NAVAL POSTGRADUATE SCHOOL
A Guide for Implementing Total Quality Management
in the U. S. Coast Guard Reserve
David Wiley Williams
Thesis Advisor: Roger
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A GUIDE FOR IMPLEMENTING TOTAL QUALITY MANAGEMENT
IN THE U. S. COAST GUARD RESERVE (UNCLASSIFIED)
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Total Quality Management
United States Coast Guard
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Implementing Total Quality Management (TQM ) into the U.S. Coast Guard Reserve involves a major change in the way work is done. The impact
will be enormous and universal. Thorough planning must be done to ensure satisfactory integration of TQM. Interviews with the principal
officers involved with the TQM initiative were conducted to examine the current status of the project. This study describes the basis of the Coast
Guard's TQM philosophy and tools, identifies criteria of successful change, and delineates general techniques for the implementation effort.
Resistance to change and overcoming that resistance are explored. A general guide for implementing change in the Coast Guard Reserve is
outlined as a product of this research. The guide can be employed so as to be useful for initiating TQM or any new concept into an organization.
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A Guide for Implementing Total Quality Management
in the U. S. Coast Guard Reserve
David W. Williams
Lieutenant, United States Coast Guard Reserve
B.S., Rollins College, Winter Park, Florida, 1982
Submitted in partial fulfillment
of the requirements for the degree of
MASTER OF SCIENCE IN MANAGEMENT
NAVAL POSTGRADUATE SCHOOL
David R. Whipple, Chapman
Department of Administrative Sciences
Implementing Total Quality Management (TQM) into the U.S.
Coast Guard Reserve involves a major change in the way work is
done. The impact will be enormous and universal. Thorough
planning must be done to ensure satisfactory integration of
Interviews with the principal officers involved with the
TQM initiative were conducted to examine the current status of
the project. This study describes the basics of the Coast
Guard's TQM philosophy and tools, identifies criteria of
successful change, and delineates general techniques for the
implementation effort. Resistance to change and overcoming
that resistance are explored.
A general guide for implementing change in the Coast
Guard Reserve is outlined as a product of this research. The
guide can be employed so as to be useful for initiating TQM or
any new concept into an organization.
TABLE OF CONTENTS
I. INTRODUCTION 1
A. PURPOSE 1
B. OBJECTIVE 1
C. RESEARCH QUESTIONS 1
1. Primary Question 1
2. Subsidiary Questions: 1
D. SCOPE, LIMITATIONS, AND ASSUMPTIONS 2
1. Scope 2
2. Limitations 2
3. Assumptions 2
E. METHODOLOGY 3
F. LITERATURE REVIEWED 4
G. ORGANIZATION OF THESIS 5
II. BACKGROUND 6
A. CHAPTER INTRODUCTION 6
B. HISTORY OF TQM IN THE COAST GUARD 6
1. Definition of TQM 8
2. TQM overlay organization 8
a. Executive Steering Committee 9
b. Quality Management Board 9
c. Coordinator 9
d. Quality Action Team 10
e. Facilitator 10
3. Active-service progress 11
4. Reserve Program Progress 11
C. COAST GUARD TQM 13
1. The Quality Advantage 13
2. Pillars of Quality 14
a. Pillar one 15
b. Pillar two 16
c. Pillar three 16
d. Pillar four 16
e. Pillar five 16
3 . The FADE Process 17
a. Focus phase: 18
(1) Brainstorming 18
(2) Multivoting 18
(3) Selection Grid 19
(4) Impact Analysis 19
(5) Problem Statement 19
b. Analyze Phase: 20
(1) Checklist 20
(2) Data-Gathering Plan 20
(3) Fishbone Diagram 21
(4) Pareto Analysis 23
(5) Flowchart 2 3
c. Develop Phase 25
(1) Innovation Transfer 25
(2) Force-Field Analysis 26
(3) Standard Operating Procedure. ... 26
(4) Action Plan 26
d. Execute Phase 27
(1) Building Individual Support. ... 27
(2) Presentation 27
(3) Measuring and Monitoring 27
(4) Basic Descriptive Charts 28
(5) Specifications and Control Limits. 28
D. CHAPTER CONCLUSION 29
III. DIAGNOSTIC AND CHANGE MODELS 31
A. CHAPTER INTRODUCTION 31
B. DESCRIPTION OF THE CHANGE MODELS 32
1. Lewin's Change Model 32
a. Force-field theory 32
b. The three-step change model 3 4
(1) Step one 3 5
(2) Step two 35
(3) Step three 3 6
2. Transitional Change Model 36
a. Three-state organization description . . 36
b. Three-element intervention framework . . 39
(1) Information deficiency 39
(2) Motivation deficiency 40
(3) Capability deficiency 40
c. Change formula 40
3. Action-research Change Model 42
a. Eight main steps 43
(1) Step one — Problem identification. 43
(2) Step two — Consultation with a
behavioral science expert 4 3
(3) Step three — Data gathering and
preliminary diagnosis 43
(4) Step four — Feedback to key client
or group 44
(5) Step five — Joint diagnosis of
(6) Step six — Joint action planning. 45
(7) Step seven — Action 45
(8) Step eight — Data gathering after
4. Sociotechnical Systems Design Model .... 46
a. Social and technical parts 46
b. Environmental part 47
c. STS guidelines 48
C. SEVEN-S DIAGNOSTIC MODEL 50
1. Strategy 51
2. Structure 51
3. Staff 52
4 . Systems 52
5. Style 52
6. Skills 53
7. Superordinate Goals 53
8. Environment 53
9. Organizational Outcomes 53
D. COMMENTS ON THE MODELS 54
1. Comments on the Change Models 54
2. Comments on the Diagnostic Model 55
E. CHAPTER CONCLUSION 56
IV. SUGGESTED TQM IMPLEMENTATION GUIDE 58
A. CHAPTER INTRODUCTION 58
B. IMPLEMENTATION PROCESS OVERVIEW 59
1. Define the Future State 59
2. Describe the Current State 59
3 . Compare Future and Current States 59
4. Develop Plan 60
5. Anticipate Resistance 60
6. Establish Controls 60
7. Develop Implementation Schedule 60
C. DEFINING THE FUTURE STATE 60
1. Strategy 60
2. Structure 62
3. Staff 62
4. Systems 63
5. Style 64
6. Skills 65
7. Superordinate Goals 66
8 . Environment 67
9. Organizational Outcomes 67
D. DEFINING THE CURRENT SITUATION 67
E. COMPARISON OF THE FUTURE STATE AND CURRENT
F. IMPLEMENTATION PLAN 69
1. Demonstrate Commitment 7
2. Build Awareness 70
3. Communications 71
4. Common Direction 71
5. Early Successes 72
6. Training and Education 72
7. Improve Processes 73
G. RESISTANCE TO CHANGE 73
1. Sources of Resistance to Change 74
a. Uncertainty 74
b. Reward System 74
c. Work-loads 75
d. Current Paradigm 75
e. Organization Predictability 75
f. Resource Limitations 75
g. Threats to Powerful Coalitions 75
2. Overcoming Resistance to Change 76
a. Empathy and support 7 6
b. Communication 76
c. Participation and involvement 77
d. Reward System 77
e. Culture 77
f . Role Models 78
g. Replace Top Managers 78
H. ESTABLISH CONTROL MEASURES 79
1. Pre-action controls 80
2. Steering controls 81
3. Screening controls 81
4. Post-action controls 81
I. IMPLEMENTATION SCHEDULE 82
1. Announcement 83
2. Training 83
3. Implementation 84
4. Data gathering 84
5. Assessment or diagnosis 84
6. Adjustment 85
J. CHAPTER CONCLUSION 85
V. CONCLUSIONS AND RECOMMENDATIONS 86
A. CONCLUSIONS 86
B. THESIS RESEARCH QUESTIONS REVISITED 88
C. GENERAL RECOMMENDATIONS 90
LIST OF REFERENCES 95
INITIAL DISTRIBUTION LIST 98
I . INTRODUCTION
The purpose of this study is to describe the Coast Guard's
Total Quality Management (TQM) method, delineate selected
planned change models, and develop a suggested implementation
guide to facilitate TQM philosophy adoption for the Coast
Literature sources on TQM and planned change processes are
reviewed. This information is used to develop a workable
guide for the implementation of change in an organization, in
particular, TQM in the Coast Guard Reserve.
C. RESEARCH QUESTIONS
1. Primary Question
How might TQM be successfully implemented in the U.S.
Coast Guard Reserve?
2. Subsidiary Questions:
a. What is Coast Guard Total Quality Management?
b. What is planned change?
c. What are barriers/obstacles to implementing
d. How might these obstacles be overcome?
e. What is an effective guide for implementing change?
D. SCOPE, LIMITATIONS, AND ASSUMPTIONS
This thesis covers, in general, the Coast Guard's
Total Quality Management method and selected change models.
It provides a useful "how-to" guide for implementing change,
directed toward TQM, in the Coast Guard Reserve. The
intention of the study is to familiarize the reader with TQM,
various models for introducing change in organizations, and to
provide a general guide for implementing change.
An in-depth reporting of the full range of quality
literature and the various proponents' philosophies was felt
unnecessary as the Coast Guard has already chosen the TQM
method it will use. This factor influenced the research
concentration away from other TQM philosophies toward the
organizational change area.
The change literature contains vast amounts of
information. The models selected for this thesis are
representative of that information, and the evolution of
theories in the field of planned change.
This thesis assumes the reader has no, or very little,
knowledge of the Coast Guard's TQM method or familiarity with
change models. The researcher also felt there may be limited
knowledge in some areas of Coast Guard management about TQM
and planned change concepts.
The significance of the thesis will be the general
knowledge gained by the researcher and the reader on the
preceding two topics, and the resulting organizational change
E . METHODOLOGY
This study outlines the Coast Guard's TQM principles and
techniques, models for initiating change in organizations, and
suggest a guide to carry-out implementation of TQM in the
Coast Guard Reserve.
Quality management methods developed by W. Edwards Deming,
and others were studied to gain a thorough understanding of
the philosophy. Various change models and management concepts
were reviewed. Potential areas of resistance were identified
and examined, and other problems to adopting a change were
identified and diagnosed to develop a viable guide for TQM
A personal interview was conducted in Monterey, CA with
Dr. Reuben T. Harris, co-author of "Organizational
Transitions: Managing Complex Change" which outlines the
Transitional Change Model. The researcher also interviewed
the Coast Guard TQM implementation officer, the Reserve TQM
implementation officer, and the Reserve TQM pilot program
officer. The latter interviews were conducted in Washington,
D.C., and were designed to determine the progress toward
universal implementation of TQM in the Coast Guard to date.
In addition, the researcher attended a two-week Coast
Guard TQM Facilitator Training course and a one-week Navy
TQM/L Senior Managers' Seminar. The facilitator course was
taught at the Coast Guard's Training Center in Petaluma, CA by
the Coast Guard's TQM initiative contractor, Organizational
Dynamics, Inc., (ODI) located in Burlington, MA. The Navy
seminar was conducted by in-house, personnel connected with
the Naval Postgraduate School at Monterey, CA.
F. LITERATURE REVIEWED
A comprehensive organizational diagnostic model and
several organizational change models from various leaders in
the organization development field were reviewed. The models
discussed in this thesis are: Lewin's Change Model by Kurt
Lewin; The Action Research Model; The Transitional Model by
Beckhard and Harris; Sociotechnical Systems Design; and The
Seven-S Diagnostic Model by Waterman, Peters, and Phillips.
