Adapting TQM to Change Indian Bureaucracy: A View From Inside more

Adapting TQM to Change Indian Bureaucracy: A View from Inside Quality Management Journal ,ASQ Press, USA, Year: 2011, vol 18, no. 1 Madhu Ranjan Kumar, Indian Railways This paper aims to study how TQM can be used to transform Indian bureaucracy. A study in six units of Indian government was followed by action research in one unit of Indian government. The research shows that within the context of ISO, a prevalence of robust corrective and preventive actions (CPAs) and the development of process-based quality procedures and quality objectives aid the transition of ISO certified units toward total quality management (TQM). The design of a team in Indian bureaucracy should be such that it generates the feeling of a professional clan. There should also be a karta (clan headman) who keeps the group emotionally connected. The Indian philosophy of nishkam karm (not being obsessed with the results of an action) can cue a long-term orientation to the working of bureaucracy, thereby fulfilling a requirement for successful TQM implementation. Key words: caste, collectivist culture, experiential learning, hierarchy, Indian Railways, karta (clan), nishkam karm, teamwork INTRODUCTION W. Edwards Deming had no doubt about the importance of TQM in government services: 1 “A governmental agency should deliver economically the service prescribed by law or regulation. The aim should be distinction in service. Continual improvement in government service would earn appreciation of the American public and would hold jobs in the service and help industry to create more jobs” (quoted in Ehrenberg and Stupak 1994, 88). It is thus not surprising that in a review of innovations in government around the world, quality in government working has been recognized as one of the six universal components of government reform (Kamarck 2003, 15). On similar lines, the study of Korunka et al. (2003) in Western bureaucracy and the studies of Fei and Rainey (2003) and Khandwalla (1999) in Eastern bureaucracy have made the common conclusion that the implementation of total quality management (TQM) has made these bureaucracies more customer oriented. Over time, however, the original understanding of TQM as propounded by Deming and J. M. Juran has been adapted by different countries (Prasad and Tata 2003; Khoo and Tan 2003) and organizations (Blythe and Shahani 1997; Gosen, Babbar, and Prasad 2005) to suit their specific conditions. A review of the research by Kumar and Sankaran (2007) brought out that TQM culture can be considered to be a culture that uses teams, promotes pride in workmanship, drives out fear, allows participative management, promotes leadership in place of supervision, and promotes long-term orientation among members of the organization. On the other hand, the national cultural dimensions that are conducive to TQM culture are high collectivism, low power distance (that is, low hierarchy), and low uncertainty avoidance. What the literature lacks is how the TQM culture as identified previously can be institutionalized given organization-specific 2 conditions and country-specific cultural patterns. This research aimed to fill this gap. It did it in the specific organizational context of Indian bureaucracy and specific cultural context of Indian culture. Thus, the basic question this research attempted to answer was “What modulation is needed in TQM so that it could be used as a change model for Indian bureaucracy?” The research plan used to answer this question is shown in Figure 1. ISO 9000 certification was taken as a surrogate for implementing TQM-based changes. In the first stage of the research, the characteristics of Indian bureaucracy were reviewed. The insights from the review were used to modulate the second stage of the research that used the case study method. Units selected for the case study were based on the theoretically driven criteria described later in this paper. Within the case study method, the first part measured the transition of ISO-certified units of Indian bureaucracy toward TQM by developing a scale labeled “TQM transition scale.” The second part of the case study used a structured questionnaire survey and interview to get a deeper understanding of the impact of ISO 9000 certification. The case study brought out the specific issues in implementing TQM within the twin context of Indian bureaucracy and Indian culture. The third stage of the research was an action research based study. The action research attempted to integrate the learning developed until now to answer the research question. CHARACTERISTICS OF INDIAN BUREAUCRACY At a general level, bureaucracy bears the following three negative connotations (Toye 2006): 3 • • Officials are accountable only to their superiors. Bad bureaucracy is inefficient; that is, it has no incentive to force down the costs of production. • Bureaucratic expansion induces blurring of responsibilities. Historically, while the American bureaucracy evolved in response to the specifically designed American constitution, and the Japanese and the British bureaucracy evolved out of centuries of political practice (Toye 2006, 9), India inherited its bureaucratic structure from the British. Some characteristics of Indian bureaucracy are given next. Poor in Implementation The Indian bureaucracy is considered weak in implementing policies (Kumar 2000, 58). Unlike Indian bureaucracy, Japanese bureaucracy is credited with being instrumental in bringing about the Japanese miracle during the 1970s (Toye 2006). The American bureaucracy, too, has now been made more accountable for its actions with more emphasis on flexible and entrepreneurial behavior (Henderson 2004). The poor record of implementation of Indian bureaucracy is partly due to the emphasis given by traditional Indian ethos to “thought” over “action” (Kumar 2000). Against pragmatic thinking, Indians are prone to idealistic thinking that makes one seek perfect solutions (Kumar 2000, 61). The moral value system of trying to be right in thought, word, and deed (respectively mansa, vachana, and karmana in Sanskrit language) re-established in modern times by the three monkeys of Gandhi (who see no evil, hear no evil, and say no evil), has been an enduring yardstick to judge the appropriateness of any action. Thus, a discussion can go on 4 and on (Sen 2005) with little result. However, this gap between thought and action, instead of leading to dissonance is balanced, accommodated, integrated, and allowed to coexist (Sinha 1997, 61). Hierarchical The Indian social system has been considered a vertical collectivist system (Triandis and Bhawuk 