Total Quality Management As The Basis For Organizational Transfor

Southern Cross University
ePublications@SCU
Teses
2005
Total quality management as the basis for
organizational transformation of Indian Railways: a
study in action research
Madhu Ranjan Kumar
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Publication details
Kumar, MR 2005, 'Total quality management as the basis for organizational transformation of Indian Railways: a study in action
research', DBA thesis, Southern Cross University, Lismore, NSW.
Copyright MR Kumar 2005


Doctor of Business Administration

Total Quality Management as the basis for organizational
transformation of Indian Railways A Study in Action Research

Researcher: Madhu Ranjan Kumar

Student ID: 21231263

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Table of Contents

Abstract .................................................................................................................. xiv

Chapter 1 Introduction ............................................................................................. 1
1.1 Background to research.................................................................................................................................. 1
1.2 Research problem............................................................................................................................................ 2
1.2.1 Research pathway......................................................................................................................................3
1.2.2 Contribution...............................................................................................................................................4
1.3 Justification for research................................................................................................................................ 4
1.3.1 Need to change for Indian Railways..........................................................................................................5
1.4 Methodology .................................................................................................................................................... 6
1.5 Outline of this thesis........................................................................................................................................ 6
1.6 Limitations....................................................................................................................................................... 8
1.7 My own value system as a researcher............................................................................................................ 8
2.0 Conclusion...................................................................................................................................................... 10

Chapter 2 Literature Review.................................................................................. 11
2.1 Parent discipline............................................................................................................................................ 13
2.1.1 Parent discipline 1-Organisational Change..............................................................................................13
2.1.2 Parent discipline 2 Total Quality Management.....................................................................................15
2.1.2.1 Historical background......................................................................................................................15
2.1.2.2 Commonalty among quality gurus:..................................................................................................18
2.1.3 TQM as a philosophy of change..............................................................................................................21
2.2 Immediate discipline ..................................................................................................................................... 23
2.2.1 Total Quality Management- a systems perspective.................................................................................23
2.2.1.1 TQM and System Dynamics............................................................................................................29
2.2.1.2 Systems theory, TQM and organisational learning..........................................................................31
2.2.1.3 Organisational knowledge creating process.....................................................................................33
2.2.1.4 Learning and second order change..................................................................................................35
2.2.2 Critical success factors for TQM.............................................................................................................36
2.2.3 Different International Quality Awards...................................................................................................38
2.2.3.1 History of quality awards.................................................................................................................39
2.2.3.2 Commonality and differences among different quality awards.......................................................41
2.2.3.3 Change in the criteria of quality awards over time..........................................................................42

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2.2.3.4 Commonalities and differences between DP (2004) and MBNQA(2004)......................................45
2.2.3.5 TQM and awards in public sector....................................................................................................47
2.2.3.6 TQM in India and Indian quality awards.........................................................................................49
2.2.3.7 Indian quality awards vs. MBNQA & EQA ....................................................................................53
2.2.4 Synthesis of system dynamics, CSFs and quality award criteria.............................................................56
2.2.5 Total Quality Management and ISO........................................................................................................58
2.2.5.1 ISO 9000:2000 and TQM................................................................................................................60
2.2.5.2 Factors affecting transition from ISO to TQM................................................................................64
2.2.5.3 Quality movement in India and ISO................................................................................................65
2.2.6 TQM and culture.....................................................................................................................................67
2.2.6.1 Indian work culture..........................................................................................................................70
2.2.6.2 Duality of traditionalism and modernism in Indian culture.............................................................73
2.2.6.3 Recent changes in Indian work culture............................................................................................74
2.2.6.4 Nurturant task leadership.................................................................................................................76
2.2.6.5 Juxtaposition of culture for TQM and Indian culture......................................................................77
2.2.6.6 Comparison between J apanese culture and Indian culture...............................................................79
2.2.7 Indian Bureaucracy..................................................................................................................................80
2.2.7.1 Characteristics of Indian bureaucracy.............................................................................................81
2.2.7.2 Changing the bureaucracy...............................................................................................................83
2.2.7.3 TQM and change in government bureaucracy and in public sector.................................................86
2.2.7.4 Summary of TQM in bureaucracy..................................................................................................88
2.2.8 TQM and transformational leadership.....................................................................................................89
2.2.8.1 Impact of cultural factors on transformational leadership...............................................................91
2.2.8.2 Transformational leadership in India...............................................................................................92
2.3.Summary of literature review and overview of the central problem........................................................ 93
2.4. Identification of the gaps which need investigation.................................................................................. 97

Chapter 3 Research questions and research methodology ............................... 98
3.1 Research questions ........................................................................................................................................ 98
3.2 Different research paradigms..................................................................................................................... 100
3.3 Development of research map.................................................................................................................... 106
3.4 Research Design for stage 1........................................................................................................................ 108
3.4.1 Survey A - Assessment of organisational policies and practices in the Indian Railways......................108
3.4.2 Survey B - Assessment of cultural values of Indian Railway personnel ..............................................109
3.5 Research design for stage 2......................................................................................................................... 111
3.5.1 Survey C Assessment of the impact of ISO 9000 in the Indian Railways..........................................112
3.5.1.1 Sampling plan for survey C...........................................................................................................112
3.5.2 Survey D - Development of scale to measure the transition of ISO certified organisations towards TQM
........................................................................................................................................................................124
3.6 Questionnaire design and administration for survey D........................................................................... 124
3.6.1 Development and evaluation of questionnaire.......................................................................................125
3.6.2 Development of measurement scale......................................................................................................129
3.6.3 General issues in drafting the questionnaire..........................................................................................129
3.6.4 Pre-test, revision and final draft ............................................................................................................130
3.6.5 Reliability and validity of the instrument..............................................................................................130
3.6.6 Survey method.......................................................................................................................................133
3.7 Research design for stage 3......................................................................................................................... 133
3.7.1 Development of research design for stage 3..........................................................................................133

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3.8 Ethical considerations ................................................................................................................................. 134
3.9 Conclusion.................................................................................................................................................... 135

Chapter 4 Data collection and data analysis.......................................................136
4.1 Data collection and data analysis for survey A......................................................................................... 136
4.2 Data collection and data analysis for survey B......................................................................................... 143
4.2.1 Data collection.......................................................................................................................................143
4.2.2 Data Analysis........................................................................................................................................144
4.3 Data collection and data analysis for survey C......................................................................................... 148
4.3.1 Understanding the impact of ISO implementation on railway units in terms of intervening variables.149
4.4 Data collection and data analysis for survey D......................................................................................... 150

Chapter 5 The action research project ................................................................153
5.1 Situating Action Research in a Research Paradigm................................................................................. 153
5.2 Situating action research within systems theory ...................................................................................... 158
5.2.1 Soft System methodology......................................................................................................................158
5.2.2 Soft system methodology as action research.........................................................................................160
5.3 Justification of Action Research as the research methodology for this thesis........................................ 161
5.4 Research model for Action Research......................................................................................................... 164
5.5 Rigour and validity in the Action Research.............................................................................................. 167
5.5.1 Falsification...........................................................................................................................................170
5.5.2 Reflection and three levels of learning..................................................................................................171
5.5.3 Intervention...........................................................................................................................................175
5.5.4 General criteria for assessing rigour in AR...........................................................................................176
5.5.5 Rigour and validity in this Action Research..........................................................................................177
5.6 Action research at Jhansi Stores Depot..................................................................................................... 180
5.6.1 Selection of unit for action research......................................................................................................180
5.6.2 About J hansi Stores Depot....................................................................................................................180
5.6.3 The action research cycles.....................................................................................................................182
5.6.4 Experiential learning during action research.........................................................................................198

Chapter 6 Reflection after action and development of TQM transition model
................................................................................................................................203
6.1 Reflection after action................................................................................................................................. 203
6.1.1 Reflection after action- 1.......................................................................................................................203
6.1.5 Development of TQM transition model ................................................................................................214
6.2 Jhansi revisited............................................................................................................................................ 219

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6.2.1 The next action cycle.............................................................................................................................223
6.2.2 Action Research revisited......................................................................................................................226
6.3 Validation of the TQM transition model................................................................................................... 227

Chapter 7 Conclusion ...........................................................................................231
7.1 Introduction................................................................................................................................................. 231
7.2 Conclusions about research problems....................................................................................................... 231
7.3 Conclusion about research issue ................................................................................................................ 234
7.4 Assessment of Rigour in this Action Research.......................................................................................... 237
7.5 Contribution to literature........................................................................................................................... 238
7.5.1 Findings which support the existing literature......................................................................................238
7.5.2 Finding which is contrary to existing literature.....................................................................................239
7.5.3 Findings which are contribution to existing literature...........................................................................239
7.6 Contribution to policy and practice........................................................................................................... 240
7.6.1 Implications for Indian Railways..........................................................................................................240
7.6.2 Implications for Indian organisations....................................................................................................241
7.6.3 Implications for organisations in general ..............................................................................................242
7.7 Contribution to methodology ..................................................................................................................... 242
7.8 Limitations................................................................................................................................................... 243
7.9 Implications for future research ................................................................................................................ 244

Chapter 8 Researchers ruminations ...................................................................245
References .............................................................................................................254
Appendices ............................................................................................................281
Appendix 1. Tables and figures about quality awards................................................................................... 281
Appendix 2. Assessment of organisational policies......................................................................................... 301
Appendix 2A Summary of responses to question no.II to question no. VI of the questionnaire assessment of
organisational policies (Survey A)................................................................................................................311
Appendix 3. Behaviour preference scale ( S 004) ........................................................................................... 321
Appendix 3A Data analysis for the questionnaire S004 (survey B)............................................................... 328
Appendix 4. ISO 9000 Survey .......................................................................................................................... 338
Appendix 4A Summary of survey C in six ISO certified units of Indian Railways.......................................350
Appendix 5. TQM transition questionnaire.................................................................................................... 355
Appendix 6. Multifactor Leadership Questionnaire ...................................................................................... 369
Appendix 6.1 Multifactor Leadership Questionnaire Leader Form................................................................372
Appendix 6.2 Multifactor Leadership Questionnaire Rater Form..................................................................375
Appendix 6.3 Scores obtained on the Multifactor Leadership Questionnaire (rater form).............................384

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Appendix 7. Organization chart of Indian Railways...................................................................................... 385
Appendix 8. Intimation about co- action researchers .................................................................................... 386
Appendix 9. List of ISO certified units in the Indian Railways..................................................................... 389
Appendix 10. Organisational Chart of Jhansi workshop unit of Indian Railways...................................... 393

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List of Figures

Figure 2. 1 Concept map for literature review......................................................................... 12
Figure 2. 2 The yin-yang of TQM........................................................................................... 15
Figure 2. 3 Simplified example of an organization as a system.............................................. 26
Figure 2. 4 Milestones of organisational roots........................................................................ 28
Figure 2. 5 Milestones of quality development....................................................................... 28
Figure 2. 6 Quality and business results.................................................................................. 29
Figure 2. 7 Modes of knowledge creation in an organization................................................. 34
Figure 2. 8 The four types of learning as polar opposites........................................................ 35
Figure 2. 9 European Quality Model ....................................................................................... 41
Figure 2. 10 Model of a process-based quality management system...................................... 61
Figure 2. 11 Characteristics of internal work culture of organizations in developing countries
in the context of their sociocultural environment............................................................ 68
Figure 2. 12 Nurturant-Task leadership process leading to participative management........... 76
Figure 2. 13 Socio cultural factors in MBNQA and J QA....................................................... 78
Figure 2. 14 Summary of literature review and gaps in existing literature............................ 96

Figure 3. 1 Different assumptions about nature of reality..................................................... 101
Figure 3. 2 Research map..................................................................................................... 107
Figure 3. 3 Existing functional silos in Indian Railways....................................................... 117
Figure 3. 4 Model of a process-based quality management system...................................... 119
Figure 3. 5 Plan for development of TQM transition questionnaire .................................. 124

Figure 5. 1 The action research cycle.................................................................................... 153
Figure 5. 2 The experiential learning cycle........................................................................... 154
Figure 5. 3 The oscillation between reflection and generalisation........................................ 155
Figure 5. 4 Conceptual link between TQM and AR.............................................................. 164
Figure 5. 5 Two-project model for AR based thesis.............................................................. 165
Figure 5. 6 Research model used in stage 3 shown within the AR framework..................... 166
Figure 5. 7 The ORJ I within experiential learning cycle....................................................... 175
Figure 5. 8 Model for validation of learning which occurred in each cycle by using different
methods, different sources of data and different types of data...................................... 178

Figure 6. 1 Model for sequential development of TQM factors using the ISO framework.. 215
Figure 6. 2 Model for implementation of TQM in India using the ISO framework.............. 218

Figure 7. 1 Reproduction of Figure 2.14 showing gaps in existing literature....................... 235
Figure 7. 2 Model for implementation of TQM in Indian Railways using the ISO framework
thereby filling up the gap shown in Figure 7.1.............................................................. 236

Figure 8. 1 The structure of an appreciative system.............................................................. 248

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Figure 8. 2 Unbundling of standards of fact and value into three components of time, person
and ecology and their positioning along the Gemeinschaft and Gesellschaft continuum.
....................................................................................................................................... 250
Figure 8. 3 Integration of mode 2 of SSM with context sensitivity and balancing............... 252

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List of Tables

Table 2. 1 Traditional change model vs. complex adaptive change model ............................. 14
Table 2. 2 Commonalities among seminal TQM work........................................................... 19
Table 2. 3 Definition of variable for enablers.......................................................................... 30
Table 2. 4 Definition of variables for results........................................................................... 31
Table 2. 5 Differences in checklists of Deming prize 1992 and Deming prize 2000.............. 43
Table 2. 6 Differences in the criteria of MBNQA 1992 and MBNQA 2004.......................... 44
Table 2. 7 Major Indian National Quality Awards.................................................................. 52
Table 2. 8 Comparison of Indian Quality Awards with MBNQA & EQA ............................. 54
Table 2. 9 CSFs for TQM and CEBEA criteria....................................................................... 55
Table 2. 10 ISO 9000 and Demings system of profound knowledge.................................... 62
Table 2. 11 Comparison of MBNQA, EFQM and ISO 9000......................................................... 63
Table 2. 12 Societal values of Indian managers after liberalisation........................................ 75
Table 2. 13 Comparison between vertical collectivism and horizontal collectivism.............. 79

Table 3. 1 Research questions for this work............................................................................ 99
Table 3. 2 Basic belief systems of alternative enquiry paradigms......................................... 102
Table 3. 3 Quality criteria for different research paradigm................................................... 104
Table 3. 4 Typology of sampling strategies in qualitative inquiry........................................ 113
Table 3. 5 Analysis of different categories of railway units on clauses of ISO 9000:2000.. 120
Table 3. 6 Percentiles for individual scores, based on others ratings on MLQ.................... 123
Table 3. 7 Operationalisation of different factors of TQM transition questionnaire ......... 128
Table 3. 8 Summary of scores obtained on the TQM transition questionnaire by DP winners
in India and ISO certified different units of Indian Railways........................................ 132

Table 4. 1 Respondent profile for survey A........................................................................... 136
Table 4. 2 Comparison of codes developed in survey A with the CSFs of TQM................. 139
Table 4. 3 Existing and proposed organisational dimensions for Indian Railways by senior railway
managers......................................................................................................................... 142
Table 4. 4 Number of respondents in different categories for survey B................................ 144
Table 4. 5 Scores obtained on the three dimensions of status consciousness (S),
personalised relationship (P) and dependency proneness (D) by different categories
of employees of Indian Railways................................................................................... 145
Table 4. 6 List of short-listed railway units for survey C...................................................... 148
Table 4. 7 Comparison of scores on TQM transition questionnaire of different units of
Indian Railways and the juxtaposition of intervening factors....................................... 151

Table 5. 1 Comparison between three paradigms of knowledge........................................... 156
Table 5. 2 Comparison between positivist science and action research................................ 157
Table 5. 3 Dimensions of SSM types.................................................................................... 159
Table 5. 4 First order, second order and third order learning................................................ 173
Table 5. 5 Skills of balancing inquiry and advocacy............................................................. 174
Table 5. 6 Types of intervention............................................................................................ 176
Table 5. 7 The AR cycles....................................................................................................... 183

Table 6. 1 Different types of power....................................................................................... 204

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Table 6. 2 Components of transformational leadership and their proposed Indian cultural
equivalent....................................................................................................................... 210
Table 6. 3 Improvement steps identified in May 2004 and their status in December 2004.. 221
Table 6. 4 Comparison of scores on TQM transition questionnaire of different units of
Indian Railways and the juxtaposition of intervening factors including no. of CPA and
no. of reward.................................................................................................................. 228

Table 7. 1 Assessment of rigour in this action research thesis.............................................. 237
Table 7. 2 Components of transformational leadership and their Indian cultural equivalent 240

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Abbreviations
AL Action Learning
AMM Assistant Materials Manager
AMV Alambagh Warehousing Unit
AR Action Research
avg average
BEM Business Excellence Model
BPL Bhopal Workshop
BPO Business Process Outsourcing
CEBEA Confederation of Indian Industries Exim Bank Excellence Award
CEE Chief Electrical Engineer
CFA Critical Factor Analysis
ckt circuit
CLW Chittaranjan Locomotive Works
CME Chief Mechanical Engineer
CPO Chief Personnel Officer
COS Controller Of Stores
CWM Chief Workshop Manager
cert certificate
CII Confederation of Indian Industries
CII_EXIM Confederation of Indian Industries Bank Excellence Award
coop cooperation
CPA Corrective and Preventive Action
CSF Critical Success Factor
CWM Chief Workshop Manager
del delivery
DCW Diesel Components Works
DLW Diesel Locomotive Works
DEE Divisional Electrical Engineer
DME Divisional Mechanical Engineer
DMM District Materials Manager
doc document
DP Deming Prize
DRM Divisional Railway Manager
Dy CMM Deputy Chief Materials Manager
EFQM European Foundation Quality management
EQA European Quality Award
EXIM Export Import Bank
FA&CAO Financial Advisor and Chief Account Officer
GM General Manager
HPO High Performance Organisation
ICF Integral Coach Factory
info information
ISO International Standards Organisation
J PY J apanese Yen
J USE Union of J apanese Scientist and Engineers
Lit Literature
M&M Mahindra & Mahindra
MBNQA Malcolm Baldridge National Quality Award

xi
mgt management
MLQ Multi Factor Leadership Questionnaire
M.R. Management Representative
NC Non Conformance
n.d. no date
NDDB National Dairy Development Board
NQA National Quality Award
NT Nurturant Task
OHSAS Occupational Health and Safety Management System
perf performance
plg planning
PRL Parel Workshop
proc process
QC Quality Control
QMS Quality Management System
RCF Rail Coach Factory
reduc reduction
resp responsibility
ret rm retiring room
RWF Rail Wheel Factory (the current name of WAP)
shop workshop
sp qual special quality
SQC Statistical Quality Control
SSM Soft System Methodology
stat tech statistical technique
sup supervisor
sys system
TOR Turn Over Ratio
TQM Total Quality management
trg training
WAP Wheel and Axle Plant

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Statement of original authorship

This is to certify that this research work titled Total Quality Management as the basis for
organisational transformation of Indian Railways is an original work carried out by me.
Research work of other authors have been reproduced with due credit.

Madhu Ranjan Kumar
madhu_ranjan@yahoo.com

The author can be contacted at madhu_ranjan@yahoo.com for permission to take copies of
this thesis.

xiii

Acknowledgements

At the outset, I wish to thank my research guide Prof. Shankar Sankaran whose
guidance and incisive comments made this research work more rigorous. Southern Cross
University and its support staff can be rated as the most helpful team for a research work. The
library staff of SCU deserve a special thanks for their very prompt delivery of many research
papers and book sections. My special thanks goes to Ms Sue White who, as the DBA
administrator, was a constant source of support.

This is the perhaps the first ever doctoral level organisational study on Indian
Railways. I wish to thank the Department of Personnel & Training and the Ministry of
Railways of the Government of India for sponsoring this study. It is perhaps a measure of
change in thinking within the Indian government that it sponsored an in-depth academic study
of the largest bureaucracy in India with a view to bring about fundamental change in it.

A major part of the work involved collecting data at different railway units and
conducting surveys with railway employees from supervisors to chairmen. This is an occasion
to express my gratitude to hundreds of such respondents whose names cannot be individually
mentioned here for want of space. My special thanks go to the action research team at the
J hansi warehousing unit for their illuminating insights and the desire to run AR cycles.

Mr. Arif Zama deserves a special mention here for his painstaking feeding of data
collected into the computer and also for his enormous help in developing software which
helped in organising the data. That made the quantitative data analysis much easier.

I am thankful to Prof P. Khandwalla, ex. Director, I.I.M. Ahemadabad, Prof U.H.
Acharya of Indian Statistical Institute, Banglore, Prof J .B.P. Sinha of Assert Management
Institute, Patna and Prof. S.G.Deshmukh of I.I.T Delhi for their permission to use their
questionnaire in this thesis.

xiv
Abstract

The basic objective of this research was to assess the suitability of Total Quality
Management (TQM) via the International Standards Organization (ISO) 9000/2000 quality
accreditation system route for bringing about organisational transformation in the Indian
Railways and to develop an India specific model for taking an ISO certified organization
towards TQM.
The first part of the research aimed at getting the as is and should be status of
Indian Railways from an organisational change point of view. Based on the work carried out
by Khandwalla (1995), a series of open-ended and close-ended questions were asked to the
senior members of Indian Railways. Analysis of their responses was undertaken. It indicated
that the way they thought Indian Railways should change was in line with the TQM model of
change.
The culture-TQM fit was studied as a part of this research. Hierarchy (or power
distance) and its related concept collectivism were identified as the two cultural constructs
which affect the successful implementation of TQM. The second part of the research aimed at
measuring the hierarchical orientation among the employees of Indian Railways. This was
measured on three dimensions of dependency proneness, personalised relationship and
status consciousness based on the work done by Sinha (1995). It was found that among the
three dimensions, status consciousness and dependency proneness were more deeply
entrenched cultural traits among Indian Railway employees as compared to personalised
relationship. On the two dimensions of status consciousness and dependency proneness,
the class 1 officers of Indian Railways were less hierarchy conscious than the class 2 officers
who, in turn, were less hierarchy conscious than the supervisors. The tendency for
personalised relationship did not vary significantly either across the class 1 officer, class 2
officer and supervisor categories or across different age groups. Further, employees less than
30 years old, from 31 years to 50 years old and more than 50 years old, demonstrated similar
level of status consciousness and dependency proneness. This shows that at least in the
Indian Railways, even among the younger generation, notwithstanding 15 years of
liberalisation, hierarchical orientation continues to be a powerful cultural trait.
The third part of the research aimed at understanding the impact of ISO 9000
implementation in the Indian Railway units. It was found that, contrary to the literature, there

xv
was no resistance to implementation of ISO based change in the Indian Railways. This
research argues that because of their strong sense of identity with their work group, the
employees of Indian Railways are more amenable to an internal leader initiated change.
Hence there was no resistance to change.
The fourth part of the research was an action research project aimed at ISO 9000:2000
certification of a warehousing unit in the Indian Railways. This was carried out to investigate
the way organisational learning occurred during ISO certification. Three action cycles were
conducted over a period of two months. Seven months later, one additional cycle was
completed. Special care was taken to see that the conclusions arrived after one cycle were
validated from other sources. It was found that departmentalism and lack of team spirit are
major problems in Indian Railways. Both are ascribed to the caste system in India. It is
hypothesised that since an Indian Railway employee remains in a department throughout
his/her career, the department becomes his/her professional caste. The research then
identifies an Indianised version of leadership in the context of organisational change. It
hypothesises that hierarchical teacher-student (guru-shishya) relationship with the leader
invokes personal bases of power which promotes change in India. The teacher-student (guru-
shishya) relationship with the leader is conceptually similar to intellectual stimulation factor
of transformational leadership. The personalised relationship with a more equitable slant can
be elevated to the status of individualised consideration factor of transformational leadership
and the Nurturant Task (NT) leadership model of India is conceptually similar to the
contingent reward factor of transformational leadership.
In the context of TQM, this research hypothesises that there is a sequential
relationship among the critical success factors (CSFs) of TQM. For this, one should begin by
framing process-based quality procedures and quality objectives. Process based quality
procedures and quality objectives lead to development of team orientation in the context of
TQM implementation. Similarly, a multi-tier Corrective and Preventive Action (CPA)
reinforced with a reward and recognition system, positively intervenes in the transition of an
ISO certified organization towards TQM.
The learning arrived at in different parts of the research was finally integrated into a
model for transforming an ISO certified unit towards TQM. The model shows that
propagation of customer satisfaction as a value and not just as a measurement- as in a
customer satisfaction index is key for replacing some of the dysfunctional traditional Indian
values which do not fit in a liberalised economy. More specifically, the compulsion of

xvi
implementing a Corrective / Preventive Action makes a person come out of his/her
traditional moorings and thus begins his/her socialisation outside his/her professional caste.
The reinforcing effect of successive improvement inculcates a feeling of team spirit among
members of different functional groups. Successive CPAs supported by a suitable reward
system and an Indianised version of leadership mentioned earlier create a spiral vortex which
continually pulls the organization towards achieving TQM.
Finally, this research establishes a link between the soft system methodology and an
India specific cultural dimension called context sensitivity. The researcher argues that it is
because of context sensitivity of Indians that no resistance to change was found during ISO
implementation in Indian Railways. This also explains why post liberalisation Indians have
been able to make a mark in the world.

1
Chapter 1 Introduction

1.1 Background to research

As a model of organisational change, TQM has been used in various forms for
decades (Yong & Wilkinson 2002). However, its success rate has not been very impressive
(Cao, Clarke & Lehany 2000; Tata & Prasad 1998). The reasons for its failures have
variously been summarised as:
(a) Improper understanding of the core concepts of TQM.
(b) Implementation was based on a one-size-fits-all assumption that is, it was
prescriptive and not participative (Boyne & Walker 2002; Korunka et al. 2003; Yusof &
Aspinwall 2000).
(c) Implementation of TQM ignored looking at different subsets of the organization
that is, it did not treat organization as a system (Reed, Lemak & Mero 2002).
TQM has also been criticised on the ground that it provides a rhetoric that is
individually interpreted and therefore carries inconsistent meaning across contexts (DeCock
1998; Zbracki reported by Reed, Lemak & Mero 2002).
The faltering success of TQM has led many researchers to establish relationships
between TQM and contextual factors such as culture (Lakhe & Mohanty 1994; Pun 2001;
Sahay & Walsham 1997), leadership (Rao, Raghunathan & Solis 1997; Zairi 2002),
teamwork (Eisenhardt & Tabrizi 1995; Quazi, Hong & Meng 2002) and training (Palo &
Padhi 2003). The personality profile of managers (Krumwiede & Lavelle 2000) and the host
country culture have been found to have a bearing on the adoption or success of TQM (Yen,
Krumwiede & Sheu 2002). Some researchers have looked at the specific problem of TQM
implementation in the public sector (Moon & Swafin-Smith 1998; Robertson & Seneviratne
1995; Stringham 2004; Yosuf & Aspinwall 2000) and tried to analyse whether TQM
implementation requires a different orientation in the public sector (Ehrenberg & Stupak
1994). Another stream of research has been conducted to arrive at empirically validated
factors that influence successful implementation of TQM (Black & Porter1996; Wali,
Deshmukh & Gupta 2003).
At a systemic level, a formal integration of TQM principles in a model of quality
management system has been attempted by ISO 9000: 2000 standard (Kartha 2002). Yet

2
there is a lack of reported research which establishes that ISO 9000:2000 certification enables
an organization to proceed on the TQM path. However, there is reported research about the
varying impact of ISO 9000: 1994 standard on an organization. It is both positive
(Escanciano, Fernndez & Vzquez 2001; Sun 1999) and negative (Curry & Kadasah 2002).
Some authors have tried to explain this varying impact on general factors such as country
culture (Noronha 2002); organisational factors such as intention behind certification
(Gotzamani & Tsiotras 2002; Poksinska, Dahlgaard & Antoni 2002); leadership (Hill, Hazlett
& Meegan 2001) and operational factors such as adoption of more than one enablers of TQM.
Therefore, there is a need to understand the implementation of TQM in terms of these
intervening factors.
Looking from this perspective, there seems to be a need to understand successful
implementation of TQM for organisational change as a function of the intra-organisational
parameters mentioned above.

1.2 Research problem

The above introductory background throws up the following broad research problem
which this thesis will address

Can TQM be used as the basis for organisational transformation? If yes, how can it
be effectively implemented in an Indian bureaucracy?

Within the Indian bureaucracy, this thesis will study the implementation related
issues in the context of Indian Railways which is the largest Indian bureaucracy.
The ISO 9000: 2000 model is the framework in which the study will be undertaken.
This is because ISO 9000: 2000 provides a change mechanism and change-monitoring model
which lends a holistic approach to change. The international standard organization claims
that its eight underlying principles are also in consonance with the tenets of TQM
(www.iso.org).
Thus this thesis attempts to understand whether the revised ISO 9000 standard is
designed for taking an organization on its TQM journey and how the intra-organisational
intervening variables of culture, presence of enablers of TQM and managements intention
behind certification affect this journey.

3

1.2.1 Research pathway

The specific research pathways which have been used to seek answer to the research
problem are now indicated.
The first area to be explored pertains to TQM. It attempts to answer the following
questions-
What is the state of TQM today? That is, starting from the principles of the founding
fathers of TQM, where does it stand today? What variations, if any, has it undergone? What
factors contribute to and what factors impede its successful implementation. These are dealt
with in section 2.2.1, 2.2.2 and 2.2.3.
Since the focus of this thesis is India, this research looks at different aspects of
Indian culture in their organisational context. How does Indian culture affect the
organisational values of Indian Railway personnel in the context of TQM? These are dealt
with in section 2.2.6.
Since Indian Railways is a bureaucratic organization, section 2.2.7 tries to explore
the core values of Indian bureaucracy and how it affects the organisational values and beliefs
of railway personnel who are part of this bureaucracy.
Other than establishing the status of TQM today and an understanding of the
organisational values and beliefs of Indian Railway personnel, the research also focuses on
the issues involved in the successful implementation, assimilation and continuance of TQM.
The key issues in the implementation of TQM are taken up in sections 2.2.5, 2.2.6 and 2.2.8
wherein the relationships between TQM and ISO, TQM and culture and TQM and
transformational leadership are dealt with.
Understanding these issues leads to the development of specific research questions:
What are and what should be the organisational policies and practices of Indian Railways
and what are the culturally induced values of Indian Railway personnel. The thesis also
assesses the general impact of ISO certification in Indian Railways. With TQM as the focus,
this research then takes up a participative style towards TQM implementation via the ISO
9000: 2000 route using an action research (AR) methodology. A question arises: does this

4
participative style build a learning capacity among the railway personnel? Answer to this
question is discussed at the end of the descriptions of the action research cycles.

1.2.2 Contribution

(i) At present there are very few AR based ISO 9000 implementations in the
government sector. So this thesis is expected to contribute to the literature by showing the
implementability of ISO 9000 in a government organization using a bottom-up approach.
(ii) In India, there has been very little work in the area of change management
through AR. Thus, to the Indian academic community, this will be one of the first studies of
systematic implementation of change using AR.
(iii) The contribution of this research to practice will be to the Indian organizations,
especially bureaucratic organizations. It will explain what flavour, if any, of TQM is suited
for bureaucracy and how its members internalise and implement the basic tenets of TQM.

1.3 J ustification for research

(i) The unimpressive success rate of TQM implementation in western countries,
inspite of it being around for more than 30 years in the field of research, has brought into
focus the contextual factors which mediate in the successful implementation of TQM and
also the route selected for TQM implementation. From this point of view, the values and
beliefs of the members of an organization provide a set of context for quality implementation.
(ii) Though the factors which lead to TQM are now understood, the current state of
research does not provide a synthesis of these factors. That is, there is little research carried
out which can explain the success or failure of TQM oriented change initiative in the light of
the totality of the understanding developed about TQM.
(iii) There are relatively few reported studies of TQM implementation with
organisational members as the focus that is, a bottom-up process involving the organisational
members in planning, implementing and evaluating the quality management system.
(iv) Internationally, TQM has generally been studied in the private sector
environment. There is not much evidence of research about its implementation in a
bureaucracy.