Various quality improvement philosophies and techniques
developed by some of the leaders in the quality field were
reviewed. The main ones studied were: Total Quality (Deming
1988); Single-Minute Exchange of Die (SMED) (Shingo 1985);
Poka-yoke (mistake-proofing) and Zero Quality Control (Shingo
1988) ; Taguchi Methods (Ealey 1988) ; and Group Technology
(Snead 1989) . Additional literature enhancing Deming' s
philosophy by Scherkenbach (1988) and Walton (1986) was also
However, the quality section in this thesis concentrated
on the Coast Guard's TQM method furnished by its contractor,
ODI . In-depth reporting of other quality philosophies was
deemed unnecessary as the Coast Guard has committed its
efforts to the ODI TQM method, which appears to be an eclectic
blend of many of the current quality leaders' ideas.
6. ORGANIZATION OF THESIS
This thesis is divided into five chapters beginning with
Chapter I which provides an introduction to the subject, a
justification for the research, the research questions, the
scope and limitations, the methodology, literature reviewed,
and organization of the thesis. Chapter II contains
background material on TQM in the Coast Guard and its TQM
method. Chapter III outlines selected organizational change
models and a comprehensive organizational diagnostic model.
Chapter IV furnishes a suggested guide for implementing
organizational change. Chapter V offers conclusions and some
A. CHAPTER INTRODUCTION
This chapter contains background material on TQM in the
Coast Guard. Section B briefly relates the genesis of the TQM
initiative, and the adoption progress in the active and
Reserve service to date. It provides definitions for what TQM
means in the Coast Guard, and the various components of the
TQM Overlay organization. Section C describes the
contractor's method of TQM (now the Coast Guard's way also).
B. HISTORY OF TQM IN THE COAST GUARD
In 1990, the new Coast Guard Commandant decided that the
Coast Guard shall adopt a TQM philosophy of doing business.
He felt that the demands on the Coast Guard would increase, in
concert with more restrictive budget constraints. The Coast
Guard had always been a "can do" service, responding
effectively to every demand. However, the Commandant wanted
to find a more efficient way of doing business because of the
tightening purse strings (Eccles 1991) .
The Commandant's own exposure to and additional inquiries
about the worldwide quality movements increased his resolve
that the Coast Guard should improve. Also, consultants had
been successfully used in the past. A good example is when
the law enforcement boardings were receiving a lot of negative
press. A consultant was employed to improve public notice,
the boarding method, the general publicity of the activity,
and its improved procedures.
At a flag conference (meeting of 27 Coast Guard admirals)
in September 1990, the Commandant asked the attendees to
discuss a method to improve the Coast Guard's overall
performance. The debate eventually led to quality in
management. As a result of this conference, it was determined
Total Quality Management was the way to get the efficiency
desired, and even improve effectiveness (Eccles 1991) . This
philosophy will be used to support the commitments of the
service as articulated in the Coast Guard Vision Statement.
Organizational Dynamics, Inc., (ODI) was hired from a pool
of 25 quality consulting firms previously approved by the
Office of Personnel Management. This firm seemed to fit the
Coast Guard's needs best from those interviewed. The
consultant is to provide training and education for selected
Coast Guard personnel, who in turn will become in-house
trainers. In addition, ODI will also supply expertise on an
as needed basis for the implementation process e.g., the roll-
out (occurring in stages) process and the general items that
should be in the vision statement. With the following Vision
Statement (Kime 1991) , the Coast Guard kicked-off its Total
Quality Management effort.
The Coast Guard Vision Statement:
The United States Coast Guard is committed to continuous
improvement of its performance as the world's leading
maritime humanitarian and safety organization.
We strive to be the armed force offering the most
challenging and rewarding career for the young men and
women of our nation while preserving and honoring those
customs and traditions that have served the country so
well in peace and war.
We are responsive to changing national priorities. We
are willing to explore new areas of endeavor and we seek
a balance in response to our traditional missions in
support of national security, law enforcement, maritime
safety and environmental protection.
We are committed to providing for the welfare of our
people and their families so that the Coast Guard can
stand, always ready, to serve, protect and enhance our
nation's maritime interests.
1. Definition of TQM
Total Quality Management in the Coast Guard (as
defined in enclosure (1) to COMDTINST 5224.7, 1) is a
strategic, coordinated management system for achieving
customer satisfaction that involves all managers and employees
and uses quantitative methods to continuously improve an
organization's processes. Total Quality Management's
foundation is participative management and total involvement.
2. TQM overlay organization
Total Quality Management will be implemented as a
parallel structure or overlay to the existing organization,
staffed by existing personnel. The current organizational
structure exists to carry out the mission. The TQM overlay
will exist to improve the work processes through which the
Coast Guard delivers its services to its customers (COMDTINST
5224.7, 2) .
There are five important groups in the Coast Guard's
TQM Overlay organization structure: Executive Steering
Committees (ESC) , Quality Management Boards (QMB) ,
Coordinators, Facilitators, and Quality Action Teams (QAT) .
The following paragraphs outline the duties of each entity as
established by COMDTINST 5224.7.
a. Executive Steering Committee
ESC's are the top level groups within major
commands (HQ, Areas, and Districts) that, among other duties,
provide policy guidance to QMB ' s (COMDTINST 5224.7, 3).
b. Quality Management Board
QMB • s are permanent cross-functional entities that
carry-out and oversee continuing process improvement efforts,
charter Quality Action Teams (QAT) , and identify critical
internal and external customers (COMDTINST 5224.7, 5).
TQM Coordinators' responsibilities are to arrange,
organize, and facilitate Executive Steering Committees (ESC)
and Quality Management Boards (QMB) . Coordinators also track
ongoing Quality Action Team (QAT) efforts inside and outside
the immediate unit, and plan and coordinate training for unit
personal (COMDTINST 5224.7, 11).
d. Quality Action Team
QAT's are the teams that deal with serious
organizational problems, process issues or opportunities for
exploitation that are important to analyze and that are often
cross-functional, multi-level and interdisciplinary.
Quality Action Teams consist of usually three to
seven people associated with the process/problem being
addressed i.e., the customer-supplier entities, the people
that own the process. This team uses the tools described
later to find alternative solutions to problems and
alternative decisions for recommendation to the QMB (COMDTINST
e . Facilita tor
A facilitator is a person who functions as the
coach or consultant (QAT process expert) to a QAT, another
group, or an organization. In quality improvement, the
facilitator focuses on the process while the QAT team leader
focuses on the problem/decision content.
Facilitators provide training to members on the TQM
process and tools as it becomes needed throughout the QAT
activity (COMDTINST 4224.7, 12). Another important duty of
facilitators is to furnish TQM philosophy and tools training
to all levels in the organization.
3. Active-service progress
The TQM concept in the Coast Guard is less than two
years old. It is presently in the education phase of
implementation. The process is now building a "quality
An all-out endeavor is being conducted to get a
"critical mass" in the active service indoctrinated in the TQM
philosophy and techniques by the end of fiscal year 1992.
This entails starting at the top, training approximately 2300
active-service management people as follows: 150
Coordinators, 350 Facilitators, and 1800 managers. As of
October 1991, approximately half of these had gone through
their respective training.
Two of the ten Coast Guard districts are very active
with using the TQM techniques. They already have a few
commands with the complete TQM overlay in place. These units
are using the skills learned to address problems and make
decisions. The remaining districts are proceeding more
cautiously (Eccles 1991) . The reason for their caution is not
readily apparent, however, it seems to be based on lack of
knowledge at this point, instead of lack of motivation.
4. Reserve Program Progress
The Coast Guard Reserve consists of approximately
12,000 persons who drill (work) only two days a month, and
generally perform two weeks of full-time active duty annually.
The Reserve training in TQM must be done during these drill
and active duty periods. This part-time status and
reservists' operational workloads when drilling may extend the
training and implementation time required for the Reserves.
This situation requires careful and comprehensive planning
strategies to ensure satisfactory and timely adoption of TQM
in the Reserve component of the service.
As of October 1991, the Office of Readiness and
Reserve had trained most managers at Headquarters, and was
preparing to begin TQM familiarization training for all
personnel attached to the office. The current thrust is to
build awareness of TQM to begin to change the thinking of
Coast Guard people. This change in the way people think will
eventually lead to change in the culture of the organization
(Bromund 1991) .
Progress in the field has been limited to training
District office personnel, with one exception. The Fifth
District has taken the initiative to create a pilot program
consisting of intensive unit management training. This
training is being conducted by the former District Reserve
Inspection Team which has been renamed the Reserve Quality
Team to reflect its orientation away from inspection toward
training and coaching (Myers 1991) . This pilot program
actually evolved from roots established in May 1990 when
Reserve Captain Robert E. Myers contracted training for Fifth
District Reserve personnel in quality philosophy, team
building, and participative management.
C. COAST GUARD TQM
This section provides the reader with a brief overview of
the TQM method adopted by the Coast Guard. The intent is to
encapsulate the ideas and tools of three manuals, numerous
instructions and other literature on the subject. With this
information, it is expected the reader will gain a general
understanding of TQM, an idea of its usefulness, and be able
to articulate its intended purpose and value to others.
1. The Quality Advantage
The Coast Guard's contractor, ODI, has developed a TQM
method which they feel produces The Quality Advantage (TQA) in
an organization. Their program seems to be an eclectic blend
of ideas and methods from Deming, Juran, Ishikawa, Philip
Crosby, Armand Feigenbaum, Tom Peters, and others.
Organizational Dynamics, Inc. provides three levels of
training to the Coast Guard: (1) a three day manager's
overlay, (2) a five-day coordinator training, and (3) a nine-
day facilitator training. The manager's overlay is an
introduction to TQM philosophy for senior leaders. The
coordinator training is the manager's overlay, with additional
training on the specific functional duties of a TQM
coordinator. The facilitator training is an expanded version
of the preceding two lasting four days, with five days of
intensive facilitator techniques training afterward (Eccles
In addition, ODI collaborated with Coast Guard senior
leaders to begin the conversion to TQM. They assisted in
organizing a TQM Implementation Planning Team and a TQM
Implementation Project Team to execute the implementation
plan. The training courses were part of the plan (Eccles
2. Pillars of Quality
ODI's TQA consists of five elements they call the
"Pillars of Quality" (Organizational Dynamics 1989a) . These
pillars, shown in Figure 1, are based on organizational values
such as honesty, commitment to customer satisfaction, and
being the very best that you can be (Coast Guard values, as
provided in the Vision Statement, are: continuous improvement
of performance, providing challenging and rewarding careers,
being responsive to changing national priorities, and
committed to the welfare of Coast Guard personnel) .
Figure 1 Pillars of Quality
(Organizational Dynamics 1989a)
The pillars combine many ideas of other quality
proponents' into five important areas of focus for an
organization. The five pillars are defined by ODI
(Organizational Dynamics 1989a) as follows:
a. Pillar one
Customer Focus (Meeting Requirements) — Within the
organization, products, services, and information are supplied
to different customers. This exchange links people and groups
as customers and suppliers. The organization can better meet
the needs of the final, external customers when each internal
supplier works to meet the requirements of each internal
b. Pillar two
Total Involvement (Taking Responsibility for
Quality) — Quality is not just the responsibility of
management or of inspection and Quality Control. Everyone in
the organization must be involved in achieving quality.
c. Pillar three
Measurement (Monitoring Quality) — What is not
measured cannot be improved. Quality goals cannot be met
unless baselines are established and the progress toward them
d. Pillar four
Systematic Support (Leading and Reinforcing) — All
systems in the organization, such as planning, budgeting,
scheduling, and performance management, need to support the
e. Pillar five
Continuous Improvement (Preventing and Innovating)
— Things must be done better tomorrow than yesterday. The
organization (in the form of everyone) must constantly be on
the lookout for how it can correct problems, prevent problems,
and make improvements.
This introduction to the Quality philosophy and
vocabulary is the beginning of the transformation process; the
move from the organization's current way of doing business to
the desired method, TQM. When these concepts are understood
and the ensuing problem-solving/decision-making system
learned, everyone in the organization will be using the same
language and following the same process for those activities.