1997, 17). In a vertical collectivist society, hierarchy is emphasized within a social in-group. Therefore, vertical relations are more common in societies high on power distance (like India). A vertical collectivism displays a sense of serving the in-group at the cost of the out-group and sacrificing for the benefit of the in-group, but they tend to emphasize how in-group members are different on certain aspects (Triandis and Bhawuk 1997, 17). Bureaucracies are hierarchical in design, and Indian bureaucracy is no exception (Pai Panandiker and Kshirsagar 1978; Kumar 2007). But what has buttressed the hierarchical tendencies in the Indian bureaucracy is that Indian society itself is deeply hierarchical--the caste system being the most enduring example of the hierarchy in the Indian social system. It has been said that the British rule reinforced the traditional castebased hierarchical structure (Sinha and Kanungo 1997, 98; Chhokar 2003). Context Sensitive Both Chinese and Indian cultures accept that more than one version of truth is possible, but the Western world believes in only one consistent truth (Kumar and Sankaran 2006; Xiao and Su 2002). Nakamura (1964, 115) holds the view that “….Hindus distrust any abstract formulation of law applicable to all cases.” Ronald (1988, 202) explains this to “a 5 profoundly internalized ego-ideal (of Indians) that is strongly oriented towards having appropriate attitudes and actions in different social contexts.” Sinha and Kanungo (1997) have called this “context sensitivity.” It refers to the adaptive nature of an idea or behavior in a context. Thus, Indians tend to strike a balance among the diverse demands of the environment by adapting their behavior to them. The Weberian bureaucracy, however, is rule based. Thus, the context-sensitive Indians have an innate distrust for the rule-based Weberian bureaucracy. Myrdal (1968) has accordingly differentiated bureaucracy in terms of “soft state” and “hard state.” In hard states, administration is based on the basis of rational bureaucratic principles, as propounded by Weber. In a soft state, as in India, administrators habitually circumvent rules and regulations (Khandwalla 1999, 126). Sinha and Sinha (1990, 706) have ascribed the soft work culture to the “socially determined” work forms. Socially determined work form means people tend to draw the justification of work to social norms and relationships and not to abstract rules. It can largely be linked to the context sensitivity and vertical collectivism of Indians discussed previously. Due to socially determined work forms, the Indian state does not force the rule upon its citizens. Another fallout of the aforementioned characteristics of Indian bureaucracy is the managerial style of Indian bureaucrats. The general trend of bureaucratic reforms in the West has been toward a more participative management style (Korunka et al. 2003). But a participative management style may be considered a sign of weakness in India (Sinha 1995). An early study on leadership style in different cultures (Cascio 1974) showed that about 75 percent of Indian managers, as compared to 18.1 percent of Japanese, expressed satisfaction in such decision-making situations where the subordinates were not involved. 6 This study also showed that in India only 29.4 percent of the subordinates, as compared to 50 percent in Japan and 53.1 percent in the United States, preferred participative meeting with their superiors. The previous discussion showed: 1. Like Western bureaucracies, Indian bureaucracy too is hierarchical. The hierarchy of Indian bureaucracy finds a natural echo in the hierarchical mindset of Indians. Therefore, teamwork is a problem in Indian bureaucracies. 2. The formal Indian bureaucracy is rule bound, but the members of this bureaucracy are context sensitive. 3. The formal Indian bureaucracy is person neutral, but the members of this bureaucracy are highly relationship oriented, where members of the soft state tend to draw the very justification of work to social norms and relationships and not to abstract rules. The review of Indian bureaucracy brought up the question that in view of the soft state, hierarchical, context sensitive, and “poor in implementation” characteristics of Indian bureaucracy, what modulation TQM would need so as to be used as a change model for Indian bureaucracy? To answer this question, a case study of the implementation of TQM in Indian bureaucracy was done to understand how these characteristics affected TQM implementation. CASE STUDY OF INDIAN RAILWAYS 7 The case study began by the selection of units on theoretically driven criteria followed by the development of a questionnaire to assess the transition of different units toward TQM. The scores obtained in the questionnaire were triangulated with a structured questionnaire survey and interviews with members of the same units. In India, Indian Railways is the largest bureaucracy with a staff strength of 1.5 million. Accordingly, a case study of selected units within Indian Railways was used as a surrogate for Indian bureaucracy. Eighty-nine units of Indian Railways had gone for ISO 9000 certification at the time this research was conducted. ISO 9000 has been considered the stepping stone for an organization’s journey toward TQM (Hill, Hazlett, and Meegan 2001; Escanciano, Fernández, and Vázquez 2001). Therefore, it was decided to choose selected ISO 9000 certified units from Indian Railways for the study. Three criteria were used to select the railway units for the study: 1.Include some ISO 9000 certified units and some ISO 9000 plus ISO 14000 certified units: ISO 14000 has been taken up in Indian Railways after ISO 9000 certification. ISO 14000 calls for very elaborate housekeeping, and the Japanese have shown through their adherence to “5S” that improvement in housekeeping is a significant step toward TQM (Pheng 2001). Thus, it was reasonable to postulate that a railway unit that is both ISO 9000 and ISO 14000 certified should show more progress toward TQM. Hence, the research could provide better contrasting insight if the sampling included some railway units that were only ISO 9000 certified and some railway units that were both ISO 9000 and ISO 14000 certified units. 8 2.Transformational leadership: Literature had also shown that transformational leadership was critical for taking an ISO 9000 certified organization toward TQM (Hill, Hazlett, and Meegan 2001; Fei and Rainey 2003). Thus, it was decided to include some railway units headed by transformational leaders and some headed by nontransformational leaders. The transformational leadership qualities of the CEOs of different units were assessed using the multifactor leadership questionnaire (MLQ) developed by Bass and Avolio (2000). Each leader was assessed by four of his or her immediate subordinates. CEOs whose average score on the transformational factors of the MLQ was more than 3.5 out of 4 were taken as transformational leaders. 