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A processual framework for understanding TQM - Introduction
The principles of Total Quality Management (TQM) and the context of its historical development and emergence within Australia have been described in Part I. It was argued that TQM can be located within the development of management thought and represents a new and innovative approach to achieving some long-established aims in the control and management of organisations. The emphasis on continual improvement through employee (and external customer and supplier) involvement and the formation of group problem-solving teams is at the heart of TQM.
Quality is defined on the basis of customer expectations and represents an on-going dynamic rather than any end state.
Quality is best understood and examined as a long-term change strategy which seeks to institutionalise employee commitment through the management of belief systems and the establishment of more participative operating procedures. However, as yet, there is little detailed empirical evidence on the complex processes associated with the organisational introduction of TQM on which critical assessments can be made. It is our intention to rectify this shortfall through presenting a series of analytically grounded case studies which focus on particular elements of TQM at various historical timeframes in the process of change.
We aim to highlight the weakness of conventional frameworks of organisational development rooted in Kurt Lewin's unfreezing, changing, refreezing model, and to present new empirical data on the introduction of TQM in Australian and New Zealand companies. Essentially we argue that linear models of change are no longer appropriate to explaining the non-linear and complex organisational processes associated with the transformation to a total quality organisation. In support of our claim, we adapt a processual framework for analysing change developed by Dawson (1994). Whilst we recognise that this framework has limitations, we contend that it also has considerable strengths in enabling the systematic analysis of complex change data. From our perspective, it has proven particularly useful in informing the research design, in clarifying the data collection requirements of distant researchers, and in enabling the case studies to be analytically grounded.
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A Conventional Approach: Example Of Lewin's Change Model
Kurt Lewin has been a major influence on research within the behavioural sciences and on the development of tools for the effective management of change within organisations. As a German Jew, Lewin was forced to leave Germany in 1933 and this early experience of anti-Semitism, is shown in his concern for democracy and participation at the workplace (Board, de 1978:50). His work on intergroup dynamics and change has proved to be particularly influential on those practising within the field of management known as Organisational Development (OD), and many theories of organisational change originate from his landmark work on planned change (see, Kreitner and Kinicki, 1992:723-61). Essentially, Kurt Lewin argued that in order for change to be successfully managed it is necessary to follow three general steps (Robbins, 1991:646).
These three steps identified by Lewin (1951) comprise: unfreezing, changing, and refreezing. Unfreezing is the stage in which there is a recognised need for change and action is taken to unfreeze existing attitudes and behaviour. This preparatory stage is deemed essential to the generation of employee support and the minimisation of employee resistance. According to Lewin's technique of force-field analysis (1947:5-42), there are two sets of forces in operation within any social system; namely, driving forces that operate for change and restraining forces which attempt to maintain the status quo.
The example of smoking illustrates this where, although there may be strong driving forces to stop smoking, such as social pressure, cost, fear of cancer, new laws, disapproval of children and the concern of others, the restraining forces of habit, camaraderie, relief of tension, spouse smoking and the dislike of coercive methods may act to maintain the status quo (Weisbord, 1988:79).
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If these two opposing forces are equal in strength, then they are in a state of equilibrium. Consequently, to bring about change you either need to increase the strength of the driving forces or decrease the strength of the resisting forces. Furthermore, as these two sets of forces are qualitatively different it is pos- sible to modify elements ofboth sets in the management of change. In practice, however, the emphasis of OD specialists has been on providing data that would unfreeze the system through reducing the resisting forces rather than increasing the driving forces (Gray and Starke, 1988:596-629; Weisbord, 1988:94).
Once these negative forces have been reduced through disconfirming information, en the consultant embarks on moving the organization towards the desirable state. This is the second general step of changing or moving an organisation, and involves the actual implementation of new systems of operation. Once this has been complete, then the final stage of refreezing occurs which may involve the positive reinforcement of desired outcomes to promote the internalisation of new attitudes and behaviours. An appraisal of the effectiveness of the change programme is the final element used in the last step to ensure that the new way of doing things becomes habitualised.
This three-phase model of change is currently an integral part of the conventional orthodoxy taught in business departments and management schools around the world. Whilst the strength of the model lies in its simple representation (which makes it easy to use and understand), this is also .its major weakness as it presents an unidirectional model of change.