3. The FADE Process
ODI's method of problem solving uses a group effort or
participative process with three to nine members on a Quality
Action Team. A QAT is made up of the people (i.e., the
stakeholders/customers-suppliers) who own the process or
operation that is a problem or bottleneck, and a facilitator.
The problem-solving process consists of four phases:
focus, analyze, develop, and execute (known as the FADE
system) . Each phase is complete once a certain output is
achieved. The output of the preceding phase is used as the
input for the phase that follows (Organizational Dynamics
1989b) . An outline of the four phases is reproduced in Table
TABLE 1. THE FADE PROCESS (ORGANIZATIONAL DYNAMICS 1989B)
Focus — Choose a problem and
A written statement of the
Analyze — Learn about the
problem from data.
Baseline data — a list of the
most influential factors.
Develop — Develop a solution
and a plan.
A solution for the problem. A
plan for implementing the
Execute — Implement the plan,
monitor results, adjust as
Organizational commitment. An
executed plan. A record of
The FADE process uses several "tools" to accomplish
each operation. Many are techniques recommended by other
quality proponents. The following, taken from the
Organizational Dynamics, Inc., Quality Action Teams,
Facilitator Manual (Organizational Dynamics 1989b) , is a
breakdown of the FADE process and the tools associated with
a. Focus phase:
(1) Brainstorming. Used to generate a list of
problems which are written on a flip chart. There are three
methods of brainstorming:
1. Silent. Each person, individually, writes down items for
2. Structured. Each person is asked, one at a time, to
call-out items to be written on a flip chart.
3. Spontaneous. The process is open to anyone to call out
items for consideration.
The objective here is to continue the process
until the team feels it has exhausted its ideas on the topic.
(2) Multivoting. Used for narrowing down the list
of ideas, problems, or options. It is used in conjunction
with brainstorming. Each member of the QAT has ten points to
assign among the items generated. This tool helps to narrow
down the list to the four to six ideas that received the most
(3) Selection Grid. Used to select one option from
several possibilities. It involves deciding what criteria are
important and using them as a basis for reaching an acceptable
The selection grid lists criteria across the
top and options along the side. It is filled-in to evaluate
how well each option satisfies each criterion. Some selection
criteria are: Is it worthwhile, doable; Do we have the time,
interest, management support, and etc.
(4) Impact Analysis . A procedure for discovering
what impact a situation has on people and their environment.
Ask each team member to describe the impact the current
situation has on him or her, on the organization, and on
customers — get specifics. Discuss these descriptions, look
for common themes.
This tool should always be used; it confirms
that the project is really worthwhile. Often it uncovers new
information and ideas.
(5) Problem Statement. Describes a problem, its
impact, and the desired state.
This tool is used for gaining consensus among
team members on what the problem is, explaining to someone
outside the team what the problem is, or demonstrating the
effects of the problem and the benefits of solving it.
b. Analyze Phase:
(1) Checklist. A list of things to be done or
items to be obtained.
A checklist is used for providing an inventory of
information needed for data collection, helps you to be sure
you've done everything you need to do, and keeps you organized
so you don't have to backtrack. It consists of the
information needed, the information's source, and who will get
(2) Data-Gathering Plan. Data are facts that can
be used as a basis for discussion or decision. There are many
techniques for data-gathering, three of which are outlined
(a) Sampling. The process of selecting a small
group of individuals or items that represent the whole
population in which you are interested. Sampling is used to
get accurate, representative information when you can't
measure all the items in the population.
(b) Survey. The process of asking people for
their opinions, reactions, knowledge, or ideas, using face-to-
face interviews, paper-and-pencil questionnaires, or a
combination of both. Surveys are used to collect usable data
about what people know, think, or feel regarding a specific
(c) Checksheet. A data-recording form that shows
such things as how many times something has happened, when
they occurred, the location of events or problems, and etc.
A checksheet is used to provide a clear record of data
gathered, ensuring that everyone will get comparable data. An
example is the number of complaints a department received, by
month, over a year's time.
(3) Fishbone Diagram. A diagram showing a large
number of possible causes for a problem. Detailed causes are
attached to a small number of main causes so that the
completed diagram looks something like the skeleton of a fish.
A fishbone diagram, shown in Figure 2, is used
for getting the big picture of a problem, facilitating team
members' use of their personal knowledge to identify causes of
the problem, and providing ideas for data collection and/or
Figure 2. Fishbone Diagram (Organizational Dynamics
(4) Pareto Analysis . A bar chart that visually
represents the distribution of occurrences being studied. The
most frequent occurrence is represented at the far left, with
other occurrences represented in descending order to the
right, as in Figure 3.
Figure 3 Pareto Chart (Organizational Dynamics 1989b)
Pareto analysis is used for identifying the one
or two situation categories in which most of the problems
occur. A determination can then be done on whether or not
something can be done about a category at that level. Maybe
it should be referred to higher authority action, and the QAT
concentrate on the next highest category for action.
(5) Flowchart. A drawing that shows the steps of
a work process in the sequence in which they occur is called
a flow chart (see Figure 4) .
A flowchart is used for understanding and
improving the work process, and creating a common
understanding of how work should be done. Diamonds are
decision points, boxes are activities, and arrows indicate the
direction of flow from one activity to the next. It is a
picture of the Standard Operating Procedures (SOP) , described
v Decision > >•
Figure 3 Flow Chart
c. Develop Phase
(1) Innovation Transfer. A tool for developing
innovative solutions. It involves using problem solving
approaches that were used in other situations in order to
generate a number of possible solutions to a different chosen
problem. It is often used for getting people out of their
current paradigm ("ruts" of thinking or view of the world) ,
and for developing new ideas that can be applied to the
problem at hand.
First, list feelings associated with the
current situation problem.
Second, list other problems that were solved in
which the same feelings were experienced. Select the one with
the most similar feelings to the current situation problem.
Third, brainstorm actions taken to alleviate
the feelings that were had in that problem.
Finally, transfer ideas from the other problem
to the current situation problem to stimulate finding related
solutions or paths of action.
(2) Cost-Benefit Analysis. A way to compare, in
dollars, the costs and benefits of a number of plans or
A cost-benefit analysis is used for comparing
the financial outcomes of different actions, and determining
whether a particular action makes sense financially.
(2) Force-Field Analysis . A method for listing,
discussing, and dealing with the forces that make possible,
and the ones that obstruct, a change you want to make. The
forces that help you achieve the change are called driving
forces, and the forces that work against the change are called
restraining forces (see Lewin's Change Model in the next
This tool is used for determining if a solution
can get needed support, identifying obstacles to execution,
and suggesting actions for reducing the strength of the
(3) Standard Operating Procedure. A set of
explicit instructions detailing the actions necessary to do
things right on an ongoing basis.
Standard operating procedure is used for
minimizing confusion and inefficiency, especially in a new or
changing process, creating common expectations about what
needs to be done, training new workers, and showing where to
take corrective action.
(4) Action Plan. An outline of who will do what,
when, and by what methods. It ensures that nothing is left to
chance as you set out to implement a new way of doing things.
An action plan is used for planning the
implementation of a solution, and coordinating data
d. Execute Phase
(1) Building Individual Support. Communication
with other individuals to inform them and gain their
commitment. Building individual support is a two-way process:
you may find yourself influenced by others at the same time
that they are influenced by you. Identify who has formal and
informal veto power. Your motto should be "no surprises."
This tool is used for gaining support,
informing people, and getting input. It is often used before
a formal presentation.
(2) Presentation. A method of formal
communication, usually conducted for groups. A presentation
can be made to any group that needs to be informed or whose
commitment is needed. Time is allowed for discussion. More
than one presentation may be needed. Presentations help
create consensus as each person finds out what others have to
A presentation is used for sharing ideas and
findings, gaining understanding and support, getting ideas
from others, creating consensus among individuals, and
teaching skills and procedures.
(3) Measuring and Monitoring. Measuring is the
means of obtaining data for monitoring or for any other
purpose. Monitoring means keeping track of how close you are
to where you want to be — or how far from it.
Measuring is used for following a work process
and gathering data to understand a problem. Monitoring is
used for identifying unwanted variation at the start of the
problem-solving cycle, and completing the problem-solving
(4) Basic Descriptive Charts. A way to describe
what is happening by summarizing quantities of data in simple
visual displays such as pie charts, bar charts, and trend
Basic descriptive charts are used for seeing
results yourself, and presenting results to others.
(5) Specifications and Control Limits.
Specifications are indicators of the level of performance you
want or need. Control limits are indicators of how the
process usually performs; they are calculated by applying
mathematical formulas to the past history of the process.
Specifications are used for monitoring your
process so that you can see at a glance whether it is giving
you what you want. Control charts can be used for monitoring
your process so that you can see at a glance whether it is
doing something unusual i.e., whether it is "out of control."
The FADE process is designed to be used for
problem solving by completing each step sequentially,
although, not all the tools need to be used for every problem.
At the end of the process, all options should have been
considered and an optimal decision reached. If an optimal
decision is not found, then one which will "satisfice" the
stakeholders (entities who have and interest in the outcome)
can be easily reached. Satisfice means a consensus is reached
where all parties are satisfied the solution will suffice for
the problem. Satisf icing helps to avoid sub-optimizing (one
part of the organization optimizing, while the organization as
a whole suffers) in an organization.
D. CHAPTER CONCLUSION
This chapter presented a brief outline of the beginning of
TQM in the Coast Guard, its overlay structure, implementation
progress to date, and the major components of the TQM problem-
The Quality Advantage (Organizational Dynamics 1989a) of
ODI contains several meaningful topics which were not
discussed. However, these points should be communicated to
all members of the Coast Guard Reserve for a thorough
understanding of the TQM philosophy. The most important are:
1. The cost of quality, with its necessary and avoidable
2. The customer-supplier chain, with the importance of
whether or not a step in the chain adds value to the
3. The elements for developing customer-supplier agreements
(based on customer needs and supplier capabilities) —
Product, Relationship, Integrity, Delivery, and Expense
4. The 1-10-100 rule, showing the increased costs of
correcting problems as they get farther from the source
(1 — individual or work group level, 10 — internal
level, and 100 — customer level) ;
5. The seven steps of the Quality Blueprint; and
6. The steps to becoming a quality leader — lead by
commitment, manage by involvement, support by
endorsement, and allow by training and use of TQM
It is interesting to note, the Commandant was less than
satisfied with the present method of problem-solving and
decision-making in the service; its lack of standardization
and/or comprehensiveness. TQM must offer a vastly improved
method over the current procedures.
Another interesting discovery is that no comprehensive
assessment of the current organization was done to facilitate
the implementation process. No evidence was discovered by
this researcher that the organizational elements discussed in
the next chapter were reviewed to see what was currently being
done on the quality topic, where the organization's strengths
and weakness lie, or what might be its opportunities and
Chapter III examines some selected change models and a
diagnostic model which are useful tools in implementing any
organizational change, such as adopting a new management
philosophy and its techniques.
III. DIAGNOSTIC AND CHANGE MODELS
A. CHAPTER INTRODUCTION
The Coast Guard is changing the way it does decision-
making and problem-solving to follow the TQM philosophy. To
aid in planning the implementation process, it may be useful
to explore a sampling of the change models available. This
examination may reveal techniques to help facilitate the
This chapter presents a review of selected planned change
models and a comprehensive organizational diagnostic model.
In studying something as complex as an organization, it is
clear that there is no one paradigm or organizational change
model presented in the literature that captures every
situation, rather each brings added insight.