5
Another justification for the research comes from the need for change in the Indian
Railways.

1.3.1 Need to change for Indian Railways

The organisational justification for this study comes from the compelling need to
change for the Indian Railways made time and again (Sondhi n.d.). It needs to change in
order to survive. But given its history, how can a beginning be made for successful
implementation of change in Indian Railways. One option is to make an ambitious change
program, so ambitious, that it fundamentally alters the social system of Indian Railways. But
can the Indian Railways accommodate such a change programme? If the change is going to
fundamentally alter its social system, are the different stakeholders of Indian Railways the
government, the railway personnel and indeed, the customers of Indian Railways- the Indian
people - going to allow the implementation of such a radical change? It is worthwhile to
point out in this connection that in 1998, the Government of India appointed the Rakesh
Mohan committee to suggest ways for changing the Indian Railways. In its report, submitted
in the year 2001, the committee has inter alia mentioned that the Indian Railways is the most
studied organization in the world. However, hardly any one of the findings of those studies
has been implemented (quoted by Sondhi n.d). Not surprisingly, the recommendations of the
Rakesh Mohan committee too, were never implemented because it adversely affected all the
stakeholders. This is a pointer to the fact that while the malaise of Indian Railways and its
solutions from a purely large scale organisational transformation angle are well known, the
different stake holders of Indian Railways have ensured that such solutions remain
unimplemented.
The second option for change is to keep it at the level of window dressing. In this
case, the old systems remain untouched and they continue to generate the same behaviours.
However, the researcher believes that it is possible to bring about a change in a
manner and in such areas of Indian Railways which is acceptable to different stakeholders
and therefore implementable.
In the context of Indian Railways, action choices emanating from changes in such
factors as ownership and structure have the risk of antagonising the three important stake
holders - the government, the railway personnel and even the customers who would to see
the Indian Railways more as a not-for-profit organization. Thus it can make them withdraw
from or oppose the proposed change. However a change in such factors as system, culture,

6
leadership and industrial relations are not necessarily threatening to them and a beginning can
be made to initiate change in these areas.
Thus the intent of this research is to use TQM via the ISO 9000: 2000 route as the
overarching method for bringing about change in the Indian Railways

1.4 Methodology

Since this is perhaps the first doctoral level study on the Indian Railways, the overall
framework of research methodology is largely qualitative. Since the focus of the work is to
improve the intra-organisational processes within the Indian Railways, the concept of
customer here is that of an internal customer.
Literature review is the prime source for understanding the impact of Indian
bureaucracy and Indian culture on the values of Indian Railway personnel. The preliminary
literature review indicated that enough literature is available to understand the cultural values
of Indians. However, there is no direct study of the organisational values within the Indian
Railways. Thus direct assessment of the organisational values of Indian Railway personnel is
done. Established instruments are used for this assessment. The instruments have already
been extensively tested for their reliability and validity.
Literature review is the prime source for assessing the state of TQM and its status in
India.
A questionnaire-based survey of different units of Indian Railways is used to assess
the impact of ISO 9000 certification in these units.
It has been mentioned earlier that one of the weaknesses of TQM implementation has
been the prescriptive style which ignores the tacit factors (J oseph et al. 1999) which could
drive TQM success. Thus the emphasis of this research is to develop a bottom-up approach
of quality implementation. Therefore, action research (AR) methodology is used to
progressively implement the ISO 9000: 2000 quality system. For this purpose, an action
research model proposed by Perry and Sankaran (2002) is used.

1.5 Outline of this thesis

Chapter 2 is a literature review about the parent and immediate disciplines of this
research. It begins with organisational change and a historical account of TQM. In the

7
immediate discipline, the linkage between TQM and systems theory and identification of
critical success factors of TQM are dealt with. This leads to a discussion on different TQM
awards. Thereafter the linkage between TQM and ISO, and TQM and culture are discussed.
The discussion on TQM and culture leads to a discussion on bureaucratic culture and status
of TQM in bureaucratic organizations. A recurring theme in TQM implementation both in
private sector and bureaucracy is that of transformational leadership. Thus the critical role of
transformational leadership in TQM is the last part of literature review.
The literature review leads to the identification of gaps which need investigation.
Chapter 3 describes the research methodology used. It begins by framing the research
questions which need investigation. It then develops the research map for the research
questions. The research map divides the research in three stages.
Stage one consists of two surveys. Survey A seeks to find answers to the first
research question What are and what should be Indian Railways core values, style of
management, growth strategies, competitive strategies and changes in organisational
structure / management system so as to transform Indian Railways into an excellent
organization? Survey B assesses the impact of Indian culture on the organisational values
of the Indian Railway personnel by measuring their hierarchical tendencies. Section 3.4
discusses the specific surveys which are used.
Stage two seeks to find answers to the second and third research questions. These
research questions are
Research question ii - What is the impact of ISO implementation in Indian Railways?
Research question iii- To what extent has the implementation of ISO 9000 brought
about a TQM orientation in Indian Railways?
This involves development of a scale which can objectively measure the transition of
an ISO certified organization towards TQM.
Sections 3.5 and 3.6 discuss the specific surveys which were used to find answers to
these two research questions.
Chapter 4 deals with the data collection and data analysis for the above surveys.
Stage three seeks to find answers to the fourth and fifth research questions:
Research question iv - Will a bottom up methodology build learning capacity among
the railway personnel?
Research question v - How can the enablers of TQM be integrated in a model for
attaining TQM via the ISO framework?

8
Chapter 5 and chapter 6 discuss the action research methodology which was used to
find answer to the last two research questions.
Chapter 7 synthesises the findings and draws conclusions from the research. Chapter
8 is the researchers reflection on the entire thesis.

1.6 Limitations

The focus of the work is in the context of Indian Railways. The results obtained from
here can be applicable to the rest of the Indian Railways subject to further test. However, no
claim of generalisability can be made beyond that. For an outside customer, Indian Railways
is a service organization. But this study has been limited to the manufacturing section of
Indian Railways. This was done because TQM started in manufacturing sector and in the
Indian Railways also, its concept has largely been used in its manufacturing units via the ISO
9000 implementation.

1.7 My own value system as a researcher

When the researcher joined the Indian Railways, he found on the table of a railway
engineer, underneath a transparent glass sheet, a chart which read as

Error Punishment
Inspection not done Withhold annual increment in salary
Not reporting on time Decrease in grade of salary
J umping the signal Demotion
Accident Dismissal from service

When he checked up, it was explained that since there were so many cases of these
types of errors, to make the decision making simpler for the engineer, this chart came in
handy in deciding what level of punishment was required for different categories of errors.
Apparently the railway engineer was a robot who would mechanically hand over punishment!
The researcher wondered what happened to the staff who had made an error of other than an
accident? They obviously continued in the system, but at what level of efficiency?

9
Notwithstanding this managerial mind set, the researcher has always been impressed
by the fact that though close to 50% of its staff are illiterate, and it has only one engineer for
every 500 workers, Indian Railways manufactures, maintains and runs technologically
advance locomotives and coaches. Further, during the last 18 years, Indian Railways has
reduced its workforce by 300,000 without any formal voluntary retirement scheme or golden
handshake and there has not been a murmur of protest in the job scarce India. Yet he used to
hear You cannot do much in the Indian Railways. The politicians will not allow you to do.
The staff is not interested in working. This made him wonder whether the tendency for
external locus of control has been manifested in the working of Indian Railways. Thus in his
professional work, the researcher tended to stretch his subordinates and his superiors beyond
their conventional standard of working. To their credit, he did not find the subordinates
shirking in meeting the stretched expectations or the superiors and peers shirking in their
stretched assistance to him. This made the researcher undertake a formal study of Indian
Railways to get an academically validated study of this organization.
When the researcher started this research, the initial aim was to look for ways to bring
about improvement in the Indian Railways which was by and large acceptable to its
stakeholders and which was also implementable. TQM appeared to him one such way. He
thought he would do this by juxtaposing the basics of TQM on to the ground realities of
Indian Railways. As a student, his initial grounding has been in the field of mathematics.
Therefore he has always tried to get an unbiased estimate of the reality out there. However
after joining the service, as more and more varieties of reality began to unfold before him, he
began to realize the shortcoming of trying to get an unbiased estimate of reality. The situation
became more complex when he realized that in a social situation, even within one type of
reality, there were so many variables which interacted with each other that it was impossible
to isolate the impact of one variable from another. This showed to him the importance of
context in decision making. The context in decision-making became the boundary condition
within which a social system like an organization worked. This has been reflected in this
research also. Until chapter 4, this research is largely defining the boundary conditions of
Indian Railways.
Another major way this research differs from other research is that data as it emerges
during research has been compared with other emerging data or with existing literature. The
data has not been kept in isolation till the end when they will be compared with other data or
existing literature. This approach has made the research more focused without losing rigour
in the context in which the research was done. Thus there are cross comparisons to other

10
parts of literature in the literature review itself and research data have been compared with
earlier data as they emerge in later chapters of the thesis.

2.0 Conclusion

This chapter has provided an overview of the thesis. A synopsis of each
chapter of the thesis has been dealt with. A detailed description of each chapter now follows.

11
Chapter 2 Literature Review

Introduction

This research aims at studying TQM as a model for bringing about organisational
transformation in Indian Railways and identifying ways for effective implementation of that.
Thus the broad research question has been framed as follows:

Can TQM be used as a model for organisational transformation of Indian Railways?
If yes, how can it be effectively implemented in Indian Railways?

The purpose of this chapter is to carry out a literature search on TQM as a model of
change and understand the key issues involved in the implementation of TQM in Indian
Railways.

Concept map

Based on this question, the concept map for literature review is shown in Figure 2.1. The two
parent disciplines, organizational change and TQM are discussed in sections 2.1.1 and 2.1.2.
Their interaction has been discussed in sections 2.1.3 (TQM as a philosophy of change).
These form the basis for literature review of the immediate discipline wherein the
focus is on the interaction between different aspects of TQM. Different immediate disciplines
have been taken up as they naturally emerge during discussion. That is, the immediate
disciplines have not been taken based on any given a-priori set or point of view or school of
thought. Thus the flavour of the discussion is rather eclectic. Each major theme is also
reviewed in the Indian context so that the focus remains on the research question mentioned
earlier.

12

Figure 2. 1Concept map for literature review
Source: developed for this research.
2.2 Immediate discipline

2.2.1 TQM- a systems perspective
2.2.2 Critical Success Factors (CSFs) for TQM
2.2.3 Different international quality awards
2.2.4 Synthesis of system dynamics, CSFs and quality award
criteria
2.2.5 TQM and ISO
2.2.6 TQM and culture
2.2.7 Indian bureaucracy
2.2.8 TQM and transformational leadership

2.3 Summary of above and overview of
central problem
2.4 Identification of the gaps which need
investigation
Parent discipline 1

2.1.1Organisational change
Parent discipline 2

2.1.2 Total Quality Management
2.1.3 TQM as a philosophy of change

13
2.1 Parent discipline
2.1.1 Parent discipline 1-Organisational Change

Organisational change models closely parallel how organizations have been viewed
over time. From scientific management to organisational development and organisational
studies, the study of organization has moved from a study of mechanical functions from a
closed system perspective to a study of complex adaptive functions from an open system
perspective. Within open systems theory, contingency theory materialised as a means of
accounting for change within an organization. Contingency theory states that depending on
the level of turmoil within an organization, different systems theories should be adopted for
facilitating change. Thus in a government organization where stability and bureaucracy cause
change to occur slowly, a more mechanistic model should be adopted (McElyea 2003, p.63).
Within the field of organisational change, a comparison of the traditional change
model and complex adaptive model of organization change is shown in Table 2.1.

14

Traditional Models of Organisational
Change
Complex Adaptive Model of
Organisational Change
Few variables determine outcome

Innumerable variables determine outcome
The whole is equal to the sum of its parts
(reductionist)
The whole is different from the sum of its
parts
Direction is determined by design and power
of a few leaders
Direction is determined by emergence and
the participation of many people
Individual or system behaviour is knowable,
predictable and controllable
Individual or system behaviour is
unknowable, unpredictable and
uncontrollable
Causality is linear: every effect can be traced
back to a specific cause
Causality is mutual: every cause is also an
effect and every effect is a cause
Relationship are directive

Relationship are empowering
All systems are essentially the same

Each system is unique
Efficiency and reliability are measures of
value
Responsiveness to the environment is the
measure of value
Decisions are based on facts and data

Decisions are based on tensions and patterns
Leaders are experts and authorities Leaders are facilitators and supporters

Table 2. 1Traditional change model vs. complex adaptive change model
Source: McElyea (2003, p. 63).

Mastenbroek (1996) looks upon organisational change in historical perspective and
emphasises that organizational change is essentially a duality management, a balance
between autonomy and interdependence, between steering and self-organization. From this
perspective, strategies such as empowerment cannot be corrected without strong steering.
Top-down reengineering cannot be balanced without the responsibility and creativity of work
units. Mastenbroek says that TQM and continuous improvements often do not live up to their
promises because the line organization is involved in rather awkward ways. All kinds of
analysis and research, internal and external consultants obstruct the development of steering
and self-organization in the line organization. This impedes the cultural change necessary to
give continuous improvement momentum. Capacities for steering and self-organization are
critical assets for such a culture. It is to be noted that this approach does not ask for an
absolute participative management style, rather a balance between participative and directive
style. A similar view has also been expressed by Cunha, Cunha and Dahab (2002). They have

15
called for a dialectic synthesis between the soft and hard (yin and yang) side of
management to get a better look at TQM as shown in Figure 2.2.

Figure 2. 2The yin-yang of TQM
Source: Cunha, Cunha and Dahab (2002).

2.1.2 Parent discipline 2 Total Quality Management
2.1.2.1 Historical background

Today, TQM has become a part of corporate management on a global scale (Lakhe &
Mohanty 1994; Melan 1998; Yusof & Aspinwall 2000). Quality today is studied under the
overall umbrella of Total Quality Management. The improvements brought about by TQM
in the J apanese industry are too well known to merit repetition here. Quality as a concept has
moved from being an attribute of the product or service to encompass all the activities of an
organization.
The core philosophy of TQM as it is understood today is that each step in a
production process is seen as a relationship between a customer and a supplier (whether
internal or external to the organization). The suppliers will have to meet the customers
Norm
Standardization
Control
Methods
Statistics Participation
Inspection trust
Planning creativity
Top Down Leadership Suggestions
Quantity self-control
bottom up leaders
collaboration
democratic leadership
quality
autonomy

16
requirements, both stated and implied, at the lowest cost. Waste elimination and continuous
improvement are ongoing activities.
The early development of total quality management was influenced by a few quality
gurus: Deming, J uran, Feigenbaum, Crosby and Ishikawa. Their key contribuitions to the
quality movement will now be looked at.
The work of Deming: The main thesis of Deming is that by improving quality, it is possible
to increase productivity which results in improved competitiveness of a business enterprise.
According to Deming, low quality results in high cost which will lead to loss of competitive
position in the market. His approach can be summarised in his 14 point programme (Gaither
& Frazier 1999, p. 634):
(i) Create constancy of purpose for improvement of product and service.
(ii) Refuse to allow commonly accepted levels of delay for mistakes, defective material, defective
workmanship.
(iii) Cease dependence on mass inspection to achive quality.
(iv) Reduce the number of suppliers. Buy on statistical evidence, not price.
(v) Constantly and forever improve the system of costs, quality, productivity and service.
(vi) Institute modern methods of training on the job.
(vii) Focus supervision on helping people to do a better job.
(viii) Drive out fear.
(ix) Break down barriers between departments. Encourage problem solving through team work.
(x) Eliminate numerical goals slogans, posters for the workforce.
(xi) Use statistical methods for continuing improvement of quality and productivity and eliminate
work standards prescribing numerical quotas.
(xii) Remove barriers to pride of workmanship.
(xiii) Institute a vigorous program of education and training.
(xiv) Clearly define managements permanent commitment to quality and productivity.

From these initial concepts, Deming later developed what he called the system of
profound knowledge (Bauer, Reiner & Schamchale 2000, p.412). This means appreciation
of a system, knowledge about variation, theory of knowledge and psychology. Deming said
that only if the top management is able to understand the company as a complex system, are
they able to successfully improve the structures of the system ( Bauer, Reiner & Schamschule
2000, p.412).
The work of Juran : Unlike Deming whose approach was more process oriented, the ideas
of J uran were having a managerial flavour (Kruger 2001). His main contribution was that

17
quality control must be an integral part of the management function. This broadened the
understanding of quality. Visible leadership and personal involvement of top management is
important in inspiring quality across the organisation.
According to J uran (1988), to demonstrate commitment to quality the management
should establish a quality council which would coordinate the companys various activities
regarding quality. Further, the management should establish a quality policy which should
guide the managerial action. The management has to establish quality goals which should be
expressed in numbers and should have a time frame. Once a specific goal has been
established by the management, it is the responsibility of the management to provide the
necessary resources to achive the quality goals.
J uran developed the improvement spiral showing that quality improvement is a
continuous process and not just a programme with start and end point (Bauer, Reiner &
Schamschule 2000). Later these very concepts were incorporated in the ISO 9000: 2000
standard.
The work of Ishikawa: He recognised that for TQM to be sucessful, the tools and
techniques of using data to make decisions must be understood by the workers and first-line
supervisors /managers. Accordingly, his techniques and the explanation for application are
simple and straightforward. For him, the ultimate purpose of data is to take action based on
data. Thus data can be used for understanding the actual situation, analysis, process control
and regulation as well as for the traditional acceptance and rejection decisions.
The work of Crosby: While Deming and J uran described the TQM philosophy and
Ishikawa provided the tools and techniques, Crosby offered a detailed guide to
implementation. He proposed a quality management grid that described the stages of TQM
implementation relative to managements understanding and problem-solving techniques, the
organisational approach, and the results achieved. Each stage of Crosbys matrix represents
an increasingly mature implementation of the TQM philosophy (Crosby 1981).
The work of Feigenbaum: He can be considered the originator of the concept of total
quality control. His main contributions are two:
(i) Quality is the responsibility of everyone in an organisation. Quality is produced not only
by the production department, but also by marketing, finance, purchasing, and any other
department. It is the total participation of all employees and the total integration of all the
companys technical and human resources that will lead to long term business success.
Feigenbaum thus developed the concept of quality at source which means that every
employee will have to do his/her work with perfect quality. In total quality control, where

18
product quality is more important than production rate, the worker is given the power to stop
the production if a quality related problem occurs.
(ii) He recognised the cost of non-quality which according to him consists of cost of control
and cost of failure of control. Both have to be minimised. Cost of control should be measured
by prevention cost (e.g. quality training of employee) which should keep defective part from
occuring and appraisal cost (e.g. quality audit costs) which covers the costs of maintaining
the quality level of the company. The cost of failure of control is also measured in two areas:
internal failure cost (e.g. scrap) and external failure cost (e.g. customer complaints, reworked
material).
Thus the emphasis of Feigenbaum is not so much to create managerial awareness
about quality as to assist an organisation to design its own quality system which involves
every employee (Kruger 2001, p.152).
2.1.2.2 Commonalty among quality gurus:

Though the approach of each one of the quality gurus mentioned above has been different,
there are commonalities in their work. A summary of their commonalities is shown in Table
2.2.

19

Concept/
Author
Crosby
(1979,1996)
Deming (1982,
1986)
Feigenbaum
(1951, 1961,
1983, 1991)
Ishikawa (1985) Juran
(1951,1962,
1974, 1988, 1989,
1992)
Customer
satisfaction
Maturity grid:
from goodness
and delighting the
customer to
satisfaction and
conformance.
Customers define
quality;
consumers are the
most important
part of the
production line.
Quality is what
the customer says
it is; customer
focus is
embedded in the
management of
quality.
Total quality
control (TQC)
means having a
consumer
orientation.
Customer
satisfaction which
drives market
share and profits
comes from
product
satisfaction.
Cost reduction The price of non-
conformance
means that
quality is free.
Doing it right
first time means
less waste, less
rework, and
lower costs.
Controlling
quality costs less
than correcting
mistakes.
TQC reduces cost
over the long
term, not the
short term.
Costs of poor
quality remain
unknown, but
they are very
high.
Leadership and
top
management
commitment
Leadership by
example-
commitment is
demonstrated by
participation and
attitude.
Managements
job is leadership
(to show
constancy of
purpose in their
focus on quality).
Requires
complete support
of top
management,
who realize that it
is not a temporary
cost reduction
project.
Top management
commitment
should be shown
by adopting the
lead role in
implementation.
Top
managements
job is motivation,
which includes
participation in
quality program.
Training and
education
Use training in
quality, from the
CEO down, to
internalise
concepts; training
and education
should be
continuous.
Vigorous,
continuous
program for (re)
training
employees in new
knowledge and
skills; statistical
methods to check
training efficacy.
Training (on-the-
job, classroom,
problem solving)
and education are
fundamental to
achieving full
commitment to
quality.
TQC is a
revolution in
thinking, so
training and
education must be
continuous for all
employees (from
CEO down).
To make quality
happen, training
should include
the entire
hierarchy, starting
at the top:
purpose of
training is to
create or update
skills.
Teams Use management
team for quality
for internal
communication,
quality council
for
internal/external
communication
Cross-functional
teams can create
improvement in
product, service,
and quality and
reduce costs.
Quality control
committees
should have
representatives
from all
functional areas.
Cross-functional
management
committees
(teams) facilitate
the responsible
development of
quality assurance.
Major quality
improvement
projects are
multi- functional
in nature, thus
requiring multi-
functional teams.
Culture Quality
commitment-
genuine belief by
employees in
importance of
good quality,
workmanship,
good designs and
service.
A new
philosophy is
required: drive
out fear (of
quotas,
questioning
accepted
methods, etc.),
and instil pride in
quality
Quality control is
a spirit of
quality
mindedness,
from CEO to the
shop floor; it is a
communication
channel and
means of
participation.
TQC requires
organization wide
participation;
where there are
no voluntary
quality circle
activities, there is
no quality
control.
Changing to a
company-wide
quality system
means changing
existing cultural
patterns; there
may well be
cultural resistance

Table 2. 2Commonalities among seminal TQM work
Source: Reed, Lemak and Mero (2000, p. 8).

20
Looking at the commonalities of concepts among different gurus of TQM, it can be
noted that customer satisfaction and reducing costs are the two achievable- the two
outcomes of TQM. On the other hand, leadership, training, use of teams and having the
appropriate culture are the four processes by which the two outcomes can be achieved.
A review of research related to each of the four processes of leadership, training, use
of teams and culture is now done.

TQM and leadership: Research on TQM has consistently found strong link between
successful TQM implementation and leadership (Ehrenberg & Stupak 1994; Rao,
Raghunathan & Solis 1997; Zairi 2002). In general they have argued that top managements
ability to create a vision and promote change is at the heart of successful implementation of
TQM. In the specific context of a railway Mass Transit Railway Corporation, Hong Kong -
the importance of visionary leadership has been emphasized for successful implementation of
TQM (Chan et al. 2002). Leaders must understand culture and recognise those elements that
cannot be changed. They must be able to create an environment where they can empower
others to act both independently and interdependently. They must provide a vision that
focuses on quality and meeting customers expectations. In other words, top management
need transformational leadership skill. On the other hand, the role of middle management in
initiating and institutionalising small, incremental improvements has been noted by Frohman
(1997).

TQM and culture: The aspect of culture has been emphasised by the founding fathers of
TQM. TQM de-emphasises status distinctions and empowers employees to make decisions
and use their own intelligence (Crosby 1981; Deming reported by Tata & Prasad 1998, p.
705). The aspect of culture has been emphasised by other authors also (Chin & Pun 2002;
Lakhe & Mohanty 1994; Pun 2001; Sahay & Walsham 1997). Tata and Prasad (1998) have
reasoned that one of the reasons for failure of TQM implementation is that culturally many
organizations were unprepared to change.
In a similar vein, it been reported that implementation of TQM is one of the most
complex activities that any company can attempt, due to the fact that it involves a change in
the working culture and impacts on people (Mani, Murgan & Rajendran 2003). In the
Chinese context, the successful adoption of TQM depended largely on the management of
cultural dynamics and organisational complexities of the enterprise (Pun 2001).

21
Emphasising the need of cultural change during TQM implementation, it has been argued
that TQM calls for a new way of managing business, requiring a new thinking style- the
thinking for quality (Yusof & Aspinwall 2000). According to them this is the basic reason for
the success of TQM in J apan.
Culture has been found to be an important factor in empirically validated studies
which aimed at arriving at critical success factors (CSF) for successful implementation of
TQM (Black & Porter 1996). It has also been corroborated by another empirical study of
CSF for TQM in the Indian context (Wali, Deshmukh & Gupta 2003).

TQM and training: The review of literature corroborates the importance of training as an
important factor for successful TQM implementation (Palo & Padhi 2003; Quazi, Hong &
Meng 2002). Training is considered a vehicle for implementing and reinforcing quality
practice (Reed, Lemak & Mero 2002). Effective training and employee involvement have
also been found to be important for initiating quality management practice in Indian context
(J oseph et al 1999).

TQM and (cross functional) team: Teams are appropriate when there is a need for
coordination of activity, when major breakthroughs in performance are required. Research
has corroborated the importance given to team by the founding fathers of TQM (Black &
Porter 1996; Gupta 2000; Mandal et al. 2000). It has been reported that teams are very useful
for integration of activities, generating production efficiencies (Quazi, Hong & Meng 2002)
and for providing innovative approaches to production issues (Eisenhardt & Tabrizi 1995). In
the specific context of a railway unit Mass Transit Railway Corporation, Hong Kong - the
importance of team has been highlighted for successful implementation of TQM (Chan et al.
2002, p.294).
Above, the literature in the area of organisational change and TQM has been briefly
gone through. Now the literature dealing with the interrelationship between organisational
change and TQM will be reviewed.

2.1.3 TQM as a philosophy of change

In the context of organisational change, TQM has been an important and popular
management innovation and change programme in the 1990s (Reed, Lemak & Mero

22
2002;Yong & Wilkinson 2002). Notwithstanding its popularity, there has also been criticism
of TQM. TQM works better in the manufacturing sector than in service sector (Boyne &
Walker 2002, p.119). The implementation of TQM has not been an easy task for many
organizations (Yusof & Aspinwall 2000, p.291). Thus the success rate of TQM
implementation has been around 25% to 30% (Umesh, Bhusi & Kumar 2000). It has been
said that the TQM model provides a self-assessment protocol outlining the criteria for
business excellence, but without solid guidance on how to achieve it (Chan et al. 2002).
Only about half of organizations have experienced improvements through TQM (Tata &
Prasad 1998). The same authors go on to suggest that this is because of the failure to pay
sufficient attention to the cultural and structural variables that influence TQM
implementation. However, others have considered TQM as a long term journey with
substantial hardship at the beginning which J uran calls sporadic spikes (Noronha 2002,
p.215). Noronha further says that this positive view towards uncertainty provides the basis
for a healthy attitude towards TQM.
At a more ideological level, TQM has been dismissed as a managerial control
mechanism loosely disguised as a method of worker empowerment (Boje & Windsor quoted
by Reed, Lemak & Mero 2002). Another criticism of TQM has been that it provides a
rhetoric that is individually interpreted and therefore carries inconsistent meaning across
contexts (Reed, Lemak & Mero 2002).
Cao, Clarke and Lehany (2000) studied TQM based organisational change
programmes. According to them, the approaches to organisational change can be classified
into four categories:
(i) Changes in process
(ii) Changes in functions (structural changes)
(iii) Changes in values (cultural changes)
(iv) Changes in power within the organization

They contend that for TQM to be successful, an approach which addresses all the
above types of change is required. However, since TQM as an approach, focuses almost
entirely on the changes in process, a systemic approach is needed for successful
implementation of TQM or its application needs to be restricted to those contexts where
process dominates (Cao, Clarke & Lehany 2000, p.5). Thus, Cao, Clarke and Lehany
concluded that the success of TQM programmes is in sharp contrast to its popularity.

23
In view of this criticism and given the multi attribute characteristics of TQM as
emphasised by the founding fathers of TQM and supported by later research mentioned in
section 2.1.2, a question arises that what are the different parameters or organisational
attributes which are required for an effective implementation of TQM as it is understood
today.
Three approaches have been used by different researchers to answer this question.
The approaches are
(i) TQM from a systems perspective.
(ii) Understanding the critical success factors (CSF) of TQM.
(iii) TQM as understood from different quality award models.
The basic thrust of this research is to understand whether TQM can be used for
organisational transformation of Indian Railways. Thus understanding the parameters which
account for the success or failure of TQM implementation will be useful for this research.
Therefore at first, each approach will be looked at in a global context and then focus
will shift to Indian context. The global context will help understand TQM from the three
approaches more generally and then their Indian context will explain their specific
application in India.
This focuses the attention to the immediate discipline of this literature review.
2.2 Immediate discipline
2.2.1 Total Quality Management- a systems perspective

The first approach to the understanding of TQM is from a systems perspective.
System thinking developed in the 1950s as an alternative to traditional management thinking
(McElyea 2003, p.59). The systems school grew out of the general systems theory
developed by the biologist Bertalanffy (McElyea 2003, Mirvis 1996) and the quantitative
techniques- operations research and systems analysisthat were developed during the
second world war. Further, Simons contributions on bounded rationality, satisficing, and
incremental decision making recognised the complex environment in which post-war
managers made decisions (Ehrenberg & Stupak, 1994, p. 77). System thinking school is
aware that traditional management thinking does not have a full picture of situations in
organizations. The system school views organizations as complex interrelationships amongst
input, throughput (process), output, and feedback. From a systems point of view, an
organization is an open and complex system with varying degrees of process flexibility and

24
many feedback loops which are used adaptively by an organization for its survival. In the
context of organisational change, Harrington, Carr and Reid (1999) have explained three
interrelated concepts of system, emergent properties and complexity. It is briefly explained
now.
System is a set of different elements which together can perform a function which the
constituent elements cannot perform alone. Emergent properties are those functions, good or
bad, which would not exist except for the operation of the system. Complexity is something
that is composed of interconnected elements that function as a system to produce emergent
properties. In the context of system, Deming gave the example of automobile a collection
of wheels, engine and transmission do not make them a system. To become a system they
must possess the complexity of having been designed in a particular way and then be inter-
connected in a particular way. Then they become a system called automobile which provides
the emergent property called transportation and thereby makes it valuable. Thus it is the
complexity which gives rise to the emergent properties which define a system and make it
valuable.
But complexity is also the source of problem. Complexity is on the cusp between
stability and chaos and a small amount of perturbation can push the system one way or the
other. Systems with the order of complexity as small as three elements with two
interconnections per element can produce chaotic behaviour. Lack of chaos is not always
desirable. Bankruptcy and death are examples of stable but undesirable states.
Thus more the complexity more is the chance that the system will degenerate into a
chaotic state or a stable but undesirable state.
An interface is a point where two elements come together and exchange something.
Interface is the key to design an effective system. The interfaces should be clear and defined
and should not be complex. A complex interface results in people developing means to work
around the complexity. Thus in an organization, a complex inter departmental interface
results in people developing a personal relationship to manage the poor inter departmental
interface. Interfaces which are ambiguous, grey and subject to interpretation will result in
variations in behaviour. High inter-element complexity and ill-defined interfaces will result
in disaster. An ideal organization is one in which the elements have a high order of internal
and a low order of external complexity. Thus each element must be as independent as
possible.
Most good systems have good feedback control mechanisms. Feedback is used to
maintain and improve the system. But feedback is also a source of complexity and thus has

25
advantages and risks. A good system is one that manages perturbation and change as a
system. If feedback results in a perturbation which does not die out before the next
perturbation, the system will result in chaos or a stable but undesirable state.
The systems view of organization is shown in Figure 2.3. It shows an organization in
which the main sub-systems are marketing management, operations / production and finance.
It is an example of open system where the customer gives feedback to the marketing sub
system of the organization about his/her product choice and its quality requirement. It also
gives feedback to the operation / production sub system about the quality of output. The more
effective the feedback loops are in a system, the softer the system (i.e. the more flexible and
response-able to change). According to Cusins (1994) the quality management system (QMS)
can be thought of as the servomechanism for the organization. It runs in the reverse direction
to the operational systems. Information on outputs from operations form input to QMS and
outputs from QMS form inputs to operations. Total quality management consists in making
effective boundary judgement at every system interface within the organization and between
the organisational system and the user system.