3.Include some production units (PUs) and some nonproduction units of Indian Railways: PUs are the locomotive and railway coach manufacturing units. ISO 9000 presumes that the management of an organization will have the autonomy to make decisions on all aspects of the organization. A review of the delegation of power to the managers of different units of Indian Railways, however, showed that, except for PUs, the heads of other railway units (such as workshops, warehousing units, and locomotive maintenance units) did not enjoy the kind of autonomy that ISO 9000 envisages. Thus, it was possible to hypothesize that PUs would show better transition toward TQM concepts. Therefore, as a matter of deliberate choice, both PUs and non-PUs were selected for the study. Based on the three criteria, nine units were short listed. Out of the nine units, two units did not respond, and another unit backed out at the time of conducting the structured survey. Thus, the case study research deals with the study conducted at six units. 9 A questionnaire was then developed, which attempted to measure how far an organization has moved on the TQM journey after getting ISO 9000 certification. This questionnaire measured scores on 12 critical success factors (CSFs) identified by Wali, Deshmukh, and Gupta (2003) for successful implementation of TQM. Wali, Deshmukh, and Gupta (2003) identified these CSFs after a review of TQM practices in more than 200 manufacturing organizations in India. The split half reliability of this questionnaire was 0.70 (Kumar 2006). It was tested for content validity, criterion validity, and discriminant validity. The validity was further enhanced when one ISO 9000-certified organization in India finally secured an Indian TQM award and, at that stage, its score on the questionnaire was comparable to the scores obtained by the Deming Prize winning organizations from India. The 12 CSFs are shown in Appendix 1. A set of three questions corresponded to one CSF. Appendix 1 also shows the method of scoring and the scores obtained by three Deming Prize winning organizations from India. For the purpose of illustration, the scores obtained by two units of Indian Railways are also shown in Appendix 1. At each unit, the head of the unit, the management representative (MR), and at least two “auditing unit” heads were administered the questionnaire and their responses were averaged. The average score for all six units on the 12 CSFs is shown in Table 1. Based on the scores obtained, three units could be taken as successful examples of TQM-oriented change (WAP, DLW, ICF) and three units could be taken as unsuccessful examples of TQM-oriented change (AMV, BPL, and DCW). Out of these six units, WAP, DLW, ICF, and DCW were the PUs. The heads of these six units or the heads of quality at these units were then sent a questionnaire that aimed to assess the impact of ISO 9000 certification. The structure of the qualitative survey was based on Acharya and Roy (2000). 10 This questionnaire was selected, as it was earlier used by Acharya and Roy (2000) to assess the impact of ISO 9000 certification on about 1200 organizations in India. Based on the survey, some of the conclusions arrived at were: • The reason for ISO 9000 certification was to initiate a structured way for continuous improvement. • • Top management had been very involved in the quality system. The unit (WAP) that secured the highest score on the TQM transition scale also practiced the use of statistical techniques more extensively than the other units. In fact, WAP was the only unit that formally calculated the process capability index (Cpk). • Five of the six units said that some of the major lessons learned were the importance of better process management, their own responsibility in the process, and how their work is linked to the work of others in the organization. • Teamwork came out as the most important lesson learned followed by the realization that “people make the system work.” • Except AMV, no other unit involved all departments in ISO 9000 certification. The aforementioned findings of the survey were in line with existing literature about “commitment of top management,” “linkages to other functions,” and importance of teamwork. WAP secured the highest score on the TQM transition scale. Table 1 shows that what differentiated WAP from other units was the stronger prevalence of statistical techniques, corrective and preventive actions (CPAs), and reward culture. Within the ambit of ISO, CPA is a structured way to eliminate existing and possible deficiencies in the 11 system. WAP had a well-established two-tier CPA system. It also had the largest number of CPAs, even though it was not led by a transformational leader in the last four years (see Table 1). Being a PU, however, its leader had the requisite delegation of authority. DLW also had a well-established two-tier CPA system, was not led by a transformational leader, and being a PU, its leader had the requisite delegation of authority. But its reward system was nowhere near that of WAP. Thus, DLW could not get a score on the TQM transition questionnaire comparable to the Deming Prize winners. In the case of BPL (a non-PU), the presence of a transformational leader alone without the requisite delegation of authority to the leader and without the involvement of all departments could not bring the unit closer to TQM. In the case of AMV (a non-PU), the presence of a transformational leader and the involvement of all departments brought it in one year at par with units like BPL (a nonPU), which were ISO certified more than three years prior. Thus, it was possible to argue that the following aspects differentiated the successful instances of TQM-based change from the unsuccessful ones: • • There was a deliberate emphasis on CPAs in the successful units. Whether transformational or transactional, the leadership in the successful unit was committed to continuous improvement, as reflected in encouragement of CPAs through rewards. • The successful units were autonomous. The higher scores in the two PUs--WAP and DLW (see Table 1)--and the robust prevalence of CPAs led the researcher to hypothesize that: 12 H1: A robust accrual of CPAs is a reflection of a culture of continuous improvement, which leads to sustained organizational learning and change. It can be seen