Planned change is the deliberate design and implementation
of a structural innovation, a new policy or goal, or a change
in operating philosophy, climate, and style. Planned change
is greater in scope and magnitude than reactive change. It is
appropriate when the entire organization, or a major portion
of it, must prepare for or adapt to change (Stoner and Freeman
A model is the concrete embodiment of a theory or a
simplification of the real world, described as a series of
separate parts or functions that make up a whole process. It
used to study and convey complex relationships in easy-to-
understand terms (Stoner and Freeman 1989, 11). Another
significant meaning of model is behaving in an idealized way
so that others might learn or change their behavior by
identifying with and adopting those behaviors displayed
(Cummings and Huse 1989, 537).
The models selected for this paper are Lewin's Change
Model, the Transitional Change Model, the Action-Research
Model, Sociotechnical Systems Design, and the Seven-S
B. DESCRIPTION OF THE CHANGE MODELS
1. Lewin's Change Model
a. Force-field theory
This early model of planned change by Kurt Lewin is
based on his "force-field" theory, which asserts that any
behavior is the result of an equilibrium between forces
driving for change and restraining forces striving to maintain
the status quo (see Figure 5) . Driving forces push one way,
conversely, restraining forces push the other way (Lewin
1951a) . When both sets of forces are about equal, current
levels of behavior are maintained in what Lewin termed a state
of "quasi-stationary equilibrium" (Lewin 1951b) .
Forces for Change
Forces for Maintaining Status Quo
N ev/ te ch n o I o gy : :•:
Better Raw Materials . £
Competition From Other Groups!- •:•
Supervisor Pressures; :•:
• Group Performance Norms $$#&
:; Fear of Change :$:*:$
Member Complacency :$:*:•:*
Weil Learned Skills $:$|
Force-Field Analysis (Cummings and Huse 1989,
This push-push contention immediately brings to
mind resistance to change in an organization. The driving
forces are the attempts to push the organization (or work
group) in another direction (e.g., TQM) because of new
technology, budget constraints, competition from other groups,
increased productivity demands and the like. Restraining
forces are the reactions people have to this drive because of
fear of change, comfort with well-learned present skills,
complacency and similar opposition.
When there is a push to change, Lewin notes, the
natural tendency of people is to push back. These driving
forces activate their own restraining forces. Decreasing
restraining forces is normally a more effective way to weaken
the push back i.e., resistance to a change. Modifying the
forces maintaining the status quo produces less tension and
resistance than increasing forces for change and consequently
is a more effective strategy for change (Lewin 1951b) .
Lewin states, "The forces can be of many types, and
the behavior or performance can be that of an individual,
group, or entire organization." Lewin' s model reminds us to
look for multiple causes of behavior rather than a single
cause. The force-field theory also suggests organizations
have forces that keep performance from falling too low, as
well as forces that keep it from rising too high, such as work
norms (Lewin 1951a) .
There are two major obstacles to change identified
by Lewin. First, individuals are unwilling (or unable) to
alter long-established attitudes and behavior. Second, change
frequently lasts only a short time. After a brief period of
trying to do things differently, individuals often return to
their traditional pattern of behavior (Lewin 1951a) .
b. The three-step change model
To prevent obstacles of this sort, Lewin developed
a three-step, sequential model of the change process:
unfreezing, changing or moving, and refreezing (see Figure 6) .
(1) Step one. Unfreezing involves making the need
for change so obvious that the individual, group, or
organization can readily see and accept it. It usually
involves reducing those forces maintaining the organization's
behavior at its present level.
Unfreezing is sometimes accomplished by
introducing information that shows discrepancies between
behaviors desired by organizational members and those
behaviors they currently exhibit (Lewin 1951a; Lewin 1951b) .
(2) Step two. Changing requires a trained change
agent (or a change leader) to foster new values, attitudes,
and behavior through the processes of identification and
internalization. Once organization members perceive their
effectiveness in performance increasing due to the change,
they identify with the change agent's values, attitudes, and
behavior, internalizing them.
A change agent is the individual from outside
the organization who leads or guides the process of a change
in an organizational situation (Stoner and Freeman 1989, 366) .
A change leader is on the inside of the organization, and
performs the same function, managing the process of change
(Harris 1991) .
This step shifts the behavior of the
organization or department to a new level. It involves
developing new behaviors, values, and attitudes through
changes in organizational structures and processes (Lewin
1951a; Lewin 1951b)
(3) Step three. Refreezing means locking the new
behavior pattern into place by means of supporting or
reinforcing mechanisms, so that it becomes the new norm. Some
supporting mechanisms are organizational culture, policies,
and structures. This step stabilizes the organization at a
new state of equilibrium (Lewin 1951a; Lewin 1951b) .
Figure 6. Lewin' s Change Model
2. Transitional Change Model
a. Three-state organization description
The Transitional Change Model, described by
Beckhard and Harris (1987) , uses a three-state method of
describing an organization: (1) Future State, (2) Present
Situation (or state) , and (3) Transition State (see Figure
The future state describes the desired state of the
organization — what the managers want the organization to
look like, function like, or accomplish. The present
situation describes the current state of the organization.
The difference between the future state and the present state
indicates what is necessary for the transition, what needs to
be changed (or kept the same) to reach the desired future
state (Beckhard and Harris 1987; Harris 1991).
H — i
Figure 7. Transitional Model (Beckhard and Harris 1987,
To analyze an organization's desired future state
and present situation, Harris (one of the co-authors) ,
recommends using the Seven-S Diagnostic Model for
organizational effectiveness with the two added dimensions of
environment and organization outcomes (Harris 1991) . The
Seven-S Model will be described, with the modifications, later
in this chapter.
In the three-phase Transitional Change Model,
Harris suggests first defining the future state the
organization wants to achieve in terms of the nine dimensions.
Managers must determine what kind of an environment the
organization expects to deal with; the kind of strategy that
it wants to have in place; the structure desired; the outcomes
expected, how much money it wants to make, etc. ; and the
desired level of performance, job satisfaction, morale
expected of the people, and etc. The object is to describe
everything in terms of the nine dimensions. That defines the
organization the managers seek to achieve.
Next, the current situation of the organization
should be analyzed. What kind of organization is it now?
This analysis of the current situation is done along the same
nine dimensions i.e., what is the current environment,
strategy, skills, and etc. Try to create a parallel picture
between the future state and the current situation. Once this
analysis is finished, management has a complete picture of
where the organization wants to go and where they are now.
The next questions to ask are: What is the
difference in these two states? What has to be changed and
what needs to be kept the same? The answers to these
questions defines the work to be done.
But in using this model, Harris cautions, one
should keep in mind that everything affects everything. If
you change one of the nine dimension, that change affects the
other dimensions. So work may have to be done on the other
dimensions to ensure a balance is maintained. To the extent
these nine dimensions are compatible with each other, fit to
each other, work together well, can it be said whether or not
the organization is effective and will accomplish what it
attempts to accomplish.
b. Three-element intervention framework
Harris uses a three-element framework of
intervention (initiating change) in an organization. In this
model, the object is to identify the elements that cause
resistance to a change. There are three elements that can be
deficient in an organization that can prevent change: (1)
Information deficiency, (2) Motivation deficiency, and (3)
Often a situation occurs in which an organization
decides to change its structure, technology, goals or etc. ,
but does not seem able to change. That could constitute
initial resistance to change. The reason it does not make the
change needs to be overcome. What causes this situation?
(1) Information deficiency. Maybe people in the
organization do not know what they are expected to do or what
needs to be done. That is information deficiency. Often, if
they get correct and accurate information at the right time,
they do the right things.
(2) Motivation deficiency. Sometimes people all
know what the problem is, they know what they are supposed to
do, but they do not want to do it. They are not willing to
take the right action. That is a motivation issue. With this
deficiency, the managers need to change the willingness of the
people to act.
(3) Capability deficiency. Sometimes there is a
situation in which people know what to do, and they are
willing to do it. However, they don't have the capabilities
to do it, such as the skills or resources. This capability
deficiency also prevents or retards change.
The issue for change intervention is to find
out which element or elements cause the problem. The easiest,
cheapest, and fastest element to correct is usually
information. Provide people with what they need to know, the
rationale and the goals, and they usually do it.
The most difficult element to correct is
motivation. A lot of the motivational problems have to do
with leadership practices, nature of the communication and
feedback, performance appraisals, and the reward systems.
Resistance to change will be discussed further in another part
of this paper.
c. Change formula
Beckhard and Harris (1987) use a formula to
illustrate the change process: C = [ABD] > X
C — the likelihood that any change will be
A — represents the clear and agreed upon goals
(people are not willing to change if they don't know where to
go) . This could also be seen as information.
B — the degree to which there is dissatisfaction
with the current situation (people want change) . This could
also be seen as motivation.
D — the degree to which there are perceived viable
first steps (things that we do now that will get the momentum
going) . This could be seen as related to capability.
X — the "costs" of changing.
Change is a function of the variables A,B, and D.
What does the intervention need to be about? Action depends
on which of the three is deficient. If any of the three is
low, the likelihood of successful change is low (Harris 1991) .
Also, factors A, B, and D must outweigh the perceived costs
(X) for change to occur (Beckhard and Harris 1987, 98-99).
To implement the intervention and improve those
elements, an organization will have to choose an appropriate
intervention technology. For example, a pilot project or an
experiment may help managers (and workers) understand the
organization's capabilities of completing a successful change.
An across the board intervention or an organization-wide
confrontation meeting may help the information flow. Creating
temporary management structures, involving the people, may
increase motivation and commitment (Beckhard and Harris 1987,
3. Action-research Change Model
Action research refers to the way organizational
development (OD) change agents go about learning what aspects
of the organization need to be improved, and how the
organization can be helped to make these improvements (Stoner
and Freeman 1989, 376).
Organizational development is a long-range effort
supported by top management to increase an organization's
problem-solving and renewal processes through effective
management of organizational culture. It is an approach to
planned change that is more encompassing and meant to move the
entire organization to a higher level of functioning while
greatly improving the performance and satisfaction of
organization members (Stoner and Freeman 1989, 375).
The Action-Research Model focuses on planned change as
a cyclical process in which initial research about the
organization provides information to guide subsequent action.
Then, the results of the action are assessed to provide
further information to guide further action, and so on. This
iterative cycle of research and action involves considerable
collaboration between organizational members and OD
practitioners. It places heavy emphasis on data gathering and
diagnosis prior to action planning and implementation, as well
as careful evaluation of results after action is taken
(Cummings and Huse 1989, 47). Figure 8 shows a representation
of the action research cycle.
a. Eight main steps
There are eight main steps to the action research
method to implementing planned change in an organization
(Cummings and Huse 1989, 48-50):
(1) Step one — Problem identification . This stage
usually begins when a key executive in the organization, or
someone with power and influence, senses that the organization
has one or more problems that can not be solved internally.
(2) Step two — Consultation with a behavioral
science expert. The initial contact between the consultant or
change agent and the client entails a careful assessment of
each other. The client articulates his concerns. The
consultant should share the normative, developmental theories
with which he works to establish an open and collaborative
(3) Step three — Data gathering and preliminary
diagnosis . This stage is usually completed by the consultant,
often in conjunction with organizational members. The four
basic methods of gathering data are: interviews, process
observation, questionnaires, and organizational performance
Problemf t ) by
Data Gathat ing
Diagnosis by Consultant
Feedback lo Key
Client cm Gioup
Joint Action Planning
Feedback to Client
Gioup by Consultant
with Client and
New Data Gathering
as a Result of
Figure 8. Action Research Model (Cummings and Huse
(4) Step four — Feedback to key client or group.
Action research is a collaborative activity, hence, the data
are fed back to the client, usually in a group or work-team
meeting. This step helps the client group, with the
assistance of the consultant, to determine the strengths and
weaknesses of the organization or the department under study.