The linearity which this three-stage model suggests is not supported by the empirical evidence on the introduction on total quality management (see Chapter 11). In addition, this approach adopts a normative framework and assumes that there is one best way to manage change that will increase both organizational effectiveness and employee well-being. In managing large-scale change, there is often a need to revise implementation strategies to overcome or tackle unforseen contextual difficulties. Organisational change is a complex and dynamic process which is also influenced by powerful coalitions within organisations and the history and context within which change is taking place. This is illustrated in Chapter 12 where the same strategies for change resulted in very different outcomes for employees working within two different plants on the same manufacturing site. Finally, in assuming that there is an uncontested and clear view of the desired consequence of change, this model has a tendency to overlook organisational politics and to solidify (through the concept of refreezing) what is a dynamic and on-going process. From our research into TQM, the change process can more aptly be described as an odyssey, which whilst generally being planned, requires the continual revision of navigational decisions to meet unpredictable and unfolding conditions.
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A Processual Framework for Analysing Change
Time was used as a major frame of reference in our empirical case studies of the introduction of TQM in Australian and New Zealand companies. A central aim of the studies was to monitor organisational changes over a period of time in order to identify and describe the pathways of TQM programmes. From these temporal descriptions of change, we then sought to explain why organisational experiences of change followed a particular pace and pattern. However, we were unable to monitor the change process over several years and had to contend ourselves with data collected from an examination of organisations at different timeframes in the process 'of establishing TQM. For example, whilst our main focus rested on the organisational implementation of TQM, we also sought to include organisations/who had only just begun thinking about TQM, as well as those who had been involved with TQM for a number of years. By so doing, we have been able to collect data on company experiences at different timeframes during the process of change.
For research purposes, we constructed a processual framework for analysing change based on three general timeframes. These comprised:
Conception of a need for a quality initiative
Process of establishing total quality management
Operation of total quality programme and on-going change
In practice, we discovered that even those organisations who had introduced TQM a number of years prior to our investigation were still developing their strategies of change, involving other sections of the company and, in some cases, re-implementing TQM throughout the organisation. Furthermore, whilst we did not find it difficult to identify companies who were considering TQM but had not yet embarked on a programme of change, we found that they had little to say about TQM and, in some cases, were threatened by our unveiling of their lack of understanding. Consequently, only one organisation is used to describe this conceptual period prior to the decision to adopt a TQM programme (see Chapter 5).
For the most part, the organisations we studied fell into the second and third general timeframes associated with the process of transformation from the initial decision to invest in a TQM programme through to the implementation and operation of quality-based initiatives. Moreover, whilst we wanted to avoid any implication of a rational linear path for the adoption process, we did feel that it was important for analytical reasons to construct data categories around the various activities and tasks associated with the management of change (see also, Dawson, 1994:35-47). In other words, to (p.65) increase our understanding of the process of establishing TQM, a number of categories for locating and analysing data were defined. The seven data categories employed comprised:
Evaluation and appraisal
Identification of type of change
Implementation
Initial operation
Preparation and planning
Search and assessment of options
System selection
During the process of establishing TQM, organisations would not normally progress through these stages in any linear fashion but, rather, would occupy a number of different categories at the same point in time. In addition, there may be distinct time periods over which various change management tasks and activities are played out, only to be re-enacted at later timeframes (an example of this is provided in Chapter 11). For our purposes, the framework provided a useful analytical tool for aiding our understanding of complex organisational processes.
In using Dawson's (1994) processual approach for examining organisational change, we would argue that there are three major dimensions which shape company transitions; these are: the context, the substance and the politics of change.
The Context of Change
Starting with the context of change: this is taken to refer to those factors in the present and past which form a part of the organisational life of employees. The external environmental context would include factors arising from the political, social and economic environment in which a company operates, and the internal organisational context would include administrative structures, technology, human resources, and the product or service of an organisation. Administrative structures are taken to refer to the allocation of tasks in the design of jobs and work structures. The context of technology is used broadly to refer to the plant, machinery and tools and the associated philosophy and system of work organisation, which blend together in the production of goods or services. Human resources refer to the individual members and groups of people who constitute an organisation. Finally, the primary product or service of an organisation refers to the core business, whether this is providing a banking service, baking biscuits, or manufacturing cables.