26

The business environment
Supplier systems (peri-organizational environment) Customer systems

Figure 2. 3Simplified example of an organization as a system
Source: Cusins (1994, p. 23).

Marketing
system
Management system
Operation/ production
system
Financial System
Customer
requirements
Product
specification
Goals and targets
Decisions
Plans
Schedules
Product
Services
(Waste)
Marketing information
People

Contracts
Environment information
Marketing information
Competitor information
Management information
People
Machinery
Materials
Energy
Cash out

Value of
(inputs)
Cash in

Value of
(outputs)
Feedback
about
quality of
output
feedback
about
quality /
product
requirement

27

Thus from the point of view of system theorists, the quality judgement is a judgement
made at the boundary between the supplier system and the user system about what passes
across it. Further, whether an output is a product or waste is a judgement on its quality. A
satisfactory output is a product. An output which cannot be used by the user system is a
waste. Waste can collect in the production system, or in the user system or both. Nature often
becomes the user system of the waste. Cusins further defines dynamic quality factors and
static quality factors. The dynamic quality factors are individual and unique and situation
dependent. Their addition will create an image of high quality. The static quality factors are
general and common to all customers. They are not situation dependent. Their absence will
create an image of poor quality. (Cusine 1994, p. 27)
In the context of TQM, systems approach has made a lasting impact. According to
McElyea (2003) the birth of most management models like TQM, HPO (High Performance
Organization), etc stems from a systems view of organization. Deming who is the father of
TQM, also developed what he called the system of profound knowledge (Bauer, Reiner &
Schamschule 2000, p. 412).
System thinking suggests that instead of reductionist approaches to management, a
holistic view should be adopted (Taiwo 2001). Taiwo adds that while there is no single
model which can capture an organisational situation fully, some of the methodologies which
can be used to capture the inter-relationship and intra relationship of an organization are
classified as hard, soft, cybernetic or emanicipatory depending on the effectiveness of
their feedback loop. These methodologies, if used adequately, complement the customer
focus, process improvement and employee involvement principles of TQM.
From the point of view of systems theory, TQM fits within the open and the rational
systems perspective. Thus TQM process is a system with interactive components.
Committing to just one part of the system is unlikely to produce the desired effects.
Therefore, from systems theory point of view, TQM is more than leadership; it is more than
culture, or training or teams. It is all of these factors together. Further, successful
implementation means that effort and perseverance are required to find the right balance for
each organization. Thus it is desirable that each firm explores its own needs for leadership,
education and training, the use of teams, and the culture development to fit its own particular
brand of TQM (Reed, Lemak & Mero 2000).
As per the system theorists, implementing a complex system like quality management,
with all its serial interactions, is a difficult task and many of the TQM failures can be

28
attributed more to the failure to implement and manage them as a system. It is not because of
any inherent weakness or fundamental flaws in the system or its components (Reed, Lemak
& Mero 2002).
Bauer, Reiner and Schamschule (2000) parallel the systems thinking with the growth
of quality systems as shown in Figure 2.4 and Figure 2.5.
Business excellence 1990
TQM 1980
Quality assurance 1970
System thinking 1960
System Dynamics 1950
Operations Research 1940
Human Relations 1924
Taylor 1913

Figure 2. 4Milestones of organisational roots
Source: Bauer, Reiner and Schamschule (2000).

Knowledge management
Value management
Customer focus
Customer orientation
Business excellence
Management systems
Process quality
Product quality

1970 1980 1990 2000

Figure 2. 5Milestones of quality development

Bauer, Reiner and Schamschule (2000, p.412) say that today, what was earlier known
as TQM has morphed into business excellence. All the quality awards are today known as
models of business excellence. It really makes the two conceptually the same. Both are
dominated by a comprehensive systems approach which includes a systemic control of all
resources including social and cultural ones.

29

2.2.1.1 TQM and System Dynamics

The understanding of TQM from the point of view of systems thinking led Bauer,
Reiner and Schamschule (2000) to develop a model of quality from the point of view of
system dynamics. System dynamics is a tool which can capture the interactions among a
range of system variables and predict the implication of each over a period of time (Khanna,
2003). Khanna et al. (2002) have quoted a study by Forrester wherein he used system
dynamics to investigate how strategy, decision-making, structure and delay influence the
growth and stability of organizations. In the context of quality, through the use of system
dynamics software, Bauer, Reiner and Schamschule (2000) showed the interdependence of
different organisational sub systems for quality. This is shown in Figure 2.6.

People

(The arrows indicate the information flow)
Figure 2. 6Quality and business results

Taking the study of TQM through system dynamics further, Khanna et al. (2002)
have studied the dynamic interactions among TQM subsystems in the Indian automobile
sector. Using the Malcolm Baldridge National Quality Award Model (MBNQA) of USA and
modifying it to suit Indian socio-cultural conditions, they identified 12 TQM variables which
help in implementing the TQM philosophy. They developed causal relationships among
Leadership
People
Management
Business
Result
Customer
Satisfaction
Processes

30
different variables and clustered seven of them as enablers and five of them as results. The
definitions of the full set of variables are given in Table 2.3 and Table 2.4. The table also
links the variables with the emphasis given by the founding fathers of TQM and with the ISO
quality management system.

Leadership Senior managers who provide clear vision and
values that promote total quality. It is the most
important enabler for driving a total quality
management culture
Crosby, 1981;
Deming, 1993
Strategic
planning
Business strategies incorporate long-term and short-
term goals based on customer and market
expectations
Ishikawa, 1985
Information
management
Effective information and communication systems
for continuous improvement of all work
Ishikawa, 1985
Human
resource focus
Maximize opportunities for all employees to realize
their full potential
J uran, 1995
Customer and
market focus
Customer (internal and external customer)
relationships must be managed to secure clear
understanding of requirements
ISO 9000 -
2000,
Supplier focus Suppliers are treated as partners in the process of
improvement
ISO 9000-
2000
Process
management
Systems approach to quality control of all operations
including appropriate use of quality tools
ISO 9000-
2000
Table 2. 3Definition of variable for enablers
Source: Khanna et al. (2002, p. 367).

TQM variables: enablers
Variables Definition Reference

31
TQM variables: results
Variables Definition References
Impact on society Societal
responsibilities/environmental
management
ISO 14001/ OHSAS
18001
Human resource
satisfaction
All employees are motivated and
dedicated to continuous
improvement feeling empowered
and valued
ISO 9000/2000,
ISO/TS 16949/2002
Customer satisfaction Internal and external customers
know that their needs are important
and addressed
ISO/9000-2000,
ISO/TS 16949-2002
Supplier satisfaction Suppliers want to do repeat business
as partners
ISO/9000-2000,
ISO/TS 16949-2002
Company specific business
results
Do the companys results
demonstrate effective performance
Mody, 1996

Table 2. 4Definition of variables for results
Source: Khanna et al. (2002, 368).

2.2.1.2 Systems theory, TQM and organisational learning

Organisational learning is another concept which is rooted in systems theory and
which is linked to TQM. One definition of organisational learning is that it is the capacity or
processes within an organization to maintain or improve performance based on experience
(Nevis, DiBella & Gould 1995, p.73). Since implementing TQM involves substantial
organisational change (Ehrenberg & Stupak 1994, p. 81), a TQM organization has been
defined as an organization that has developed the continuous capacity to adapt and change.
Therefore quality movement has been considered the forerunner in creating learning
organizations (Elkjaer 1999; Senge 1994, p.61; Zhao & Bryar n.d.) and organisational
learning has been considered a necessary outcome of a TQM initiative (Barrow 1993, p.39;
Sohal & Morrison 1995). A learning organization adopts TQM commitment to continuous
improvement (Garvin 1993, p.78). In the American context, Robbins (1997, p. 735) has dealt

32
with different aspect of learning organization. He says that a learning organization among
other things supports the importance of disagreements, constructive criticism and other forms
of functional conflict. However, there is some evidence that the way organization learns also
depends on the culture of that organization. For example, Kumar (2000), Snell & Chak (1998)
and Tsang (1997, p. 83) have shown Indian, Singaporean and Chinese theories of
organisational learning respectively which are dependent on the specific culture of the
country. Thus Easterby-Smith and Araujo (1999, p.14) advocated a culture and institution
based theory of organisational learning.
One important way to understand organisational learning is through a theory of action.
Argyris and Schn have described organisational learning as a theory of action (Elkhaer 1999,
p.79). Action learning postulates that people learn most effectively when working on real
time problems occurring in their own setting (Raelin 1997, p.21). Burgoyne, Pedler and
Boydell (1994) have shown culture based differences in organisational learning between the
US and UK models of action learning. Zimmer (2001) says that using a systemic
action-learning cycle at the level of second-order cybernetics, it is possible to reduce conflict
in the organization and maintain autonomy. According to Zimmer, first order cybernetics is
about first order feedback system I plan and do, I sense and I check. Second order
cybernetics is about second order feedback system wherein I share my reflection and
feedback with those from another person you. Zimmer further says that respect for
autonomy is a powerful tool to manage complexity. It lets mutually supportive order emerge.
In western culture though, much order is imposed. This causes conflict, which only adds to
the complexity.
Another approach to organisational change is through innovation. Innovation is a
specialised kind of change wherein a new idea is applied to initiating or improving a product,
process or service (Kanter quoted in Robbins 1997, p. 732). Bart (2004) has studied the link
between innovative practices and organisational learning. Innovative organizations have a
culture that rewards both successes and failures (Robbins 1997).
Schein (1993) identifies three types of learning: (i) knowledge acquisition and insight,
(ii) habit and skill learning and (iii) emotional conditioning and learned anxieties. Most
organisational learning theories focus on knowledge acquisition and insight (Schein 1993,
p.2). Schein (1996) has also identified three cultures in an organization the operator culture,
the engineering culture and the executive culture. According to him, organizations will not
learn effectively unless they recognise and confront the implications of these three

33
occupational cultures. For example, he views the executive culture and the engineer culture
as major problems because they do not sufficiently consider human factors.
This brings into focus the aspects of the content and process of organisational
learning. However, organisational learning has not so much been defined in terms of
processes (Nonaka 1994, p.16). It has more been identified in terms of outcomes (Huysman
1999). Prange (1999) has therefore argued for a linkage between the content and process of
organisational learning.
2.2.1.3 Organisational knowledge creating process

Within organisational learning, Nonaka (1994) has dealt with the organisational
knowledge creating process. He argues that organisational knowledge is created by
continuous dialogue between two types of knowledge tacit knowledge and explicit
knowledge. Explicit knowledge is the codified knowledge which is transmittable in formal,
systematic knowledge. It is captured in the records of the past such as libraries, databases and
archives and is assessed on sequential basis. Tacit knowledge has a personal quality which
makes it hard to formalize and communicate. It involves both cognitive and technical
elements. The cognitive element comes from the mental models which includes schemata,
beliefs, paradigms that help individuals to perceive and define the world. The technical
element of tacit knowledge covers skills, concrete know-hows and crafts that apply to
specific contexts. Sharing of tacit knowledge involves parallel processing of the complexities
of current issues. Organisational knowledge is created, enlarged and enriched by the
individuals of an organization. It is carried out by the interactive amplification of tacit and
explicit knowledge held by individuals, organizations and societies in a spiral fashion.
Organization plays the role of a forum where the spiral of knowledge creation takes place
through socialisation, externalisation, combination and internalisation (SECI). The SECI
model is shown in Figure 2.7.

34
Tacit Knowledge Explicit Knowledge
To

Tacit knowledge
From
Explicit
Knowledge

Figure 2. 7Modes of knowledge creation in an organization
Source: Nonaka (1994).

For parallel processing of knowledge, Nonaka emphasises middle-up-down
management where all members work together both horizontally and vertically. He de-
emphasises the charismatic role of top management or the entrepreneurial role of lower
management. He looks upon the middle managers as the knowledge engineers who
synthesise the tacit knowledge of top managers and frontline employees into new knowledge
and new learning. He disagrees with Argyris and Schn that double loop learning is difficult.
He argues that double loop learning is in-built in his knowledge-creating model because
organization constantly creates new knowledge by reconstructing existing practices,
perspective or frameworks on a day-to-day basis (Nonaka 1994, p.19).
In the context of learning, Reason (2001, p.185) has identified four levels of
knowledge:
(i) Experiential knowing is through direct face- to-face encounter with person, place or thing;
it is knowing through empathy and resonance, and is almost impossible to put in words.
(ii) Presentational knowing emerges from experiential knowing, and provides its first
expression through forms of imagery such as poetry, drawing, sculpture, movement, dance
and so on.
(iii) Practical knowing is knowing how to do something and is expressed in a skill, knack
or competence.
(iv) Propositional knowing is knowledge about something and is expressed through ideas
and theories a. It is expressed in abstract language or mathematics.
Bawden (1991, p.17) has considered these four dimensions of learning as opposites
yet integrated to each other as shown in Figure 2.8.

Socialisation Externalisation
Internalisation Combination

35
Experiential
learning for
praxis

Propositional Practical
learning learning
for knowing for doing

Intuitive
learning for
fitting in

Figure 2. 8The four types of learning as polar opposites
Source: Bawden (1991).

According to Reason, knowing will be more valid richer, deeper, more true to life
and more useful if these four ways of knowing are congruent with each other; that is if our
knowing is grounded in our experience, expressed through our stories and images,
understood through theories which make sense to us, and expressed in worthwhile action in
our lives. There is much in common between Reasons concept and the concept of action
learning referred earlier.

2.2.1.4 Learning and second order change

In a different approach to organisational change, Torbert (1989) has said that first
order change is like changing the efficiencies and effectiveness within the existing
assumptions. It is akin to the single loop learning of Argyris, Putnam and Smith (1985).

36
Second order change involves change in assumptions, change in structure and strategy and
change in goals. First order changes are those that occur in a stable system that itself remains
unchanged while second order change occurs when fundamental properties or states of the
system are changed (Hersey, Blanchard & J ohnson 2002, p.388). According to Torbert,
second order change is very rare. But it is the second order change which is truly
transformational. Also it can rarely be planned. Most of the planned changes are first order
change. Torbert (1989, p.89) thus doubts the transformational changes which have been
documented by many authors such Bass and Tichy and Devanna.

2.2.2 Critical success factors for TQM

The second approach which has been used to assess the organisational requirements
for successful implementation of TQM is through the identification of critical success factors
(CSF). In an attempt to establish empirically validated factors that influence successful
implementation of TQM, Black and Porter (1996) have identified ten factors which affect
successful implementation of TQM. They are:

(i) Corporate quality culture
(ii) Strategic quality management
(iii) Quality improvement measurement system
(iv) People and customer management
(v) Operational quality planning
(vi) External interface management
(vii) Suppliers partnerships
(viii) Teamwork structures
(ix) Customer satisfaction orientation
(x) Communication of improvement information

An early exploratory attempt to arrive at CSF in the Indian context was made by
Motwani, Mahmoud and Rice (1994) wherein they arrived at nine critical factors for
effective management of quality in Indian manufacturing industry. As the TQM literature in
India moved from introductory level discussion on TQM (Lakhe & Mohanty 1994) to more
robust research work, the emphasis also shifted from a mere duplicating of western models of
quality to trying to develop indigenous models. Wali, Deshmukh and Gupta (2003) made a

37
review of various critical success factors which different authors including the founding
fathers of TQM like Deming, J uran, Ishikawa, Crosby, Feigenbaum, and Garvin had
recommended. Wali, Deshmukh and Gupta started from the early work of identification of
the critical success factors (CSF) by Saraph, Benson and Schroeder (1989) to the more recent
one by Ahire, Golhar and Waller (1996). From there, they attempted to identify the critical
success factors (CSF) for adoption of TQM in the Indian context. Their study claims that
these CSFs are derived based on actual practices followed by Indian organizations and it
was based on a statistically validated instrument and factor analysis. It was not based on
constructing a priori set of pre-defined CSFs and then matching it with actual practice (Wali,
Deshmukh & Gupta 2003, p. 12).
The study by Wali, Deshmukh and Gupta (2003) is perhaps the first comprehensive
empirical study of quality practices in the Indian context. Thus it is worthwhile to look in
detail at the twelve factors identified by them. They are listed below in decreasing order of
importance.

(i) Leadership, Creativity and quality strategy: Successful quality performance requires that
the leadership is dedicated to quality. It must also provide initiative and resource support. It
must enable creativity to be nurtured and accordingly chalk out the strategy. Given the
importance of leadership, it is not surprising to find that, in all quality awards, leadership
issues are placed at the top of the list of criteria. Such leadership will drive quality strategy in
an organisation and nurture creativity.
(ii) Worker Manager interaction : This means that healthy interaction between worker and
manager is important from quality point of view. The manager provides the direction for
improvement and accordingly, workers are motivated to take initiative. In case of any
difficulty, the worker interacts with the manager to improve the situation.
(iii) Results and Recognition : Crosby (1979) considers recognition as one of the most
important steps of the quality improvement process. The organisation should reward their
employees for their contribution to quality. There should be a quick recognition system for
outstanding performance by the employees. These rewards may not be purely financial.
(iv) Work culture : The work culture must be very conducive. There should be an active
interaction amongst the peers and support from supervisors. The critical importance of the
employees involvement in the quality process of an organisation should be based on the
belief that the best process innovation idea comes from the people actually doing the job.

38
(v) Information and Data management : Information is the critical enabler of TQM. This
factor emphasises that the key processes are regulary measured and quantified. There should
be focus on benchmarking which provides a stimilus for improvement. The facts and
information should be made available to all. This is mainly relevant for managing quality
costs.
(vi) Customer Focus : Quality should be customer driven. . Employees should be well
aware of the concept of internal and external customers. They should care about meeting and
exceeding the customer expectations. There must be a focus on customer feedback and
accordingly the process should be driven.
(vii) Value and ethics : It is important for the people in an organisation to live up to the
highest ethical standards. There should be perception of fair treatment to all. The organisation
must be guided by the value and ethical standards.
(viii) Communication across the organization: Effective communication channels must exist
in the organization between various work units. With the help of information technology,
comunication can be made effective. Effective comunication is vital in aligning the
workforce towards corporate expectations.
(ix) Team working: According to Crosby (1979), team work is a critical element of TQM.
Teamwork delivers synergistic enhancement of quality efforts. Employees must demonstrate
cooperative behaviour and positive attitude towards working in a team.
(x) Congenial inter personal relations : The atmposphere in the organisation must be
highly congenial to promote active interaction. There must be mutual respect and faith
among employees.
(xi) Delegation and empowerment: In a TQM setting, both delegation and empowerment are
required. People must share responsibility for the success or failure of their work.
(xii) Process improvement: Employees must identify opportunities for continuous
improvement. If employee involvement is key to the attainment of customer satisfaction,
managing the process is key to engaging an organisations employees to take responsibilites
for what they are doing in relation to satisfying the customers.

2.2.3 Different International Quality Awards

The third approach towards the understanding of TQM is through different quality
awards. As TQM became popular around the world, the concepts of TQM were embodied in

39
various national quality awards. Thus a comparison of different quality awards can provide
insight into the similarities and differences in the understanding of TQM across the world.
Bauer, Reiner and Schamschule (2000) have said that these quality awards are today
looked upon as models of excellence. The basis for considering a quality award framework as
a model of business excellence is that now it usually contains a set of quality criteria that
encompass all areas of an organizations operation.

2.2.3.1 History of quality awards

The Deming Prize (DP) is the oldest quality award instituted in 1951 by the Union of
J apanese Scientists and Engineers (J USE). It is awarded to both individuals and groups that
have made significant contributions to quality control (QC) research and to companies that
have excelled in applying QC programs. When the TQM concept was brought to the US, the
Malcolm Baldridge award was established in 1987 in the U.S. It is awarded in the categories
of manufacturing, small business and service. In 1991, the European Quality Award was
instituted for European companies, almost on the same lines as the Baldridge award. In 1992,
the Australian quality award was instituted. Since these are the earlier awards, a comparative
analysis of them is now set out.
Vokurka, Stading and Brazeal (2000) have compared the Deming Prize and the
western models of quality awards on the basis of their objectives, quality principles and
criteria. It is shown in Table A1.1 at Appendix 1. The comparison shows the commonalities
among different quality awards. The commonality is that they all use a minimum of seven
criteria
(i) Leadership
(ii) Strategic planning
(iii) Customer and market focus
(iv) Information and analysis
(v) Human resource focus
(vi) Process management
(vii)Business results.
They all emphasize customer driven quality control through streamlining processes,
product design, leadership, human resource development and customer focused strategic
plans. In all the models, customer satisfaction, employee satisfaction and community
satisfaction are emphasized. However the criteria differ on what they understand by the

40
seven quality areas leadership, planning, customers, suppliers, employees, processes and
results. The same is shown in Table A1.2 at Appendix 1. In addition they also differ on the
weightage they assign to each criteria (see Figure A1.1a to Figure A1.1e at Appendix 1).
A comparison of these quality criteria show that except for the Deming Prize, all
other award models have common factors. They all assign considerable weightage to the
results. However, the researcher is of the opinion that if the enabling factors are robust, the
results should automatically follow. In this sense, the result is a dependent variable and the
enablers are the independent variables. The researcher considers it a weakness of the quality
award models except the Deming Prize that they consider the independent variables and
dependent variables on a uni-dimensional additive scale.
Coming back to the quality awards, since other award models, except the Deming
Prize are based on MBNQA, Vokurka, Stading and Brazeal (2000) have also mapped the
different award criteria onto MBNQA categories. It is shown in Table A1.3 at Appendix 1.
The mapping shows that in the year 2000, as compared to the Baldridge award, the
Deming Prize accorded more emphasis to process control which is perhaps expected, given
the strong statistical background which TQM has in Demings teaching. However, customer
and market knowledge were accorded little consideration in the Deming Prize. The Baldridge
award criteria assigned about half of its weightage to business results. But business result as
a criteria was missing in the Deming Prize.
Over time other countries, notably from the non-developed and developing belt, also
instituted national quality awards. The commonalities and differences among quality awards
of both developed and developing countries are compared with the early quality awards viz
Deming award, MBNQA and EQA. Hui and Chuan (2002) made a comparison of the
national quality awards of nine countries. Their criteria are indicated in Table A1.4 at
Appendix 1. The CII_EXIM award of India is also shown for the sake of quick comparison.
It is noteworthy that all the criteria in Table A1.4 can be grouped into two classes of
enablers and results as envisaged in the European Quality Award model shown in Figure 2.9.
This is perhaps a pointer to certain consistency in the selection of criteria of quality awards
by different countries. Different countries have however, given different emphasis to the
above-mentioned criteria. The differences in emphasis have been shown in Table A1.5 at
Appendix 1.

41

Enablers Results
Figure 2. 9European Quality Model
Source: Sankaran (1993, p. 98).

2.2.3.2 Commonality and differences among different quality awards

The matrix in Table A1.5 compares the different emphases laid down by different
quality awards on 39 aspects. U.S., Europe, Canada and Australia can be said to represent
similar cultural and political systems. Together, they occupy 39*4 =156 matrix points in
Table A1.5. Out of these 156 matrix points, there are differences only on 20 matrix points
amongst them. That is, only on 13% of the matrix points, these four countries lay different
emphasis. However, if these four countries are compared as a group with a significantly
different country like J apan, there are 11 aspects out of 39 aspects (i.e. 28%) on which this
group has a significantly different orientation in comparison with J apan. The thesis now
looks at some of the aspects where there are significant differences between them.
From Table A1.5, it is seen that staff empowerment is strongly emphasized by the
Baldridge award, Canadian, European and Australian awards. But the same is not addressed
in the other countries award model including that of J apan. However, innovation, a concept
complementary to empowerment (Hui & Chuan 2002, p.58) finds mention in all the award
models. Leadership by example is strongly emphasized in the J apanese award model, but it
is not mentioned in other award models. Ethical decision making is strongly emphasized in
J apan, Singapore and Australian award model, but not in the rest. All the models have

Leadership
People
management
Policy & strategy
Resources

Processes
People
satisfaction
Customer
satisfaction
Impact on society

Business
results

42
customer focus, but the J apanese and the Singapore models strongly emphasize personalized
service for enhanced customer satisfaction. E-technology and other high-tech activities are
strongly emphasized only in the Baldridge model. Good working relation between the boss
and subordinate is strongly emphasized in the J apanese, Singaporean and the South African
model, but is not directly described in the Baldridge, Canadian, European or Australian
framework- maybe because most western society do not emphasize power structure in
managing boss-subordinate relationship. These are pointers to the possibility that different
countries may use overlapping as well as different criteria to measure their country-specific
conception of total quality and organizational excellence (Hui & Chuan, 2002, p.62). Tan et
al. (2003) have studied the differences in the modelling of 53 National Quality Awards
(NQA). They found that in most of the NQA models, the economic structure, social
characteristics and the total quality maturity level have been taken into account. Their study
has shown that most of the European countries have modelled their NQA on the EQA. ISO
9000:2000 and ISO 14000 have also been used as a framework for NQA especially by
developing countries. 12 out of 53 NQAs studied by Tan et al. (2003) were of Asian
countries and 10 of these 12 Asian NQAs were having their own distinctive framework. That
is, they were not based on the MBNQA, EQA, ISO 9000 or ISO 14000. Tan et al. (2003)
therefore concluded that the cultural and demographic background of a country should be
taken into account in designing a NQA. Tan and Khoo (2002) have found Confucianism
relevant for effective implementation of NQAs in the Southeast Asian countries. Thus, it
needs to be seen that in the context of India, what factors have been identified for successful
implementation of TQM.

2.2.3.3 Change in the criteria of quality awards over time

In section 2.2.3.2, a comparison among quality awards of different countries was
made as they were in the year 2000. However, it may be worthwhile to see how these criteria
have evolved over time. Maybe, this will give some indication of the changing understanding
of TQM over the last many years.
Since the literature, till now, had shown that the Deming Prize was the pioneer and
most of the western award models are based on the Baldridge award, the changes brought in
these two awards since 1992 is now compared. Then the two awards are compared as they
were in the year 2004. The viewpoints of Deming Prize as in 1992 and in 2000 are compared
in Table A1.6 at Appendix 1. In making the comparison, checklists of 1992 are shown in

43
column 1 and its conceptually similar checklist in 2000 (rephrased as viewpoint since 2000
by the Deming committee) is shown in column 2. The differences between them are shown in
column 3. The differences between them are reproduced in Table 2.5 for ready reference.

Differences in the set of viewpoints for 2000 with respect to those in 1992. The following were either new
viewpoints or there were significant changes in them ( significant changes shown in italics)
(i)The entire policy viewpoint of 1992 becomes a part of the policy management under TQM framework
in 2000.
(ii)2.4 Relationship to ISO 9000 and ISO 14000 finds a place in 2000.
(iii)2.5 Relationship to other management improvement programs finds a place in 2000.
(iv) 2.6 TQM promotion and operation gets emphasised as a long lasting activity in 2000.
(v) 5. The emphasis shifts from a mere quality oriented training to HRD which gets recognised in its own
right in 2000.
(vi) 5.3 Respect for peoples dignity is an important culture based addition in 2000.
(vii) 6.2 Information system is a reflection of the systemic orientation in the current Deming model.
(viii) The concept of control of systems gets subsumed in many other viewpoints in 2000. However,
Management system for business elements can be said to be the conceptual successor to what was perhaps
intended by control in 1992. Also, management systems gets recognised as an important viewpoint in its
own right which is a measure of the increased emphasis which DP gives to organisational management in
2000 as compared to operational management in 1992.
(ix) Cross-functional management, environment management, safety, hygiene and work cost management
are individualised entries in 2000 which were not there in 1992.
(x) The scope of results is enlarged more in line with the MBNQA
(xi) 1.1 The concept of leadership finds a place.
(xii) 1.2 The aspect of vision and strategies gets more emphasis in 2000. The overall emphasis shifts from
operational management to organisational management.
Both these changes are in line with MBNQA.
Note: The numbers given in the above table correspond to the section number in DP criteria 2000.
Table 2. 5Differences in checklists of Deming Prize 1992 and Deming Prize 2000

Now it will be seen how the other prominent quality award the MBNQA has
changed during the last 12 years. The set of criteria for MBNQA in 1992 and in 2004 are
compared in Table A1.7 at Appendix 1. Their differences are reproduced in Table 2.6 for
ready reference.

44
Differences in MBNQA (1992) and MBNQA (2004)
(i) Leadership gets more weightage. Also, management for quality of 1992 gets subsumed in a more general
management
(ii) Information recognised as an asset which need to be managed.
(iii) In 2004, strategic quality planning of 1992 gets subsumed in the overall strategic plan.
(iv) In 2004, quality plan of 1992 gets subsumed in over all action plan. In fact in place of an exclusive quality and
performance plan in 1992, there is the mention of human resource plan and of benchmarking of performance in 2004.
(v) There is less weightage on human resource focus in 2004.
(vi)Process, the core of quality management in 1992, gets much less weightage in 2004.
(vii) In 2004, Business results as against mere quality result becomes the hallmark of success. In 2004, financial results
and HRD gets recognised as a necessary component of organisational excellence.
(viii) There is substantial increase in weightage on business results
(ix) Customer, who was the king in 1992 with 30% weightage, gets much less weightage.

Table 2. 6Differences in the criteria of MBNQA 1992 and MBNQA 2004

Review of literature till 2003 indicates that, in general, there has been a lack of clear
understanding of how the Deming Prize is awarded and its marking criteria. J USE which
administers the award also recognised it (What is the Deming Prize n.d., p.6). In recognition
of this, in 2003 in its The guide for the Deming Application Prize 2003 J USE for the first
time elaborated its marking criteria and how the Deming Prize is awarded to make the
examination process more transparent and to make the intentions of the Deming Prize more
clear (What is the Deming Prize n.d., p.6). Yet it cautions that the committees basic stance
on the examination criteria remains unchanged that is the criteria should reflect each
applicant organizations circumstances (What is the Deming Prize n.d., p.6). Thus there is
no model which a company is supposed to conform to. Rather, the applicants are expected to
understand their current situation, establish their own themes and objectives and improve and
transform themselves company-wide. The DP committees view the examination process as
an opportunity for mutual development rather than examination. (What is the Deming
Prize n.d., p.6).
Therefore it can be seen that the approach of DP is entirely different from those of
other quality awards. Considering that it is the oldest quality award, and after all its mutations
over the last 50 years, the Deming Committee still finds it worthwhile to retain an altogether
different approach, the researcher considers it desirable to highlight its difference with that of
MBNQA which, as the literature review has shown, is the source of most other awards (Tan
et al. 2003).

45

2.2.3.4 Commonalities and differences between DP (2004) and MBNQA(2004)

The major differences between them in 2004 are indicted below.
(a) The examination of an organization under DP is conducted under evaluation criteria and
judgement criteria. The evaluation criteria itself consists of basic categories, unique
activities and role of top management. Thus, DP assesses an organization on three different
dimensions of basic categories, unique activities and role of top management while
MBNQA assesses the organization on the single additive dimension of a composite score.
This makes DP a more detailed examination.
(b) As per the judgement criteria of DP, an organization will have to achieve 70% in each of
the three evaluation criteria. But in MBNQA, the overall points obtained is the sum of the
points obtained in each of the seven criteria and two organisations which secure the highest
and the second highest overall points get the award. So while MBNQA is more competitive,
DP can be taken as more benchmarking oriented. Little wonder the DP committee views the
examination process as mutual development and TQM diagnosis in the preceding year is
a precondition for applying in the subsequent year.
(c) Except for leadership, all other criteria of MBNQA are reflected in the basic categories
criteria of DP. The relationship among different constituents of basic categories was, for the
first time made public by J USE in its Deming Application Guide 2003 (www.juse.or.jp).
However, the set of interrelationships among different constituents of MBNQA were known
since the beginning of MBNQA.
(d) In case of the Deming Prize, even within basic categories, the examination
subcommittee can make changes in its items and points which are not there in MBNQA.
Thus unlike other quality awards, DP fully recognises that an organization can have, for its
development, its unique set of quality related activities. In fact the emphasis of the
examination is on whether or not the company has developed a unique brand of TQM
suitable for its business and scale (What is the Deming Prize n.d, p.5) For any
company, the shortest way to win the DP is to manage its business in the most appropriate
manner to the company (What is the Deming Prize n.d, p.5). DP also gives full recognition
to organization specific TQM by examining unique activities of an organization as a
separate dimension. The existence of unique activities indicates that DP allows different
flavours of quality management to grow and get institutionalised in different organizations.
But the MBNQA criteria are fixed..