(5) Step five — Joint diagnosis of problem. The
client group discusses the feedback, and the focus returns to
research as the consultant and the group discuss whether this
is a problem on which the group intends to work. The
consultant's role is to help the group to accurately interpret
the data gathered. Working together, they form a diagnosis
accepted by the organization.
(6) Step six — Joint action planning . The
consultant and the management team jointly agree on further
actions to be taken. The specific action to be taken depends
on the culture, technology, and environment of the
organization; the diagnosis of the problem; and the time and
expense of the intervention. This is the beginning of the
"transition state" (described by Beckhard and Harris) and the
"changing or moving" step (described by Lewin) .
(7) Step seven — Action. This involves the actual
change from one organizational state to another. It may
include installing new methods and procedures, reorganizing
structures and work designs, and reinforcing new behaviors.
These actions usually require a transition period to move from
the present state to the desired state.
(8) Step eight — Data gathering after action.
Because action research is a cyclical process, data must also
be gathered after the action has been taken in order to
measure and determine the effects of the action, and to feed
the results back to the organization. This, in turn, may lead
to rediagnosis and new action.
4. Sociotechnical Systems Design Model
Sociotechnical System Design is a planned change model
concerned with the quality of work life (QWL) (Cummings and
Huse 1989, 253) . QWL can be defined as a way of thinking
about people, work, and organization with two elements: (1)
a concern for the well-being of workers as well as for
organizational effectiveness and (2) the promotion of employee
participation in important work-related problems and
decisions. This duality of focus evolved the sociotechnical
systems (STS) theory from an extensive body of conceptual and
empirical work underlying QWL applications.
a. Social and technical parts.
STS theory is based on two fundamental premises:
(1) that an organization or work unit is a combined, social-
plus-technical system and (2) that this system is open in
relation to its environment (Cummings and Huse 1989, 260).
The social part is formed of the people performing
the tasks and the relationships among them. The technical
part consists of the tools, techniques, and methods for task
performance. The two parts are independent of each other as
they follow a different set of behavioral laws. The social
part operates according to biological and psychosocial laws,
while the technical part functions according to mechanical and
Consequently, the two parts are related since they
must act together to accomplish tasks. The technical part
produces goods and services, and the social part has
consequences such as job satisfaction and commitment. The key
issue is how to design the relationship between the two parts
so that these outcomes are both positive. Figure 9 shows the
Sociotechnical practitioners design work and
organizations so that the social and technical parts work well
together, producing high levels of product and
sociopsychological satisfactions. This contrasts with
traditional approaches to designing work, which tend to focus
on the technical component and worry about fitting people in
later. This often leads to mediocre performance at high
social costs (Cummings and Huse 1989, 260).
b. Environmental part.
The environmental premise concerns the fact that
systems are open to their environments. The environment
provides the STS with necessary inputs of energy, raw
materials, and information. The STS, in turn, provides the
environment with products and services. The key issue is how
to design the interface between the STS and its environment so
that the system has sufficient freedom to function while
exchanging effectively with the environment (Cummings and Huse
Activities ( Tasks )
Figure 9. Sociotechnical Design Elements
c. STS guidelines .
Based on the preceding conceptual ideas,
sociotechnical practitioners have devised a number of
guidelines for designing work and organizations for high
levels of performance and QWL (Cummings and Huse 1989, 261-
2 62) . These include:
1. Compatibility among goals, structure, and the way work
is designed that includes participative activity among
the various stakeholders e.g., employees,
managers, engineers, and etc.
2. Minimal requirements of what needs to be done are
specified; employees chose the work methods to
accomplish the tasks.
3. Quick control over variance is maintained for timely
responses to problems.
4. Organizational boundaries are located to facilitate the
sharing of information, knowledge and learning.
5. Continual information flow to those performing work;
reduce barriers/levels that slow and filter information
to those who need it.
6. Workers have the power and authority to have access to
equipment and materials needed.
7. Workers are multifunctional, trained in multiple skills
8. There is support congruence with the information and
reward systems, reinforcing goals.
9. A transitional organizational structure is needed for
the move from a traditional organization design to
10. A realization that the sociotechnical system design
process never ends, but continues as new things are
Possibly the most popular contribution of
sociotechnical systems design is the development of self-
regulating work groups. This alternative provides workers
with flexibility and self-control not generally found in the
traditional work designs prevalent in organizations. These
groups are especially suited to competitive and changing
environments (Cummings and Huse 1989, 262).
C. SEVEN-S DIAGNOSTIC MODEL
The Seven-S Model was developed by Waterman, Peters, and
Phillips based on discussions with consultants, academics, and
business leaders. The group found that several areas (which
they categorized into the seven-s's — strategy, structure,
systems, staff, skills, style, and superordinate goals)
affected an organization's ability to implement new ideas or
change (Waterman et al. 1980) . Figure 10 shows the Seven-S
Figure 10. Seven-S Model (Waterman, et al)
By adding Harris' two dimensions of environment and
organizational outcomes, a comprehensive vehicle for
organizational examination is available to managers.
Analyzing these nine dimensions will show a relationship
between them. It allows us to see what ramifications a change
in one dimension has on the others. The following is an
explanation of the seven plus two elements.
Strategy has several meanings, depending on the
context in which it is used (Mintzberg 1987) . Here, strategy
is the pattern or plan that integrates an organization's major
goals, policies, and action sequences into a cohesive whole
(Quinn 1980) . Strategy refers to those actions that an
organization plans in response to or anticipation of changes
in its external environment — its customers and competitors.
It is this plan of action that causes it to allocate its
scarce resources over time, to reach identified goals.
Major characteristics distinguishing strategy from
general types of planning are: time horizon, impact,
concentration of effort, pattern of decisions, and
pervasiveness. Strategy is long-term and wide-ranging
(Waterman et al. 1980, 311) .
2 . Structure
Structure refers to how the organization's activities
are divided, organized, and coordinated. It encompasses
organizational design — whether it is centralized or
decentralized, flexible or rigid, hierarchical or egalitarian
(flat, equality in layers) . It is a characterization of both
the formal organization chart and the informal structure for
getting things done.
Staff alludes to the character and quality of the
people in the organization.
4 . Systems
Systems refers to all the formal and informal
procedures that allow the organization to function. Some
examples include reward systems, information systems,
performance appraisal systems, meeting or committee systems,
training systems, and communication systems (Waterman et al.
1980, 311; Stoner and Freeman 1989, 232).
Style refers to the dominant type of leadership in the
organization as well as the organization's style as a whole.
Style relates to anything that distinguishes the character of
the organization including distinctive values, beliefs,
climates or culture. It does not refer to personality, but
rather to the pattern of substantive and symbolic actions
undertaken by top managers. Style communicates priorities
more clearly than works alone, and may profoundly influence
performance (Stoner and Freeman 1989, 232).
Skills refers to those things which the organization
and its people do particularly well; the core competencies of
key people and/or skills of the organization as a whole
(Waterman et al. 1980, 313) .
7. Superordinate Goals
Superordinate goals are the fundamental ideas around
which an organization is built. They are its main values; the
broad notions of future direction that the top management team
wants to infuse throughout the organization (Waterman, et al
1980). These goals are the guiding concepts, values, and
aspirations that unite an organization in some common purpose
(Stoner and Freeman 1989, 232). This is the "glue" that holds
the other characteristics of the organization together.
8 . Environment
The first modification characteristic Harris (1991)
adds to the Seven-S model is that of environment. This refers
to the external world (such as government, suppliers,
customers and etc.) to which the organization has to respond.
The restrictions, requirements, and expectations that the
environment has in relation to the organization.
9. Organizational Outcomes
The second addition is organizational outcomes. This
refers to everything (such as performance, service,
dedication, morale, and etc.), that defines to the
organization itself, what is a good organization (Harris
D. COMMENTS ON THE MODELS
1. Comments on the Change Models
Levin' s is one of the first organizational change
models developed. As such, it provides a general framework
for understanding change in organizations. The follow-on
models elaborate the change process more precisely.
The basic strength of the Transitional Change Model is
that it addresses the three most important issues which
prevent the implementation of a successful change: the need
for clear goals, dissatisfaction with the current situation,
and the need for viable first steps. If a manager can
overcome these barriers, he or she will have a greater degree
of success in "unfreezing" the old, instituting the change and
"refreezing" the organization to the new form (Harris 1991) .
The model may, however, over-simplify the elements in
resistance to changes. The model also does not recommend any
method of dealing with the loss of privileges or power of some
people in the current situation. Some resistance may come as
a result of this shortcoming. Also, some people identify
themselves with the current situation, but the model doesn't
seem to adequately help them to identify with the new
Using the eight steps, the Action Research Model
places strong emphasis on developing specific on-site
interventions in collaboration with management, after a
thorough joint diagnosis. Action research goes beyond just
solving a specific organizational problem to helping managers
gain the skills and knowledge to solve future problems
(Cummings and Huse 1989, 51).
Sociotechnical Systems Design recognizes the inter-
relationship between the organization's technical or work side
and its social or human side. Also, the organization must
function as an open system, interacting with its environment.
Incorporating these aspects with the design guidelines, can
result in an organization with robust QWL characteristics.
2. Comments on the Diagnostic Model
The main advantages of using the modified Seven-S
model is its simplicity and comprehensiveness. The seven
dimensions are easy to visualize and understand; they quantify
the organization's internal environment. Addition of the two
dimensions of environment and organizational outcomes, provide
a framework for analyzing the external environment and
furnishes a process for measuring the outputs of the
While being comprehensive, a drawback of the modified
Seven-S model may be that it is too simple in trying to
address a complex organization. It may not be detailed
enough, and may require further breakdown for greater analysis
of the organization.
Also, it may not fully address the social factors in
the organization which are directly related to the people in
the organization: their characteristics (individual and small
groups) , their patterns and processes of interaction, and
their features as larger social groups.
This model seems to almost assume organizations are
like machines, if you fix one part, which is not functioning
properly, and align it with the rest, the problem is solved.
However, if it is remembered that there is this social aspect
to organizations, the weakness can be mitigated.
Any good diagnostic model currently in use is intended
to convey the same ideas. Organizations are more than just
structure, and all of the elements that make up an
organization must be in balance with each other for the
organization to function optimally. The effective
organization is one that has blended its structure, management
practices, rewards, and people into a package that in turn
fits with its strategy. However, strategies change and when
they do, the organization must change (Galbraith 1991, 315).
E. CHAPTER CONCLUSION
This chapter described some selected models for
organizational change and a model with which to diagnose
organizations. A diagnosis can be an invaluable instrument to
identify an organization's strengths and weaknesses, its
opportunities and threats, and assist in developing the future
state that management desires.
A change model is beneficial in that it reduces the
complexities of organizational change down to easily grasped
concepts and components. An individual model may not contain
all the elements a specific organization may need to
accomplish the transition most effectively. However, several
models can be studied so the most useful attributes of each
may be merged to form an effective model for implementing a
There are several approaches and ideas that can focus on
the needs of a particular organization. As such, the models
reviewed were used to develop a framework in which to
recommend change approaches. The next chapter combines
attributes from several change models with good management
practices and the modified Seven-S diagnostic model to form a
functional guide for implementing TQM in the Coast Guard
IV. SUGGESTED TQM IMPLEMENTATION GUIDE
A. CHAPTER INTRODUCTION
The United States Coast Guard has evolved from its single
mission origin on August 4, 1790 as the Revenue-Marine to its
present configuration. Many tasks were acquired since 1790,
which resulted from, among other events, merger with the Life-
Saving Service in 1912 (forming the Coast Guard) and the
addition of the Lighthouse Service in 1939 (Bloomf ield 1966) .
This long-term evolution resulted in the Coast Guard becoming
a multidivisional organization.