In examining the Context of an organisation it is also important to incorporate an historica1 perspective which is able to account for the influence of the past events on present activities. For example, in the case of TQM, previous experience with other quality initiatives may influence employee attitudes to future quality change programmes. Moreover, there often exists a number of competing individual and group beliefs about past events, which may be said to constitute socially constructed organisational histories. These histories of change may serve to reinforce the belief systems of dominant coalitions within a company and promote the a4option of particular routes to change over other potential avenues. Thus, the history and culture of an organisation is also an important contextual factor, which is likely to influence the process of establishing total quality management.
The Substance of Change
The second major dimension to our processual framework centres on the substance of change, or the principles and practice of a total quality management approach. As outlined in Chapter 2, TQM is a management philosophy of change which: emphasises continuous improvement; focuses on 'internal' and 'external' customer-supplier relations; develops and applies systematic measurement techniques; uses group problem-solving teams to tackle process issues; and is committed to employee involvement and the development of high-trust relationships through the maintenance of a non-adversarial system of industrial relations.
These principles of TQM are further refined, interpreted and developed during their introduction into organisations. As can be seen from the case study chapters, which follow, the practice of TQM does not always accord with the principles espoused by a management philosophy of TQM. For example, the notion of 'continual TQM improvement' is in many ways a misnomer. In practice, TQM group-based activity is by its very nature temporary in being project based, of a fixed duration, and aimed at solving discrete operational problems. Hence, it is important to take account of the substance of TQM both as it is espoused by the various quality exponents and how it is practiced within organisations operating under a TQM regime (see Chapter 7).
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The Politics of Change
The final dimension relates to the politics of change. As Clark et al. have noted: p.66 In any process of change a number of substantive issues arise which require decisions to be made by actors, either by conscious choice and negotiation or by omission (non-decision). These include not only traditional collective bargaining issues such as pay and grading, staffing levels, and the selection and training of staff, but also 'control' issues such as skill, job design, supervision, and the organisation and control of work. (Clark et al., 1990:31) In their study of telephone exchange modernisation, they argue that these substantive issues become particularly pertinent at critical junctures during the process of change, where organisational actors are able or seek to intervene to influence a particular issue or outcome (Clark et al., 1990:32). Whilst we would support this view, we would argue that this also highlights the importance of power and politics in the organisational decision-making surrounding change programmes. In referring to this form of political organisational activity we use the term the politics of change. Examples of political activity outside of an organisation would be governmental pressure, competitor alliances or the influence of overseas divisions of Multi-National Corporations (MNCs). Internal political activity could be in the form of shopfloor negotiations between trade union representatives and management, between consultants (working within the organisation) and various organisational groups, and between and within managerial, supervisory and operative personnel. In short, certain well-placed individuals, groups or powerful coalitions can influence decision-making and the setting of agendas at critical junctures during the process of transformational change.
By combining these three dimensions (the politics, substance and context of change) with our three general timeframes on the process of organisational change (conception of a need for TQM, process of establishing TQM, and operation and on-going change), it is possible to construct a processual framework for understanding the process of transformation through the adoption of TQM. This alternative model is presented diagrammatically in Figure 4.1.
The diagram above is intended to convey the inter-connectedness and complexity of dynamic processes of change through combining a threefold classification of factors shaping the process of organisational transformation with a clear representation of the temporal nature of large-scale change. As a diagrammatic representation of the processual framework employed in the case studies presented in Part II, it should be referred to by the reader when- ever necessary.
The eight empirical case studies, which follow, all illustrate the strategic and long-term nature of transforming a company towards a total quality organisation. Although each focuses on a particular theme, issue or stage in the process of change, they highlight the scale of change programme which seek to change traditional belief and value systems and introduce group work practices into individual-based work regimes and cultures. What the implications of these findings are for the management of change and employment relations at work, is critically examined in Part III of this book. Figure 4. 1 A Processual Framework Substance of Change
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Context of Change - Politics of Change
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Operation