46
(e) Unlike what some literature on the Deming Prize indicate ( Vokurka, Stading & Brazeal
2000, Khoo & Tan 2003), role of top management is very strongly emphasized in the
Deming Prize. In fact it is one of the three dimensions for examination in DP while it is just
one criterion in MBNQA. Further, a deeper look at the points which are examined in role of
top management in DP, indicates that now there is a good deal of congruence in the role of
leadership as postulated by DP and by MBNQA. However, DP talks about leaderships
enthusiasm about TQM, as it talks about the enthusiasm of every one else in basic
categories (The guide for Deming Application Prize 2004, p.34) which perhaps points to an
attitudinal slant of DP examination.
(f) In MBNQA 45% of the weightage is given to result, but in DP, result as a category is
only seen to have been alluded to in the list of viewpoints as Contribution to Realization of
Corporate Objectives.
(g) Unlike what has been reported in some research (Izadi, Kashef & Stadt, 1996, Lee 2002,
p.144) DP does not require advanced statistical methods to be used in an organization (What
is the Deming Prize? n.d, p.5).
(h) The DP committee members undertake the examination free. However J USE charges J PY
500,000 (US $ 5000) as the administrative fee. The MBNQA charges US$ 5000 as
application fee and between US $ 10000 to US $ 35000 for site visit.
(i) What is most noteworthy about DP is that in spite of all the mutations it has undergone in
the last 12 years, it has retained its basic congruence with the philosophy of Deming the
Deming 14 points (see section 2.1.2.1). It also continues to pay attention to whether the
organization is free from the seven deadly diseases (Deming 1993) which are listed below:
(i) Lack of constancy of purpose.
(ii) Emphasis on short-term profit.
(iii) Evaluation of performance, merit rating, or annual review.
(iv) Mobility of management, job-hopping.
(v) Management by use of visible figures, with little consideration of figures that cannot be
made visible.
(vi) Excessive medical costs (peculiar to US industry only)
(vii) Excessive cost of liability
That DP still calls its process challenging and developmental indicates that one
needs to have constancy of purpose for this. It still insists that it will take three years or more
to be ready to win the prize- so one does not expect a short term jump in profit by quickly
going for DP. It still insists that one year before, the organization will have submit to TQM

47
diagnosis so that the organization receives a diagnosis - a recommendation for the
introductory or promotional stage of TQM (Deming Application Guide 2003, p. 36). It still
insists on a on site visit the core of the examination (Deming Application Guide 2004,
p.19) so that it can get information beyond visible figures.
Thus from among many TQM award models, the researcher decided to use the
Deming Prize as the preferred model in this research.
A question arises: In spite of the differences, are there any commonalities between
the DP and the MBNQA ?
A look at the changes which have come about in these two awards between 1992 and
2004, shows that in 1992, the emphasis in both was on excellence in product/ service quality.
But by 2004, the emphasis shifted from a mere technical quality to emphasis on quality of all
organisational processes. That is, quality had now acquired a strategic dimension. That is, by
the year 2004, TQM award had come to mean organisational excellence and long-term
business success. In fact almost all the national awards now look upon their award model as a
model of organisational excellence (Tan et al. 2003, Lee 2002). Thus today, TQM is
considered a set of business strategy which aims at harnessing the full capacity of all
organisational resources (Kruger 2001). From this point of view, TQM can be accepted as a
model of organisational excellence.
The researcher considers it an important understanding, arrived at from literature
review, that today, TQM is akin to organisational excellence.

2.2.3.5 TQM and awards in public sector

All the awards that have been looked at, started with private sector organizations in
mind. A question arises whether these awards need to look different in the context of public
sector.
In recognition of the different framework which public sector may require, the
Federal Quality Institute (FQI) was established in U.S.A. (Research Results Digest 1994, p.4).
FQI also administers the Presidents award for Quality for the public sector in the US.
However, there is no equivalent of FQI in India.
The Presidents Award was instituted in 1988 for the top federal public sector
performer in the USA. The President award, though based on the Baldridge Award, was
governed by a briefer and less stringent set of criteria. (Harwick & Russell 1993, p.34). Also,
the Baldridge section on public responsibility was not included in the President award

48
(Harwick & Russell 1993, p. 36). The contenders for the President Award must qualify by
first winning a prototype award - the President Prototype Award (Harwick & Russell 1993,
p.34). The President Prototype Award was instituted to encourage less developed
departments into the quality process.
Outside the U.S.A., awards like the National Quality Award for the Public
Transportation and Traffic Industry was instituted by the Brazilian National Public
Transport association (www.antp.otrg.br). This quality award is also an adaptation of the
MBNQA model. ( International Awards n.d.). Thus, the answer to the question whether there
are separate set of yardsticks in quality awards for public sector appears to be no. Even in
the Indian context, though the Indian Peacock award is divided into three categories, one of
them being for government organizations, the criteria for all the three categories are the
same..
However, beyond the limited ambit of quality awards, another approach which
governments across the world used for better public management in the 1980s and 1990s
was the reform movement. Realising the importance of quality in government, there has been
instances of innovation in different government departments across the world (Kamarck 2003,
p.26). For example, the United States adopted Customer Service standards for its federal
agencies. In Europe, Citizen Charters were the response of the British government for the
introduction of a quality movement in the public sector. These charters articulated explicit
performance for everything from waiting times at the National Health Service to expectations
for the punctuality of the railway system. Portugal established Quality Charters for public
services and Ireland established Northern Ireland Quality Awards for excellence in Northern
Ireland public sector organization. This award model was based on the European Foundation
Quality Managements (EFQM) Business Excellence Model (McQuillan 2003). In 1998, the
Australian government embarked upon a major reorganisation of 78 different social service
programs affecting 7 million customers. It was called centrelink and it has been reported to
be one of the most studied instances of quality and customer driven government in the world
(Kamarck 2003, p.24). It flattened hierarchies, put the most experienced people in the front,
instituted performance pay. All this helped in creating a customer culture. A more detailed
review of the infusion of quality consciousness in government working will be undertaken in
the study of bureaucracy.
The literature review till now focussed on the development of TQM in J apan and in
the western countries. An attempt was then made to understand TQM through the lens of

49
TQM awards. The growth and status of TQM in India and the Indian quality awards are now
reviewed.

2.2.3.6 TQM in India and Indian quality awards

The literature review, till now, shows that in the western literature, TQM has been an
important field of study for the last two to three decades. In the Indian context however, the
TQM initiative was first set up by the Confederation of Indian Industry (CII) in the early
1980s. In 1987 and 1988, the Confederation of Indian Industry (CII) invited the J uran
Institute to India to conduct workshops and in 1989 a team from India attended the Deming
seminar in London.
Because of the strategic tie-up between many J apanese automobile manufacturers and
Indian automobile manufacturers, there have been TQM implementations in some Indian
automobile companies such as Maruti and TVS Suzuki. It has been reported that some Indian
companies - mostly ancillary suppliers to large automobile manufacturers in India had tied up
with J apanese consultants to implement total quality (Business Today reported by J agadeesh
1999). J agadeesh further adds that, in general, the manufacturing sector in India is well aware
of the importance of quality but the service sector, mostly government owned, lags behind
the manufacturing sector in all aspects that imply quality.
Also, there are large variations in the depth and the spread of quality culture among
Indian organizations. Some are comparable to the best in the world, but the bulk of Indian
companies are yet to make use of the various techniques for continuous improvement. In
what is perhaps one of the few studies of TQM in the Indian public sector, Gyani (1995) talks
about implementation of TQM in Indian Oil wherein all the workers were involved through
small group activities at the shop floor. The special point about this TQM attempt was that
the TQM project began at the shop - floor level involving workers and then moved onto the
middle management levels. Blythe and Shahani (1997) have described a continuous
improvement initiative at Glaxo which has been successfully implemented. In this report, in
order to give TQM the right organisational connotation, they named their initiative as 'Glaxo
Excellence Process'. They cited commitment from the top as one of the key enablers (Blythe
& Shahani 1997, p.16). Blythe, Rao and Shahani (1997, p.104) further add that the simpler
the process used, the better it works. The basic rules are to determine the starting point,
define the destination, map the route, put in place a structured and organized training

50
programme for all staff, set goals and measurables and launch the recognition system.
Gondhalekar and Karamchandani (1994) have described a kaizen improvement system
started at Godrej. They identified the variables which affected this improvement system and
further classified them into two categories:
(i) Attributes of individuals
(a) organisational level (higher the better)
(b) age (middle age 30-50, better than extreme age)
(c) recognition,
(d) communication ability
(e) type of work (shopfloor better than desk)
(ii) attributes pertaining to design of the system
(a) visible top management commitment
(b) mandatory participation.
In a countrywide survey of competitiveness of Indian manufacturing industry, it has
been reported that quality is the topmost competitive priority of Indian firms (Chandra &
Sastry 2001). In a study of propagation of quality management practices among Indian
manufacturing companies since 1985, Mandal et al. (2000) have stressed the improvement of
organisational culture in the direction of team working, harmony and participation. The same
study also reports that there were a small number of companies which have started using
SQC techniques but the bulk of the focus continued to be on inspection as a means of
achieving quality. In fact, it has been remarked (Harrington reported by J agadeesh 1999) that
companies with poor performance went bankrupt in other parts of the world but were still
surviving in India. This means there is still scope for bad products in India.
As the concept of quality began to be internalised by the Indian industry, spurred to a
great extent by competition, quality awards were instituted on the lines of Malcolm
Baldridge award and European Quality award. The Malcolm Baldrige National Quality
Award (MBNQA) was introduced in 1987, and the European Quality Award was introduced
in 1991. In comparison, the first Indian quality award - Rajiv Gandhi National Quality Award
(RGNQA) - was instituted in 1991. Thereafter a number of quality awards were also
announced. This was a measure of the maturing of quality related concepts in India. In Table
2.7, different Indian quality awards and their criteria have been compared.
In order to understand the philosophy behind these awards, a quote from CII-EXIM
award is reproduced: The purpose of creating this award was to set a challenge for industry
to scale new heights of quality and leadership. It does this in part by creating role model

51
organizations, which exemplify the application of the TQM approach to the achievement of
business success - this is business excellence(Wali, Gupta & Deshmukh, 2000, p. 287). It is
thus noted that in the Indian quality awards also, TQM is considered as the equivalent to
business excellence.

52

Awards Golden Peacock Award
2003
CII-EXIM
Award
IMC
Ramkrishna
Bajaj Award
Rajiv Gandhi
National Quality
Award (1999)
Organizations Institute of Directors,
New Delhi

Confederation of
Indian Industry
and Export-
Import Bank of
India, New Delhi
Indian
Merchants
Chamber
Bombay
Bureau of Indian
Standards, New Delhi

Criteria

Enablers

Organisational 120
leadership
Strategic 100
planning
Human resource 100
Management

Information analysis 60

Process 120
Management

Sub total 500
Leadership 100

Policy and 80
strategy
People 90
management

Resources 90

Processes 140

Sub total 500
Leadership 100

Strategic 80
planning
Human 100
resource
development and
management
Information 80
analysis

Process 140
management

Sub total 500
Leadership 100
Policies and strategies
100

Human resource
management 50

Resources 100

Processes 150

Sub total 500

Results

Customer 150
Satisfaction
Employee 100
Satisfaction
Impact on society 100

Business results 150

Sub total 500
Total 1000
Customer 200
satisfaction
People 90
satisfaction
Impact 60
on society

Business 150
Results
Sub total 500
Total 1000
Customer 100
satisfaction

Business 400
Focus
Sub total 500
Total 1000
Customer 200
satisfaction
Employee 50
satisfaction
Impact on 100
environment and
society
Business 150
results
Sub total 500
Total 1000
Table 2. 7Major Indian National Quality Awards

53
It is seen from the table that all the four Indian awards have given almost the same
weightage to different quality criteria.

2.2.3.7 Indian quality awards vs. MBNQA & EQA

When these quality awards were instituted, they were generally based on western
quality models of MBNQA and EQA ( Chandra & Adur 1999). Even now, the comparison
of Indian quality awards with MBNQA and EQA show that there are striking similarities
among the enablers and the results of the Indian quality awards vis--vis the
corresponding enablers and results of the western quality awards. The relative weightage
given by Indian quality awards on different criteria are also similar to those given by EQA
and MBNQA as shown in Table 2.8.

54

Table 2. 8Comparison of Indian Quality Awards with MBNQA & EQA
Source : developed for this research.

Golden
Peacock
Award 2003
CII-EXIM
Award
IMC
Ramkrishna
Bajaj Award
Rajiv Gandhi
National
Quality Award
MBNQA EQA
Organisational
leadership 12%
Strategic quality
planning 10%
Human resource
utilization 10%

Information 6%
management

Process 12%
management

Sub total 50%
Leadership 10%

Policy and 8%
strategy
People 9%
management

Resources 9%

Processes 14%

Sub total 50%
Leadership 10%

Strategic 8%
planning
Human 10%
resource
development and
management
Information
analysis 8%

Process 14%
management
Sub total 50%
Leadership 10%
Policies and
strategies 10%

Human resource
management 5%

Resources 10%

Processes 15%

Sub total 50%
Leadership 11%
Strategic
planning 8%

Human resource
focus 10%

Information &
analysis 8%

Customer &
market focus 8%
Process 10%
management
Sub total 55%
Leadership 10%
Policy
& strategy 8%

People
management 9%

Resources 9%

Processes 14%

Sub total 50%
Customer 15%
Satisfaction
Employee 10%
Satisfaction
Impact on 10%
society

Business results
15%
Sub total 50%
Total 100%
Customer 20%
satisfaction
People 9%
satisfaction
Impact 6%
on society

Business 15%
Results
Sub total 50%
Total 100%
Customer 10%
satisfaction

Business 40%
Focus
Sub total 50%
Total 100%
Customer 20%
satisfaction
Employee 5%
satisfaction
Impact on 10%
environment and
society

Business 15%
results
Sub total 50%
Total 100%
(customer
focused result,
human resources
result,
organisational
effectiveness
result,
supplier &
partner result,
fin & market
result) 45%
Sub total 45%
Total 100%

Customer
satisfaction 20%
People
satisfaction 9%
Impact on 6%
Society

Business 15%
Result
Sub total 50%
Total 100%

55
Since these Indian awards are based on western award models, a question arises that
how do these Indian quality awards compare with the critical success factors referred to
earlier in this research. Wali, Deshmukh and Gupta (2003, p. 9) in their study have compared
the CSFs with one of the Indian quality awards - CII EXIM Business Excellence Award
(CEBEA). The same are indicated in Table 2.9.

Factors proposed Corresponding CEBEA criteria

Leadership, Creativity and Quality Strategy Leadership/Policy & Strategy
Worker Manager Interactions *
Results and recognition Business Result/Impact on society
Work culture *
Information and Data Management *
Customer Focus Customer satisfaction
Values and Ethics *
Communication across the organization People Satisfaction
Team Working People Management
Congenial inter-personal relations People Management/ People Satisfaction
Delegation and Empowerment People Management /People Satisfaction
Process Improvement Processes

Table 2. 9CSFs for TQM and CEBEA criteria
Source: Wali, Deshmukh and Gupta (2003, p. 9).

It is worthwhile to compare the commonalities between the CSFs discovered by Wali,
Deshmukh and Gupta with the TQM implementation at Glaxo and the Kaizen improvement
at Godrej mentioned earlier. Training, communication, top management commitment and
recognition are common among them which perhaps pointed to the universality of these
factors.
It was noted in section 2.2.3.3 that in the case of Deming Prize, the very approach to
quality award was different. It was also noted in section 2.2.3.2 that studies have shown that
the South Asian awards have a different flavour which takes into account the specific culture
and demography of this region. Viewed in this background, the similarities between the
Indian quality awards and the western quality award indicate that in designing the Indian

56
awards, perhaps, no specific care of the Indian context was taken. A comparison of CSFs of
Wali, Deshmukh and Gupta and CII-EXIM award criteria (see Table 2.9) also shows critical
success factors for which there are no corresponding criteria in the CII EXIM model.
Thus the researcher takes a stand that while the Indian quality award models may be
taken as a measure of reasonable prevalence of TQM in an Indian organization, but from a
developmental point of view, for the implementation of TQM in the Indian Railways, the
Indian or for that matter, international quality award models need not be taken as the starting
point.

2.2.4 Synthesis of system dynamics, CSFs and quality award criteria

Since the survey of the Western, J apanese and Indian studies for the identification of
factors for successful implementation of TQM is now completed, it is worthwhile to compare
these factors to understand their commonalities and the differences.
The commonalities are that across the world, leadership, policy and strategy, human
resource management, process management, information and data management, customer
and market focus and supplier focus are the factors or enablers which contribute to the
success of TQM. This is confirmed by the three sources of studies: (a) the study of different
award models (Hui & Chuan 2002; Tan et al. 2003; Vokurka, Stading & Brazeal 2000); (b)
by empirical research done in arriving at CSF for TQM (Black & Porter 1995 in the
European context; Motwani, Mahmoud and Rice 1994 in the Indian context; Saraph et al.
1989 in the American context; Wali, Deshmukh and Gupta 2003 in the Indian context) and (c)
by the modelling of TQM on the lines of system dynamics (Bauer, Reiner & Schamschule
2000; Khanna et al. 2002).
However, different countries tend to look at these factors differently. For example, the
cultural pattern of a country and within a country the organisational values of different
companies have been found to be variables which affect TQM implementation. Another
difference is with respect to the path followed by organizations of these countries in their
pursuit of TQM. Given the birth of TQM in J apan, it is not surprising that the J apanese
organizations have readily gone for TQM implementation. But the western countries have in
general used ISO as the first tentative step towards TQM. Indian organizations too, have in
general used ISO as their first step towards development of a quality consciousness. Thus
Melan (1998) has suggested a contingency approach for the implementation of TQM in an
organization. Chin and Pun (2002, p.274) have quoted Lewis and Smith who have identified

57
six common approaches which have been used to develop and/or to implement TQM. They
are:
(a) Guru approach. Here the writings of Demings 14-point model, Crosbys 14 steps and
J urans triology are used for analysis and implementation.
(b) Japanese model approach. This uses the writings of J apanese writers such as Ishikawa
and the educational guidelines (e.g. Kaizen, 5S, etc) of the Union of J apanese Scientists and
Engineers.
(c) Total quality element approach. This uses elements (e.g. quality circles, statistical process
control and quality function deployment) of continuous improvement rather than full
implementation.
(d) Hoshin planning approach. This focuses on successful planning, deployment and
execution and diagnosis of quality practices and performance measurement.
(e) Quality awards/ business excellence criteria approach. This includes MBNQA, EQA,
Australia Quality Award and similar quality awards to identify areas of improvement.
(f) Industrial company/leader model approach. This is where leaders from one organization
visit an organization using TQM, identify its system and integrate this information with their
own to create a customised approach. Visiting and learning from the quality/excellence
award winners is an example of this approach.
While all these approaches work, the most useful TQM implementation plan is an
integrated blend of them (Lindsay & Petrick 1997).
The moderating influence of culture on TQM implementation and the adoption of
ISO path by many western organizations as the first step towards adoption of TQM indicate
that the worked done in these areas need to be studied in detail. Thus another set of
immediate disciplines which need to be studied for implementation of TQM in the Indian
Railways are
(i) TQM and ISO.
(ii) TQM and culture.
(iii)The Indian cultural values.
(iv) The organisational values of Indian Railways.
Since Indian Railways is part of Indian government our study of organisational
values of Indian Railways should begin with the study of Indian bureaucracy and then shift to
Indian Railways.
First the work done in the areas of TQM and ISO will be reviewed.

58
2.2.5 Total Quality Management and ISO

Starting as a management and quality assurance guidelines in 1987, today ISO 9000:
2000 standard is a structured basis to develop systematic programs for quality improvement.
ISO certification has been one of the popular routes for organizations across the world in
their quest for quality.
In a cross-country study to assess the impact of ISO 9000: 1994 on quality
management, Rao, Raghunathan and Solis (1997) studied firms in the USA, Mexico, India
and China which were then consolidated to form a global perspective. This study found
significant differences between ISO 9000 registered and non-registered firms in terms of
quality management practices. The ISO 9000 registered companies exhibited higher levels of
quality leadership, information and analysis, strategic quality planning, human resource
development, quality assurance, supplier relationships, customer orientation and quality
results. Hill, Hazlett and Meegan (2001, p.153) have reported that in the UK organizations
seek ISO 9000 certification first, and then move towards TQM. Agus and Abdullah (2000) in
their study of Malaysian manufacturing companies found that companies with ISO
certification and long-term TQM adoption were better quality implementers which could give
them an edge over their competitors. Escanciano, Fernndez and Vzquez (2001) found in
their study of Spanish companies that ISO 9000 certification contributes to a companys
progress towards total quality. They also found that companies which went for certification
mainly for internal reasons progressed well towards TQM (Escanciano, Fernndez and
Vzquez 2001, p.492). Gotzamani and Tsiotras (2002) have found compelling evidence in a
study of ISO certified companies in Greece that when a companys true motive behind ISO
certification was only advertisement or external pressure, there was no significant correlation
with TQM based performance improvement. But when the true motive was to improve their
internal operations and product, it was significantly correlated with TQM base performance
improvement (Gotzamani and Tsiotras 2002, p.165). Similar result has been reported by
Poksinska, Dahlgaard and Antoni (2002) for Swedish companies. A study by Sun (1999)
found that among Norwegian firms, ISO certification was significantly correlated with
quality results especially the reduction of defective products and customer complaint.
However, it had little influence on market position and competitiveness. They concluded that
it seems as if there is a tendency for the ISO 9000 standards to be taken as part of a TQM
programme in the futureYet it will be long journey for the Norwegian companies to
continue the TQM implementation(Sun 1999, p.901). A study in North America found that

59
ISO 9000: 1994 was being adopted as one tool in a larger strategy of achieving competitive
advantage through quality management and in this sense, it complemented rather than
substituted TQM (Anderson, Daly & J ohnson 1999).
On the other hand, in a review of the effects of ISO 9000: 1994 certification on small
Singaporean firms, Quazi, Hong and Meng (2002) found that ISO certification did not affect
quality management practices and quality results. However, they qualified their conclusion
with the observation that the composition and characteristics of the firms in the sample may
be the reason for such differences in findings. Lack of relationship between ISO 9000: 1994
and TQM implementation was also found by Sun and Cheng (2002) in their study of
Norwegian firms. According to them, ISO 9000 aims to standardize certain process and
maintain the quality level while TQM aims to establish a quality culture and continuously
improve quality level (Sun and Cheng 2002, p. 437). However they also qualified that in
order to incorporate the two, ISO 9000: 1994 may be required to be updated to the new
version. Curry and Kadasah (2002) found that in Saudi Arabia, ISO 9000 was in itself not
sufficient in establishing an effective quality management system nor was it sufficient to
produce quality product. They also found that to achieve registration merely to have the
certificate with little in the way of supporting infrastructure often causes more problems than
it solves(Curry & Kadasah 2002, p.214).
In the context of railways, Lee and Lam (1997) have reported a study on Kowloon-
Canton Railway Corp where starting from ISO 9001:1994 they progressed to a TQM
programme called quest for excellence through which they reported significant
improvement in their working. Two of its activities are worth reporting:
(i) The quality procedures and the work instructions were prepared by persons who
were directly responsible for, and therefore most clear about, the work processes covered by
them. An important part was that the persons were required to consult their staff during the
preparation process to ensure that the resultant procedures and instructions were practicable.
It created a sense of ownership. This was very much like hoshin planning.
(ii) There was no separate quality audit team. The duties of internal audit were
assigned to the section managers and line officers selected from different sections. This
avoided a conflict of interest with the additional benefit of better understanding of other
sections and the exchange of best practices.
It is to be noted that all the studies referred above were based on firms which
complied with the ISO 9000: 1994 version. In fact during the literature review the researcher
could not come across any study made about the impact of ISO 9000: 2000 on the quality

60
management system. This could be because the latest version of ISO came only in December
2000 and it gave a three-year time frame to companies to shift from old standard to the new
standard.
Therefore, the conceptual similarities between ISO 9000: 2000 and TQM are now
assessed.

2.2.5.1 ISO 9000:2000 and TQM

The ISO 9000 version 2000 published in December 2000 is based on eight principles listed
below (www.iso.org ):
Principle 1: Customer Focus
Principle 2: Leadership
Principle 3: Involvement of People
Principle 4: Process Approach
Principle 5: System Approach to Management
Principle 6: Continuous Improvement
Principle 7: Factual Approach to Decision Making
Principle 8: Mutually Beneficial Supplier Relationships

It is to be noted that principle 5 of ISO 9000:2000 does recognise the systems approach to
management. Not only this, the eight principles mentioned above also closely resemble the
enablers for TQM implementation as synthesised in section 2.2.4. Thus it has been argued
that ISO 9000:2000 closely reflects the basic principles of TQM (Kartha 2002). The ISO
9000:2000 family of standards consists of three documents: ISO 9000:2000, Quality
Management System Fundamentals and Vocabulary; ISO 9001:2000, Quality Management
Systems Requirements; and ISO 9004:2000, Quality Management Systems Guidelines
for Performance Improvement. ISO 9004:2000 is a business management tool which
companies can use to go above and beyond the foundational elements of ISO 9001. It
includes information from different national quality awards such as MBNQA, EQA and J QA
(Babicz 2001). Thus ISO 9000:2000 is conceptually closer to the TQM model of excellence.
Pheng (2001) have shown the similarities between ISO 9000:2000 and the J apanese 5S
principles. All these show the coherence of concepts between ISO 9000:2000 and TQM. In

61
fact continuous improvement is the focus of the process based model of ISO 9000:2000
shown in Figure 2.10.

Value-adding activities Information flow
Figure 2. 10Model of a process-based quality management system
Source : ISO 9001:2000 standard.

Another similarity between TQM and ISO 9000:2000 has been attempted by Magd
and Curry (2003). They have mapped the Demings system of profound knowledge with the
components of ISO 9000:2000. The same is shown in Table 2.10.

Continual improvement of the quality management
system

Customers

Requirements

Customers

Satisfaction
Management
Responsibility
Resource
management
Product
realization
Measurement,
analysis and
improvement
Product

62

ISO 9000 Process
9000 assessment The initial assessment is a detailed review of the companys quality systems and
procedures compared with ISO 9000 requirements. This process defines the scope of
the ISO project.
Quality assurance
manual
While ISO 9000 standards do not require a quality assurance and policy manual, they
do require the company to document everything it does and every system that affects
the quality of the finished product. The quality manual is often used because it is a
good way to get all the necessary documentation together in one place.
Training Everyone, from top to bottom, needs training in two areas. First, they need an overall
understanding of ISO 9000 vocabulary, requirements , role of the quality manual, and
benefits that will be derived from the system. Second, they need to be aware of the
actual day-to-day process of upgrading and improving procedures.
Documentations of
work instructions
Processes that have been improved will need new documentation. Once completed,
this manual should outline every process a company undertakes that affects the quality
of a finished product.
Registration audit The final step in ISO 9000 program is an audit by company-chosen register to see that
the system is working as described in the quality manual and that the system meets
ISO 9000 requirements.

Demings system of profound knowledge
Knowledge about
the system
The system contains inter-related components working together in harmony. Managers
should ensure communication and co-operation among the different parts of the system
and each component has a duty to contribute to the whole system. Therefore, it is not
important if any of the components is losing money as long as it contributes to the
success of the other components.
Knowledge about
variation
Deming emphasises the need to understand variations between people, processes,
products, and outcomes; nothing remains constant. Managers should consider
variations in process capability and control charts, and most importantly, variations in
people.
Theory of
Knowledge
Practice based on past experience is a very important element for managers. Deming
claimed that there is no true value of any conditions; any experience might yield
different results when different procedures are used.
Knowledge of
psychology
Management should understand the human side of organization and the human
interaction of employees. People differ, and management should use these differences
for optimisation providing incentives and motivation to succeed.

Table 2. 10 ISO 9000 and Demings system of profound knowledge
Source: Magd and Curry (2003).

63
Magd and Curry (2003) have said that the first three elements of Demings profound
knowledge and the ISO 9000:2000 process/system approach complement each other.
However, Demings Knowledge of Psychology is not evident in ISO 9000 because ISO 9000
does not focus on human interactions (Magd & Curry 2003, p. 248). They concluded that
ISO 9000 can be implemented first to create stability and consistency in the organizations
work, then the implementation of TQM can enhance employee motivation and operational
efficiency, and achieve overall organisational success and performance(Magd & Curry 2003,
p.252).
Biazzo and Bernardi (2003) have compared the ISO 9000:2000 with MBNQA
and EFQM to assess their conceptual convergence. It is shown in Table 2.11.

MBNQA Model
(2001)
EFQM Model (1999)

ISO 9000 (2000)

Visionary leadership Principle developed in the
same way
Principle developed in the same way
Customer-driven
excellence
Principle developed in the
same way
Organisational and
personal learning
same way
Principle developed in the same way (focus on
continuous improvement of company
performance)
Valuing employees
and partners
same way
Principle developed partially in the same way
(focus on both personnel and supplier
development)
Agility Principle not developed Principle not developed
Focus on the future Principle not developed Principle not developed
Managing for
innovation
Principle given less emphasis Principle not developed
Management by facts Principle developed in a
similar way, but with more
emphasis on processes
Principle developed in a similar way, but with
more emphasis on processes and on their
interconnections
Public responsibility
and citizenship
same way
Principle not developed
Focus on result and
creating values
same way

Table 2. 11Comparison of MBNQA, EFQM and ISO 9000
Source: Biazzo & Bernardi (2003).

64

The above studies indicate that it is reasonable to conclude that ISO 9000:2000,
unlike ISO 9000:1994 has embodied many concepts of TQM.
If ISO 9000 and TQM are so interrelated, what are the key factors which facilitate a
successful transition from ISO 9000 to TQM?

2.2.5.2 Factors affecting transition from ISO to TQM

Hill, Hazlett and Meegan (2001) studied more than 100 ISO registered companies
over a period of time and concluded that the key factors affecting transition from ISO to
TQM are:

(i) Transformational leadership Hill, Hazlett and Meegan (2001) said that visionary or
transformational leadership is of key importance throughout the transition process. They also
quote Smith (Hill, Hazlett and Meegan 2001, p.153) who has highlighted the need for the
leader to enrol others as co-creators of the vision arguing that people who are enrolled or
committed, identify themselves with the vision and apply themselves to effecting its
realisation. Bass (1990) also emphasised the need for more transformational leaders at
higher levels in an organization as then lower level employee will emulate transformational
behaviour.
(ii) A capacity and willingness to learn ISO 9000 certification facilitates in learning how
to learn(Hill, Hazlett & Meegan 2001). Organisational learning is, again related to visionary
leadership(Hill, Hazlett & Meegan 2001, p. 153) because major influences on the
motivation to learn includes leader behaviour (Bass & Avolio quoted in Hill, Hazlett &
Meegan 2001, p.153). Innovative thinking reinforced through a tolerance of risk and error
and teamwork can be effective in organisational learning (Schein 1993). Thus the
willingness to learn is seen to be dependent on visionary or transformational leadership.
Hackman (1990, p.84) found that learning from experience leads to performance
enhancement of a team. He also found that that capacity to learn depends on the amount of
trust among team members (Hackman 1990, p.84).
(iii) Executive mind set. This depends on three parameters:
(a) Understanding quality concepts, why the transition is being attempted, what it will entail
and the potential benefit derived from the effort.