The multidivisional type of organization operates almost
as a collection of smaller, semi-autonomous service divisions
that take responsibility for short-term operating decisions
(e.g., in the Coast Guard the Office of Marine Safety, the
Office of Readiness and Reserve, and etc.). Strategic
decisions, with their inherent longer time horizons, remain
the responsibility of the central headquarters office (Stoner
and Freeman 1989, 228). The most recent, major strategic
decision Coast Guard Headquarters has made is to institute a
Total Quality Management philosophy for operating the
Once a desired change has been identified, such as TQM, it
must be incorporated into the daily operations of the
organization. It must be translated into the appropriate
organizational tactical plans, programs, and budgets.
This chapter will deal with the tactical plans of the
implementation process for the Reserve component of the Coast
Guard. Section B outlines a suggested implementation process
with its various steps. Sections C through I describe, in
general, each step in the process.
B. IMPLEMENTATION PROCESS OVERVIEW
1. Define the Future State
The first step in initiating a major change in the
Coast Guard Reserve should be to define the way management
wants the organization to look, function, and operate. To do
this phase adequately, the desired organization should be
thoroughly described. The modified Seven-S model can be used
as a guide for this step.
2 . Describe the Current State
The second step is to delineate the organization as it
is now, again using the modified Seven-S model.
3 . Compare Future and Current States
The third step is to compare and contrast the results
of the first two steps to ascertain which aspects of the
organization are already like those desired, and those facets
which are dissimilar.
4. Develop Plan
The fourth step is to devise a plan to accomplish the
changes identified in step three, without changing the
organization's current characteristics that are still desired.
5. Anticipate Resistance
The fifth step is to anticipate resistance to change,
and plan for countering that resistance.
6. Establish Controls
The sixth step is to ensure adequate controls are in
place to accomplish the change, and to prevent a return to the
7. Develop Implementation Schedule
The seventh step is to develop a schedule or time-
table for the implementation process.
C. DEFINING THE FUTURE STATE
How do the Coast Guard Reserve managers wish the
organization to respond to changes in its external
environment? Do they want an organization that anticipates
future trends, and is responsive to them in its planning
processes? Do they want one that carefully chooses its long
range goals, and devises plans to achieve them? An
organization in which the policies and action sequences have
been integrated in to a cohesive whole to accomplish its major
Or are the managers content to be reactionary to the
events around them? Do they want to continue with just status
quo operations until something of magnitude occurs to jolt
them into action?
From the new requirement to use the Total Quality
Management way of doing business, it is obvious Coast Guard
management wants the service to perform as the former, rather
than the latter. They desire the Coast Guard to be pro-
active, responsive to the total environment, and efficient as
well as effective. This requirement pertains to the Coast
Guard Reserve as well.
The kinds of strategy elements desirable for the
future Reserve organization, to provide an affirmative basis
for creating and maintaining efficiency and effectiveness are:
(1) setting and communicating to all members clear, written
overall mission and goals; (2) fostering cooperation among all
organizational elements toward those goals; (3) empowering
managers and workers (delegation of authority) ; (3)
flexibility (thinking outside of the box or current paradigm) ;
(4) brainstorming (allowing new ideas to emerge) ; (5) openness
of communication to be customer oriented both internally and
externally to the organization; (6) filter and/or direct
activities to minimize "less desirable" ideas or projects that
could have harmful after effects to the whole organization;
and (7) support continuing education or competency in
2 . Structure
The ideal Reserve organization is "goal or mission
driven" to excel at providing their product or service.
Within this scope, the organization encourages communication
and cooperation between individuals, teams, or departments.
The organization should be hierarchical enough to maintain
focus when necessary, but flexible enough to allow freedom of
research and knowledge sharing.
Given the pace of change in today's environment, more
and more organizations are relying on informal organizational
structures to get things done (Stoner and Freeman, 1989) .
This informal structure may be growing out of the personal and
group needs of an organization's members.
The kinds of structure (consistent with both formal
and informal) elements that provide the affirmative basis for
organizational change and flexibility are: (1) a structure
that permits autonomy of actions; (2) a positive environment
that is supportive — not autocratic; (3) decentralized; (4)
good communication networks — both internally and with the
external environment; and (5) not rigid with its explicit
"rules and regulations", but allows for interpretive "intent."
Successful organizations view people as resources to
be managed aggressively — that is, to be nurtured, developed,
guarded, and allocated (Stoner and Freeman 1989, 232). The
kinds of staff qualities the Coast Guard Reserve desires
should include: (1) a strongly held belief in the
organization's mission; (2) a significant commitment to the
organization and its goals; (3) self-motivated and
self-starters; (3) high honesty and strong integrity; (4)
eagerness to learn new ideas and techniques; (5) excited by
challenge; (6) good communicators; (7) people who work well
with others, teamwork; and (8) competent.
The people who are receptive to change are diverse in
terms of skills and specialties, but they all usually have two
things in common: competence and persistence. They are
self-starting, team-oriented members sharing a common vision,
excited by and driven toward excellence in pursuit of the
4 . Systems
All the systems of the Reserve organization should be
analyzed to determine how management would like them to
function. As an example, organizational productivity is
enhanced through the collective systems of communications,
reward and recognition, and performance appraisal. This is
done specifically through open candor, constructive
critiquing, and rewards directed towards teamwork as well as
The kinds of systems (consistent with both formal and
informal) desired by the organization to support the foregoing
elements are: (1) good communication and information
networks, vertical and horizontal, internal and external; (2)
timely reward and recognition of improvements; (3) failure or
"less-than-optimal" ideas are not punished, rather they are
used as learning experiences; (4) a performance appraisal
system (in congruence with reward and recognition systems)
that will enhance career and promotion opportunities; and (5)
use of personnel forums.
The most successful leaders have learned that instead
of being autocratic, they need to listen and empathize with
members of the organization. They should be the visionary who
guides decisions that will provide the best overall benefit to
the organization's goals. All major decisions and changes are
handled through face-to-face discussion, whenever possible, in
order to build genuine commitment and honest feedback of
Hersey and Blanchard's (1982) Situational Leadership
theory espouses that the most effective leadership varies with
the "maturity" of subordinates. They define maturity not as
age or emotional stability but as a desire for achievement,
willingness to accept responsibility, and task-related ability
and experience. Hersey and Blanchard believe that the
relationship between a leader and subordinate moves through
four phases — a kind of life cycle — as subordinates develop
and learn (mature) . The leadership style varies with each
phase, going from high direction with low relationship to that
of fully delegated members (Stoner and Freeman 1989, 470-472) .
Bennis and Nanus (1985) take this a couple of steps
further. They look at what they term "transformative"
leadership — the capacity to translate intention into reality
and sustain it. Bennis and Nanus go on to report that the
essential thing in organizational leadership is that the
leader's style "pulls" rather than "pushes" people. A pull
style of influence works by attracting and energizing people
to an exciting vision of the future. They discovered that the
effective leader's style seemed able to create a vision that
gave workers the feeling of being at the active centers of the
social order — a part of the "family", a "fun" place to be.
The foregoing outlines the ideal organization's style:
leaders who listen and empathize, are visionary, able to
adjust their style to the maturity of the subordinate, and
able to energize their workers. The Coast Guard Reserve
should incorporate this view of the future state of
organization style, which is in agreement with TQM philosophy.
The ideal Reserve organization would encourage the
skills development of its members to include leadership,
interpersonal relationships, and sufficient political and
psychological "tools" to improve effectiveness and efficiency.
These are in addition to the technical skills the organization
members must acquire.
As an example, the kinds of desired skill elements of
organizational leaders are: (1) leaders who know themselves -
- feel competent and comfortable with what they are, who they
are, and who they and others think they are; (2) good
communicators; (3) magnanimous, they share their power by
empowering workers; (4) celebrate diversity; (5) learn from
past experience and mistakes to grow; (6) stewardship —
taking care of their people, removing interferences, providing
rewards in an open and fair manner; (7) political skills; and
(8) interpersonal skills.
Bennis and Nanus (1985), talked about four areas of
competency or human handling skills: attention through
vision; meaning through communication; trust through
positioning; and the deployment of self through positive self-
regard. Their book offers a blueprint to the successful
organization — a self-actualized, learning organization, to
create a new culture.
7. Superordinate Goals
The Coast Guard's (including the Reserve) desired
organization core values have been declared in the
Commandant's Vision Statement. Activities which do not
support the advancement of those values should be scrutinized
closely for relevancy. They should be abandoned or modified
if found inconsistent with those core values.
An analysis of the future state of the environment is
made by projecting Reserve budgets and program emphasis. This
must be a continual process of reviewing the political,
economic, and social climates in which the Coast Guard Reserve
9. Organizational Outcomes
The Coast Guard Reserve must identify what entails
being a good organization for itself and each sub-unit. When
this criteria is determined, each element will then have a
model toward which to endeavor.
D. DEFINING THE CURRENT SITUATION
This step again uses the modified Seven-S diagnostic
model. The purpose of this type of examination is to
categorize how the Coast Guard Reserve functions now, in
relation to the nine areas.
Answers to the following questions will furnish insight
into the current situation: Does the Coast Guard Reserve
integrate its major goals, policies, and action sequences into
a cohesive whole? Is the structure flexible enough to respond
to changes efficiently, as well as effectively? Is the staff
inculcated with competence and persistence, self-starting,
highly motivated, and team oriented? Do the systems have goal
congruence; or does the evaluation system emphasize individual
performance rather than team work? Is the management style
autocratic or does it embrace participative decision-making?
Are the skills of the personnel used sufficiently or is most
work usually "reinventing the wheel"? Do all managers know
what are the guiding concepts, values, and goals of the
organization? Do all managers know what the organization
considers is a good organization?
No detailed explanation will be presented as every
divisional element, whether the entire Coast Guard Reserve or
a sub-unit of the organization, must analyze each area
individually as it pertains to them. However, one example may
prove helpful. When reviewing the personnel skills in the
present state or current situation, look for the strength and
weaknesses of the people.
In the Reserve program, many drilling reservists already
have varying degrees of TQM expertise acquired in their
civilian employment because of the nation-wide emphasis on
quality. These employees can, in general, more quickly adapt
to the Coast Guard TQM philosophy as they will usually require
less background training. Many can be employed as trainers
for others, after only a brief period of personal instruction.
E. COMPARISON OF THE FUTURE STATE AND CURRENT SITUATION
This step uncovers what work is needed to reach the
desired state. A comparison between the desired future state
of the Coast Guard Reserve and how it is now, in relation to
the nine diagnostic areas, can be easily completed.
Contrasting the results will establish what is necessary to
change, and what needs to be kept the same.
To continue the example of personnel skills, identify
individuals in the Reserve who already have the political and
psychological skills desired. These can include teachers,
civilian managers, social workers, and similar professionals.
These people may presently have the background education or
training in the communication and interpersonal skills needed
to help the Reserve move toward being a quality organization.
F. IMPLEMENTATION PLAN
The elements and ideas for this section come from a
plethora of sources. Some of the most prominent are: The
Coast Guard Total Quality Management Implementation Plan,
Total Quality Management: A Guide to Implementation (Mansir
and Schacht 1989, August); How to Get Started Implementing
Total Quality Management (Federal Total Quality Management
Handbook 1991, June) ; Introduction to Total Quality Management
in the Federal Government (Federal Total Quality Management
Handbook 1991, May) ; and Quality Improvement Prototype
(Sacramento Air Logistics Center 1991 and 1926th
Communications-Computer Systems Group 1991) .
Many other ideas come out of various courses the
researcher has taken and lectures attended at the Naval
Postgraduate School in Monterey, CA, discussions with
professors and other students, the Coast Guard TQM Facilitator
Training, and the Navy's Senior Leaders Seminar on Total
Quality Management/Leadership (TQM/L) .
