredients. P2 also indicated that quality products are essential
for sustainability. P2 said, “The quality is first and foremost. Coffee-focused. The coffee
93
has to be good.” P2 believed that customers would not return to their coffee shop if the
coffee wasn’t superior to that of other organizations. P5 similarly believed that their
customers return for their product. P5 said, “The product we have is great. Some people
come back because they love our product.” The participants believed that providing
quality products enhances sustainability.
P4 further explained that they invested in making their food products quality
products appealing to customers. P4 said:
We have homestyle cooking here. We scramble extra people. We make more than
toast for people because no one's going to be coming in to do what they can do at
home, so we make our food extra special. We revamped our kitchen.
P4 invested in providing products that customers would not make for themselves at
home, offering customers quality food service. P4 also expressed his passion for ensuring
that prices were affordable for customers. P4 said:
We start[ed] selling coffee for one or two dollars, and it took off. They really
spoke to people because they didn't want to support Starbucks. It was cheap and it
tasted really good and [our founder] was crazy and funny and people loved it.
By providing customers with quality products at affordable prices, the participants
enhanced the sustainability of their coffee shop businesses.
Comparison of Theme 4 to the Academic Literature
Theme 4 established that quality products at affordable prices is a main reason
customers will frequent the coffee shops. This finding is consistent with the literature. Yu
et al. (2021) stated quality and quantity are often long-term decisions that require early
94
investment and decision-making, while the selling price can be adjusted in response to
the latest market conditions. For example, seasonal fashion products take time to design,
manufacture, and transport but have a short selling season and high uncertainty (Yu et al.,
2021). Even when economic times are uncertain, customers gravitate to products with
good quality that are priced fairly. Yu et al. stated that, due to the uncertainty of market
conditions, small businesses must balance the trade-off between the costs associated with
the product’s quality and quantity and those aspects’ potential benefits in sales. Providing
quality products such as coffee made high grade coffee beans and delicious pastries made
fresh daily at a fair market price helped the participants sustain their businesses. Good
quality products will often exceed the customer's expectations. In addition to making
quantity and price decisions, in many instances, the decision maker must first design the
product itself, that is, the product quality (Yu et al., 2021). The participants believed that
their choices related to product quality enhanced their sustainability in the coffee shop
industry.
Analysis of Theme 4 Under GST
Theme 4 is consistent with the tenets of GST. GST was defined by Bertalanffy in
the narrowest sense as the attempt to derive a general definition of a system as a set of
interacting components that together have the characteristics of an organized whole (von
Bertalanffy, 1968). In this study, the participants were aligned with GST by identifying
key components that will help sustain the business, including high-quality products. Each
individual product component, including coffee beans, milk, and fruit, when enhanced,
contributes to high-quality products that exceed customers’ expectations. Superior coffee
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beans combined with spoiled milk would not be appealing to customers. By enhancing
ingredient quality, the participants used systems thinking regarding their complex coffee
drinks and pastries, contributing to the entire business as a whole system. All five small
business owners participating in the study found innovative ways to increase business
profitability.
Applications to Professional Practice
The purpose of this research study was to explore strategies small business coffee
shop owners in New York use to sustain their businesses beyond 5 years. A critical
component of success in sustainability is identifying a failing or underperforming
strategy (Ghani et al., 2022). The strategies discussed in the study may provide useful
information to current small business owners who want to maintain their businesses or
entrepreneurs considering opening a coffee shop in New York. Small business owners
can embrace the strategies outlined in this study, as these strategies were proven effective
for the sustainability of coffee shops in New York. For example, through quality
improvement, business professionals could use the strategies from this study as a guide
for decisions, such as how to invest in new technologies and innovations and diversify
services not traditionally associated with coffee shops. Small business owners and
professionals can make more informed and strategic decisions based on proven datadriven insights, reducing uncertainty, risk, and doubt.
The research fills a gap in the literature by introducing strategies for small coffee
shop sustainability. Small coffee shop owners can use such knowledge to help their
businesses survive the crucial first 5 years. Although the focus of this study was small
96
coffee shop owners, these strategies are not limited to coffee shops or small businesses.
The strategies identified by this study could be used by coffee shop chains and other
organizations outside the hospitality industry. The outcomes and themes from this study
are broadly applicable to different types and sizes of enterprises. Therefore, the study has
applications to professional practice by enabling professionals, small business owners,
and other organization leaders to stay profitable in a competitive market.