from Table 1, however, that notwithstanding the importance of teamwork in TQM, except AMV, no other unit included all the departments. This pointed to the possible presence of departmentalism among the employees. On the other hand, the consistent realization at all units that “better understanding of process and responsibility,” “linkage to other functions,” “better process management,” and “people make the system work” (see Table 1) indicated that notwithstanding the possible presence of departmentalism, there were factors operating within the social system of the employees that were overriding the presence of departmentalism. Since at this stage the objective was to understand the social system of these units, the researchers decided to interview members of the units. Interviews were held with different functionaries within a unit. The details of levels of interview are shown in Table 2. The interviews were focused on: • • Why were all departments of the units not involved in the certification process? What features of the organization facilitated/hindered the journey toward TQM? The reasons offered for not including all the departments are indicated in Table 1. The couching of the reasons indicated the presence of hierarchical feelings (major vs minor department) and the feeling of “us-them” (technical vs. nontechnical, their departmental boss vs. our departmental boss). Therefore, it confirmed the presence of vertical 13 collectivism in Indian Railways, even in organizations like WAP, which otherwise could be considered equivalent to Deming Prize winners, as shown in Table 1. Also, instead of causing any dissonance, these feelings were allowed to co-exist, much in line with what was brought out earlier in the review of the characteristics of Indian bureaucracy. In response to the second question, it came out that at WAP the design of ISO procedures had followed a different approach. While at all other units the ISO procedures were drawn along departmental lines, at WAP it was designed along each business process. This way, it cut across departmental boundaries and encouraged interdepartmental interaction and therefore inculcated teamwork. As per WAP employees, it was not planned like that. It accidentally got designed like that due to the process-oriented business activity of WAP. Table 1 also shows that one of the outcomes of ISO certification was understanding the importance of better process management by the employees. It was now possible to link the two and argue that the ab-initio design of ISO procedures along process flow was another factor that provided WAP employees a coherence between their own work and their organizational work. Therefore, this was another distinguishing feature that accounted for a higher score by WAP on the TQM transition questionnaire. Thus, it was possible to hypothesize that: H2: Framing process-based ISO quality procedures and ISO quality objectives lead to the development of team orientation in the context of TQM implementation. With respect to the second question, some of the features of bureaucracy, which helped in establishing a culture of excellence, were: 14 • • Life-long employment Being part of government, the management did not have to face demanding shareholders for “quarterly high returns” • Slack resources in terms of manpower facilitated the “experiment-failure-learningsuccess” route. Factors of the Indian society that helped in establishing a culture of excellence were: • The collectivistic culture (unlike the individualistic Western culture) helped in focusing on group-based work. Yet, teamwork was a problem, as the research until now had brought out. Thus, there was a contradiction--Indians were collectivistic, but teamwork was a problem. This contradiction needed to be resolved. • No resistance to change, commonly reported in Western literature, was experienced. Once the leader had agreed to something, the subordinates did not question his or her wisdom. • Indians are philosophically attuned to work per se without craving immediate result--thanks to the teaching of nishkam karm propounded in Gita--an Indian scripture. The philosophy of nishkam karm tells one not to judge people’s behavior in the immediate context of the immediate consequences of their actions, but in the long-term context of long-term repercussions of their behavior. It helped in providing a long-term orientation to an activity--a requirement critical for the success of TQM in an organization (Yen, Krumwiede, and Sheu 2002). The 15 insulation provided by life-long employment further buttressed the nishkam karm orientation to work. The problems that were faced in both the successful and unsuccessful units were: • There was excessive dependency on the boss. The staff almost wanted prescriptive directions. It was supported by literature (Sinha 1995; Tata and Prasad 1998), which says that a hierarchical society like India does not prefer a participative management style. • There was a pronounced bias in favor of considering the boss as the customer. Customer satisfaction was accepted only to the extent that the boss was identifying with the needs of customer. It was akin to satisfying the customer via a surrogate called “boss.” This was in line with the literature review that bureaucrats believe in satisfying their superiors only. The research until now had brought out that corrective and preventive action and process orientation favorably mediate an organization toward TQM. Hierarchy was identified as the most fundamental problem of Indian bureaucracy. The next stage of the research therefore aimed at developing a mechanism through which the culture-based problems of hierarchy, the related issue of considering the boss as the customer, the lack of teamwork, and the facilitating factors of nishkam karm and collectivistic orientation could interact with the more secular findings of the importance of corrective and preventive action and process orientation so as to lead an unit of Indian bureaucracy toward TQM. ACTION RESEARCH IN INDIAN RAILWAYS 16 Since an answer was sought in a particular context wherein many variables would interactively operate, and since there were the twin objectives of getting an academic understanding of the adaptation of TQM in bureaucracy and also making real-time changes in bureaucracy, action research was chosen as the research methodology. A warehousing and material distribution unit of Indian Railways at Jhansi was selected for the action research project. The warehousing and material distribution unit is called stores depot in the Indian Railways parlance. Its main job was to feed material to a wagon repair workshop abutting the