1. Demonstrate Commitment
Peter Block says in his book "The Empowered Manager"
that the act of leadership is fundamentally the act of
articulating a vision and acting in pursuit of that mission
(Block 1987, 110) . The Coast Guard Commandant has articulated
a vision, and is using TQM in pursuit of that vision.
Nothing survives long without management support.
Reserve management must show strong commitment to the new
philosophy for it to succeed. This commitment can be
demonstrated by participating in TQM training, understanding
and using the vocabulary and tools in their own work, and
creating a work environment in which their subordinates do the
2. Build Awareness
TQM involves learning a new language. Also, many
common words now take on a different meaning. Reserve
managers should build their personal understanding of TQM by
attending training, reading books and articles, and viewing
videos on the subject. Also, subordinates must be provided
with opportunities for training, be encouraged to pursue
additional knowledge, and be included in activities as
outlined in the TQM training.
Build a network of vertical and horizontal information
sharing. Get people talking to each other to overcome
barriers, work through problems, and provide encouragement and
support in the TQM implementation process.
This information sharing should include regular
communications on successes and difficulties encountered with
TQM implementation and with TQM itself. Others may have had
the same situations arise, and already solved them or could
furnish a different viewpoint.
A foundation of mutual trust and respect must be in
place for this unconstrained exchange of information.
Personnel at all levels must feel free of detrimental
evaluation implications to enthusiastically report false-
starts, omissions, and errors in their attempts at TQM.
4. Common Direction
Reserve management should establish a vision of the
future state at each level of the organization (HQ, District,
Reserve unit) . Develop meaningful short-, mid-, and long-
range goals to reach that vision. Monitor the progress using
the controls described later in this chapter. In addition,
ensure evaluations reward activity congruent with the goals.
5. Early Successes
Widely publicize early successes. These have to be
significant enough to make a difference, but small enough to
be easily controlled as a first step. Start at the top of the
organization which will clearly show top management
As an example, after flowcharting several processes,
a Reserve District may find Reserve Group staffs do not add
appreciable value to these processes. This link in the chain
may be deleted, streamlining the operations and possibly
freeing members of the Group staff for more constructive work.
6. Training and Education
Providing adeguate time and training resources for
training all personnel is another signal of Reserve management
commitment to TQM. Education and training help accelerate the
TQM movement by bringing everyone to a basic level of
To facilitate successful adoption of TQM by Reserve
units, training should be provided in the following seguence:
(1) Commanding Officer and other senior managers, to
demonstrate TQM's potential and ensure their commitment; (2)
TQM Coordinator, to plan future training and design the TQM
Overlay at the Reserve unit — including QAT's; and (3) TQM
Facilitator, who will conduct much of the training for unit
members and assist QAT activities.
Facilitator skills need to be exercised as soon as
possible after completing training. Hence, it is advantageous
to have the Reserve unit TQM Overlay in place before training
the facilitator. Sending a trained facilitator to a unit that
is not ready to begin using TQM is frustrating for the
facilitator, and the new skills soon begin to deteriorate.
7. Improve Processes
Continually improve the foregoing methods using the
skills of TQM. Flowchart every process to eliminate
unnecessary or unproductive operations. Find problem areas
and bottlenecks. Add or discard steps as necessary for
individual units. Take advantage of emergent strategies i.e.,
good ideas that are discovered during the implementation
process (Mintzberg 1991, 14) . Communicate them to the rest of
the Reserve. Consider using the action-research technique to
enhance the TQM method to improve the organization.
G. RESISTANCE TO CHANGE
There is an abundance of sources of resistance to change.
This section will outline a representative few of the most
common, and offer countermeasures to mitigate many of them.
In addition, the appendix recounts several specific barriers
the Coast Guard and the Navy management perceive as being
significant in their respective services. Research ( Human
Resource Management News, 30 September 1991) and discussions
at TQM training courses indicate the greatest resistance
originates with management. Most organizations experience
enthusiastic support from non-managers.
1. Sources of Resistance to Change
People often resist change because they are worried
about how their work and lives will be affected by the
proposed change (Stoner and Freeman 1989, 368). Will they
lose benefits? Will they have to give up existing power, have
to share power or even get power? Will they lose their job
entirely? Managers who have helped to formulate strategies,
may resist strategic reorientations in order to retain power
and status. They may try to persuade themselves and others
that their strategies are appropriate (Starbuck, Greve, and
Hedberg 1991, 791) .
"Fear of the unknown" often causes anxiety in
people, resulting in resistance to proposed changes. They are
usually concerned because they may not possess the new skills
required to carry out the new tasks (Tichy 1983, 344).
b. Reward System
Often, the reward and evaluation systems still
emphasize individual instead of team performance, and focus on
production instead of quality. This situation cannot help but
to slow the TQM change process.
Managers repeatedly feel they have too much to do
now without adding TQM activities.
d. Current Paradigm
Managers and subordinates frequently believe they
already produce quality work. The current system has worked
well for many people, and for a long time. They feel there is
no need to change their current paradigm.
e. Organization Predictability
Organizations are generally structured to ensure
predictability and reduce uncertainty. This sets in motion
organizational inertia and structural habit (Tichy 1983, 345) .
f. Resource Limitations
The organization may resist change due to resource
limitation. Scarce resources result in political bargaining
over who gets what share of the pie. It can also result in
impasses and overall organizational resistance to change
(Tichy 1983, 347)
g. Threats to Powerful Coalitions
This resistance is an expansion of threats to
individual power noted in the sub-section on uncertainty.
Using TQM may alter the strategic contingencies in some parts
of the Reserve, making a new group more important to the
future success of the organization. The old dominant
coalition may resist change due to this threat of a power
redistribution (Tichy 1983, 346).
2. Overcoming Resistance to Change
Resistance to change can be exhibited at many levels
as noted in the section on sources. These levels include:
the individual level, the organizational level, and the
organization's culture, which may reinforce the status quo
(Cummings and Huse 1989, 111). The following are
representative actions that can be used to diminish resistance
on several levels.
a. Empathy and support
Initiators of change try to understand how people
are experiencing the change. Those guiding the change process
in the Reserve program should be receptive to concerns of the
people involved. This requires suspending one's own judgement
and actively listening to the other's perspective. This
active listening process will facilitate a more open
relationship with problem people. Also, it will help with
discovering solutions acceptable to both parties (Cummings and
Huse 1989, 112) .
Effective communications about changes and their
likely consequences can reduce speculation and can allay
unfounded fears. It can help managers realistically prepare
for change (Cummings and Huse 1989, 112). Reserve managers
should prepare a planned campaign to discuss the change to
TQM. Encourage members to ask questions, share concerns, and
offer input. Regularly conduct quality review meetings to
update everyone on the change progress ( Human Resource
Management News, 30 September 1991) .
c. Participation and involvement
Involve organizational members directly in
implementing TQM in their subdivisions. Members can provide
a diversity of ideas and suggestions that can contribute the
success of the change process. Get feedback with attitude
surveys and periodic employee focus groups to stay in-tune
with people's feelings during the transition (Cummings and
Huse 1989, 112) .
d. Reward System
Build quality achievement into evaluations ( Human
Resource Management News, 30 September 1991) . Reserve
management should insist on being involved with revising the
personnel evaluation forms. If no action has been started on
revising the system organization-wide, exhort the service to
do it. People's performance is strongly influenced by the
scale on which they are measured.
The culture of an organization is that set of
artifacts, beliefs, values, norms, and ground rules that
defines and significantly influences how the organization
operates (Beckhard and Harris 1987, 7). Identify those
elements of the Coast Guard Reserve culture that need to be
maintained, those to eliminate, and the ones to introduce.
Then select the key personnel with whom to form links to
accomplish the changes in values and norms. One excellent
1. Role Models
If a key group in the Reserve begins to operate
with a different culture (TQM values) , a model is created for
others in the organization to follow (Tichy 1983, 355).
g. Replace Top Managers
As a last resort, it may be necessary to replace
top managers. Indiscriminate replacement of entire groups of
top managers may be required to bring an organization out of
a resistance posture.
Replacement of one or two top managers at a time
may not be enough. When top managers are replaced gradually,
the newcomers are injected into ongoing, cohesive groups of
veterans, and the newcomers often exert little influence on
these groups, whereas the groups can exert much influence on
the newcomers (Starbuck, Greve, and Hedberg 1991, 791) .
Cohesive groups can also impede an incumbent
manager's own efforts to adopt change. The pressure of the
group's expectations of behavior norms can often nullify
change attempts. In these cases, it may become necessary to
break up the group, as well as replace top management.
H. ESTABLISH CONTROL MEASURES
Control is the process through which managers assure that
actual activities conform to planned activities (Stoner and
Freeman 1989, 556). This definition suggests control is
intended to accomplish and that it entails action. Deming
says, "you can't improve what you don't measure."
There are many factors that will make control necessary
when implementing TQM in the Coast Guard Reserve. The
organization is large and complex, it is geographically
dispersed, managers or their subordinates make mistakes, and
the delegation of authority all require some degree of
Implementing a large-scale, organization-wide change
requires controls to ensure satisfactory progress is being
made. Through the control function, managers detect variances
that affect the organization. They can then move to manage
effectively (i.e., control) the resulting threats or
opportunities to the process (Stoner and Freeman 1989, 556-
Mockler (1972) divides control in to four steps: (1)
Establish standards and methods for measuring performance; (2)
Measure the performance; (3) Determine whether performance
matches the standard; and (4) Take corrective action. The
control process is designed to guide individual and group
behaviors in accordance with organizational goals and
standards. The concept suggests managers must see the process
through to its conclusion, or they are merely monitoring
performance rather than exercising control.
Excessive controls can be harmful to the organization and
its employees. They can retard motivation, inhibit
creativity, and damage performance. Inadequate control wastes
resources, makes it more difficult to attain goals, and can
harm subordinates if some managers, not subject to adequate
control, supervise too closely. Yet control is necessary in
organizations to improve processes and help achieve goals.
In establishing controls, the task for Reserve managers is
to find the proper balance between appropriate organizational
control and individual freedom. The empowerment of employees
and use of TQM philosophy and techniques will help in
determining that balance. Using the control methods described
by Stoner and Freeman (1989, 361-364) will facilitate
management of the TQM implementation process.
1. Pre-action controls
These controls help ensure that before an action is
undertaken the necessary human, material, and financial
resources have been budgeted. This involves coordination and
scheduling of resources at the times and in the types,
quality, quantities, and locations needed.
2. Steering controls
Steering controls are designed to detect deviations
from some standard or goal, and to allow corrections to be
made before a particular sequence of actions is completed.
They also allow managers to take advantage of unexpected
opportunities so resources can be shifted to areas where they
will do the most good.
The controls are most effective when the manager can
obtain timely and accurate information about changes in the
environment or about progress toward the desired goal. Hence,
a rapid communication procedure should be built into the
implementation process for the Reserve Program.
3. Screening controls
These controls provide a process in which specific
aspects of a procedure must be approved or specific conditions
met before operations may continue. Screening controls
provide a means for taking corrective action while a program
is in progress.
Screening controls can provide a safety-net for the
implementation process. They should not be designed to unduly
hamper innovation, but constructed to enhance communications
4. Post-action controls
Post-action controls measure the results of a
completed action. The causes of any deviation from the plan
or standard are determined and the findings applied to similar
future activities. These controls should also be used to
collect information on the implementation activities,
successful ones and those that do not prove fruitful.
The significance of these four types of control is
enhanced by timeliness and accuracy. Timeliness is important
because the sooner deviations are discovered, the sooner
corrective action can be taken. Accuracy is critical since
the corrective action is based on information obtained from
the post-action control measurements.
