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Monterey, California 


A Guide for Implementing Total Quality Management 
in the U. S. Coast Guard Reserve 


David Wiley Williams 

December 1991 

Thesis Advisor: Roger 

D. Evered 

Approved for public release; distribution is unlimited 









Approved for public release; distribution is unlimited. 



Naval Postgraduate School 

(If applicable) 

Naval Postgraduate School 

6c. ADDRESS (City, State, and ZIP Code) 
Monterey, CA 93943-5000 

7b ADDRESS (City, State, and ZIP Code) 
Monterey, CA 93943 5000 


(If applicable) 


8c ADDRESS (City. State, and ZIP Code) 


Program Element No 

Project No 

Task No 

Work Unit Accession 

1 1 TITLE (Include Security Classification) 



Master's Thesis 

From To 

14 DATE OF REPORT (year, month, day) 15 PAGE COUNT 
December, 1991 109 


The views expressed in this thesis are those of the author and do not reflect the official policy or position of the Department of Defense or the U.S. 





18 SUBJECT TERMS (continue on reverse if necessary and identify by block number) 

Total Quality Management 
United States Coast Guard 
Change Agent 

1 9 ABSTRACT (continue on reverse if necessary and identify by block number) 

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. 




Roger D. Evered 

22b TELEPHONE (Include Area code) 


DD FORM 1473, 84 MAR 

83 APR edition may be used until exhausted 
All other editions are obsolete 



Approved for public release; distribution is unlimited. 

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 


from the 

December, 1991 

^^_ — 

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. 








1. Primary Question 1 

2. Subsidiary Questions: 1 


1. Scope 2 

2. Limitations 2 

3. Assumptions 2 







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 


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 




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 
problem 44 

(6) Step six — Joint action planning. 45 

(7) Step seven — Action 45 

(8) Step eight — Data gathering after 
action 45 

4. Sociotechnical Systems Design Model .... 46 

a. Social and technical parts 46 

b. Environmental part 47 

c. STS guidelines 48 


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 


1. Comments on the Change Models 54 

2. Comments on the Diagnostic Model 55 





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 


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 




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 


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 


1. Pre-action controls 80 

2. Steering controls 81 

3. Screening controls 81 

4. Post-action controls 81 


1. Announcement 83 

2. Training 83 

3. Implementation 84 

4. Data gathering 84 

5. Assessment or diagnosis 84 

6. Adjustment 85 











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 
Guard Reserve. 


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. 


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 
organizational change? 

d. How might these obstacles be overcome? 

e. What is an effective guide for implementing change? 


1. Scope 

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. 

2. Limitations 

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. 

3. Assumptions 

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 
implementation guide. 


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. 


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. 


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 
general recommendations. 



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). 


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). 

c. Coordinator 

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 
5224.7, 8). 

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 
infrastructure. " 

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. 


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 
1991) . 

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 
1991) . 

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) . 


3 O 


e I 



2 E 

c a 

° e 


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 
Quality effort. 

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 




Focus — Choose a problem and 
describe it. 

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 
each step. 

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 



-^ Problem 



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 
chapter) . 

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. 


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- 
solving process. 

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 
(PRIDE) ; 


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. 




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 
1989, 366). 

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 
Diagnostic Model. 

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 $:$| 

Current Level 
of Performance 

Higher Level 
of Performance 

Figure 5. 

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). 



N / 

'. r 


/ \ 

i i 


\ / 

I \ 





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) 
Capability deficiency. 

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 
atmosphere . 

(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 


Perceptions of 
Problemf t ) by 
Key Individuals 

Consultation with 
Behovioial Science 

Data Gathat ing 
and Pteliaunaiy 
Diagnosis by Consultant 

Feedback lo Key 
Client cm Gioup 

Joint Diagnosis 
ol Pioblea 

Joint Action Planning 
[Setting objecttives 
and goals) 


Data Gathering 
A/cm Action 

Feedback to Client 
Gioup by Consultant 

Radiaanosts and 
Action Planning 
with Client and 

New Action 

New Data Gathering 
as a Result of 

Rediagnosis of 



Figure 8. Action Research Model (Cummings and Huse 
1989, 49) 

(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 
physical laws. 


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 
relationships . 

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 
1989, 260). 


Activities ( Tasks ) 

S tincture 










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 
for flexibility. 

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). 



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 
model . 

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. 

1. Strategy 

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. 

3. Staff 

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). 

5. Style 

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). 


6. Skills 

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 


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). 


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 
desired change. 

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 




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. 


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 
previous situation. 

7. Develop Implementation Schedule 

The seventh step is to develop a schedule or time- 
table for the implementation process. 

1. Strategy 

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 
knowledge base. 


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." 

3. Staff 

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 
organization's mission. 
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 
individual effort. 

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. 
5. Style 

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. 
6. Skills 

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. 

8. Environment 

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. 


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. 


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. 


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. 

3. Communications 

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 
understanding . 

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. 


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 

a. Uncertainty 

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. 


c. Work-loads 

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) . 

b. Communication 

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. 

e. Culture 

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 
method follows. 

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. 


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- 
560) . 

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. 


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 
(influential?) members. 

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 

2. Training 

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. 


3. Implementation 

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 
this information. 

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. 


6. Adjustment 

Execute the resolutions delineated in the assessment 
step. Continue to monitor the process, gather data, 
rediagnose and institute new action; continually improve the 


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. 




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 
quality ideas. 

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. 


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. 



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!" 




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 
is reduced. 

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. 


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, 
hence assets. 

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 
organizational memory. 

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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Defense Technical Information Center 
Cameron Station 
Alexandria, VA 22304-6145 

Library, Code 052 

Naval Postgraduate School 

Monterey, CA 93943-5002 

Commandant (G-RSP) 

U. S. Coast Guard 

2100 Second Street, S.W. 

Washington, DC 20593-0001 

Professor Roger Evered 
Code AS/EV 

Naval Postgraduate School 
Monterey, CA 93943-5002 

Professor Frank Barrett 
Code AS/BA 

Naval Postgraduate School 
Monterey, CA 93943-5002 

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Naval Facilities Engineering Command 

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Alexandria, VA 22332-2300 



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