65
(b) Executive motivation It is what drives the underlying behaviour. If the senior
managements primary behaviour in pursuing ISO 9000 is to have a badge of
competence., then the drive to move beyond the standard will be weak ( Hill, Hazlett
& Meegan, 2001, p. 150). One aspect of motivation is goal setting both personal goals and
goals for others. Once again the role of transformational leaders comes to the fore because
they articulate goals, build an image and arouse motivation ( Hill, Hazlett & Meegan 2001,
p.152).
(c) Executive intent This refers to the difference between espoused theory (what they say)
and theories-in-use (the implied theory in what they do). Thus it is a measure of the
difference between what managers say about TQM and what they actually do. This is also in
consonance with the observations by Gotzamani and Tsiotras (2002) and Curry and Kadasah
(2002) referred in section 2.2.5 that the true reason behind ISO certification has an impact on
an organizations transition to TQM.
Hill, Hazlett and Meegan (2001) have concluded that the obsession for winning
and/or commitment to a compelling vision have the potential to strengthen intentions and to
increase behavioural control at both individual and corporate levels.
This discussion about factors which affect transition from ISO to TQM shows that a
transformational leadership has substantial bearing on the other two factors. This makes
transformational leadership a crucial area to study. This has been done in section 2.2.8.
Till now the impact of ISO on quality orientation of companies outside India has been
reviewed. What has been the impact of ISO on quality management of Indian companies?
The same is now reviewed.

2.2.5.3 Quality movement in India and ISO

Mandal et al. (2000) made a study of the propagation of quality management practice
since 1985 and concluded that with the opening up of the Indian economy and subsequent
increased competition, Indian companies are becoming more quality conscious. In February
1991, an Indian company obtained the first ISO 9000 certificate in India (J agadeesh 1999).
By December 1998, about 3500 companies were certified in India (Mehta 1999, p.649). In
1996, the Government of India set up the Quality Council of India (QCI) which acts as
national agency for quality certification and it also administers the National Quality
Campaign.

66
Gupta (2000), in what is perhaps the first study to assess the differences between the
ISO and non-ISO organizations in India, found that the following four statistically significant
differences do exist between them:
(i) Product design
(ii) Training
(iii) Use of quality in strategic planning
(iv) Team building
ISO 9000 is now generally recognised as a launching pad for implementation of TQM.
(Khanna et al. 2002; Umesh, Bhusi & Kumar 2000). Acharya and Ray (2000) did a study of
about 1200 ISO 9000 certified organizations in India. They have found that ISO
implementation has benefited these companies in the following three areas:
(i) Better understanding of process/ activities being performed.
(ii) Better understanding of responsibilities/ authorities.
(iii) Better linkage to other functions across the organization.
The study also found that quantitative techniques are rarely used in analysis of non-
compliance, customer complaints and control of processes and find and fix it approach is
still in usage rather than a disciplined problem-solving approach(Acharya & Ray 2000,
p.266). Rao, Raghunathan and Solis (1997) also found that the level of training in basic and
advanced statistical techniques is low. They also reported that the effectiveness of employee
involvement and the level of employee participation were low. This is perhaps a pointer that
the Indian industry is still in its infancy as far as complete assimilation of tools and
techniques of TQM are concerned. Similar opinion has been echoed by Umesh, Bhusi and
Kumar (2000) wherein they have indicated that unless our society becomes quality
conscious, TQM/ISO will be only bandwagons ( In J apan quality started from society and
came to industry). As long as quality does not become a way of life, (entire society adopts it),
TQM will only be in books (Umesh, Bhusi and Kumar 2000, p.170).
Acharya and Ray (2000) go on to add that the three most important lessons learnt by
the organizations in the process of ISO certification are
(i) Teamwork is essential.
(ii) People make the system work.
(iii)Cooperation and information sharing are needed.
The researcher believes that the aspects mentioned above can be called the soft side
of an organization, which emanate largely from the culture of an organization. Thus now
another major immediate discipline - TQM and culture will be reviewed.

67

2.2.6 TQM and culture

The review of quality awards and critical success factors for TQM has shown that
culture influences the definition of TQM in a country and it also affects the operationalisation
of TQM in a country. Deming also has said that TQM is a management philosophy that
requires a radical cultural change from traditional management to continuous improvement
management (Yen, Krumwiede & Sheu 2002). However, there has been less attention to how
the principles of TQM have been adapted to existing cultures (Chin & Pun 2002, p.274).This
necessitates that the impact of a countrys culture and organizations own culture on the
implementation of TQM is studied.
Noronha (2002) has studied the impact of Chinese culture on TQM. He concludes
that whether a TQM program will sustain or fail will depend upon how TQM itself fuses
with the quality climate, which is in turn influenced by the national culture setting (Noronha
2002, p.221).
Triandis and Bhawuk (1997) have referred to a pioneering study by Hofstede who
identified four factors on which culture of different countries differ. The four factors are
collectivism-individualism, power distance, masculinity-feminity and uncertainty avoidance.
Kanungo and Mendonca (1996) have provided a model to explain the internal work culture
of organizations in developing countries based on these four dimensions and one additional
dimension of associative thinking-abstractive thinking. The model is shown in Figure 2.11.

68

Figure 2. 11 Characteristics of internal work culture of organizations in developing
countries in the context of their sociocultural environment

Source: Kanungo and Mendonca (1996).

High power distance cultural dimension means the less powerful members of society
accept unequal distribution of power and rewards. A high uncertainty avoidance culture
means the extent to which people feel the need to avoid ambiguous situations, and the extent
INTERNAL WORK CULTURE
Descriptive
assumption about
human nature

External Locus of
control

Limited and fixed
potential

Past & Present
orientation

Short-Term
perspective
Prescriptive
assumption about the
principles that ought to
govern human conduct

Passive and
reactive stand

Moralism

Authoritarian &
paternalistic

Context dependent

69
to which they try to manage such situations by providing explicit rules and regulations. In a
high uncertainty avoidance culture, people feel uncomfortable without the structure of
policies and procedures and employee do not desire a great deal of discretion. Low
masculinity in work setting implies that the orientation of the employees is towards
personalised relationship rather than towards performance (Kanungo & Mendonca 1996,
p.70).The dimension of high associative thinking and low abstractive thinking implies that
people are guided less by abstract rules and principles ( as they apply uniformly to every
situation) and more by the existing contextual and historical considerations (Kanungo &
Mendonca 1996, p.71).It is akin to context sensitiveness proposed by Sinha and Kanungo
(1997). Collectivistic culture refers to societies in which people from birth onwards are
integrated into strong, cohesive in-groups, which throughout their lifetime continue to protect
them in exchange for unquestioning loyalty (Hofstede quoted in Walumbwa & Lawler
2003, p.1087).
Tata and Prasad (1998) have assessed the impact of two cultural constructs - power
distance and uncertainty avoidance- on TQM implementation. According to Tata and
Prasad (1998) high power distance and high uncertainty avoidance culture give rise to control
oriented organisational culture and mechanistic organisational structure. However, since
TQM introduces significant changes in the distribution of power and status . it may result
in failure of TQM implementation (Tata & Prasad 1998, p. 706). Companies which have
flexibility-oriented cultures and organic structures are more likely to implement TQM
successfully. Similar views have been expressed by Chin and Pun (2002, p.275) that
individuals dominated by high power distance and /or a strong uncertainty avoidance do not
necessarily want the responsibilities that come with TQM. Aycan et al. (2000) assessed the
way in which socio-cultural environment influences internal work culture and human
resource management practice. They found that managers who perceived paternalism and
high power distance in their socio-cultural environment did not provide job enrichment and
empowerment. Robert et al. (2000) studied the fit of empowerment and continuous
improvement with national culture using the theoretical construct of individualism-
collectivism and power distance. Collectivism here means societies where group interests
supersede individual interest (Hofstede quoted in Walumbwa & Lawler 2003, p. 1084).
Robert et al. (2000) found that empowerment was negatively associated with satisfaction in
India, but positively associated in US, Mexico and Poland. Continuous improvement was
positively associated with satisfaction in all the four countries. Since Indians are high on
collectivism (Chhokar 2000; Hofstede quoted in Sinha 1995, p. 100; Sinha et al. 2002),

70
Robert et al. (2000) concluded that a very high power distance country like India, may give
rise to negative attitudes in response to empowerment or participation types of practice. On
the other hand, individualistic cultural dimension may not fit into the group orientation
aspects of TQM. Yen, Krumwiede and Sheu (2002) used the MBTI instrument and found
that a top manager personality who had a long-range perspective and was possibility driven,
was crucial for TQM practice. This personality dimension was not affected by cultural
factors.
In line with the studies made by western researchers, cultural change has been found
to be a major problem in implementing quality improvement program in India (Mandal et al.
2000). Crosby has said that complacency is a major problem with the Indian management
system (J agadeesh 1999).
This necessitates that the a review of Indian work culture be carried out.
2.2.6.1 Indian work culture

Sinha and Sinha (1990) and Sinha (1991) have tried to assess the impact of Indian
social values on Indian organizations. They identified five social values which affect
organisational effectiveness in India:

(i) Power play in terms of affection (sneh)and deference (shradha): This means those
who yield to power are treated with due and undue favour and those who do not yield to
power are discriminated. This has been also termed as affective reciprocity an intense
emotionality in caring and being cared for without asking. Affective reciprocity means those
who are close to the superior are bestowed with all kinds of and including undue favours,
while those who are not, tend to be distanced and discriminated against (Sahay & Walsham
1997, p. 421)
(ii) Preference for personalised relationship. This is akin to low masculinity of
Kanungo and Mendonca (1996).
(iii) Group imbeddedness: The members of in-group are owned and bound by
personalised relationship while others are strangers and must be distanced (Sinha & Sinha
1990, p. 710). Thus social networking is through own(apane)-other(paraye) dichotomy.
(iv) Duty and obligation over hedonism: The emphasis in Hindu religion is on self-
control and containing of impulses. Hence duty consists of appropriate role behaviour which
includes protecting in-group members and favouring them over others (Sinha 1997, p.59).

71
(v) Hierarchical perspective: Indians tend to arrange things, persons, relationships, ideas
and almost everything hierarchically. Even the Indian Gods are hierarchised. The high power
distance, status consciousness, centralisation of decision making, need to depend upon a
patron and so on are manifestation of this preference for hierarchy ( Sinha 1997, p.58).
These five social values have been called vertical collectivism by Triandas and
Bhawuk (Sinha 1997, p.59) i.e. collectivism where every one within a collective group is put
in a hierarchy.
How do these social values affect Indian work culture? Research on Indian work
culture indicates that high power distance, collectivism and affective reciprocity are major
cultural values of Indian managers (Chhokar 2000, Sinha 1997). With respect to uncertainty
avoidance earlier studies (Hofstede 1980, quoted by Sinha 1997, p.61) have said Indians are
high on uncertainty avoidance but a more recent study (Chhokar 2000, p.22) found Indians
to be moderate on uncertainty avoidance. In a cross-cultural study covering 61 countries,
Chhokar (2000) found Indians to be midway on uncertainty avoidance.
It is generally agreed that successful TQM implementation requires participatory
management style in organizations (Ishikawa 1985; Korunka et al. 2003; MBNQA 2000).
However, Kanungo and Mendonca (1996) have contended that because of the above
dimensions of work culture, the sociocultural environment of developing countries is not
conducive to participative management. They postulated that the sociocultural dimensions of
high uncertainty avoidance, low individualism, high power distance, low masculinity, and
high context-sensitive thinking are incompatible with participative management (Kanungo &
Mendonca 1996, p.276). Thus according to them participative leadership becomes a viable
option for developing countries only to the extent and degree to which its implementation
modalities address the cultural constraints and build on the cultural facilitators.
Kanungo and Mendonca (1996, p.283) mention that the environment of developing
countries are characterised by high complexity due to presence of heterogeneous elements,
low predictability due to presence of unstable and turbulent elements and low munificence
due to the scarcity of needed resources. Monetory form of compensation and job security are
therefore highly valued by Indian employees (Gopalan & Rivera 1997). Faced with
instability and uncertainty, the leader cannot rely on well-defined rules and regulations or
established procedures, but must resort to rather flexible and unconventional strategies and
courses of action.
On the same lines, Sinha and Kanungo (1997) explain the Indian organisational
behaviour on the basis of context sensitivity and balancing. Context sensitivity pertains to

72
beliefs about person (patra), time (kal) and ecological (desh) components of environment.
Context sensitivity is basically a thinking principle or a mind-set that is cognitive in nature
and it determines the adaptive nature of an idea or behaviour in context (Sinha & Kanungo
1997, p.96). Balancing is a behavioural disposition to avoid extremes and to integrate or
accommodate diverse considerations. It refers to a tendency to accommodate, integrate or
tolerate while coping with the environmental context. The preference for accommodation
rather than confrontation leads to few open conflicts, but can result in a state of cold war.
Context sensitivity and balancing are related, because the persons who are sensitive to their
contexts are also aware of their diverse demands and therefore, have to balance them by
adapting their behaviour in order to cope with the environment (Sinha & Kanungo 1997,
p.96).They say that traditional systems such as Hindu religion, caste as a form of social
stratification, and agricultural mode of production have interacted with foreign invasions and
alien rules to give rise to several sociocultural characteristics such as:
(i) Group embeddedness and hierarchy while relating to people (patra).
(ii) Uncertainty about future and the resultant short term perspective while relating to time
(kal), and
(iii) Scarcity of resources, deficient infrastructural facilities and poverty syndrome related to
ecology (desh).

Sinha et al. (2004) have identified the impact of societal culture on organisational
culture in India. They found four major pan Indian societal dimensions: hypocrisy,
corruption, inaction and respect for power. Three dimensions : quick rich disposition, non-
work orientation and face keeping were differently endorsed at different location. Infra-
structural facilities had sweeping impact on societal, organisational and managerial
dimensions of beliefs, preferences and practices. People from infra-structurally adequate
place rated themselves, the people and the organization more positively. Sinha et al. (2004)
say that Hofstedes dimension of power distance emerged as a dominant theme in this study.
However, collectivism, masculinity and uncertainty avoidance did not appear at the top of
managers mind (Sinha et al. 2004, p.7) while these were considered as a part of Indian
culture in an earlier study by Kanungo and Mendonka (1996). Triandis and Bhawuk (1997)
have said that Indians are shifting towards individualism. These studies bring up the
possibility that the cultural values are gradually changing in India. The next section focuses
on that.

73
2.2.6.2 Duality of traditionalism and modernism in Indian culture

It was mentioned earlier that Sinha and Kanungo (1997) have explained the duality of
traditionalism and modernism in Indian culture on the three components of the environment -
person (patra), time (kal) and ecology (desh). They explain that people exhibit both a
primary expressive mode that is traditional in nature and a secondary expressive mode that is
acquired as a result of the transplantation of the western management system onto the
traditional core. Superior-subordinate relationships, work behaviour, and management
practices reflect both the primary and secondary modes in varying degree.
Based on these two concepts, Sinha and Kanungo (1997) contend that Indian
managers have the potential to integrate, blend and accommodate traditional values with
western management practice in order to render their organization effective in the face of
increasing competition (Sinha & Kanungo 1997, p.103).
The aspect of affective reciprocity and a personalised superior- subordinate
relationship against contractual relationship has also been noted by Sahay and Walsham
(1997). They also refer to own-other syndrome which manifests in social networking. They
also say that managers internalise two set of values: those drawn from the traditional
moorings of the family and community, particularly values related to affiliation, security,
dependency and social obligations; and those drawn from modern education, professional
training and the imperatives of modern technology, such as those relating to personal growth,
efficiency and collaborative work (Sahay & Walsham 1997, p. 424). Sinha(1997, p.60) has
said that two set of values -vertical collectivism and individualism- coexist in Indian
organization.
Khandwalla (1992) in his study of corporate turnaround also notes that societies
which are transiting from the traditional to modernity, internalise two different identities, one
passive and dependent, rooted in childhood upbringing, and the other proactive, learnt
through exposure to modern institutions, ideas and mores. Which set of behaviours is evoked
at work will depend on what cues are emitted at work: to conform and obey, or to take
initiative and be dynamic (Khandwalla 1992, p.255). Public enterprises being centralised and
rule bound, generally tend to evoke feudal and servile behaviour. This leads him to
hypothesize that in collectivities whose members are socialised into both passivity and
proactivity, the more bureaucratic and/or authoritarian the top leadership, the sicker will the
collectivity become, and the more dynamic and participatory the top leadership, the faster
will be its regeneration(Khandwalla 1992, p. 255). In these environments charismatic

74
leaders who, by definition are more proactive, entrepreneurial, and change-oriented would
seem to provide a better fit for the needs of organizations than leaders who are more inclined
to maintain the status quo.
Today, charismatic leadership is considered a part of transformational leadership
(Srivastava 2003). Earlier transformational leadership was noted as an important mediating
factor for transiting an organization from ISO to TQM orientation. Thus the concept of
transformational leadership is required to be reviewed in more detail. As mentioned earlier,
this will be done in section 2.2.8.

2.2.6.3 Recent changes in Indian work culture

The review of Indian work culture in section 2.2.6.1 has continuously emphasised
the hierarchical nature, personalised relationship, affective reciprocity as the dominant work
culture of Indians. However, section 2.2.6.2 also shows the duality in the Indian work culture
on account of the impact of modernisation. It has been said that the political equality
experienced since independence has resulted in a desire to effect a decrease in power distance
(Chhokar 2000). This means that though the Indians are high power distance persons, they
exhibit a preference for reduction in the power distance if possible. Similarly the
collectivistic orientation is also under going a change (Chhokar 2000, p.22; Sinha et al. 2002,
p. 318) and people have expressed a preference towards decrease in collectivistic orientation
(Chhokar 2000, p.22). Gupta et al. (2002) have said that India and much of South Asia aspire
for much stronger future orientation and performance orientation. They also value
charismatic, team oriented and humane leadership. These call in question: In view of the
liberalisation of Indian economy since 1991, what changes have come in the organisational
values of Indian managers.
Pearson and Chaterjee (2001) have attempted to answer this question. Through their
study on 421 Indian managers, they have concluded that in a relatively short time, the
fundamental attributes of a competitive market economy have subjugated societal qualities
reinforced over hundreds of years and thought to be unchangeable. Among the respondents,
46% were from organizations owned by the government, 56% were holding masters degree
or above, 61.8% of them had spent their childhood in joint (extended) family. More than 75%
of them were above 40 years of age and were holding senior positions. In this respondent
profile, Pearson and Chaterjee found that such deep-rooted Indian cultural values as respect
for seniority, valuing tradition over change were perceived to be less important and such

75
new concepts as quality, team work and customer service were rated to be more
important.
Their result is shown in Table 2.12.

Variable Mean Std. Dev.
Quality in all work activity 3.61 2.40
Personal integrity 3.86 3.10
Team Work 4.37 2.33
Customer service 4.90 2.98
Social responsibility 5.12 3.00
Workplace harmony 6.57 2.59
Organisational learning 7.16 2.45
Respect for seniority 7.17 2.75
Innovation and creativity 7.29 3.56
Valuing tradition over change 8.82 2.72
Ordered relationship structure 8.94 3.83
Wealth and material possession 10.21 2.31
Note: The lower the mean, the higher level of the perceived importance.
Table 2. 12Societal values of Indian managers after liberalisation
Source: Pearson and Chatterjee (2001).

Pearson and Chatterjee (1999, p.144) therefore concluded that within the context of
organizations, Indian employee can embrace global work values while retaining deep
connection to their societal culture. The final work goals held by the managers were shaped
both by the forces of the economic transformation as well as their indigenous cultural values
(Pearson & Chatterjee 1999, p. 144). Similarly, Sinha et al. (2002) found evidence that
though the core of Indians continue to be collectivist, the changing socio-economic scenario
of the country is creating a shift towards individualism. Khandwalla (1999) has also found
that the change in corporate culture seems distinctly compatible with a free, more
competitive market environment.
A question arises that if India is transiting from its traditional cultural values to more
modern cultural values, what is the appropriate leadership intervention in such a situation.
Kanungo and Mendonca (1996) claim that the nurturant-task leadership proposed by Sinha
(1995) is an appropriate leadership style which can reduce the dysfunctional effects of
traditional values such as power distance, uncertainty avoidance, low individualism and low
masculinity.

76

2.2.6.4 Nurturant task leadership

Relationship orientation as against task or performance orientation has been a central
characteristics of effective Indian leaders (Chhokar 2000, p.28). Sinha (1995) has recognised
the importance of relationship and has developed a nurturant-task (NT) leadership model.
As per this model, the NT leader cares for his subordinates, shows affection, takes personal
interest in their well being, and above all is committed to their growth, but provides this
nurturance only after subordinates perform the agreed job tasks (Sinha 1990). As per Sinha
(1990), from a state of dependency on the leader and constraints of high power distance and
authoritarian and paternalistic norms, subordinates can be developed to a state of
preparedness for participative management so that they function as autonomous work groups.
This is schematically shown in Figure 2.12. It shows that a subordinate has a bi-directional
relationship with his leader who displays a NT leadership style. With time, as the dependence
of the subordinate decreases on the leader, the leader can display a combination of NT and
participative leadership style and then a participative leadership style. Finally once the
subordinate ceases to have any dependence on the leader, both become part of an
autonomous group.

NT

S
1

time
NT=nurturant-task leadership style
NT/P =combination of nurturant-task and participative style, P=participative leadership style
S1, S2, S3=subordinates, arrow=direction of relationship,
Figure 2. 12Nurturant-Task leadership process leading to participative management
Source: Sinha (1990).

Sinha (1995, p.117) defines nurturance as benevolent paternalism while people
orientation in the West is primarily fraternal in nature. Fraternalism assumes equality among
members (including the leader). In the West, the members have different resources which
NT/P
S
2
S
3
P
Autonomous groups

77
they need to share by maintaining a supporting relationship. But in India, nurturance assumes
a hierarchical relationship where unequals are bound by affective reciprocity between a
senior or superior and a junior or subordinate who needs affection, guidance and direction
(Sinha 1995, p.117). Thus, the superior is seen to be kind and the subordinate submissive.
Sekhar (2001) considers NT leadership style a modern variation of the leadership style of the
legend of Ram.
Kanungo and Mendonca (1996, p.74) said that NT leadership promotes the
relationship or people orientation by placing job objectives and recognition of successful
performance in a personalised context; and enhances the social achievement orientation
through opportunities to experience significant personal achievement for the collective good.
This gives rise to the possibility that even though the traditional Indian culture may
not be conducive to TQM, it is not an invariant, and it is possible to modulate it towards
modern management values required for TQM. Therefore in the next section, Indian culture
is compared with culture for TQM.

2.2.6.5 Juxtaposition of culture for TQM and Indian culture

Both Tata and Prasad (1998) and Tan and Khoo (2002) have mentioned that a culture
of high power distance and/or a strong uncertainty avoidance are not conducive for TQM. It
has been seen in section 2.2.6.1 that Indian culture shows high power distance and strong
uncertainty avoidance which promotes hierarchical relationship, dependency on superiors
and a preference for rules and regulations for every situation rather than having to deal with
uncertain situations where discretionary decision making is called for. Also there is a
preference for personalised relationship as against professional relationship (Sinha 1995).
Does it mean that the Indian culture is not conducive for TQM implementation? The existing
literature is silent on this issue. However, there are other Asian cultures which are similar to
Indian culture and where the moderating influences of culture on TQM have been studied.
Khoo and Tan (2003) have compared the western approach to TQM and the
J apanese approach to TQM . The same is shown in Figure 2.13.

78

-Employee
development
-Customer Focus
-Social Responsibilities
- High emphasis on
leadership

- Breakthrough - Kaizen
Improvements -Keiretsu
- Autonomy -Group Learning
- Workforce Diversity - Harmony and Respect
-Employee Empowerment - Leadership by example/ethics
-Leaders Driving Creativity/ - Shintoism /Buddhism
Innovation
MBNQA Model JQA Model
Western Culture and Management Japanese Culture and Management

Figure 2. 13 Socio cultural factors in MBNQA and JQA
Source: adapted from Khoo & Tan (2003, p. 22).
The J apan specific cultural concepts which have influenced the TQM concept there
are dealt now. In a J apanese firm, planning is a task for all members of the company. The top
management policy (hoshin) is more than a planning system. It is an organization
development process throughout the company. It is recalled that the Deming Prize also looks
upon the journey to the award as a developmental process (section 2.2.3.3). Hoshin promotes
nemawashi (consensus building), ringi (shared decisions), commitment and loyalty. The
effective top down and bottom up communication encourages all employees to act
collectively in achieving shared organisational objectives (Khoo & Tan 2003). J apanese
Shintoism and Buddhism advocate respect for everyone. Keiretsu are large conglomerates of
financially linked group of companies. Owing to the cooperative nature of the Keiretsu
Overlapping Concepts

79
network, part produced by companies within the group fit together so well that the result is
better quality (Khoo & Tan 2003, p.21).
2.2.6.6 Comparison between Japanese culture and Indian culture

Are there similarities between these J apanese cultural norms and the Indian culture?
Sinha(1995, p.100) says there is significant overlap between Indian and J apanese cultures. He
found dependence proneness in both cultures. Hierarchical and personalised relationships are
typical in both cultures. However, there are differences as well. Indians are much less group
embedded than the J apanese are. Further, Indian work group is internally fragmented in terms
of own (apana) and others (paraya). The concept of own is based on ethnic, caste and
religious similarities. But the J apanese linkages for own are based on seniority and personal
loyalty. Second, work is central to the life of the J apanese, but Indians value work if it is part
of a positive personalised relationship (Sinha 1995). Still, if it is possible to change the
collective orientation of Indians from the primordial own others to work groups, the so
called dysfunctional Indian social values can play a facilitating role in developing a
synergetic work culture (Sinha & Sinha 1990, p. 712).
Another difference between Indian culture and J apanese culture is that though both
are collectivist in nature, Indian collectivisim is vertical collectivism, where members of a
group try to differentiate among each other while J apanese collectivism is more like
horizontal collectivism where members of a group do not tend to differentiate among each
other (Triandis & Bhawuk 1997, p. 16). A comparison between vertical collectivism and
horizontal collectivism is given in Table 2.13.

Dimension Vertical collectivism Horizontal collectivism
Kind of self Emphasises difference from
others within the in-group
Emphasises sameness with
others within the in-group
Sociality Communal sharing
Authority ranking
Communal sharing
Equality matching
Political system Low equality
Low freedom
High equality
Low freedom
Universal value Values hierarchy Values harmony
Table 2. 13Comparison between vertical collectivism and horizontal collectivism
Source: Triandis and Bhawuk (1997, p. 27).

80

Horizontal collectivism displays a sense of oneness with members of the in-group.
Vertical collectivism also displays a sense of serving the in-group and sacrificing for the
benefit of the in-group (Triandis & Bhawuk 1997, p. 17). The difference between them lie in
the orientation that the vertical collectivism emphasises on how an in-group members are
different on certain aspects, the horizontal collectivism emphasises how an in-group
members are having the same self. There is equality of status in a horizontal collectivist
society, but in a vertical collectivist society, hierarchy is emphasised within a social in-group.
Therefore vertical relations are more common in societies high on power distance and
horizontal relations are most common on societies low on power distance (Triandis &
Bhawuk 1997, p. 17). It has been reported that in the collectivist culture of J apan, harmony is
taken to be more important than fairness (Sinha 1997, p.60).
In the context of leadership, leadership theorists in both the countries have given a
major role to context as a determinant of what will be good leadership and what will be not
(Earley & Erez 1997, p. 631).Thus given these comparisons, it is possible to postulate that
TQM can be successfully implemented in a government organization like Indian Railways,
provided, the Railway specific organisational values are identified and is modulated to suit
the tenets of TQM. This begs the question: What are the organisational values of Indian
Railways in the context of TQM?
The existing literature is silent on this. In fact, there has not been any study on the
Indian Railways from the organisational point of view. However, there are some studies on
Indian bureaucracy of which Indian Railways is a part. Therefore studies on Indian
bureaucracy will now be reviewed.

2.2.7 Indian Bureaucracy

Collective decision-making in the form of Panchayat has survived to this date in
India. It has now evolved into a democratic government. Today, the policies made by the
elected representative are implemented by bureaucracy. A bureaucracy is supposed to be a
rational organisational system. Some regard it as the best way to deal with the masses (Ball
1999). However in practice, many bureaucracies do not work efficiently. Myrdal (1968) has
differentiated the 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 law and regulations.

81
In the soft state political accountability of the rulers to the people, the accountability of the
bureaucrats to his/ her boss, . and the rule of law which enables individuals or groups to
seek redressal against each other or the state, all get eroded (Khandwalla, 1999, p.126).
Taking this logic further, Chhokar (n.d.) and Kumar (2000, p. 60) have said that the Indian
state is neither coercive nor enabling. Whatever be the nature of Indian bureaucracy, people
have generally been losing their confidence in bureaucracy (Chhokar 2000, p.7). Sinha and
Sinha(1990, p. 706) have ascribed the soft work culture to the socially determined work
forms.

2.2.7.1 Characteristics of Indian bureaucracy

Some of the characteristics of Indian bureaucracy are given below. The first
three have been summarised from Khandwalla (1999, chapter 2).
(a) Tunnel vision They tend to stress the perspective afforded by their own
speciality and ignore other perspective that may be relevant in a situation. Thus, conflicts
between specialist departments flare up. They tend to solve the problem of coordination by
bringing in other specialists which worsens the problem. Thus teamwork is not the hallmark
of a bureaucratic culture (McHugh & Bennett 1999). In fact a movement towards teamwork
constitutes a major cultural change in bureaucratic set-up (McHugh & Bennett 1999, p.89).
(b) Rule orientation- Rule orientation cues the staff to minimum acceptable behaviour
that satisfies rules. Related to rules and regulations is the unintended consequence of creating
a culture of mistrust whereby people try to shirk risky work, and that justifies layers and
layers of rules and regulations that further chokes collaboration and initiative taking. Since
people in bureaucracy are rewarded for following rules and standard procedures, it tends to
invert goals and means. That is, adherence to the means the rules and regulations
becomes the goal. Thus bureaucracy finds it difficult to adapt to change and generally resists
it.
(c) Monolithic- At the structural level Indian bureaucracy is quite monolithic. It has
standardized recruitment procedures, salary structure, rules for conducting business and
audits and accounting procedures. At the functional level, there are powers delegated to make
routine decisions, but power to make discretionary decision tends to be centralised (Narain
1990). There are many checks and balances which slow down decision-making, discourage
initiative taking and adaptation to local circumstances (Narain 1990). Monolithic systems
tend to be rigid and inertial, and often exhibit the phenomenon of punctuated equilibrium: a

82
long period of relative inflexibility during which the perception of inadequacy of the system
in coping with changes and challenges accumulates, until a situation arises when the system
falls into disrepute (Orton & Weick 1990). Orton and Weick maintain that the cost of
punctuated equilibrium system is the long delay in introducing large as well as local
innovations and therefore long periods of declining performance of the state. The challenge
therefore is to minimize the monolithic features of bureaucracy (Khandwalla 1999, p. 257).
(d) Hierarchical The Indian bureaucracy is deeply hierarchical. It a deeply
ingrained value in the Indian government. In fact Pai Panandiker & Kshirsagar (1978, p.161)
have said that the steeply hierarchical propensities and traditions of Indian bureaucracy need
to be curbed.
(e) Poor in implementation - The Indian bureaucracy is considered weak in
implementing policies (Kumar 2000, p. 58). This is partly because of emphasis given by
traditional Indian ethos to thought over action. Another reason is that Indians are prone to
idealistic thinking as against pragmatic thinking which makes one seek perfect solutions.
This either results in no action or very delayed action (Kumar 2000, p.61). However, this gap
between thought and action, instead of leading to dissonance are balanced, accommodated,
integrated and allowed to coexist (Marriott quoted in Sinha 1997, p.61 emphasis in original).
There are diverse conclusions on the managerial style of Indian bureaucrats. A few
studies have found the managerial style to be directive or manipulative rather than
participatory (Pai Panandiker & Kshirsagar 1978; Mehta 1988; Sharma 1992). However
Ramamurti (1987) has said that when Indian managers in the public sector are free to act
independently, they can be expected to follow strategies which increase profit and resist
those that seek to reduce profit. But, when they are not free to act independently, their
decision depend on more complex factors. Sahay and Walsham (1997, p. 419) have linked
the Indian social system and Indian bureaucracy and said that the Indian bureaucracy rigidly
adheres to rules yet there is personal alliance between businessmen and bureaucrats leading
to personal gratification (we again see here the Indian tendency of personalised relationship
cropping up researchers note). Little wonder, the Indian government has been rated as one
the most corrupt in the world (Khandwalla 1999, p.219). Gupta (1995), Myrdal (1968) and
Sinha et al. (2004) have dealt with different aspects of corruption in Indian bureaucracy.
Though there have been many reports about how to make the Indian bureaucracy more
responsive, it is felt that only cosmetic changes have been achieved (Pai Panadiker &
Kshirsagar 1978, p. 158).