I. IMPLEMENTATION SCHEDULE
The current schedule is to perform quality training in the
field units for six to eighteen months. The purpose is to
achieve a trained critical mass in Reserve management. It
will include quality indoctrination, TQM Overlay organization
instruction, TQM tools familiarization, and coordinator and
facilitator training (Bromund 1991) .
Depending on the knowledge base in different geographical
areas, Quality Management Boards will be established in 12 to
18 months after training begins. Quality Action Teams will
begin functioning soon afterward. It is expected that, as the
Reserve organization matures in the quality philosophy,
natural work groups will be using TQM techniques for problem-
solving and decision-making in approximately 24 months after
training begins (Bromund 1991) .
A schedule for implementing TQM or any major change in an
organization should include the following:
1 . Announcement
Develop "political" support from influential members
of the organization before promulgating a change. Even in an
autocratic organization, this is necessary for a smoother
transition. Starting with this step assumes support for the
change to TQM has already been secured from high-level
Announcement of a new philosophy, direction or program
should be done from the top-down. Every person in the
organization should be informed about the change: what the
change is, why the organization is doing it, what the expected
benefits are, everyone's role in the process and the impact on
them, and how the organization will go about implementing the
Training should be provided top-down in three phases:
Top management, middle management, and workers. Training top
management first must be done to ensure their commitment,
identify and address high-level resistant areas and personnel,
and to demonstrate to the other levels the commitment of the
organization to the change.
The first part of implementing the change should be
done, if possible, in a highly receptive part of the
organization with enthusiastic participants. A pilot-project
could be developed to "test the waters" for problems and
successes with instituting the change. This operation could
be started after concentrated training in that part of the
Next, analyze the activity in the pilot-project. Make
adjustments and implement the change in the entire
4. Data gathering
Gather data from all parts of the organization on the
progress of the change. Use interviews, process observation,
questionnaires, and organizational performance data to collect
5. Assessment or diagnosis
Appraise the progress of the change by analyzing the
data gathered in the preceding step. Determine the strength
and weakness of the actions taken to date. Identify the
threats to be countered and the opportunities that can be
exploited. Use TQM tools, and as necessary charter QAT's, to
address the problem situations.
Execute the resolutions delineated in the assessment
step. Continue to monitor the process, gather data,
rediagnose and institute new action; continually improve the
J. CHAPTER CONCLUSION
This chapter offered procedures to effect a change in the
Coast Guard Reserve, with emphasis on TQM. The process was
intentionally general in that it did not presume to dictate
specific actions at any level of the Reserve Program. It did,
however, suggest needed and useful planning and action steps
for initiating planned change.
This guide is not meant to present an exhaustive strategy.
There are, assuredly, steps or techniques not discussed.
Also, each phase or point included could be expanded
considerably. The intent is to provide a reasonable
framework, containing many recommendations from several
sources, with which the Reserve program managers can form a
tailored plan for the entire organization, including
individual districts and units.
V. CONCLUSIONS AND RECOMMENDATIONS
The review of the literature revealed that most
organizational diagnostic models have common attributes such
as categorizing similar areas to diagnose, e.g., structure,
style, and environment. The change models indicated that
everything affects everything else i.e., when change occurs in
one area it affects other areas. Some models concentrate on
planned organizational change internally, while others are
concerned with adaption of the organization to the external
environment (Goodman and Associates 1982) .
Also, the Coast Guard's TQM method incorporates many of
the ideas of several guality advocates. This method, it is
assumed, uses the best or most workable aspects of the current
What the researcher has discovered from reading and
reviewing the materials and attending the Navy and Coast Guard
training on TQM/L is that no one method stands alone as the
quality panacea. The Navy and Coast Guard methods touch the
surface of the tools and techniques. The Navy's statistical
process control emphasis is just the beginning of the quality
path. The Coast Guard's TQM method may not be complete
either, however, it provides an excellent process for decision
making and problem solving. With this foundation, the Coast
Guard and Coast Guard Reserve can continue to improve its
management abilities and service performance through quality.
In addition, there is a myriad of excellent quality-
related material available. Books such as "Kaizen", "Team
Building", and "Memory Jogger Plus" are three examples. The
evolution of quality organizations will continue. The next
progression may be toward learning organizations as discussed
by Peter Senge in his book "The Fifth Discipline."
Organizations need a particular mind-set for managing
change or innovation: one that emphasizes process over
specific content, recognizes organization change as a
unit-by-unit learning process rather than a series of
programs, and acknowledges the payoffs that result from
persistence over a long period of time as opposed to quick
fixes (Beer, Eisenstat, Spector, 1990) .
Their ideas for "organizational revitalization" has a two
front assault to win over change and innovation. Beer,
Eisenstat, and Spector say that there must be a "grass-roots"
acceptance and consensus building coupled with high levels of
top management commitment. They think about this challenge in
terms of three interrelated factors required: coordination or
teamwork; competence; and commitment.
In the implementation phase of the Sociotechnical Systems
Design model, all the analysis is collated into
recommendations for joint optimization. To arrive at this
level, we need to backtrack and set up what Beckhard and
Harris call the diagonal slice task force group. The diagonal
slice group provides representative and continuing input from
many different levels, cultures, and functions within the
organization (Beckhard and Harris 1987, 78).
The Beer, Eisenstat, and Spector idea that says for all
members to "buy in" toward change, each member group needs to
be represented and actually go through the diagnostic
analysis of the situation. Their findings will ultimately
result in the direction to be recommended to upper management.
B. THESIS RESEARCH QUESTIONS REVISITED
The primary research question is "How might TQM be
successfully implemented in the U.S. Coast Guard Reserve?"
The procedure outlined in Chapter IV, Section B provides one
answer to this question. There is, of course, no one right
intervention strategy or change implementation method. Each
organization, and frequently each organizational sub-unit,
requires techniques distinctive to its own situation.
A subsidiary research question is "What is Coast Guard
Total Quality Management?" The answer to this question is
found in Chapter II, Section C, and concentrated on the tools
of Coast Guard TQM. However, it should not be inferred from
the detailed explanation of the tools that the quality
philosophy part of TQM is of less importance.
Another subsidiary research question is "What is planned
change?" The change models discussed in Chapter III, with the
modified Seven-S Diagnostic Model furnished an overview of
planned change. The models are a representative group of the
work in the organizational change domain.
The third and fourth subsidiary research questions are
"What are barriers/obstacles to implementing organizational
change?" and "How might these obstacles be overcome?" The
implementation guide in Chapter IV, Section G describes
several of these barriers, and the appendix lists many of the
specific perceived problems voiced by management personnel
from the Navy and the Coast Guard. Section G also describes
some methods to surmount the barriers.
Every organization and each level of an organization has
its own sources of resistance to change. Also, the magnitude
of this resistance fluctuates over time. The most effective
means to reduce resistance seems to be communications.
Communicate openly, honestly, and regularly with those
impacted by an organizational change and anxiety is abated.
The final subsidiary question is "What is an effective
guide for implementing change?" Chapter IV, Section B
furnished a general guide for implementing change, with
elements drawn from various literature sources. The suggested
guide provides a format which the Coast Guard Reserve can use
to build its own, unit-specific implementation plans.
C. GENERAL RECOMMENDATIONS
The suggestions included in this section were developed
when the researcher attended the Coast Guard Facilitator
Training course and the Navy's Senior Leaders TQM/L Seminar.
These few recommendations are general in nature. However,
they may give the reader other ideas on which to elaborate.
1. Flowchart every process. This will help identify
bottlenecks, eliminate steps, and aid in streamlining
everywhere possible. Flowchart the implementation process to
identify where each level of the organization is at a given
time. Flowchart the organization's SOP's. Then flowchart how
the procedures are actually done. Often, the two are not
alike. Corrective action can then be done, whether adjusting
the actual to the SOP or vice versa.
2. Train "Master Trainers" in TQM for each Reserve
district. This individual or group of reservists would train
the Reserve unit personnel who will then train unit members.
Train Reserve management in statistical control techniques:
data gathering, compiling, and especially interpreting. Begin
TQM training (or education) immediately in basic schools e.g.,
REBI and ROCI . Insert TQM training and discussion in every
two-week training course to encourage early inter-
relationships among supplier-customer groups. Include TQM
training with the Reserve Annual Training. Begin training on
giving presentations, team building, and group dynamics.
3. Educate everyone on the responsibilities and duties of
the Executive Steering Committee (ESC) , Quality Management
Board (QMB) , TQM Coordinator, TQM Facilitator, Quality Action
Team (QAT) , and the QAT Team Leader. Train and refresher
train the ESC, QMB, Coordinators, Facilitators, QAT members,
and all other personnel.
4. Incorporate TQM (teams, process improvement, etc.)
into evaluation forms, the reward system, and process
measures. Immediately change the evaluation forms to add team
appraisals instead of stressing individual performance.
5. Provide each Reserve unit with a library of
recommended quality literature. There are several excellent
books on the recommended list. The federal government also
provides many books, booklets and pamphlets on quality at
little or no cost.
6. Educate everyone to understand TQM in not a voting
process. The discussion and ideas come while improving a
process, not during an operation. For example, discuss how to
perform the rescue of a man-overboard. When its time to
actually do a rescue, do it, using the method discussed. Then
improve the process afterward.
7. Continually review all processes for improvement;
remember, its no longer "If it ain't broke, don't fix it."
The phrase now is "If it ain't broke, improve it!"
PERCEIVED BARRIERS TO TQM IMPLEMENTATION
A. COAST GUARD
Dozens of anticipated barriers to TQM have been voiced at
various ODI training courses. The top five perceived
impediments to TQM working in the Coast Guard are listed
1. Perception that senior officers really aren't
participating in TQM.
2 . Who gets the savings from TQM? The concern here is that
when a unit improves processes and saves money, their budget
3 . Our Coast Guard culture — the customary way of doing
business is not compatible with the TQM methods.
4. Stovepipes — the lack of cross-functional awareness of
the Quality philosophy.
5. Unrealistic expectations — a drive for short term
solutions and payoffs with TQM.
B. NAVY-MARINE CORPS
The following barriers to TQM implementation were
articulated by members of the Navy and Marine Corps at the
Navy's Senior Leaders TQM Seminar. The Seminar was held from
16 September through 2 September 1991 at the Hyatt Regency in
Monterey, CA. There were 24 officers present of flag rank
down to the 0-5 level.
1. Individual competition within the organization. The
military's competitive environment and appraisal and promotion
system is not team oriented.
2. Resistance in general to top down directions to do things
3. People's feeling of "here comes another program!"
4. Management's perception of touchy-feely or "hug 'em and
love 'em" way of doing business.
5. The current organization structure or chain of command,
especially middle management with concern for losing power.
6. The bureaucratic change process too slow.
7. Costs too much time and resources to train and implement.
Takes people and money away from activities personnel and
units are evaluated on.
8. Current federal acquisition regulations, e.g.,
requirements for lowest bidder to win contracts.
9. Civilian personnel regulations requires individual
10. Advocators of TQM don't use TQM.
11. TQM being thought of as a panacea, when it's found not to
be, it will fade away.
12. Every unit/supervisor will not be using the same
measuring criteria for some time. Also, current measurement
system not conducive to TQM processes.
13. Size and distribution of military makes it difficult to
get everyone on board.
14. Comptrollers. Money people still in control of money,
15. Ships may be the most difficult place to implement TQM.
16. Too difficult to stop using Management By Objective i.e.,
MBO works pretty well. Why change?
17. Continual movement of personnel. Trained facilitators
and others moved to commands not ready. Also, it causes short
18. Units losing money because of it. Improve and reduce
costs; money gets cut.
19. Quality outside of Beltway is different from quality
inside the Beltway. What is found excellent and workable in
the field is at odds with Headquarters ideas.
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2100 Second Street, S.W.
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guide f n r-
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Management in the U.S.
Coast Guard Reserve.