Implications for Social Change
The study has numerous applications for positive social change. In 2020, small
businesses accounted for over 31.7 million people employed, which is estimated to be
around 47.1% of the workforce (U.S. Small Business Administration, 2020). However,
small businesses also have a high failure rate: around 50% fail within the first 5 years
(Gourinchas et al., 2020). The implications for a positive social change of this study
include the potential of small business owners to create employment opportunities, scale
new products and services, improve local economies by increasing revenues, and foster
collaboration with the community. By applying the strategies outlined in this study, small
business owners could create new skills for employees and reduce unemployment. Small
business owners could also build a closer relationship with pillars of the community, such
as schools, churches, hospitals, and local associations. These strategies and innovations
could attract customers to maintain the profitability of businesses, contributing to the
local economies and communities.
Innovation is an important factor small business owners use to remain
competitive. Small business leaders must evolve and take advantage of opportunities to
97
face business challenges and leverage marketing initiatives to create revenue and improve
efficiency. Digital technologies enable innovations that can contribute to social
sustainability, including the (re)industrialization of regional and local development (Xu et
al., 2022). Currently, digital technology is reasonably priced and is more accessible than
in previous decades (Nasiri et al., 2022). Small business owners who fail to innovate and
embrace technology are more likely to fall behind.
Recommendations for Action
This qualitative multiple case study explored successful strategies of small
business coffee shop owners who have sustained their businesses beyond 5 years. Small
business owners should explore this research study's findings and implement proven
strategies that have yielded profitable and successful businesses. Based on the study’s
findings, I offer three recommendations that could be beneficial to current small business
owners and those who aspire to be a small business owner of coffee shops: (a) local
community involvement, (b) innovation, (c) and quality leadership.
Local Community Involvement
In Theme 2, the participants described providing good customer service and
seeking active involvement in their local communities. All participants spoke about
measures they took to make their coffee shops community oriented. The participants
engaged in their communities by offering community discounts, sponsoring sports teams,
and providing community members with opportunities for socialization. Therefore, I first
recommend partnering with the community and community leaders. Small business
owners support the community by providing job opportunities and increasing their
98
communities’ revenues. Many people in small communities tend to support local
businesses rather than invest in chain restaurants (Byun et al., 2020). Small business
leaders should build relationships and make the business more visible with schools,
colleges, libraries, and other community shops to encourage a vibrant and loyal
community.
Diversify Products and Services to Support Innovation
In Theme 1, the participants spoke about innovation by diversifying their products
and services. Some participants sold beer and alcohol, and during the pandemic, essential
items like toilet paper. Other participants innovated by developing mobile applications,
allowing customers to order through their app and reducing wait times. Therefore, my
second recommendation is two-fold. Small business owners can drive innovation by
focusing on customer needs and innovating to meet customer needs. Taking risks and
exploring innovative techniques could be a strategy that will enhance business
sustainability. Exploring how to increase innovative work behavior could accelerate
innovation solutions to meet market demands, build customer relationships, and increase
performance, market share, and profitability while reducing the cost of doing business
(Latifi et al., 2021). For example, the participants in this study innovated using QR codes
for prepared orders to help employees process customer orders. Other participants
innovated by creating applications for faster service times. Customer service is critical to
ensure business sustainability.
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Invest in Leadership
The final recommendation is to develop quality leadership by investing in
leadership development. Quality leadership is critical in setting the standard for small
businesses to thrive. A leader who is engaged with the employees can motivate and
inspire them to achieve business goals. According to Zhao et al. (2023), there has been a
high level of interest in research that can successfully identify leader traits, especially
business leaders. Quality leaders have traits that may include superior communication,
team building, and creating and inspiring a vision. Leaders who lack these characteristics
could harm employee morale and business sustainability. Some leadership styles adopted
by small business owners during problematic economic periods may not always
encourage employees, who receive significant cuts in pay, work hours, and other limiting
factors (Howard et al., 2019). Employees tend to gravitate to leaders who motivate them,
involve them in the business goals, and invest in their success. Therefore, my third
recommendation is to invest in leadership development. By learning about effective
leadership strategies, leaders can enhance their businesses’ sustainability by promoting
employee satisfaction and customer retention.