depot. About Jhansi Stores Depot The overall atmosphere both in the workshop and the depot was laid back. Both, in general, wore an unkempt look. There had not been any planned change initiative during the last 100 years or so that the depot had existed. Apparently, being a part of government set up, there was no need to change because there was no demand for change. At the depot, the routine work of issuing material to the workshop used to be over in the first half of the day. During the second half of the day, the warehousing unit had virtually no work. The staff members of the wagon repair shop were generally very critical of the material shortage, which according to them was affecting their targeted output. During detailed discussion, however, it was revealed that they often used the material shortage as a convenient scapegoat to hide the shop’s failure in meeting the desired production targets. On the other hand, the warehousing staff was aware of the items in short supply, but they would not react fast enough to prevent a stock out or would not react 17 at all unless poked by their boss (and not necessarily by their customer--the wagon repair shop). Against this backdrop, the head of the depot (Dy CMM) interacted with the first author for initiating a change initiative aimed at ISO certification for the depot. A team of five co-action researchers was put together at Jhansi. During the AR cycles, a number of corrective and preventive actions were taken. Based on these, key areas for continuous improvement were identified, and they were worked on by the team of co-action researchers for about seven months under the supervision of the first author. Table 3 shows the improvement steps identified and their status seven months later. Table 3 shows that the improvements that were within the sole control of the depot were successfully implemented. Improvements that involved departments outside of the depot, however, could not be implemented. This was attributed to the lack of teamwork, which repeatedly thwarted the successful implementation of the concept of continuous improvement. To foster teamwork, the action research linked process orientation with the idea of caste-based social bonding prevalent in India. It is discussed next. Process Orientation Leading to Teamwork Table 3 shows that the improvements were defined along functional lines, irrespective of whether they needed interdepartmental cooperation. Thus, they fostered little teamwork. Therefore, after a lot of collective introspection and borrowing from the case study stage of the research, two process-based quality procedures were defined: • Supply of material to the workshop 18 • Sale of scrap to merchants These two quality procedures cut across different functional wings of the warehouse. For example, supply of material to the workshop involved the material planning section, the material receipt section, the material inspection section, the storage section, and the material handling section. Thus, it was based on a process--material supply--which added value to the customer--the workshop. Therefore, the quality procedure was now aligned with Hammer’s definition of a process--a process is a set of activities that provides value to the customer (Hammer and Champy 2001). Now there was more agreement among staff members in accepting quality objectives emanating from process-based quality procedures even if it meant suboptimal functional performance for a particular subset of the unit. LEVERAGING INDIAN CULTURE IN TQM IMPLEMENTATION The action researchers tried to look at the changes at Jhansi in the context of Indian-specific values. The way the action research cycle had started, it confirmed the findings about lack of team orientation identified during case-study research. However, by ab-initio creating two process-based quality procedures in place of eight functional quality procedures, the ISO system introduced process based “what we do” in place of function based “what we do.” Indians who have an inbuilt tendency to look at a situation in a more gestaltist manner (Kumar and Sankaran 2006) were thus able to appreciate the work in its totality. Therefore, it also appealed to them intuitively. Once the organization gave them the cue (by framing process-based quality procedures) that it was the total working across a process that would now matter, they were mentally able to reorient themselves toward this. 19 The case study research brought out how the philosophy of not craving for the immediate consequence of a work (nishkam karm) aided TQM-based changes in certain units of Indian Railways. It was now possible to link this orientation with the success of processbased ISO procedure. A process-based ISO procedure does not lead to immediate reward for one’s the work. Delayed gratification is in-built in this--a wagon component has to travel the entire supply value chain before its success or failure in the system can be ascertained. Indians, however, will not mind this thanks to nishkam karm. So at Jhansi, once the delayed gratification was institutionalized in the form of process-based ISO procedures and ISO quality objectives, the “context sensitive” Indians were able to absorb this cue that now rule of the game was to intervene with a wider focus. He or she was no longer interested in tweaking the system with limited “function-based rules.” Picking up from literature review, the researcher reasoned that the collectivism earlier confined within a section of the warehouse now became organizationwide, and thus aided in organizational output. This is how the collectivistic orientation of Indians can contribute in TQM-oriented change within the ISO framework and lead to teamwork. Further, the action research indicated that though the formal structure of Indian bureaucracy is not relationship based, the informal social structure of Indian bureaucracy is highly relationship oriented, much in line with what has been reported about Indian organizations in general (Chhokar 2000, 28). But the lack of emphasis on any kind of relationship in the formal structure of Indian bureaucracy alienates the members of the bureaucracy whose personal “relationship-oriented” value system does not resonate with the professed “a-personal” value system of the bureaucratic set up. Thus, in Indian bureaucracy, relationships circumventing the formal bureaucratic relationships crop up. 20 Since Indians believe in harmonious living rather than confrontational living (Ronald 1988, 327), the bureaucracy is “soft.” The mismatch between the soft side with the formal rulefollowing side makes the Indian bureaucracy neither enabling nor coercive. An important