83

2.2.7.2 Changing the bureaucracy

Resistance to change is well documented (Hersey, Blanchard & J ohnson 2002, p. 376;
Robbins 1997, p. 723). In the context of the public sector, Kamarck (2003) reports that there
is little incentive to innovate in the public sector. Yet, there have been many attempts to
reform bureaucracy the world over. Some of them have failed and some have succeeded.
Caiden (1991) has identified several reasons why reforming the bureaucracy fails:
(a) Imposed implementation often does not work. Cooperation and participation of
the affected staff is important.
(b) Recipes applied without taking into account local culture and activities often do
not work.
(c) Unattainable objectives- they are abstract or too ambitious.
(d) Obstructive structure, such as excessive or inadequate hierarchy, poor
communication mechanisms and poor conflict resolution mechanism.
(e) Indecisiveness
(f) Narrow vision- There is wide choice of instrumentalities for the reform process,
such as public enquiries, changes in law, scientific management, budgeting, automation,
decentralisation, privatisation, debureaucratisation and so forth. Often, reforms fail because
the reformer may over rely on just one or two instrumentalities such as change in law or
changes at the top.
(g) Poor monitoring

Notwithstanding the failure of public sector reform, there have been instances of
successful reforms in the public sector including some in the third world countries. Campos
and Root (1996) have examined how the bureaucracy was made growth oriented in east
Asian economies. They found that one crucial institutional innovation was the creation of
competent, powerful but accountable bureaucrats. This was achieved by taking the following
steps:
(a) The politicians were able to convince officials that economic growth was the over-
riding national objective as in Taiwan. In South Korea, there was close interaction between
the top political executives and the bureaucracy. The President would visit each ministry to
discuss goals and strategies and review the performance during the next visit.

84
(b) Institutionalising a meritocracy in bureaucracy. Non-performance and corruption
were punished.
(c) Relatively low differential in public and private sector compensation. Government
compensation in Singapore was about 15% higher than in the private sector.
(d) Most states framed service rules to protect officials from their seniors and from
politicians as in J apan.
This shows that it is possible to make significant change in bureaucracy
notwithstanding its many shortcomings. An example of changing the working style of
bureaucracy in a third world country comes from Malaysia. TQM was required to be
implemented in different government agencies (Hamid 1995; Khandwalla 1999, p.63). In
1989, the Malaysian government launched a countrywide Excellent Work Culture
programme. Different state agencies reviewed their operations with full participation of its
employees. Quality awards ranging from national level- called Prime Minister Quality Award
to district and local level were instituted. Fundamental values like productivity, quality of
service, innovativeness, customer orientation, discipline, integrity and accountability, and
professionalism were stressed. Three important factors which contributed the most in
adoption of these values were: consensus building for change, support from top most political
leadership and keen monitoring by it, and a reward structure which reinforced excellence
In the context of railways, J apanese National Railways (J NR) was a public sector
unit. Much like Indian Railways, it had about 200,000 surplus employees, and it had to
invest in unprofitable, remote routes. However, it was able to convert a loss of US$ 4 billion
in 1986 to a profit of US$ 3.6 billion in 1990 without raising freight and passenger fare. This
was achieved by reorganising J NR into smaller units, reducing the staff and giving these
units freedom from parliamentary approval of budget and also permission to diversify into
other businesses (Khandwalla 1999, p.133). J NR was subsequently privatised. However it
has been reported that application of TQM in railway corporations is slow due to their
traditional management style and emphasis on operational safety (Gaffney & Chan quoted in
Chan et al. 1998).
In the Indian context, National Dairy Development Board (NDDB) brought about
increase in milk production and distribution. Its operation flood has been hailed as a
massive achievement by the UN. It has been reported that NDDB staff demonstrated high
commitment and morale, despite absence of financial incentives for individuals (Khandwalla
1999). The charismatic leadership of its chairman Mr. Kurien has been reported to be one of
the major reasons behind the success of this government organization (Srivastava 2003).

85
Khandwalla(1999, p. 119) has reported that developing a mission participatively about the
kind of contribution a government unit can make to the quality of life and then brainstorming
to find ways to pursue it under an empowering and participative leadership was critical for
the success of NDDB.
Similar significant changes in bureaucracy have been reported in Britain, Canada,
Australia, New Zealand and Singapore (Khandwalla 1999). Different countries have used
different methods to make the bureaucracy more effective. In South Korea, the development
commitment of the political masters was made credible to the bureaucracy. In Singapore, the
state was fragmented into relatively autonomous entities with clear mandate and professional
management, and in UK and Malaysia, the bureaucratic organization was made more
customer friendly through citizen charters and customer councils.
In a study of bureaucratic reform in government sector Kaul and Collins(1995) have
listed several supporting conditions for successful reforms:
(i) Political commitment for change is critical. This was also noted by Campos and
Root (1996) in their study of east Asian countries quoted earlier.
(ii) Reform has to be paced appropriately. Where reform has been held up for a long
time because of the defensiveness and rigidity of the system, and a political consensus for
reform has finally emerged, administrative reforms can be swift and radical. This process has
been called punctuated equilibrium, meaning spurts of major change within long period of
stability. Where a culture of change has been institutionalised, reforms and innovations can
be gradual based on continuous trial and error learning so that changes are gradual and time
tested, but over a period of time amount to a revolution.
(iii) The successful reform of a bureaucratic system requires involving the staff in the
change process from the beginning.
(iv) There has to be a balance between the increasing service expectation by
consumers and bureaucracys internal drive for change.
(v) There should be a system that recognises and rewards good performance and
penalizes poor performance. Remuneration needs to be merit based.
(vi) It has been suggested that the large organisations should be managed as if they
are made up of smaller organisations ( Peter &Waterman quoted by Khandwalla 1999, p. 96).
This way the strength of the small organization fresh thinking, flexibility, teamwork is
yoked to the strength of the large organization large resources, risk-bearing ability,
management systems and market clout (Khandwalla 1999, p. 96). Fragmentation of

86
bureaucracy into smaller autonomous bodies has shown good result in England, Canada and
Malaysia (Khandwalla 1999).

2.2.7.3 TQM and change in government bureaucracy and in public sector

Since Indian Railways is a public sector, it will be instructive to look at the state of
TQM in government bureaucracies and in the public sector.
Deming had no doubt about the importance of TQM in government services:

In most governmental services, there is no market to capture. In place of capture of the market, 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 & Stupak 1994, p. 88).

Though the service sector and the public sector have direct interaction with customers, yet,
innovative practices like TQM have been practiced more in manufacturing rather than in
service and public sector (Yasin & Wafa 2002, p. 596). It has been postulated that
implementation of TQM in a public sector may require a different orientation (Ehrenberg &
Stupak 1994). It has also been reported that it is difficult to implement and institutionalise
TQM in public service organization (Moon & Swafin-Smith 1998; Robertson & Seneviratne
1995; Stringham 2004; Yusof & Aspinwall 2000). Some works have tried to identify some of
the impediments which require special attention in implementing TQM in public sector.
These impediments have been variously described as emphasis on procedure over efficiency,
a layered structure, a short-term perspective due to frequent change of the top leadership,
separation of power which necessitates negotiation and consensus building in decision
making(A SCANS report for America 2000, p.20). Ehrenberg and Stupak(1994, p. 89), in an
early study of TQM in the public sector have said that the public sector has less incentive to
reduce costs, they have a near-term focus, external constraints, and complex, diverse, inter-
and intra-organisational relationships. Thus a different kind of quality management may be
required for public services (Yong & Wilkinson 2002). Boyne and Walker (2002, p.127) said
that a significant difference between public and private firms is the role of government
program of management reforms. Whereas private sector firms largely choose their own

87
approach to management, a government may require a program of public sector TQM to be
adopted by its agencies.
However against this theoretical observation, a study of TQM implementation in
Malaysian government agencies found that there was no need to modify TQM for public
sector (Fei & Rainey 2003).Similarly McAdam, Reid and Saulters (2002) found that in the
UK the Business Excellence Model (BEM) was found to be the preferred model for
implementation of TQM. It is in keeping with the earlier observation made during the review
of quality awards in section 2.2.3.5 that TQM is invariant across public sector and private
sector.
In the critical success factors for TQM, teamwork and empowerment have been
identified as two critical success factors (section 2.2.2 of this thesis). However, studies have
found that the hierarchical orientation of bureaucratic organization does not facilitate
teamwork or empowerment (Garland 1995; Kanter 1997; McHugh & Bennett 1999). In such
a situation, the organization ends up trying to improve its performance within its old structure,
norms and culture (McHugh & Bennett 1999). Team appraisal in place of individual
appraisal and group recognition will facilitate team working because individualist culture and
emphasis on individual achievement is not conducive for teamwork (Hackman 1990). With
this qualifying remark, some implementation of TQM in bureaucracy will now be seen.

TQM in western government bureaucracies In Europe, the concept of TQM has spread
among the public sector organisations under the name New Public Management (NPM)
(Scharitzer & Korunka 2000). NPM is more in the nature of reforming government working
through TQM concepts. Korunka et al. (2003) found that employee participation, high-
quality training and professional change management are key for successful NPM
implementation. In England, a Citizen Charter was launched that aimed to improve the
quality of services provided by the government to the citizens (Khandwalla 1999, p. 72). A
total of 38 charters, including one for rail passengers were published. Quality systems were
established which aimed at assessment of quality performance and continual monitoring of
customer satisfaction. In the USA, President Clinton established the National Performance
Review and introduced a government-wide TQM programme. At a micro level, there are
reports of TQM being applied by government sectors in West. For example in municipal
councils in U.S. (Berman & West 1995) and in New York department of Parks and
Recreation (Cohen & Eimicke 1994), TQM has been used with good results. Ehrenberg and
Stupak(1994, p. 95) have postulated that because government culture may be difficult to

88
change, it may be necessary to start with smaller organisations or sub-elements of a large
organization in order to establish TQM as a useful template for organisational success in the
years ahead. This is in line with the observation made in section 2.2.7.2.

TQM in Asian government bureaucracies A TQM approach was established in the Hong
Kong government (Chan et al. 1998). In a study of implementation of TQM in Malaysian
government agencies, Fei and Rainey (2003) found that though Malaysian organisational
culture tends to emphasise hierarchical authority, organisations with more successful TQM
implementation showed leadership patterns and organisational cultural features similar to
those espoused by TQM experts.
Also award winning TQM organisations in the Malaysian government reported higher
levels of organicity in organisational structure ( Fei & Rainey 2003, p. 161). An organic
management system is characterised by promotion of cross-functional teams, cross-
hierarchical teams, free flow of information, decentralisation and low formalisation and wide
spans of control (Robbins 1997, p.568). The managers there scored higher on the cultural
dimensions of job challenge, communication, trust, and innovation with particularly large
difference on communication and innovation. It is to be noted that Khandwalla (1999) has
also found organicity a precondition for organisational excellence in Indian organisations.
Tata and Prasad (1998) also recommended organic structure for TQM implementation.

2.2.7.4 Summary of TQM in bureaucracy

In a recent review of innovations in government around the world, quality in
government working has been recognised as one of the six universal components of
government reform ( Kamarck 2003, p. 15). It also identified the following problems in
creation of quality culture in the public sector around the world.
(i) Public sector has difficulty competing with the private sector for the talent needed
to run the government.
(ii) Public sector faces a severe skill shortage.
(iii) Public sector employees are in general paid less.
(iv) The civil service is so bound up in rules and regulations that people are not
rewarded for performance.
(v) Excessive political patronage undercuts merit principles.

89
(vi) Public servants do not always operate under the rule of law.
These are in line with the findings of Campos and Root (1996) mentioned in
section 2.2.7.2 in the context of his study of east Asian bureaucracies.
In a review of quality movement adaptation to the public sector, Campos and Root
(1996) identified the following themes:
(i) Set up of one-stop shop or places where a person, usually a business owner, can
conduct all their transactions with the government at once.
(ii) Attempt to find out from citizens what they want and expect from government
services.
(iii) Allow citizen inputs to shape bureaucratic organization and behaviour.
(iv) Measure performance and publish whether or not the standards were met.
(v) Involve employees in the redesign of the organization.
(vi) Train government employees in customer service and organise internal incentives
around the accomplishment of quality standards.

2.2.8 TQM and transformational leadership

In section 2.2.5.2, it was seen that transformational leadership is one of the factors
that influence successful transition from ISO to TQM (Hill, Hazlett & Meegan 2001).
Transformational leadership has supported implementation of TQM (Reed, Lemak & Mero
2002). Robbins(1997, p.735) says that transformational leadership is needed in a learning
organization to implement a shared vision. In his study of organisational turnaround,
Khandwalla (1992, p.262) also has noted that organisational turnaround requires
transformational leadership skills. He says that change through a new mission and vision of
excellence is possible. A vivid, superior, inspiring but credible alternative to the status quo
needs to be identified and communicated to the rank and file and other stakeholders, not
once but again and again, affirmed in small acts and decisions as in large, until that social
mission and/or vision of collective excellence seizes peoples imagination and pushes them
to strive for glory. The process is one of restructuring the Freudian superego (Khandwalla
1992, p.262). In the context of TQM, TQM award winning government agencies in
Malaysia had leaders who demonstrated transformational leadership behaviour (Fei &
Rainey 2003). These leaders demonstrated higher vision, staff development, trust,
cooperation, thinking in new ways, adherence to clear value, pride and respect (Fei & Rainey
2003, p.161). These studies show the importance of transformational leadership skills for

90
successful implementation of TQM based change. Thus, this thesis looks at transformational
leadership in more detail.
Krishnan (2002) says transformational leadership has four components: charisma,
inspirational motivation, intellectual stimulation and individualised consideration. In contrast,
tools used in transactional leadership are power brokering, withholding favours, and quid pro
quo. It is always tied to position power. Transactional leaders take the values, needs,
motivation and purposes of followers as given and unchanging, but transformational leaders
do not (Krishnan 2002, p.20). A transformational leader looks for potential motives in
followers, seeks to satisfy higher needs, and engages the full person of the follower (Banerji
& Krishnan, 2000, p.407) It has been suggested that the display of determination and
persistence by a transformational leader demonstrates courage and conviction in the vision
and mission, and thus inspires, empowers and motivates followers. Other studies (Project
Globe n.d.; Chhokar n.d.) have shown that transformational leaders are team builders. Bass
(1990, p.25) has suggested that transformational leaders through intellectual stimulation are
likely to build cohesion among team members. Bass and Avolio (2000) have now developed
a full range leadership model called Multi Factor Leadership Questionnaire (MLQ 5X). Bass
and Avolio have divided leadership on a continuum of nine factors. Based on Bass and
Avolio (1997), the nine components of MLQ are explained now:

(i) Idealised influence (Charisma) attributes: Idealised influence is defined with respect to
associates reaction to the leader. Associates identify with and want to emulate their leader.
Such leaders are thoroughly respected and have much referent power. A sample item to
assess this component is The leader reassures others that obstacle will be overcome.
(ii) Idealised influence (Charisma)behaviour: It is also a part of charisma. However, here the
associates react more to the leaders behaviour. They have complete faith in their
charismatic leader, who is seen as having attainable mission and vision. A sample item to
assess this component is The leader emphasises the importance of having a collective sense
of mission
(iii) Inspirational leadership: It involves the arousal and heightening of motivation among
followers. The leader here provides symbols, metaphors and simplified emotional appeals to
increase awareness and understanding of mutually desired goals. A sample item to assess this
component is The leader articulates a compelling vision of future.
(iv) Intellectual stimulation: Intellectual stimulation arouses in followers the awareness of
problems and how they may be solved, and stirs the imagination and generates thoughts and

91
insights. A sample item to assess this component is The leaders gets others to look at
problems from many angles.
(v) Individualised consideration: It means leader treats individuals differently but equitably
on one to one basis. The leader recognises associates needs and raises their perspectives.
With individualised consideration, assignments are delegated to associates to provide
learning opportunity. A sample item to assess this component is The leader spends time
teaching and coaching.
(vi) Contingent reward: Clarifies what is expected from followers and what they will receive
if they meet expected levels of performance. A sample item to assess this component is The
leader makes clear what one can expect to receive when performance goals are achieved.
(vii) Active management by exception: The leader monitors to make sure mistakes are not
made and allows status quo to exist without being addressed. A sample item to assess this
component is The leader directs attention towards failure to achieve standard.
(viii) Passive management by exception: Tends to react only after problems have become
serious to take corrective action. A sample item to assess this component is The leader takes
no action until complaints are received.
(ix) Laissez-faire: It indicates absence of leadership or the avoidance of intervention or both.
A sample item to assess this component is The leader avoids getting involved when
important issues arise.

Bass considers the first five factors as transformational, the next three factors as
transactional and the ninth factor as abdication of leadership (Block 2003, p. 321).
Krishnan (2002, p.30) in an empirical study on American subjects further found that
subordinates whose terminal value systems match their leaders value system are likely to see
their leader as more transformational irrespective of whether the leaders terminal value
system is congruent with the organizations or not. One of the managerial implications of
this is that one should pay attention to terminal values of subordinates if a change is
contemplated. This brings the issue of impact of cultural factors on transformational
leadership.

2.2.8.1 Impact of cultural factors on transformational leadership

From a study spanning 60 cultures, Globe Research Project (2002) developed the
hypothesis that certain aspect of transformational leadership are universally endorsed across

92
cultures. These aspects are motive arouser, foresight, encouraging, communicative,
trustworthy, dynamic, positive, confidence builder and motivational. Certain aspects were
cultural specific like risk taking, ambitious, self-effacing, compassionate, sincere and
sensitive. Walumbwa and Lawler (2003) examined the impact of cultural factors like
collectivism in moderating the influence of transformational leadership on work related
outcomes. He used a field survey of 577 employees from banking and financial sectors of
emerging economies, namely: China, India and Kenya. He found that collectivism supports
the relationship between transformational leadership and work related outcomes such as
organisational commitment, job satisfaction and perceptions of organisational withdrawal
behaviour. The study also supported the view that transformational leadership might be
effective across cultures.
Here the importance of collectivism lies in the fact that collectivism can be argued to
be positively related to TQM implementation. In collectivistic culture, achievement
motivation is socially oriented. That is, it does not matter who chooses the task within the in-
group; it is just as satisfying and motivating as it is if any of the in-group chooses the task.
The meaning of work is different in collectivistic cultures. Collectivists emphasize co-
operation, endurance, persistence and obedience. They tend to have long-term orientation ,
leading to long-term commitment to the organization (Bass quoted by Walumbwa & Lawler
2003, p.1087), - a requirement critical for success of TQM in an organization (Yen,
Krumwiede & Sheu 2002). Further, studies have shown that collectivism and power distance
are highly correlated (Sinha 1995). However, collectivistic society tends to be more
hierarchical ( Walumbwa & Lawler 2003, p.1084) which is not conducive for TQM
implementation.

2.2.8.2 Transformational leadership in India

In the western context, work on transformational leadership has been done by
Bass(1990), Tichy and Devanna (1986) and Globe Research Project (2002) . Singh and
Bhandarkar (1990) and Srivastava (2003) have studied transformational leadership in the
Indian context. The following attributes have been found in the Indian transformational
leaders:
(i) They are change agents.
(ii) They are visionary.
(iii) They are courageous.

93
(iv) They do things differently.
(v) They are passionate in their commitment to task and people.
(vi) They involve and empower people.
(vii) They are interactive.
(viii) They set personal examples.
(ix) They are very ambitious.
(x) They are future oriented.
(xi) They inspire employees to meet new challenges.
(xii) They focus on long-term goals rather than short-term goals without compromising the
core values and principles.

There are many similarities between the above and the five transformational factors
postulated by Bass and mentioned in section 2.2.8. However, an important addition by
Srivastava (2003) is that transformational leaders are change agents. Chhokar (2000)
supports this when he says that action orientation and charisma are most important
characteristics for effective leadership in India. Srivastava further found that Indian
transformational leaders exhibit consultative leadership style. A consultative leader listens to
everyone but finally makes his own decision (Kalra 2002). Kalra considers consultative
leadership more participative that NT leadership (see section 2.2.6.4) and suitable for
followers less dependent and less hierarchical than the traditional Indian followers.

2.3.Summary of literature review and overview of the central problem

It is recalled that the basic focus of this research is Can TQM be used as the basis for
organisational transformation of Indian Railways? If yes, how can it be effectively
implemented in Indian Railways?
A review of the literature showed the following:
(i) TQM , as it is understood today, is akin to organisational excellence. It has come out
clearly both in the context of private organisations and in the context of government
bureaucracies where TQM has been successfully implemented. Thus it can be said with
reasonable certainty that TQM can be used for organisational transformation of Indian
Railways. Therefore what needs to be focused now is that how it can be effectively
implemented.

94

(ii) On a global scale, TQM is a well-established field of study. But notwithstanding its
popularity, the success rate of TQM implementation is not very high. In general, the
implementational emphasis of TQM has been prescriptive. Non-adaptation of TQM to
organization specific culture and values and the tendency to look at TQM as a tool and not as
a system have been the major reasons for its failure.

(iii) Organisational learning is an outcome of TQM. However the process which leads to
learning is not well explained in the present literature.

(iv) The TQM enablers are almost invariant across countries. Across the world, leadership,
policy and strategy, human resource management, process management, information
management, customer and market focus and supplier focus with suitable adaptations are the
factors or enablers which contribute to the success of TQM. Of all the factors, leadership is
of critical importance. Also, TQM in public sector need not be any different from that in the
private sector.
However, though the enablers of TQM are identified, they have not yet been
integrated into a model which can used by organizations for attaining TQM.

(v) The modification of the ISO 9000 standard in the year 2000 has given it a TQM
orientation. However, till now there has not been much reported study about the impact of
IS0 9000:2000 on organizations. Further, though ISO 9000 standard has been used as the first
step towards implementation of quality in organisations, no scale has been developed which
can objectively measure the transition of an ISO certified organization towards TQM.

(vi) Factors which affect the transition of an ISO organization to a TQM organization are
transformational leadership and a capacity to learn that is, morphing of an organization into a
learning organization. Empowerment and participative management also promote TQM.
Hierarchical set up hinders TQM implementation. However, the success of TQM in many
high power distance countries in Asia gives rise to the possibility that it is possible to have
country specific adaptation of the cultural enablers of TQM.

95
(vii) In the Indian context, the TQM literature is not very rich which is perhaps a pointer
that TQM as a model of organisational excellence has not caught up with Indian companies
in general.

(viii) The Indian quality awards are implants of western quality awards. Though they can
be used as a measure of attainment of a respectable level of TQM proficiency, they should
not be used as a model to begin an organizations tryst with TQM. On the other hand, the
developmental orientation of the Deming Prize makes it a preferred model for an
organization embarking on a journey towards TQM.

(ix) The traditional Indian cultural values which have seeped into Indian organisations may
not be conducive for immediate internalisation of the tenets of TQM. The Indian
organisational values are a mix of traditional values and western values. The status
consciousness, dependency proneness and personalised relationship tendencies of Indian
people need to be carefully handled. Though Indians are group oriented, the group orientation
is socially contextualised in terms of religion, language and family and not a work based
group orientation like those of the J apanese. Indian Nurturant Task (NT) leadership is
one Indian grown leadership model which promises progressive shifting from these
tendencies to a more participative tendencies. The recent liberalisation of Indian economy
and consequent market driven forces have strengthened the shift to a more participative and
global work values.

(x) Indian bureaucracy is still a traditional bureaucracy untouched by bureaucratic reforms.
Its value system is not conducive for TQM.

(xi) The implementation of TQM in bureaucracy indicates that TQM should begin in smaller
units of Indian Railways.

(xii) There has not been any systematic organisational study of the Indian Railways. It is
almost a virgin field in India.

The summary discussed above is pictorially summarised in Figure 2.14. It also shows the
gaps in the existing literature. The question mark in the Figure 2.14 is for the research issues
which this summary throws up. This is dealt with in sub section 2.4.

96

Figure 2. 14 Summary of literature review and gaps in existing literature
organisational
values and
organisational
practices of Indian
Railways from the
point of view of an
excellent company

Not known
Congruence
between the
two
Not Known
congruence
between the
two
Not known
TQM for
railways
TQM in India should pay
attention to
leadership
policy & strategy
HRM
process
management
Information
management
customer focus
supplier focus
ISO 9000:2000 is the
desired path to be
followed. It is facilitated
by
transformational
leadership
executive mind
set
capacity and
willingness to
learn
?
Indian bureaucracy is
rule bound
monolithic
tunnel vision
directive
(non
participative)
TQM on date draws from
-System theory
-Critical success factors
-Quality awards
-Organisational learning
TQM is the same as
organisational
excellence
Quality
management in
India
through
ISO
Indian culture
hierarchical
dependency
prone
own-other
syndrome
context
oriented
balancing

97

2.4. Identification of the gaps which need investigation

The gaps are
(i) There has not been any organisational study of the Indian Railways.
(ii) Though the modified standard of ISO 9000 - ISO 9000: 2000 - has been framed with a
distinct TQM slant, there is no scale which can objectively measure the transition of an ISO
certified organization towards TQM.
(iii) Perhaps because of the prevalence of the prescriptive style of TQM implementation,
there are relatively few studies of TQM implementation with organisational members as the
focus that is, a bottom-up process involving the organisational members in planning,
implementing and evaluating the quality management system. This approach focuses on
successful planning, deployment, execution and diagnosis of quality practices and
performance measurement. This approach draws heavily on the J apanese concept of
planning (Hoshin) which promotes consensus building (nemawashi), shared decision(ringi),
commitment and loyalty. The researcher takes a stand that it is worthwhile to study this
method of ISO certification as the first step towards TQM.
(iv) Though the enablers of TQM are identified, they have not yet been integrated into a
model which can used by organizations for attaining TQM.
(v) The literature recognises the importance of transformational top management as the
prime driver towards TQM. However, the literature is silent about the role of middle
management in organisational transformation towards TQM. The literature review could not
come across any study which identifies effective middle management leadership styles which
supports a transformational top leadership style in an organizations journey towards TQM.

98

Chapter 3 Research questions and research methodology

The gaps identified in literature review gave rise to the research questions
listed in Table 3.1.
3.1 Research questions

Gap in literature Research question
(i) There has not been any
organisational study of the Indian
Railways.

(i) What are and what should be Indian
Railways core values, style of management,
growth strategies, competitive strategies and
changes in organisational structure /
management system so as to transform Indian
Railways into an excellent organization.
(ii) Though the modified standard of ISO
9000- ISO 9000/ 2000 - has been framed
with a distinct TQM slant, there no scale
which can objectively measure the
transition of an ISO certified organization
towards TQM.
(ii) What is the impact of ISO 9000
implementation in Indian Railways?
(iii) To what extent has the implementation
of ISO 9000 brought about a TQM orientation
in Indian Railways? Answering this question
will involve the development of a scale which
can objectively measure the transition of an
ISO certified organization towards TQM.

Table 3.1 (contd)

99
Table 3.1 (contd)
Gap in literature Research question
(iii) There are relatively few studies of
TQM implementation with organisational
members as the focus that is, a bottom up
process involving the organisational
members in planning, implementing and
evaluating the quality management system.
This approach draws heavily on the
J apanese concept of planning (Hoshin)
which promotes consensus building
(nemawashi), shared decision(ringi),
commitment and loyalty. The researcher
takes a stand that it is worthwhile to study
this method of ISO certification as the first
step towards TQM.
(iv) Will a bottom-up methodology build
learning capacity among the railway
personnel?

(iv) Though the enablers of TQM are
identified, they have not yet been integrated
into a model which can used by
organizations for attaining TQM.
(v) How can the enablers of TQM be integrated
in a model for attaining TQM within the ISO
framework?
(v) While the moderating influence of
transformational top leadership is well
documented, the literature is silent about
the leadership role of middle management
in organisational transformation towards
TQM..
(vi) What is an effective leadership style for
middle managers for effective transition from a
ISO company to a TQM company?

Table 3. 1Research questions for this work

100
3.2 Different research paradigms

For the above research questions, a research map was to be designed which could act
as a guide to provide answers to the earlier research questions. However, research question
vi was left out as a matter of deliberate choice because the focus of this study would then
have become leadership oriented. However, this can be an area for future research.
In order to develop a research map, it was desirable to understand different
philosophies and methodologies in the area of social science research. In social science, there
is a spectrum of research methods available which could be used. Each one of the research
methods has a philosophical underpinning as to how the world is viewed (ontology), what is
the relationship between the reality and the researcher(epistemology) and what technique the
researcher is using (methodology) (Easterby, Thorpe & Lowe 1991, p. 26). A detailed
description of different philosophical bases and the corresponding research designs are
available in many publications (Creswell 1998, Easterby, Thorpe & Lowe 1991, Guba &
Lincoln 1994, Neuman 1997). For the purpose of this study, a brief integrative review of
different research methods is presented here.
A positivist holds the opinion that the processes of the external world and their
property can be objectively observed, defined and measured, rather than subjectively
inferred through sensation, reflection and intuition (Easterby, Thorpe & Lowe 1991, p. 22).
As against this, there is another view which says that the world is not objective and external.
The happenings of the world are socially constructed. That is, one should try to understand
why different people have different experience of the same situation, rather than trying to
look for external causes and fundamental laws to explain their behaviour. This philosophical
position came to be known as phenomenological or social constructionist point of view.
Easterby, Thorpe and Lowe (1991, p. 22) have quoted Morgan and Smircich who have
identified six ontological positions based on ones perception of nature of reality. The six
ontological positions are shown in Figure 3.1.

101

Subjectivist Objectivist

Figure 3. 1Different assumptions about nature of reality
Source: Easterby, Thorpe and Lowe (1991).

The different underpinnings shown above has given rise to four scientific paradigms
positivism, realism, critical theory and constructivism. A paradigm can be regarded as the
basic belief system or world view that guides the investigator(Guba & Lincoln 1994, p.
105). Evered and Louis (1981, p. 385) define paradigm as the entire constellation of beliefs,
values, techniques and so on, shared by the members of given (scientific) community. Perry,
Riege and Brown (1999) have summarised the four different paradigms in the context of
ontology, epistemology and methodology as shown in Table 3.2.

Projection of human imagination
Social construction
Symbolic discourse
Contextual field of information
Concrete process
Concrete structure

102
Table 3. 2Basic belief systems of alternative enquiry paradigms
Source: Perry, Riege and Brown ( 1999, p.17) based on Guba and Lincoln (1994).

Healy and Perry (2000) have compared the quality criteria for the above four research
paradigms. It is shown in Table 3.3.

PARADIGM
Item
POSITIVISM REALISM CRITICAL
THEORY
CONSTRUCTIVISM
Ontology nive realism:
Reality is real
and
apprehensible
critical realism:
Reality is real but
only imperfectly
and
probabilistically
apprehensive and
so triangulation
from many sources
is required to try to
know it
historic realism:
Virtual reality
shaped by social,
economic,
ethnic, political,
cultural, and
gender values,
crystallised over
time
critical relativism:
Multiple local and
specific constructed
realities
Epistemology objectivist:
Findings true
modified
objectivist:
Findings probably
true
subjectivist:
Value mediated
findings
subjectivist:
Created findings
Methodology experiments/
survey:
Verification of
hypothesis,
chiefly
quantitative
methods
case studies,
convergent
interviewing:
Triangulation,
interpretation of
research issues by
qualitative and
quantitative
methods such as
structural equation
modelling
dialogic,
dialectical:
Researcher is a
transformative
intellectual who
changes the
social world
within which
participants live
hermeneutical,
dialectical:
Researcher is a
passionate participant
within the world being
investigated

103

Table 3.3 (contd)

Criteria for
realism
research
Case study techniques
within realism paradigm
Criteria for
case
research
Criteria
for
construct-
ivist
Criteria for
qualitative
research
Criteria
for
positivism
research
Major
authors

Yin (1994) Lincoln
and Guba
(1985)
Miles and
Huberman
(1994)
Chia
(1997),
Neuman
(1997)
Ontology
1.
Ontological
appropriate-
ness
2. Contingent
validity
Research
problem deals
with complex
social science
phenomena
involving
reflective
people

Open fuzzy
boundary
systems (Yin
1994) involving
generative
mechanisms
rather than
direct cause and
effect
Selection of research
problem, for example, it is
a how and why problem
Theoretical and literal
replication, in-depth
questions, emphasis on
why issues, description
of the context of the cases

Internal
validity
Truth
value or
credibility

Truth
value or
credibility
Internal
validity /
credibility /
authenticity

Internal
validity /
credibility /
authenticity
Internal
validity

Internal
validity
Epistemology
3. Multiple
perceptions
of
participants
and of peer
researcher
Neither value
free nor value
laden, rather
value aware
Multiple interviews,
supporting evidence, broad
questions before probes,
triangulation, self-
description and awareness
of own values. Published
reports for peer review

Neutrality
or
confirma-
bility
Objectivity /
confirmability
Value-
free, one-
way
mirror
(Guba &
Lincoln
1990)

104
Table 3.3 (contd)

Table 3. 3Quality criteria for different research paradigm
Source: modified from Healy and Perry( 2000).