Recommendations for Further Research
I chose a qualitative multiple-case study to explore strategies small business
owners of coffee shops use to sustain their business beyond 5 years. The findings of this
study provide a foundation for future researchers to explore how successful small coffee
shop owners can stay competitive and profitable. The target population encompassed five
small business owners of coffee shops in New York. The findings of the study may have
100
limited transferability to other types of small businesses. Thus, a recommendation for
future research is to repeat the study with small business leaders in other industries to
understand the strategies they use to sustain their businesses. Such research will lend
insight into the transferability of the study’s findings. The participants were all coffee
shop owners in New York. Consequently, the findings of the study may not be fully
transferrable to coffee shop owners in other cities or in rural locations, as New York City
has a unique culture. Future researchers could explore strategies used by coffee shop
owners in other geographical areas. Another recommendation for future research is to
explore mixed methodological studies. The current research used the qualitative
methodology, but future researchers might use other research methodologies. Using
quantitative methods could provide insight into strategies used by coffee shop owners
more broadly by including a larger number of diverse participants.
Reflections
Completing the Doctor of Business Administration program through Walden
University was a challenging yet very rewarding experience. I began this process as a
novice researcher. I learned that I needed to involve my Chair and Committee Members
for guidance and support. I initially encountered challenges in recruiting participants for
this study, which I overcame through suggestions from my chair. I worked hard to
produce quality work that accurately reflected the ideas of the small business owners who
participated in the study. I sent over 100 emails, called individual coffee shops, and
visited some businesses on foot. Several small business owners wanted to participate but
did not meet the criteria for the study. I also found it interesting that some small business
101
owners thought I was from the government and wanted information on their PPL Loans. I
was becoming deflated as I struggled to recruit participants. In retrospect, I am glad I was
optimistic that I would find participants willing and able to provide honest feedback. I
learned copious lessons conducting research for this study. As I continued to read the
academic literature, I found that many industries share the same challenges. An important
finding I will use in my future business endeavors is the finding that the coffee shop
owners were successful in cultivating relationships with all stakeholders. The relationship
the small business owners establish and maintain aids in the sustainability and
profitability of the business.
Conclusion
The purpose of this study was to explore the strategies some small coffee shop
owners have used to sustain their businesses for more than 5 years. Using GST as a
theoretical lens, I conducted a qualitative multiple case study using semistructured
interviews with five small coffee shop owners in New York City. I identified four themes
based on the participants’ interviews. Theme 1 was that the participants diversified their
business practices. Theme 2 was that the participants focused on community and good
customer service. Theme 3 was that the participants focused on quality leadership, and
Theme 4 explored the participants’ use of quality products and services. Key
recommendations based on the study’s findings include innovative diversification of
products and services, enhanced community investment and investment in leadership
development. Implications for positive social change include enhancing the sustainability
of small businesses that support local communities and economies.
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Appendix A: Participant Invitation
Doctoral Research Study
My name is Tom Gates, and I am a doctoral candidate at Walden University.
My focus is a Doctor of Business Administration (DBA) degree.
This email will provide you information to help you make an informed decision on
participation.
Purpose of the study
The purpose of this study is to explore strategies small business owners of coffee shops
use to sustain their business beyond the first 5 years.
What does participation in this research study involve?
By volunteering to participate in this study, you agree to an interview with the expected
time of 30-40 minutes. You can withdraw from the study at any time if you initially agree
to participate.
Guarantee of Confidentially
All information obtained in this study will be treated confidentially. None of the
interview results are made available to any participating organization head or the
organization. Results of this research and the individual participants identity will be
anonymous. I am happy to answer any questions or concerns you may have about the
research. Thank you.
Sincerely,
Tom Gates
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Doctoral Candidate
Appendix B: Interview Protocol
Interview:
Successful Strategies of Small Business Owners of Coffee Shops
I will use the following interview protocol:
After obtaining the names and contact information of the small business owners who
have met the criteria for the study, which is having started and maintained a small
business for a minimum of 5 years, I will send an email requesting an interview. The
email request will read as follows:
1. Greet participant and introduce self.
2. Explain to the participant the purpose of the study and the process of the
interview.
3. Provide the participant with the consent form which include assessing the
participant’s comprehension of the consent document.
4. Get the participant’s permission to audio or video record the interview session.
5. Inform the participant that he or she can stop at any time during the interview to
take a break.
6. Start recording interview.
7. Ask interview questions in the following order for each participant; Question 1-9.
8. Ask any follow-up questions.
9. Get permission from participant to contact them if I needed to confirm or validate
their response.
149
10. Call attention to the Consent form which has the address, telephone, and email
address of the Walden University IRB contact person if he or she want to talk
privately about their rights as a participant.