aspect of this soft relationship is that it grows along what Indian sociologists have called the apne (own) – paraye (others) (own-others) dimension (Sinha and Sinha 1990; Sinha 1995). This own-other syndrome is not based on work-group, but is based on ethnic group, for example, religion, caste, and region. That is, people network with their “own” (read “same ethnic groups”) types of people and distance themselves from those who are the “other” (read “different ethnic groups”) types. In India, the most potent social manifestation of the same ethnic group is the caste into which a person is born. This biological caste defines the boundary of one’s early socialization (Kumar 2000). When one grows up and joins an organization, his or her working department becomes his or her professional caste (Kumar 2006). This professional caste now defines the boundary of his or her adult socialization just as his or her biological caste earlier defined the boundary of his or her childhood socialization. Because of one’s prolonged socialization within his or her biological caste, an Indian finds it difficult to develop effective social affiliation outside one’s biological caste. On the same lines, as an adult he or she develops a group affiliation that is limited within the boundaries of one’s departmental caste (professional caste) and is unable to enlarge it to a pan-organizational group affiliation. In Indian bureaucracy, this situation is exacerbated because the lack of interdepartmental movement only accentuates one’s strong intradepartmental affiliation. The resulting lack of teamwork is further compounded by the relationally dry atmosphere of formal bureaucracy. So the triple effect 21 of professional caste, lack of interdepartmental transfer, and ‘a-personal’ bureaucracy makes the formal bureaucratic structure in India very poor in teamwork. The failure of providing material handling equipment at Jhansi could now be fully explained: It was yet another example of the impact of the caste-induced value of own (apne) – others (paraye) on organizational working, which has resulted in poor team working ability among Indians. The warehousing unit was “others” (paraye) for the finance department. Thus, it did not feel the necessity of giving the financial clearance to the proposal of the warehousing unit. Professional Clan as Building Blocks of Relationship Picking up from the second hypothesis, and linking it with the “own-other” syndrome of Indians and the caste system of India, the authors argue that the way to develop teamwork among the members of Indian bureaucracy is to formally encourage relationship building among them. It can be done by defining organizational deliverables and designing organizational structures that cut across departments. Process-oriented quality procedures and objectives can be the organizational deliverables in ISO-led TQM implementation. For organizational structure, the authors propose the construct of a “professional clan.” A professional clan can be defined as a group whose members have complimentary professional skills like any Western team plus they feel emotionally connected with each other like members of a clan so as to meet each other’s relationship needs. Development of clannishness along the work-flow lines through the construct of process-based quality objectives enabled the members to shift from their primordial group affiliation to a work-based group affiliation at Jhansi and WAP. A structured group- 22 enhancing behavior like the two-tier CPAs at WAP reinforced the work-based groups at WAP, which progressively enabled WAP to morph into a TQM organization, as its parity of score with Deming Prize winners showed (see Table 1). It is to be noted that the employees at WAP remained clannish, but the dimension of clannishness shifted from ethnic group to work group. For this, however, they needed a person who was generally perceived as a clan headman--a benefactor who was both caring and demanding for the team. He was a relationship-oriented task master for the team members--for example, the Dy CMM at Jhansi. He was much like what Indian studies have called a “karta” (head of a clan) (Singh and Bhandarkar 1990). The relational support bestowed by him provided the initial sustenance and mental peace to the apprehensive Indians venturing out of the familiar domain of their departmental castes. It also provided the initial cohesion, which is an important factor for good teamwork (Hoegl and Gemuenden 2001). Gradually, the ethnic basis for relationship formation was replaced by a work-group basis where the success of work provided the warmth to keep the ember of a work-group-based relationship glowing. The construct of a professional clan therefore links relationship with work objectives. As a leader, the professional clan’s headman should bestow care only when the required level of group-enhancing behavior is demonstrated by the members of the nascent professional group. The need to remain relationally connected with him or her and also to draw it from other members of the work group make the members of the work group grow beyond their ethnically determined group behavior. Thus develops the contours of a professional clan. This professional clan shows the effectiveness of a team but the mentality of a clan. But the yardstick to define a clan is no longer ethnic. This is how the tendency of dependency on the leader can in fact be leveraged to foster teamwork. This 23 way, an Indian’s initial dependency on the boss, the treatment of boss as a customer, and the orientation to work without seeking immediate gratification (nishkam karm) can be advantageously leveraged for TQM implementation. CONCLUSION Going back to the research question, this paper has identified the following modulation for successful use of TQM in Indian bureaucracy: • Teams in Indian bureaucracy should be based on the construct of a professional clan. By expanding the primordial feeling of “us” and “them” to more professional bases, a successful team in the form of a professional clan can evolve even in the fragmented Indian bureaucracy. For this, a relationship-oriented leader should have full autonomy for decision making. He should don the mantle of a karta. He or she should cue long-term orientation in the working of bureaucracy by designing a process-based quality system. This will make the professional clan think in panorganizational terms. The resultant delayed gratification due to pan-organizational approach will resonate with the Indian philosophy of nishkam karm-- “do not judge the efficacy of your action in terms of immediate result of your action.” • At a more general level, this shows the need to recognize the importance of relationship in the a-personal Weberian bureaucratic model, which India follows. The risk of favoritism has made the Indian bureaucrats shun an open display of relationship with each other. The construct of a professional clan, however, indicates it is possible to integrate professional work ethics within the ambience of a thick relationship among the employees. 