Criteria for
realism research
Case study techniques
within realism
paradigm
Criteria for
case
research
Criteria
for
constructi
vist
Criteria
for
qualitative
research
Criteria
for
positivism
research
Methodology
4. Methodolog-
ical trustworthin-
ess
Trustworthy
the research can
be audited
Case study database,
use in the report of
relevant quotations and
matrices that summarise
data and of descriptions
of procedures like case
selection and interview
procedures
Reliability Consiste-
ncy or
dependab-
ility
Reliability
/
dependabil
-ity /
audibility
Reliability

5. Analytic
generalisation
Analytic
generalisation
(that is, theory
building) rather
than statistical
generalisation
(that is, theory-
testing)
Identify research issues
before data collection,
to formulate an
interview protocol that
will provide data for
confirming or
disconfirming theory
External
validity
through the
specification
of
theoretical
relationships
, from which
generalisati-
ons can be
made
Applicabil-
ity or
transferab-
ility
External
validity /
transferabi-
lity
/fittingness

6. Construct
validity
Use of prior
theory, case
study
database,
tria-
ngulation
Construct
validity
Construct
validity
Note: critical theory has not been included in this table as no criteria that distinguishes it from constructivism could be
found

105
A positivist view is appropriate in natural science where a single apprehensible
reality whose nature can be known and categorised is to be defined and measured (Perry,
Riege & Brown 1995, p. 16). Here the researcher believes that he/she has identified the
variables which have causal relationship among them which are invariant across time and
context. Thus sample survey and controlled experiments are the primary data collection
techniques. The objective of the researcher is to test a theory or to confirm a hypothesis
(Zikmund 2000). A positivist approach may not be suitable in social science research where
each situation is unique and a person within a situation can give different responses
depending on the nature of reality as he/she perceives it. Also where the emphasis is to
explore the structure and the process of a phenomenon, there are many variables which
interact with each other. It may not be possible to establish a cause and effect relationship
among all the variables. However, wherever it is possible to identify and define constructs
which are invariant across situations, a positivist approach has the advantage of being
generalisable and reliable. Further, a positivist approach which uses a deductive approach is
useful in theory testing and not in theory building which requires an inductive approach
(Perry, Riege & Brown 1999).
Constructivism holds the view that truth is a particular belief system held in a
particular context (Healy & Perry 2000, p. 120). That is each person has his/her own reality
in his/her mind and it is the researchers job to interact with many persons so as to get
multiple construction of that reality. Meaning carries more importance than measurement
because perception itself is the most important reality (Perry, Riege & Brown 1999, p.18).
Using hermeneutical techniques, the different constructions are compared and contrasted
through a dialectical interchange so as to arrive at a consensus construction (Guba & Lincoln
1994, p.111). This approach is useful in understanding such deeply held values as beauty,
prejudice and religion (Healy & Perry 2000, p. 120).
Critical theorists aim at transforming social, political, cultural, economical, ethnic and
gender values (Healy & Perry 2000, p. 119). A critical theorist aims at changing the world in
which the participants live. Here knowledge does not accumulate, but grows and changes
through a historical revision that continuously erodes ignorance and misapprehensions and
enlarges more informed insights (Guba & Lincoln 1994, p.114). For a critical theorist, this is
the process of knowledge accumulation. The end goal of the study might be to transform
(through praxis) the underlying order of social life those social and systemic relations that
constitute society (Creswell 1998, p.81). According to Creswell (1998, p. 82), critical theory
may emphasize multiple methodologies ( qualitative and quantitative) and multiple

106
perspectives (class, race and gender). Examples of critical theory researchers are Marxists,
feminists and action researchers (Perry, Riege & Brown 1999, p. 17).
Realism believes much like positivism that there is a reality out there but it is not
possible to comprehend that fully and perfectly (Guba & Linclon 1994, p. 110). Thus the
attempt of the researcher should be to apprehend that reality as closely as possible through
widest possible critical examination. Triangulation should be used as a way of falsifying
(rather than verifying) hypotheses. By an increased utilisation of qualitative techniques, and
by doing inquiry in more natural settings, collecting more situational information, the
postposivist attempts to get closer to the reality.
In a different context, Miles and Huberman (1994) have also talked about using
qualitative and quantitative techniques together for arriving at more robust conclusions.
Qualitative data are useful when one needs to validate, explain or reinterpret quantitative
data gathered from the same sitting (Miles & Huberman 1994, p.10). They further say that
qualitative data are useful for exploring a new area which can lead to development of some
hypotheses. Thus from the point of view of robustness of research, it can be seen that not
only can qualitative data be used as authentically as quantitative data but also that both data
types can be used to reinforce each others findings.
Some of the strengths of qualitative data are:
(i) They focus on naturally occurring, ordinary events in natural setting. Thus the possibility
of understanding latent, non-obvious issues is strong.
(ii) It is rich and holistic providing a vivid picture of a situation in a particular context.
Quantitative techniques, on the other hand provides sensitivity and power to
individual judgement when one attempts to detect and describe patterning in a set of
observations ( Weinstein & Tamur quoted in Miles & Huberman 1994, p. 40).
It has been suggested that that to get broader insights into the issues being
investigated the researcher should try to mix research methods (Ticehurst & Veal 2000, p.20).
Accordingly in this research also, instead of following a particular approach, both qualitative
and quantitative approaches have been used dictated by the needs of the situation.
3.3 Development of research map

With above introductory comments about different research methods in the
background, the research map which was used to guide the research to answer the research
questions is shown in Figure 3.2.

107

Stage 1

Stage 2

Stage 3

Note: M.R.=Management Representative
Figure 3. 2 Research map
Source: developed for this work.

survey A
Survey among Indian
Railways persons on
different dimensions of
organisational policies
and practices which
promote excellence
survey B
Assess Indian Railways
persons on the culture
specific dimensions of
hierarchy
Take an unit of Indian Railways which is undergoing ISO
certification and do its in-depth study so as to triangulate the
findings from above
survey D

Develop and administer
an instrument TQM
transition
questionnaire , to the
M.R. /head of unit of
the same shortlisted
railway units. Ask them
to evaluate the unit on
one year before ISO
certification and
today basis.
Shortlist ISO certified units of Indian Railways on certain criteria
survey C
Administer the
questionnaire of
Acharya and Roy
to the M.R./ head
of unit of the
shortlisted railway
units

108

3.4 Research Design for stage 1

3.4.1 Survey A - Assessment of organisational policies and practices in the
Indian Railways

Survey A sought to find an answer to the first research question: What are and what
should be Indian Railways core values, style of management, growth strategies, competitive
strategies and changes in organisational structure / management system so as to transform
Indian Railways into an excellent organization?. One of the gaps which the literature review
had shown is that there has not been any organisational study of Indian Railways. Thus there
was no prior set of information available on which this research could build on or cross
verify with.
Thus some known model which could help assess Indian Railways organisational
values and practices in the context of organisational excellence needed to be identified.
Khandwalla (2002) has assessed the response of Indian public sector organisations
and private sector organisations to liberalisation and arrived at a model of organisational
policies and practices which he calls a community of adaptive best policies and practices
that yield performance excellence in an competitive and liberalised environment which
Indian organisations are facing today (Khandwalla 2002, p. 443). Khandwalla has developed
a questionnaire which assesses the prevalence of these policies and practices in an
organization. A detailed discussion about the reliability and validity of the questionnaire is
available in Khandwalla (2002). Part of that questionnaire consists of open ended and pre-
coded questions about core values, style of management, growth strategies, competitive
strategies and changes in organisational structure / management system which an excellent
organization follows. This part of the questionnaire labelled assessment of organisational
policies is shown in Appendix 2. Since the questionnaire developed by Khandwalla was
used to assess excellence in Indian companies and the objective of survey A was to assess
prevalence of different aspects of organisational excellence in Indian Railways,
Khandwallas questionnaire was used for survey A of this research.
Question I of the questionnaire consists of open-ended questions. Question II to
question VI are the pre-coded questions. An open-ended question provides the respondents

109
freedom to give their opinions. Also, this can provide such dimensions of information which
a Likert scale based questions may not be able to elicit from the respondents. Since the
answers to the first research question was expected to throw light on the organisational
policies and practices of Indian Railways, which, in turn could explain much of what this
study was to subsequently uncover in stage 2 and stage 3, the more the ways in which
answers to the first question were tapped, the more reliable were to be the conclusions. Thus
the use of a questionnaire which included open ended questions and pre-coded questions as
in this questionnaire added to the reliability of the conclusion.
Sampling strategy: The questionnaire was given only to the chairman, board
members, general managers and principal heads of departments of Indian Railways as they
were the persons who could be said to have enough exposure to the strategic part of Indian
Railways to do justice to the full questionnaire. It was noted that Khandwalla, in his study too,
had administered the questionnaire to the chairmen and managers who reported to the
chairman of an organization. (Khandwalla 2002, p. 436). Also, senior staff can provide more
reliable information about their organization than junior staff (Ticehurst & Veal 2000, p.143).
In the bureaucratic set up of Indian Railways, the tenure of the chairmen and board
members are normally not more than one to two years because one can reach that level just
before retirement. Thus, for the sake of comprehensiveness, the questionnaires were sent to
all the chairmen and board members who retired since 1991 and whose contact details were
available. The Indian industry has opened up to the global economy and to the concept of
TQM roughly since 1991, therefore soliciting the opinion of board members and chairmen
since 1991 was considered desirable. The data collection and data analysis of this survey is
dealt with in chapter 4.

3.4.2 Survey B - Assessment of cultural values of Indian Railway personnel

Survey A provided insight on work specific policies and practices about the Indian
Railways. However, it did not assess the impact of Indian culture on the organisational
values of the Indian Railway personnel. It is recalled from the literature review (section
2.2.6.1) that hierarchical relationship, tendency for personalised relationship and dependency
on the superior have been identified as some of the culture based organisational values which,
however, are reported to be changing in view of the liberalisation of Indian economy. It is
also recalled that hierarchical relationship is not conducive for TQM implementation, but
collective orientation is conducive for TQM. Thus, it was all the more important that one

110
looked for an instrument through which one could measure culture specific dimensions
among the Indian Railway personnel.
A perusal of the work on NT leadership by Sinha (1995) indicated that he has
developed a questionnaire which measures hierarchical tendencies among Indian managers.
The questionnaire is shown in Appendix 3. The hierarchical tendencies are measured through
the three constructs of status consciousness (S), personalised relationship (P) and
dependence proneness (D). These three constructs are defined below (Sinha 1995, p.99):
(i) Status consciousness It is a tendency to obey and respect seniors and superiors.
Anger and hostility against a superior are suppressed and displaced. The seniors are listened
to more deferentially. The tendency is to direct ones effort to appease the superior who in
turn must help, protect and guide the subordinates.
(ii) Dependence proneness Preference for hierarchy fosters dependence proneness.
It is a tendency to seek support, guidance and encouragement in situations where one is
apparently competent to make decisions.
(iii) Preference for personalised relationship It is a tendency where a subordinate
expects to be taken care of in a personal way, to solve his/her problem, tell him/her what to
do .
The questionnaire was administered to Indian Railway personnel to assess their
culture specific value of hierarchy.
The reliability and validity of the instrument is dealt with at the end of Appendix 3.
Sampling strategy: Indian Railways has about 8000 persons in the managerial
category. They are called officers. About 4000 of them are called class-1 officers or more
formally group A officers. They are directly recruited into the managerial cadre on the basis
of an all India examination. (In Indian organisational context, a cadre means a group of
professionals belonging to a particular category). The balance 4000 are class-2 officers or
more formally group B officers. They join the railways in the worker/ supervisor cadre as
class-3 ( or group C ) employees and then rise up to become class-2 officers. Almost 95%
of them retire at the first or second rung of the managerial cadre.
Since class-2 officers are generally less educated and are less exposed to position of
responsibility in their work, it was postulated that they should show higher hierarchical
tendencies than class-1 officers. On the same logic class-3 employees should show higher
hierarchical tendency than class-2 or class-1 officers.
The literature review has shown the deeply embedded hierarchical tendencies among
Indians. However, recent studies (Pearson & Chaterjee 2001) have also shown changes in

111
this value. It was thus postulated that younger employees should show lesser hierarchical
tendencies than older employees.

Based on the above reasoning, three hypotheses were framed for testing -
(i) Class-1 officers show lower hierarchical tendencies in comparison to class-2
officers.
(ii) Class-2 officers show lower hierarchical tendencies in comparison to class-3
employees.
(iii) Younger employees show lesser hierarchical tendencies than older employees.

To test these hypotheses, samples of railway employees were collected in the
following categories:

Class-1 Class-2 Class-3
Age less than 30 years Age less than 30 years Age less than 30 years
Age between 30 years
to 50 years
Age between 30 years to 50
years
Age between 30 years to 50
years
Age more than 50 years Age more than 50 years Age more than 50 years

The rationale behind this grouping was this: The process of liberalisation in India
started around 1991. Those who were less than 15 years old at that time were less than 30
years old in 2005. It was reasonable to postulate that this age group was exposed to a social
system which was in transition because of the opening of the Indian economy. Further, the
age group of more than 50 years is roughly one generation above the youngest group. Thus
these two group presented two contrasting categories for comparison.
The data collection and data analysis of this survey is dealt with in chapter 4.

3.5 Research design for stage 2

Stage 2 of the research sought answers to the following two research questions:

Research question no ii: What is the impact of ISO 9000 implementation in Indian Railways?

112
Research question no iii: To what extent has the implementation of ISO 9000 brought about
a TQM orientation in Indian Railways. This therefore involved development of a scale which
could objectively measure the transition of an ISO certified organization towards TQM.

3.5.1 Survey C Assessment of the impact of ISO 9000 in the Indian Railways

A review of literature showed that several surveys have been conducted by
researchers about the impact of ISO 9000: 1994 certification. One such survey was
conducted by Acharya and Roy (2000) on about 1200 ISO certified units in India. A slightly
modified form of that survey was administered to a short listed group of ISO certified units in
Indian Railways. This provided answer to the question what is the impact of ISO
implementation in Indian Railways. The questionnaire is shown in Appendix 4.
Reliability and validity: The thrust of this survey was to gather information from ISO
certified railway units. There was no construct which survey C tried to measure. So the
aspect of reliability and validity was not relevant here.

3.5.1.1 Sampling plan for survey C

Selection of railway units was a key decision in seeking an answer to the research
question no ii. Whether to go for qualitative research or quantitative research was also an
issue here.
Qualitative research usually works with a small sample. The small number of cases
are nested in their context and studied in depth unlike quantitative research where large
number of context stripped cases ( individuals) are used to provide statistical significance.
Thus, a small number of randomly selected sample can make the conclusions biased.
Qualitative samples also tend to be purposive. This is because the initial domain of
study is smaller than that in a quantitative study. Further, social processes have a logic and a
coherence which is lost in random sampling. Thus it was decided that the survey C would be
qualitative and purposive sampling would be carried out in this survey. However, the term
purposive sampling has been used with different meaning in connection with subjective
methods of sampling (Goon, Gupta & Dasgupta 1986, p.209). Thus a review of different
purposive sampling strategy was done.

113
Creswell (1998) identified 16 purposive sampling strategies in qualitative inquiry.
They are shown in Table 3.4. A detailed explanation of each of the sampling plan is given in
Miles and Huberman (1994, p. 28).

Type of sampling Purpose
Maximum variation Documents diverse variations and identifies important common
patterns
Homogeneous Focuses, reduces, simplifies, and facilitates group interviewing
Critical case Permits logical generalization and maximum application of
information to other cases
Theory based Find examples of a theoretical construct and thereby elaborate on
and examine it
Confirming and
disconfirming cases
Elaborate on initial analysis, seek exceptions and looking for
variation
Snowball or chain Identifies case of interest from people who know people who know
cases are information rich
Extreme or deviant
case
Learn from highly unusual manifestations of the phenomenon of
interest
Typical case Highlights what is normal or average
Intensity Information-rich cases that manifest the phenomenon intensely but
not extremely
Politically important
cases
Attracts desired attention or avoids attracting undesired attention
Random purposeful Adds credibility to sample when potential purposeful sample is too
large
Stratified purposeful
Illustrates subgroups and facilitates comparisons
Criterion All cases that meet some criterion, useful for quality assurance
Opportunistic Follow new leads; taking advantage of the unexpected
Combination or mixed Triangulation. Flexibility; meets multiple interests and needs
Convenience Saves time, money and effort, but at the expense of information
and credibility
Table 3. 4Typology of sampling strategies in qualitative inquiry
Source: Creswell (1998, p. 119).

114

Qualitative sampling can be a combination of within-case sampling and multiple-
case sampling.
Within case sampling helps us to see a local configuration in some depth. Within-
case sample is almost always nested, that is working from outside into the core of a setting.
The sampling must be theoretically driven either the theory is pre-specified or
emerges as the study progresses. The choice of informants, episodes and interactions are
being driven by a conceptual question, not by a concern for representativeness. To get to the
construct, one needs to see different instances of it, at different moments, in different places,
with different people. The prime concern is with the conditions under which the construct or
theory operates, not with the generalisation of the findings to other settings.
Within-case sampling has an iterative quality, working in progressive waves as the
study progresses.
Multiple-case sampling, on the other hand, adds confidence to findings. That is, it
adds to the precision, validity and stability of the findings. It follows a replication strategy. If
a finding holds in one setting and also in a comparable setting, but not in a contrasting setting,
the finding is more robust. It is to be noted that here, the generalisation from one case to
another is on the basis of a match to the underlying theory, not to a larger universe. The
choice of case is usually made on conceptual grounds and not on representative grounds. A
multiple case sampling has to be guided by the research questions and the conceptual
framework, either pre-specified or emergent.
With this background information on different sampling strategies, it was decided that
instead of doing a complete random sampling in the selection of railway units, let the insight
gained about TQM in literature review guide the sample selection process:

First criteria for selection of railway unit in the survey C: A list of ISO certified
railway units (corrected up to 15 Oct 2003) is shown at Appendix 9. There are 89 units which
are certified to ISO 9000 standard. The list shows that there are some units which are both
ISO 9000 and ISO 14000 certified. ISO 14000 has been taken up in Indian Railways after
ISO 9000 certification. Thus a unit gets more time to institutionalise improvements. Further,
ISO 14000 is more stringent in the sense that even if there is a single non conformance (NC),
ISO 14000 certification is not granted. ISO 14000 calls for very elaborate housekeeping and
the J apanese have shown through their adherence to 5S that improvement in housekeeping
is a significant step towards TQM (Pheng 2001). Thus it was reasonable to postulate that a

115
railway unit which was both ISO 9000 and ISO 14000 certified, should show more progress
towards TQM. Hence the survey C could provide better contrasting insight if the sampling
included some railway units which were only ISO 9000 certified and some railway units
which were both ISO 9000 and ISO 14000 certified units.
Second criteria for selection of railway unit in the survey C: There was yet
another way one could make a judicious sampling of railway units. This was based on the
organisational power delegated to the railway units and the assessment of the extent to which
this organisational power was able to do justice to different clauses of ISO 9000. This aspect
is explained now.
A simplified organisational structure of Indian Railway is shown in Appendix 7. It
can be seen from there that the Indian Railways organisational structure is functional at the
headquarters level and matrix at the divisional level. Thus all the divisional departmental
heads report to the Divisional Railway Managers (DRMs) in the field unit and to their Chief
level officer at the headquarters. All the functional departmental heads and the DRMs report
to the General Manager (GM). Other than the division, there are maintenance units and
warehousing units which are headed by Chief Workshop Manager and Deputy Chief
Materials Manager respectively. It can be seen from Appendix 7 that only the DRM and the
GM have officers of all departments under them.
With this background information, a perusal of the list of ISO certified units of Indian
Railways gave rise to following observations:
(i) In the railways, most of the ISO certified units were engineering based. That is, they
were locomotive or coach manufacturing units and maintenance shops. Considering that the
initial development of ISO system and its adoption was in engineering companies, it was
expected. Thus, though the Indian Railways is a service organization, very few service units
in it have gone for ISO certification.
Among the engineering units, the locomotive or coach manufacturing shops are
called production units. These production units are headed by a General Manager who
possesses both the formal and the informal power for effecting organization wide changes. In
a production unit, all the ten departments of railways function under the unified command of
a General Manager. Thus, the organisational set up of a production unit has the requisite
autonomy to take organization wide decisions.
The coach and wagon repair units are headed by Chief Workshop Managers (CWMs).
A CWM also has managers from all the departments except civil engineering, signal and
medical. However, in terms of delegation of power, he does not possess autonomy in the

116
areas of machine and material procurement, selection / promotion of managers and
investment decisions. The CWMs report to the Chief Mechanical Engineer who sits at the
headquarters and who in turn reports to the General Manager. The CWM is dependent on the
CME and GM for machine and material procurement, selection / promotion of managers and
investment decisions. For work in the areas of civil engineering and medical, the CWM is
supposed to liaise with the local DRM who like a General Manager has all the ten
departments under his administrative control.
A Deputy Chief Materials Manager (Dy. CMM) is responsible for material supply to
all the repair workshops and locomotive maintenance units. Like a CWM, he also has
managers from all departments except civil engineering, signal and medical. Like the CWM,
he does not possess autonomy in the areas of selection /promotion of managers and
investment decisions. However, being a materials manager, he has a limited amount of power
for material procurement. The bulk of the material procurement is done at the headquarters
level collectively by the stores department (headed by Controller Of Stores), accounts
department (headed by Financial Advisor & Chief Accounts Officer) and the user department.
The locomotive maintenance units are headed by Division Mechanical /Electrical
Engineers (DME/DEE). They report to the Divisional Railway Managers (DRMs) who is
their field level boss. Besides, they also report to their departmental boss (CME/ CEE) at the
headquarters. Thus a Divisional Electrical Engineer reports to the Chief Electrical Engineer
at the headquarters and to the DRM in the field as in a matrix structure. Under a Divisional
Mechanical/Electrical Engineer, only mechanical / electrical engineers work. The managers
from other support service like personnel, finance, materials do not work under him. He is
supposed to liaise with the divisional heads of these departments who work under the DRM.
Thus, the Divisional Mechanical /Electrical Engineer, like the CWM, is dependent on the
divisional heads under the DRM in the areas of civil engineering, security, medical,
promotion of supervisors, and financial decision making, and on the CME and GM for
machine and material procurement, selection / promotion of managers and large investment
decisions.
It should be clear from the above discussion that there can be unity of purpose only at
two levels - at the level of DRM and at the level of GM. Also, since they have all wings of
railways under them, DRMs and GMs expect inter-department coordination from their
subordinates. Other than these two levels, the line of decision making in a particular
department of Indian Railways is along the vertical hierarchy. This traditional functional
silos in Indian Railways is shown in Figure 3.3.

117

Coordinational vector

Functional vector

Work vector
Mech =mechanical
Elec=electrical
Fin=finance
Pers=personal
Stor=stores

Figure 3. 3Existing functional silos in Indian Railways
Source: developed for this work.

In Figure 3.3 different departments of Indian Railways have been shown along the
periphery of a horizontal circle. This model has borrowed the concept of vector from
Gyllenpalm quoted in Hersey, Blanchard and J ohnson (2002, p.437). The work force vector
(shown by black arrows) is a measure of the work which different departmental functionaries
do in Indian Railways. The work force vector has two components functional force vector
(shown by purple arrow) and coordinational force vector (shown by blue arrow). The
functional force vector is exerted by the functional superiors within a department. This
functional force vector is reinforced by the vertical collectivism (see Table 2.13) tendency of

GM/DRM

118
Indians which supports the hierarchy of a department and also develops a clannish feeling
among the departmental members. That is, the feeling of in-group is confined within the
department. The coordinational force vector is caused by the extent of coordination force
exerted by the General Manager (GM) or Divisional Railway Manager (DRM) the only two
levels where effective inter department coordination is practised in the Indian Railways. The
intensity of functional force vector depends on: (i) function specific knowledge of a superior
(ii) the interaction among the functional in-group. This interaction vector in turn depends on
(i) the prevalence of bureaucratic value in that functional unit (ii) prevalence of social values
between the superior and subordinate. These concepts are mathematically shown by the
researcher below:

W=F +C, where
W =Work force vector, F =Functional force vector, C =Coordinational force vector,
F=K+I , where
K=functional knowledge of the superior, I = Interaction among the functional in-group,
I =B+S, where
B=Bureaucratic values in the functional unit, S=Social value in the functional unit.

It has been mentioned here that effective coordination occurs only at the GM and
DRM level. However the list of ISO certified units at Appendix 9 shows that no ISO
certification has been taken at the divisional level or headquarter level. It has however been
taken at intra divisional levels like a diesel loco shed, an electric loco shed etc. ISO
certification has also been taken in railway workshops headed by CWMs, and by
warehousing units headed by Dy. CMMs. There are also a few cases where the ISO
certification has been taken only for part of a workshop.
This situation was analysed in the background of the continual improvement loop of
ISO 9000.
The ISO 9000:2000 standard has incorporated the continual improvement theme in a
process-based approach as shown in Figure 3.4.

119

Value-adding activities Information flow

Figure 3. 4Model of a process-based quality management system
Source: ISO 9001:2000 standard.

A juxtaposition of the clauses of ISO 9000:2000 in the areas of purchasing and
resource management against the power delegated to different unit heads has been shown in
Table 3.5.

Continual improvement of the quality management
system

Customers

Requirements

Customers

Satisfaction
Management
Responsibility
Resource
management
Product
realization
Measurement,
analysis and
improvement
Product

120

ISO clause
(taken from ISO 9000:2000 manual)
Units
headed by
GM
Units headed
by CWM/ Dy.
CMM
Units
headed by
DME/ DEE
6.3 Infrastructure
The organization shall determine, provide
and maintain the infrastructure needed to
achieve conformity to product
requirements. Infrastructure includes, as
applicable
a) building, workspace and associated
utilities,
b) process equipment (both hardware
and software), and
c) Supporting services (such as transport
or communication).
He/she has
the required
delegation of
power and
organization
to provide it.
He/she does not
have the
required
delegation of
power and the
organization to
provide it.
He/she does
not have the
required
delegation of
power and
the
organization
to provide it.
7.4 Purchasing
7.4.1 Purchasing processes
The organization shall evaluate and select
suppliers based on their ability to supply
product in accordance with organizations
requirements. Criteria for selection,
evaluation and re-evaluation shall be
established. Records of the results of
evaluations and any necessary actions
arising from the evaluation shall be
maintained. (see 4.2.4).
He/she has
the required
delegation of
power and
organization
to ensure its
compliance.
He/she does not
have the
required
delegation of
power and the
organization to
ensure its
compliance.
He /she does
not have the
required
delegation of
power and
the
organization
to ensure its
compliance.

Table 3. 5Analysis of different categories of railway units on clauses of ISO 9000:2000

From the above table, it was clear that except for production units, the heads of the
workshops, warehousing units and locomotive maintenance units were not organisationally
empowered to satisfy all the clauses of ISO 9000:2000.

121
Thus it was possible to propose a hypothesis at this point: Production units will
show better transition towards TQM concepts.
This insight was used for doing a theory based purposeful sampling of ISO certified
units within Indian Railways.
Therefore it was reasoned that if the production units were the most probable
candidates for a successful transition towards TQM, they should first be studied in detail and
conclusion drawn from them could then be tested further. Therefore, it was decided that the
questionnaire of survey C should be sent to all the six production units CLW, DLW,
DCW, RCF, ICF and WAP.
Third criteria for selection of railway unit in the survey C: It had been noted in
the literature review that the ISO 9000 certification could be used as the stepping stone for an
organizations journey towards TQM (Lee & Lam 1997; Hill, Hazlett & Meegan 2001;
Escanciano, Fernndez & Vzquez 2001). Further ISO 9000:2000 is specially designed for
developing a continuous improvement culture in an organization. The literature review had
also shown that the following factors are critical for taking an ISO 9000 certified
organization towards TQM:

(i) Transformational leadership
(ii) Executive mind set
(iii) Capacity and willingness to learn

Among these factors, it was learnt from the literature review that transformational
leadership favourably disposes an organization in developing the correct executive mindset
and the willingness to learn. Thus these two factors could be considered to be dependent on
transformational leadership. However the literature review did not bring about any
relationship between transformational leadership and the capacity to learn. Therefore in the
study of transition of ISO certified units towards TQM, one needed to address the intervening
influence of only two variables: (a) transformational leadership and (b) capacity to learn.
Here, in stage 2 of the research design, only the moderating impact of
transformational leadership was dealt with. The moderating impact of capacity to learn was
dealt with in stage 3 of the research. This was because researcher believed that capacity to
learn was closely linked with research question iv which was will this bottom up
methodology build learning capacity among the railway personnel?

122
Thus the third criteria to include railway units in survey C was: include some units
which have been headed by transformational leaders and some units which have been headed
by non-transformational leaders.
For assessing the transformational leadership, Bass Multifactor Leadership
Questionnaire -MLQ 5X was administered to the managers of different railway units.
The Multifactor Leadership Questionnaire (MLQ 5X) by Bass and Avolio (2000) is
the most widely used instrument for assessing transformational leadership ( Antonakis,
Avolio & Sivasubramaniam 2003; Block 2003). They are shown in Appendix 6. It has nine
constructs. The nine constructs and their operational definition are:
(i) Idealized Influence - Attributed-(II A) It is a sub component of charisma. Charisma is a
desire to identify with the leader. It measures the influence which a subordinate attributes to
the leader.
(ii) Idealized Influence - Behaviour- (IIB) - It is also a sub component of charisma. It
measures the influence which a subordinate draws from the behaviour of their leader.
(iii) Inspirational Motivation (IM) It provides followers with a clear sense of purpose that is
energizing; a role model for ethical conduct which builds identification with the leader and
his/her articulated vision.
(iv) Intellectual Stimulation (IS) It gets followers to question the tried and true ways of
solving problems; encourages them to question the methods they use to improve upon them.
(v) Individualized Consideration (IC) It focuses on understanding the needs of each
follower and works continuously to get them to develop to their full potential.
(vi) Contingent Reward(CR) It clarifies what is expected from followers and what they will
receive if they meet expected levels of performance.
(vii) Management-by-Exception Active (MBEA) Here the leader focuses on monitoring
task execution for any problems that might arise and correcting those problems to maintain
current performance levels.
(viii) Management-by-Exception Passive (MBEP) Here the leader tends to react only after
problems have become serious to take corrective action.
(ix) Laissez-Faire (LF) It shows a lack of leadership where, often, no decision will be made
at all.
Of the above nine constructs, the first five constructs are considered transformational
in nature, the next three are considered transactional in nature while the last one shows an
abdication of leadership responsibilities (Block 2003, p.321).

123
The questionnaire measures the above constructs on a scale of 0 (not at all) to 4
(frequently if not always). Table 3.6 shows the percentiles for individual scores on the five
constructs of transformational leadership and one construct of transactional leadership (CR).
It can be seen from the table that Bass and Avolio (2000, p.53) found that only 5% of the
leaders got scores of 3.7 and above on the five constructs of transformational leadership. It
shows that transformational leaders though sought after, are not easily found in organizations.