24 The current ISO 9000 standard (including the 2008 version) is a generic model that needs to be adapted to specific country/culture. This paper shows a pathway about how it is possible to modulate the generic model of ISO within a culture similar to that of India. Many East Asian countries are culturally comparable to India. While China, Japan, and Korea are context sensitive like India (Sinha and Kanungo 1997), the Buddhist base of these countries had its origin in India. There is a lack of research, however, detailing ISO implementation couched in cultural language. This paper indicates that it could be a future area of research. 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A cross-cultural comparison of top management personality for TQM implementation. Total Quality Management 13, no. 3:335-346. BIOGRAPHIES 31 M.R.Kumar is Chief Materials Manager at Diesel Locomotive Works, Banaras India. B.K. Sahay is Assistant Engineer, Road Construction Department, Government of Bihar, India. P. Ranjan is undergraduate student at Indian Institute of Technology, Guwahati, India. 32 stage 1 Study the characteristics of Indian bureaucracy stage 2 Selection of units from Indian bureaucracy based on theoretically driven criteria Development and administration of TQM transition questionnaire to the selected units stage 2 Case study of the selected units supplemented by structured survey and semi-structured interview stage 3 Action research to address the issues identified in stage 2 of the research Figure 1 Research plan 33 Stage 2 of research Selection of unit for research Questionnairebased survey Score on TQM transition scale# Case study Intervening factors ISO Unit 14000 headed by certified a transformational leader Requisite delegation of authority to the unit head No. of years since ISO 9000 certification Use of statistical technique Average number of CPA raised per year per employee since 2001 No of awards per employee given last year Railway unit AMV No Yes No 13.17 1 Somewhat 5/805 Nil/805 InvolLessons vement of learnt@ all departments in the ISO certifcation process and reason thereof Yes. Reason: everyone feels involved No. Reason*: 4 No. Reason: 2 A, B, C,D, G BPL DLW (a PU) DCW (a PU) WAP (a PU) Yes Yes No Yes Yes No No No No Yes Yes Yes 13.33 25.33 10.33 37.66 4 8 7 10 Somewhat Somewhat Low High 11/1800 141/5800 12/3786 More than 100/2300 13/1800 57/5800 32/3786 1725/2300 A, D, E, G Others A, B, E No. A, B, F, G Reason*: 2 Others No. A, B, D, G Reason*: Others 1, 2 ICF (a PU) No. B, D, E, Reason*: Others 2, 3 *Reasons: 1. Others are minor department 2. The major department will continue to ignore us 3. Others are nontechnical departments 4. Unless their departmental boss tells them, they will not get into the headache of ISO. @ A. Better understanding of process & responsibility B. Linkage to other function C. Cooperation and information sharing D. Consistent product quality E. Bottom up planning F. Training G. Better process management #Note – On this scale, the scores obtained by three Deming Prize winning organizations from India were between 34 to 37. Table 1 Comparison of CPAs among six units Yes No Yes 21.33 9 Somewhat 18/7250 67/7250 34 Interview with Unit WAP DLW ICF AMV BPL DCW Head of the unit Yes Yes No Yes Yes No Head of quality Yes Yes Yes Yes Yes Yes Worker and manager at the shop level Yes Yes No Yes Yes No Table 2 Levels of interview at six units of Indian Railways 35 Improvement steps identified 1. Each stocking item should warehouse. For this, different storage bins and ground space should be allocated a distinct location number. There should be a location register indicating the part number and its corresponding location number. The overall cleanliness should of 5S. Their status seven months later 1. All the 1300 items had a specified location in the warehouse. distinct location number. A location register was maintained for each storage ward. Each item was now identified by its part number and description. Some of the storage wards were whitewashed and painted by the warehousing staff themselves, even though formally this was supposed to be done by the civil engineering department. The normal refrain earlier was that since civil engineering did not bother about proper upkeep of this century-old structure, things would naturally be shabby. engineering department. They did all of the painting and cleaning by themselves. According to the warehousing staff, it was for the first time in decades that these wards were cleaned and scrubbed. 2. A proposal was made for the purchase of electric trolleys and a fork lift. In the railway system, every proposal for replacement of old machinery is required to be cleared by the finance department. This proposal, however, was not cleared by the finance department. These material handling equipments were more than 15 years old and their original purchase documents were not available. Because of this procedural weakness, the proposal was returned by finance. The matter rested there, that is, the depot continued to live with the problem of lack of material handling equipment. have an identified location in the Different storage bins and ground spaces were allocated a be improved using the principles This time, however, the staff did not wait for the civil 2. The material handling should progressively get mechanized. Table 3 Key improvement steps identified and their status seven months later (cont’d) Improvement steps identified 36 Their status seven months later 3. The depot should have an updated list of drawings and specifications for its inspection wing. 4. There are certain items like paints, electrodes, and varnishes that have limited shelf life. The concept of shelf life, however, was not there. 3. The staff of the depot found out that soft copies of most of the drawings were available at the Research & Development center of Indian Railways. They had collected the soft copy of the drawings and specifications of the wagon components. 4. All items with a limited shelf life were identified. The preservation methods for the shelf-life item were collected from other railway units and incorporated in work instructions. No of items stocked at Jhansi, 1300 (approx) No of technical supervisor, 150 (approx) No. of labor, 250 (approx) Table 3 Key improvement steps identified and their status seven months later 37 Appendix I Q.no. & Factor Question Situation one year Situation before today (B) ISO certification (A) (B-A) for Deming (B-A) for prize winners from Railway India units People in the organization know who their internal and external customers are. All departments of my 1234561234567 3 organization including finance, 7 8 9 10 8 9 10 personnel, stores, and security care about meeting their internal customer’s expectation. 3 Both, the internal and external 1 2 3 4 5 6 1 2 3 4 5 6 7 4 Customer Focus customers are asked for their 7 8 9 10 8 9 10 opinions about the quality of work/services/products they receive from the organization. 4 The resources, facts, and 1234561234567 2 Communication information needed to do a 7 8 9 10 8 9 10 across the good job are available to the organization people in the work unit. Information and Data management 1 Customer Focus 2 Customer Focus 5 Effective communication 1234561234567 Communication across different departments so 7 8 9 10 8 9 10 across the as to improve interdepartment organization cooperation and align the work Information and force toward corporate Data management expectation 6 The quality management 1234561234567 Communication system contributes to 7 8 9 10 8 9 10 across the collection and integration of organization information that is then used Information and for organizational decision Data management making 7 The schedule of power (SOP) 1 2 3 4 5 6 1 2 3 4 5 6 7 Delegation and is modified so as to provide 7 8 9 10 8 9 10 empowerment managers authority commensurate with their responsibilities 8 Employees are empowered to 1 2 3 4 5 6 1 2 3 4 5 6 7 Delegation and take corrective decisions on 7 8 9 10 8 9 10 empowerment the spot without looking up to managers for their approval 9 There is complete formal 1234561234567 Delegation and and/or de-facto autonomy to 7 8 9 10 8 9 10 3 (1 shows less prevalent Sona M &M Rane DLW DCW 10 shows more prevalent) 1234561234567 2 5 3 4.6 0 7 8 9 10 8 9 10 5 2 2.8 0 8 4 2 2 5 3 3.2 0 5 4 3.6 0 5 4 3 2 1 3 5 4 1.2 2 2 2 4 1.4 0 2 2 4 0.2 0 38 empowerment 10 Continuous improvement 11 Continuous improvement 12 Continuous improvement 13 Results and recognition 14 Results and recognition 15 Results and recognition 16 Leadership 17 Leadership 18 Leadership 19 Process improvement 20 Process improvement 21 Process improvement 22 Supplier focus the head of this unit for taking decisions that affect the working of this unit. There is great emphasis on 1234561234567 employee training for 7 8 9 10 8 9 10 continuous learning of new things Improvement of all operations 1 2 3 4 5 6 1 2 3 4 5 6 7 including personnel and 7 8 9 10 8 9 10 financial activities are monitored in MRM Number of suggestions come 1 2 3 4 5 6 1 2 3 4 5 6 7 from staff to improve the 7 8 9 10 8 9 10 cross-functional work processes, which are then implemented. People in the work unit receive 1 2 3 4 5 6 1 2 3 4 5 6 7 promotions because they 7 8 9 10 8 9 10 deserve them. There is a system of quick 1234561234567 reward/recognition of people 7 8 9 10 8 9 10 in the work unit for outstanding performance The reward /recognition 1234561234567 policies are viewed with 7 8 9 10 8 9 10 widespread satisfaction. Leader(s) in the organization 1 2 3 4 5 6 1 2 3 4 5 6 7 ask people about ways to 7 8 9 10 8 9 10 improve the work produced, by setting examples of quality performance in their day-today decision-making and activities. Senior managers providing 1234561234567 clear vision and values that 7 8 9 10 8 9 10 promote quality The manager provides the 1234561234567 direction for or improvement 7 8 9 10 8 9 10 and accordingly, workers are motivated to take initiative. In case of any difficulty, worker interacts with the manager to improve the situation Use of corrective and 1234561234567 preventive action mechanism 7 8 9 10 8 9 10 of ISO for process improvement Use of pareto analysis and 1234561234567 other statistical techniques 7 8 9 10 8 9 10 Key processes in the organization are regularly benchmarked and undergo quality auditing Quality and not price is the prime criteria in supplier 2 5 2 3 2 2 5 3 4 4 4 3 4 3.4 3 2 2 2 3 1 3 0.2 2.2 0 0 2 4 3 3 3 4 1.8 2.2 0 0 4 4 3 4 3 4 2 2.4 1 0 4 4 3 2.8 2 4 5 3 3 3 4.6 2.2 1 2 1234561234567 2 7 8 9 10 8 9 10 1234561234567 3 7 8 9 10 8 9 10 2 4 2.4 0 39 23 Supplier focus 24 Supplier focus 25 Team work 26 Team work 27 Team work 28 Value & ethics 29 Value & ethics 30 Value & ethics 31 Work culture 32 Work culture 33 Work culture 34 Strategy 35 Strategy 36 Strategy selection Long-term relationship with 1 2 3 4 5 6 1 2 3 4 5 6 7 suppliers is encouraged 7 8 9 10 8 9 10 Suppliers are treated as 1234561234567 customers whose feed back are 7 8 9 10 8 9 10 important in the quest for improvement Emphasis on team-based 1234561234567 problem-solving approach 7 8 9 10 8 9 10 rather than individual/department-based problem-solving approach People in the work unit share 1 2 3 4 5 6 1 2 3 4 5 6 7 responsibility for the success 7 8 9 10 8 9 10 and failure of their work Members of different 1234561234567 department voluntarily come 7 8 9 10 8 9 10 forward to jointly solve an organizational problem. The organization emphasizes 1 2 3 4 5 6 1 2 3 4 5 6 7 doing things right the first 7 8 9 10 8 9 10 time. Managers in the organization 1 2 3 4 5 6 1 2 3 4 5 6 7 live up to high ethical 7 8 9 10 8 9 10 standards People in the organization are 1 2 3 4 5 6 1 2 3 4 5 6 7 committed to produce high- 7 8 9 10 8 9 10 quality output rather than adopting short cuts which ultimately affect quality People in the work unit take 1 2 3 4 5 6 1 2 3 4 5 6 7 pride in their work 7 8 9 10 8 9 10 Making a mistake is not 1234561234567 feared. It is recognized as a 7 8 9 10 8 9 10 part of learning. A lot of interlevel and 1234561234567 interdepartment discussions 7 8 9 10 8 9 10 take place to build consensus before a policy is instituted. Meeting and exceeding 1 2 3 4 5 6 1 2 3 4 5 6 7 customer expectation is 7 8 9 10 8 9 10 accorded a higher strategic priority than short-term production target. Streamlining the working (that 1 2 3 4 5 6 1 2 3 4 5 6 7 is, business) processes of the 7 8 9 10 8 9 10 organization Leaders in the organization try 1 2 3 4 5 6 1 2 3 4 5 6 7 to plan ahead for technological 7 8 9 10 8 9 10 and organizational changes that might impact the organization’s future performance. Total 2 2 1 3 2 3 2.2 2.2 0 2 1 0 4 2.2 1 2 4 2 3 4 4 0.8 2.2 0 1 1 2 4 0 0 5 3 1 1 0.8 0.6 2.8 0 1 0 3 2 3 0 0 2 3 3 4 2 0.6 2.2 1 1 0 3 2 4 1.6 1 3 5 3 4 3 3 0.8 1.4 1 2 102 111 113 76.6 31 40 Sum of factor scores for the questionnaire (total/3) 34 37 37.66 25.33 10.33 41