II(A) II(B) IM IS IC CR
N= 2,080 2,080 2,080 2,080 2,079 2,078
Percentile MLQ Scores
95 3.7 3.8 3.8 3.7 3.9 3.5
90 3.5 3.6 3.6 3.5 3.7 3.3
80 3.2 3.4 3.4 3.2 3.4 3.0
70 3.1 3.2 3.2 3.0 3.2 2.7
60 2.9 3.0 3.0 2.8 3.1 2.5
50 2.7 2.8 2.8 2.7 2.9 2.3
40 2.5 2.6 2.6 2.4 2.6 2.0
30 2.2 2.3 2.3 2.2 2.3 1.8
20 1.9 0.9 1.9 1.8 1.9 1.4
10 1.4 1.4 1.3 1.3 1.2 0.9
5 0.9 1.0 0.9 0.8 0.8 0.5

Table 3. 6Percentiles for individual scores, based on others ratings on MLQ
Source: Bass and Avolio (2000, p.53).

The three criteria which were used in selection of railway units for survey C are
summarised now:
(i) Include some ISO 9000 certified units and some ISO 9000 plus ISO 14000 certified units.
(ii) Include all production units of Indian Railways.
(iii) Include some railway units headed by transformational leaders and some headed by non-
transformational leaders.
The railway units selected for survey C, the data collection and data analysis are dealt
with in chapter 4.

124
3.5.2 Survey D - Development of scale to measure the transition of ISO
certified organisations towards TQM

For assessing the TQM orientation in ISO certified units, a questionnaire labelled
TQM transition questionnaire was developed. It is shown in Appendix 5. Its questionnaire
design has been separately taken up in section 3.6.

3.6 Questionnaire design and administration for survey D

The questionnaire design and administration process for survey D is schematically
shown in Figure 3.5.

Figure 3. 5 Plan for development of TQM transition questionnaire
Develop measurement
scale
General issues in drafting the
questionnaire
Question content and
wording
Sequence
Physical characteristics
Pre-test, revise and prepare final draft
Questionnaire administration
Reliability and validity of the
questionnaire
Develop and evaluate questionnaire

125

The different steps involved in the questionnaire design are now dealt with.

3.6.1 Development and evaluation of questionnaire

The objective behind developing the instrument was not to assess an organization on
a known model of TQM. The objective here was to develop an instrument which could
measure the progress of an unit towards the TQM philosophy. Section 2.2.5 of the literature
review had already shown that ISO by itself does not catapult an organization into TQM
orbit. However, it is definitely the first significant step.
The literature review had also identified factors which enable inculcation of a TQM
orientation in an organization. They have been indicated in sections 2.2.4, 2.2.5.3, 2.2.6 and
2.2.8 of this thesis. The factors are alphabetically reproduced below:
(i) Customer focus
(ii) Communication across organization/ information and data management
(iii) Continuous improvement
(iv) Delegation and empowerment
(v) Leadership
(vi) Process improvement
(vii) Result and recognition
(viii) Strategy
(ix) Supplier focus
(x) Team working
(xi) Values and ethics
(xii) Work culture / congenial inter personal relationship / worker manager interaction

The ISO 9000 version 2000 published in December 2000 is based on eight principles
(www.iso.org ):
Principle 1: Customer focus
Principle 2: Leadership
Principle 3: Involvement of People
Principle 4: Process Approach
Principle 5: System Approach to Management
Principle 6: Continuous Improvement

126
Principle 7: Factual Approach to Decision Making
Principle 8: Mutually Beneficial Supplier Relationships

Based on this understanding, a questionnaire was developed. It is shown in Appendix
5. The factors which each of the questions attempted to test are also indicated there.
The operationalisation of the 12 factors which the questionnaire attempts to measure are
given in Table 3.7.

Sr.no Factor Operational definition Based on the
work of
1 Customer
Focus
Quality should be customer driven.Employee
should be well aware of the concept of internal and
external customers. They should care about
meeting and exceeding the customer expectations.
There must be a focus on customer feedback and
accordingly the process should be driven.

Deming;
Wali,
Deshmukh
and Gupta
(2003); ISO
9000:2000
standard;
2 Communication
across the
organisation
Information
and Data
maangement
Information is the critical enabler of TQM. The
facts and information should be made available to
all. Effective communication channel must exist in
the organisation between various work unit. With
the help of information technology, comunication
can be made effective. Effective comunication is
vital in aligning the workforce towards corporate
expectations. This factor emphasises that the key
processes are regulary measured and quantified.
There should be focus on benchmarking which
provides a stimilus for improvement.
Deming;
Ishikawa;
Wali,
Deshmukh
and Gupta
(2003); ISO
9000:2000
standard;

Table 3.7(contd)

127
Table 3.7(contd)
Sr.no Factor Operational definition Based on the
work of
3 Continuous
improvement
Employees must identify opportunities for
continuous improvement. They must be trained
to identify opportinities for improvement.
There must be top management comitment to
monitor the implementation of improvements
suggested.
Deming; ISO
9000:2000
standard;
4 Delegation and
empowerment
In TQM setting, both delegation and
empowerment are required. People must share
responsibility for the success or failure of their
work.
Deming; Wali,
Deshmukh and
Gupta (2003)
5 Leadership Successful quality performance requires that
the leadership is dedicated to quality. It must
also provide initiative and resource support. It
must enable creativity to be nurtured and
accordingly chalk out the strategy.
Deming; Crosby;
Wali, Deshmukh
and Gupta(2003);
ISO 9000:2000
standard
6 Process
improvement
If employee involvement is key to the
attainment of customer satisfaction, managing
the process is key to engaging an organisations
employees to take responsibilites for what they
are doing in relation to satisfying the
customers.
Deming; Wali,
Deshmukh and
Gupta (2003);
ISO 9000:2000
standard
7 Results and
Recognition
The organisation should reward their
employee for their contribution to quality.
There should be quick recognition system for
outstanding performance by the employees.
These rewards may not be purely financial.
Deming; J uran;
Wali, Deshmukh
and Gupta (2003)

Table 3.7 (contd)

128

Table 3.7 (contd)

Table 3. 7 Operationalisation of different factors of TQM transition questionnaire

Sr.no Factor Operational definition Based on the work
of
8 Supplier focus Organisation should buy on statistical evidence,
not price. Long term relationship with suppliers
should be encouraged.

Deming; ISO
9000:2000 standard
9 Team Work Departmental barriers should be broken down.
The organisation should encourage problem
solving through team work. Employees must
demonstrate cooperative behaviour and
positive attitude towards working in a team.

Deming; Wali,
Deshmukh and
Gupta (2003); ISO
9000:2000 standard
10 Value and
ethics
It is improtant for the people in an
organisation to live upto the highest ethical
standards. There should be perception of fair
treatment to all. The organisation must be
guided by the value and ethical standards
Deming; Wali,
Deshmukh and
Gupta (2003)
11 Work culture Employees should not be afraid of making
mistake. They must feel pride in their
workmanship. Organisation should practice
a policy of cooperative planning involving
every one.
Deming; Wali,
Deshmukh and
Gupta
(2003);Hoshin
planning;
12 Strategy Organisation should demonstrate
managements permanent commitment to
quality and productivity.
Deming; Ishikawa;
Wali, Deshmukh
and Gupta (2003);
ISO 9000:2000
standard

129

3.6.2 Development of measurement scale

Each of the above factors was measured by three items. The existence of a multiple
item measurement scale made the observed scores more reliable. A ten point Likert scale was
used for the instrument. This is because though Likert scale is an ordinal scale, by going for a
ten-point scale, it is possible to use it as interval scale when a number of responses for a
particular construct are averaged. Also to eliminate the between sample variation (Statistica
for Windows 2001) among respondents, the items were framed to be answered on before
and after format. A copy of the questionnaire titled TQM transition questionnaire is
available at Table A5.1. The difference in the score today and 1 year before ISO
certification was taken as a measure of the emergence of the corresponding underlying item.
The difference in scores for a particular factor was the average of the difference score for
its three corresponding items.

3.6.3 General issues in drafting the questionnaire

The general issues involved in drafting the questionnaire were question content,
response format, sequence and physical characteristics. With respect to the question content
and wording, the questions are simple to understand and not vague or double barrelled.
Further, railway specific wording are used so that the respondents can understand the correct
nuance of the meaning. For example, the delegation of power in the Indian Railways is
formally done through a document called Schedule of Power (SOP). Thus during the
exploratory research stage, the wording of question seven was modified. The instrument
contains some questions on Pareto analysis and corrective and preventive actions which are
indicative of the emergence of a basic quality awareness and use of simple statistical tools.
Questions like quality and not price is the basis for supplier selection, team working
indicate assimilation of additional TQM factors. Cultural factors are most difficult to change.
They are indicative of still higher level of assimilation of TQM concept. They have been
represented through People in the work unit take pride in their work and Making a mistake
is not feared. It is recognised as a part of learning.

130

3.6.4 Pre-test, revision and final draft

Pre-testing helps to uncover biased or ambiguous questions before they are
administered at large (Sekaran 2000, Zikmund 2000). For the pre-test, the questionnaire was
personally administered. The response for each item was examined. Such items which did not
discriminate between respondents were discarded. An important step taken in the pre-test
stage was to send the initial draft to the head of quality department of the Deming Prize
winners in India and incorporate the changes suggested by them.

3.6.5 Reliability and validity of the instrument

Reliability A measurement is reliable when it offers similar result over time and across the
various items in the instrument. The reliability of the questionnaire was measured by split
half reliability. It was .70. The Guttman split half reliability was .67. The use of Guttman
split half reliability is that it does not presume equal reliabilities or equal variances of the two
halves (Statistica for Windows 2001, p. 3131).
This being an exploratory study, this level of reliability was considered acceptable.

Validity: It concerns the instruments adequacy for the measurement of the concept or idea
that it measures. That is, the degree to which the elements of the instrument fully cover the
phenomenon that is measured. The following validity types were tested:
Content validity: It measures the extent to which the instrument actually covers the area
under study. It can only be checked subjectively, by its approval from experts on the subject.
Extensive literature review can also assure content validity. In this questionnaire, the content
validity was established by linking the questionnaire with the literature, pre-testing of
questionnaire and sending a copy of the questionnaire to academicians who have worked in
the area of TQM in India. Their suggestions were incorporated. In the operational definition
of the factors (Table 3.7), the literature references are mentioned which also helped establish
the content validity of this questionnaire.
Construct validity: It is established when a measured construct is significantly related to
another construct with which it should be theoretically related. It is assessed through
convergent validity and discriminant validity. Ideally, convergent validity is established

131
through factor analysis. However, for a reliable factor analysis, for each item in the
questionnaire, there should be about ten responses (Statistica for Window 2001). Since there
are 36 items in this questionnaire, it required 360 respondents. Thus factor analysis was not
possible because of the small sample size. Therefore criterion validity was used to assess the
validity of the instrument.
Criterion validity: Criterion validity is established if the results are in agreement with another
measure of the same construct. The criterion validity was established by administering the
questionnaire to three Deming Prize-winner organizations in India. It was found that on all
the questions in the final draft of the questionnaire, a high total score was obtained by the
Deming Prize winners. This was indicative of the criterion validity of the instrument. This,
therefore, showed that the instrument could be used to measure the transition of an
organization towards a TQM organization. To check its discriminant validity, it was
administered to five ISO certified units in Indian Railways. It was found that different units
scored differently on the test. Units which scored high on the instrument were ancedotically
rated as successful implementation of ISO and units which rated low were ancedotically
considered not successful cases of ISO implementation. Thus this instrument was able to
discriminate between successful and unsuccessful cases of ISO implementation. The scores
obtained by the three Deming Prize winners and the five ISO certified railway units on the
TQM transition questionnaire is shown in Table A5.2 in Appendix 5. A summary of the
scores for each of the 12 factors is shown in the Table 3.8.

132

Note: info information, mgt - management
Table 3. 8 Summary of scores obtained on the TQM transition questionnaire by DP
winners in India and different ISO certified units of Indian Railways
Source: developed from survey data.

The above discussion showed that the questionnaire could be treated as a valid
instrument to assess an organizations transition towards TQM after ISO certification.
Argyris (1999, p.452) has said that reliability and validity scores are best obtained
with observers who manifest a relatively high level of competence in the variables being
studied. Further the more the subjects are involved in planning and designing the research,
the more we learn about the best ways to ask questions, the kind of resistance each research
method would generate and the best way to gain genuine and long term interest in the
research (Argyris 1999, p. 451). Thus during the development and validity testing phase, the
instruments were administered to the head of TQM division of the Deming Prize winner
organisations and in Indian Railways, it was administered to the head of an organization or
the divisional heads within an organization.

Deming Prize winners in
India
ISO certified railway units in India
TQM factor
Sona
Steering M&M
Rane
Brake DLW AMV PRL BPL DCW
Customer
Focus 3.00 6.00 3.00 3.13 2.33 1.00 3.00 .66
Comm, info&
data mgt 3.33 4.67 3.33 2.93 2.17 0.33 1.50 .33
Delegation &
empowerment 2.33 3.00 4.00 0.93 0.17 2.00 0.00 .66
Continuous
improvement 2.67 4.33 3.00 3.47 2.33 4.33 3.33 3
Results and
recognition 2.00 2.67 2.33 1.40 0.17 1.33 0.83 0
Leadership 4.00 3.33 3.33 2.20 0.50 1.00 1.83 .33
Process
improvement 3.33 4.00 3.00 3.20 1.33 0.66 1.67 1.66
Supplier
focus 2.33 2.00 3.00 2.27 0.33 0.00 0.67 .66
Team work 2.33 1.67 4.00 1.73 1.00 0.00 0.17 .66
Value &
ethics 2.33 1.67 2.66 1.40 0.50 0.00 0.33 .33
Work culture 2.67 0.67 3.33 1.60 1.00 1.66 0.00 .66
Strategy 3.67 3.00 3.66 1.27 1.33 0.66 0.00 1.33
Total 34.00 37.00 37.66 25.33 13.17 13 13.33 10.33

133

3.6.6 Survey method

The same persons who took survey C were requested to take survey D also. The instrument
was mailed by post or electronically to the management representatives and the unit heads of
ISO certified units of Indian Railways.

3.7 Research design for stage 3

After obtaining the insight which the research in stage 1 and stage 2 provided, stage 3
sought answers to the research question no. iv and research question no. v developed in
section 3.1. The research questions were:
Research question iv: Will a bottom up methodology build learning capacity among
Research question v: How can the enablers of TQM be integrated in a model for
attaining TQM within the ISO framework?
It was recalled that in section 3.5.1.1 (p. 121), capacity to learn was found to be an
intervening variable which affected the assimilation of TQM concepts in an organization.

3.7.1 Development of research design for stage 3

In the Indian Railways, ISO 9000 implementation is perhaps the only organization
wide formal change initiative which has been taken up on a sustained basis. Literature review
had shown that ISO 9000:2000 quality system has many similarities with TQM. It had also
been mentioned in the literature review that one of the weaknesses of TQM implementation
had been the prescriptive style which therefore ignored the tacit factors (J oseph et al. 1999).
A summary of the impact of ISO implementation in different units of Indian Railways is
shown in Appendix 9. It shows that almost all implementations had been consultant guided.
There have been only few instances of involvement of employees in the planning and
implementation process.

134
In contrast, in the literature review, it was noted that in the J apanese culture, top
management planning (hoshin) is more than a planning system. It is an organization
development process throughout the company. It is recalled that the Deming Prize also looks
upon the journey to the final award as a developmental process (see section 2.2.3.3). Hoshin
promotes consensus building and shared decisions, commitment and loyalty. The effective
top down and bottom up communication encourages all employees to act collectively in
achieving shared organisational objectives (Khoo & Tan 2003). J apanese Shintoism and
Buddhism advocate respect for everyone. The literature review had shown the similarities
between the Indian culture and the J apanese culture (section 2.2.6.6). Thus there was enough
theoretical underpinning to believe that a bottom up approach of ISO implementation might
be better for developing learning capacities so as to internalise the TQM values of customer
satisfaction and continuous improvement.
Since the focus here was the progressive assimilation of core values of TQM, one
needed to select a research methodology which facilitated both organisational learning by a
group and also academic learning for the purpose of research.
Action research (AR) methodology was one research methodology which was
suitable to do this. The action research project which was used is discussed in chapter 5.

3.8 Ethical considerations

Stage 1 and stage 2 of this research involved surveys. All respondents to the surveys
were assured that their identities would remain confidential. They were also informed that
their participation was voluntary and that they were free to withdraw from the survey if they
so desired at any time. They were also briefed about the purpose of the survey and why they
were requested to participate in the survey. Thus the respondents were free from any stress
on account of their participation in the survey.
Stage 3 of this research involves action research methodology. For this also, a team of
co-action - researchers was made at the J hansi warehousing unit of Indian Railways. They
were made the co-researchers with their consent and with the consent of the head of the
warehousing unit.
The questionnaires and the formation of action research team were also cleared by the
ethical committee of Southern Cross University vide their letter ECN-04-95.

135

3.9 Conclusion

This chapter dealt with the research methodology which was used to seek answers to
the research questions framed at the beginning of the chapter. J ustifications for different
research methods, the sampling techniques and the ethical consideration associated with the
research methods have been explained. The next chapter discusses data collection and data
analysis for different surveys.

136
Chapter 4 Data collection and data analysis

This chapter deals with the data collection methods and the analysis of different
surveys.
4.1 Data collection and data analysis for survey A

Survey A was concerned with assessing the organisational practices and policies of
Indian Railways. A copy of the survey instrument is shown at Appendix 2. Through the
open-ended question I, this survey attempted to understand what new policies/practices the
organization should adopt in the new scenario of liberalisation and globalisation. Question II
to question VI of the survey seeked respondents opinion on what is and what should be
the Indian Railways core values, style of management, growth strategies, competitive
strategies and changes in organisational structure / management system. Part a of these
questions sought the what is status and part b of these questions sought the should be
status.
The questionnaire was sent by post. Before sending the questionnaire, the respondents
were spoken to in person or telephonically and the purpose of the survey was explained to
them. After sending the questionnaire, all the possible respondents were also reminded
telephonically. Out of 25 questionnaires sent, 20 responses were received which made the
response rate very high. The high response rate was possibly because the researcher and the
respondents were both railwaymen. Thus the respondents were able to relate to the research
work done. However not all the respondents answered all the questions. Therefore, in
Appendix 2A, against each question, the number of respondents is indicated. The profile of
the respondents is shown in Table 4.1.

Table 4. 1Respondent profile for survey A
Organisational rank Number of
respondents
Years of service in Indian
Railways
Ex- chairmen and ex-board
members of Indian Railways
13 More than 35 years
Senior administrative grade
and up to General Manager
7 From 27 years to 35 years

137
The questions and their responses are now analysed:
Question I- What new policies /practices you want the organization to adopt in the
new scenario of liberalisation and increased competition?
17 respondents had answered this question. A total of 89 different types of policies
/practices were identified by them. They have been termed responses in this data analysis.
These responses were coded using Miles and Huberman (1994) concept of data coding.
Depending on their conceptual similarity, these 89 responses were first reduced to 28 level -1
codes. At a second level, using networks of codes, they were further reduced to 13 level-2
codes. It was recalled that these responses were respondents opinion about the policies and
practices which they felt Indian Railways should adopt in the liberalised scenario. It was then
compared with the factors of TQM which were summarised in Table 3.7. It was found that 10
of the codes matched with TQM factors either partly or fully. These are shown in Table 4.2.

Level 1 coding No. of
responses (%
of respondents
who
mentioned the
code)
Level 2
coding
No. of
responses (%
of respondents
who
mentioned the
code)
Corresponding
factor of the
TQM model
shown in
Table 3.7
Multi modal transport 3 (17.6%)
Customer orientation 4 (23.5%)
Customer
oriented
transportation
7 (41.1%) Customer
Focus
Faster decision
making
2 (11.7%)
More flexible rules 5 (29.4%)
Freedom to engage
manpower at short
notice
2 (11.7%)
Empowerment 9 (52.9%) Delegation
and
Empowerment
Profit orientation 6 (35.3%)
Cost cutting 1 (5.9%)
Better accounting
system
3 (17.6%)
Rational pricing 4 (23.5%)
Commercial
orientation
14 (82.35%) none
Table 4.2 (contd)

138

Table 4.2 (contd)
responses
(% of
respondents
who
mentioned
the code)
Level 2
coding
No. of
responses (%
of respondents
who
mentioned the
code)
Corresponding
factor of the
TQM model
shown in
Table 3.7
Innovation 3 (17.6%)
Remove fear of failure 3 (17.6%)
Work culture 6 (35.3%0 Work culture
Less role of finance
department
2 (11.7%)
Less departments in
railways
7 (41.1%)
Team work 1 (5.9%)
Team work 10 (58.8%) Team Working
Competitive advantage 2 (11.7%)
Outsource, get out of
non core area
4 (23.5%)
Focussed
working
6 (35.3%) None
Level playing field with
road sector and
compensation for social
responsibility of
railways
5 (29.4%) Strategic
governmental
support
5 (29.4%) None
Transparency 3 (17.6%) Ethical
working
3 (17.6%) Values and
ethics
Executive development 3 (17.6%)
Staff training 4 (23.5%)
Training 7 (41.1%) Training
BPR 1 (5.9%)
TQM 1 (5.9%)
Technological
upgradation
5 (29.4%)
Process
improvement
7 (41.1%) Process
improvement

Table 4.2 (contd)

139

Table 4.2 (contd)

responses
(% of
respondents
who
mentioned
the code)
responses (%
of respondents
who
mentioned the
code)
Corresponding
factor of the
TQM model
shown in
Table 3.7
More tenure for
higher level posts
2 (11.7%)
Merit based
promotion
3 (17.6%)
Better salary 1 (5.9%)
Recognition 6 (35.3%) Result and
recognition
Better discipline 2 (11.7%) People
management
2 (22.5%) Congenial
inter-personal
relations
High level of
professional work
7 (41.1%) Managements
commitment to
quality and
productivity
7 (41.1%) Strategy
Total number of
response
89

Table 4. 2Comparison of codes developed in survey A with the CSFs of TQM

The three level2 codes which did not match with TQM factors are commercial
orientation, focussed working and strategic government support. Together, these three codes
accounted for 25 responses out of 89 responses received. The balance 64 responses (72%)
were such that they were related to TQM based practices.
In terms of frequency, 82% of the respondents felt that developing an commercial
orientation should be a desirable policy to be adopted by Indian Railways. The
preponderance of developing a commercial orientation as the desirable change in the policy

140
of Indian Railways indicates that the importance of what TQM award models call business
result was also realised by the senior railway managers in India. 58.8% of the respondents
felt that team working should be a desirable policy to be adopted by Indian Railways. 52.9%
of the respondents felt that empowerment should be a desirable policy to be adopted by
Indian Railways. 41.1% of respondents felt that customer focus, training, process
improvement and strategy should be among the desirable policies to be adopted by Indian
Railways
Thus, it can be said that the model which senior railway managers have in their mind
about way things should change in Indian Railways is conceptually similar to the TQM
model.
The analyses of the responses to other questions of this survey (survey A) were then
used to support or disapprove this emerging understanding. Question II to question VI
attempted to understand what are and what should be the organisational values, management
style, growth strategy, competitive strategy and organization structure for the Indian
Railways. These questions contained pre-coded options while question I contained an open
ended question. This was done so that comparison made across these different question types
could make the conclusions more rigorous.
The details of the responses received to these questions are shown in Appendix 2A.
From these responses, for the five dimensions of organisational values, management style,
growth strategy, competitive strategy and organization structure, two most often quoted
responses have been shown in the Table 4.3. These responses have again been compared with
the TQM factors shown in Table 3.7.
The table shows that the existing core values of Indian Railways are to be a fair and
just employer and making a useful contribution to society. As against this, total quality in
every operation and customer focus are the two values which Indian Railways should have.
These two values are the very core of TQM.
The management style of Indian Railways is cautious, with clear formal reporting
relationship and a clear distinction between those who give orders and those who implement
them. In the opinion of the researcher, these indicate a bureaucratic and hierarchical style
which, given the bureaucratic and cultural background of Indian Railways employees, are not
surprising. However, the senior managers of Indian Railways strongly want a bold but
calculating risk taking management style characterised with flexibility, informality and
resourcefulness, a management style which is professional and system oriented. This is the

141
same as an innovative organisational culture discussed in section 2.2.1.2 of literature review
which finally leads to continuous improvement which is again a TQM based concept.
The existing growth strategies of Indian Railways are related and unrelated capacity
building and geographical expansion of railway network. As against this, the desirable
growth strategies are empowerment and rapid expansion of customer base by weaning
customer back. Empowerment has already been identified as one of the critical success
factors for TQM.
Indian Railways existing competitive strategies have been to compete on the basis of
price and by offering service to specific market segments. There is almost total unanimity
that the desirable competitive strategies should be to compete on the basis of quality and by
offering novel or unique services. Once again quality strategy and innovative culture are the
desirable directions of change.
With respect to organisational structure and management system, Indian Railways is
trying for greater delegation of authority and a sophisticated management and control
system. The senior managers felt that greater delegation of authority and a leaner
organization should be the desirable changes. Greater delegation of authority is same as
empowerment- a TQM enabler.
This analysis showed that TQM itself and many core concepts of TQM like
continuous improvement, empowerment, customer focus, quality based organisational
strategy, systems approach have been identified by the respondents as the desirable changes
which Indian Railways should initiate.

142
Table 4. 3 Existing and proposed organisational dimensions for Indian Railways by senior
railway managers
Dimensions Existing Proposed Corresponding TQM
factor
Being a fair and just employer (70%)
welfare state (researchers interpretation)
Total quality in every operation
(80%)
TQM itself ii. Core values
Making a useful contribution to society
(41%) welfare state (researchers
interpretation)
Customer orientation (45%) Customer focus
Cautious, stick to knitting management that
greatly values stability, good profit and
steady growth (77%) - bureaucratic style
(researchers interpretation)
Bold but calculating risk
taking, a lot of
entrepreneurship, commitment
to fast growth (80%)
Innovative
organisational culture
(akin to continuous
improvement)
Management greatly emphasises clear
formal reporting relationships, roles,
procedures and accountability (77%) -
bureaucratic style (researchers
interpretation)
Strong emphasis on flexibility,
adaptability, informality and
resourcefulness (73.7%)
Innovative
(akin to continuous
improvement)
iii. Management
style
Strongly discipline oriented management,
clearly separates those who give orders
from those who must obey them (72%)
hierarchical system (researchers
interpretation)
Highly professional, system
oriented management (73.7%)
Systems approach
Related capacity building (53%)
Unrelated capacity building ((31%)
Geographical or locational expansion of
railway network (31%)

Empowerment (empowering
front line managers to tap and
capture new markets by
offering locally relevant,
potentially star services with
locally fixed tariffs) (73.7%)
Empowerment iv.
Organizations
growth strategy
Rapid expansion of present customer base
by weaning customers back to railways
(31%)
Rapid expansion of present
customer base by weaning
customers back to railways
(73.7%)
Customer focus
Compete on the basis of high
quality of service (100%)
Quality strategy v. Organizations
competitive
strategy
Compete on the basis of price (81%)
Compete by developing and offering
services to cater to the needs of specific
market segments (62%)
Compete on the basis of
innovative and offering novel
or unique new services (95%)
Innovative
(akin to continuous
improvement)
Contract out various functions
and activities to make the
organization much leaner
(80%)
None vi. Organization
structure and
management
system
Greater delegation of authority at operating
levels (70%)
More sophisticated information and control
system (63%)
Greater delegation of authority
at operating levels (70%)
Empowerment

143
It was thus noted that the open ended question I and the pre-coded question II to
question VI threw up similar approaches of change for Indian Railways. Further, these
approaches were conceptually similar to different factors of TQM which the literature review
had identified. Literature review had shown that TQM could be used as a model for
organisational transformation. This survey showed that the managers of Indian Railways also
suggested a model of change which was conceptually similar to TQM.

It is to be noted that the open-ended question was the first to be answered by the
respondents and then they answered the pre-coded questions. This eliminated the possibility
that the options in the pre-coded questions might have biased the respondents towards giving
TQM oriented responses.

4.2 Data collection and data analysis for survey B

4.2.1 Data collection

If TQM is the proposed model of change for Indian Railways, to what is extent there
congruence between TQM oriented organisational culture and the cultural values of Indian
Railway personnel? Section 2.2.6.6 had shown that there is no study in this area. Since
hierarchy was found to be having strong negative influence on TQM implementation (Tan &
Khoo 2002, Tata & Prasad 1998), survey B attempted to assess this among the employees of
the Indian Railways.
The instrument for survey (S004 available in Appendix 3) was personally
administered by the researcher during visits to different units of the Indian Railways.
Personally administering the instrument had the advantage of explaining the rationale of the
survey and clarifying any doubt by the respondents before they could start filling the
questionnaire. This also took care that there were no missing responses in the filled
questionnaire. This helped at the time of data analysis.
A total of 311 responses were collected from the survey. The distribution of the
respondents is shown in Table 4.4.

144
Category of employee:
class 1 officers

class 2 officers

class 3 supervisors

No of respondents 144 No of respondents 61 No of respondents 106
respondents age
less than 30 years
44 respondents age less
than 30 years
nil respondents less than
30 years
8
respondents age
between 30 years to
50 years
89 respondents age
between 30 years to 50
years
27 respondents between
30 years to 50 years
77
respondents age
more than 50 years
11 respondents More than
50 years
34 respondents more than
50 years
21
Table 4. 4Number of respondents in different categories for survey B
Source: developed from field data.

In Indian Railways, for the field postings, there is no direct recruitment at the class 2
level. The class 3 supervisors after putting in certain years of service take a departmental
promotion examination. Those who qualify through this are promoted to the level of class 2.
Thus most of the class 2 officers are more than 30 years old. Hence during the survey, no
class 2 officer less than 30 years of age could be accessed. In the category of class 1 officers
less than 30 years of age, all were trainee officers, that is, they had not yet joined a working
post. Since the training period for them is two years, they had not put in more than two years
of service in the Indian Railways. Thus it could be said that their values were not influenced
by railway specific experiences and it was more a reflection of their experiences in the Indian
society.
4.2.2 Data Analysis

For the data analysis, the scores obtained on the dimensions of status consciousness,
tendency for personalised relationship and dependency proneness were symbolised by S,
P and D scores respectively. The class 1, class 2 and class3 employees were symbolised by
the suffix 1, 2 or 3 respectively after S, P or D. Thus D3 means dependency proneness
score for class 3 employees of Indian Railways. The scores were further divided age group
wise as shown in the Table 4.5 which is self-illustrative.

145
Dimensions of hierarchy Status
consciousness
Personalised
relationship
Dependency
proneness
category of employee: class 1 officers
S1_<30yr P1_<30yr D1_<30yr respondents age less than 30 years (n=
44) score 2.4818 2.9113 2.4522
S1_31-50 P1_31-50 D1_31-50 respondents age between 30 years to
50 years (n=89)
score
2.4292 3.0224 2.6112
S1_>50 P1_>50 D1_>50 respondents age more than 50 years
(n=11)
score
2.3454 2.8909 2.4454
average score for class 1 officers
(n=144)
S1=2.43 P1 =2.98 D1 =2.55
category of employee: class 2 officers
S2_<30yr P2_<30yr D2_<30yr respondents age less than 30 years
(n=0)
score
n.a. n.a. n.a.
S2_31-50 P2_31-50 D2_31-50 respondents age between 30 years to 50
years (n=27)
score
2.0296 2.7703 2.1259
(n=34)
score
2.2147 3.0323 2.2323
average score for class 2 officers
(n=61)
S2=2.13 P2=2.92 D2=2.18
category of employee: class 3 supervisors
S3_<30yr P3_<30yr D3_<30yr respondents age less than 30 years
(n=8)

score
1.6750 2.6500 1.7625
S3_31-50 P3_31-50 D3_31-50 respondents age between 30 years to 50
years (n=77)
score
1.7909 3.0103 1.7441
(n=21)
score
1.8333 3.1428 1.7666
average scores for class 3 supervisors
(n=106)
S3=1.79 P3=3.01 D3=1.75
average scores for the class1, class2 &
class3 combined (n=144+61+106 =311)
S=2.1578 P=2.9768 D= 2.2057

n.a.=not available
Note: quite true-1 true-2 undecided3 false-4 quite false-5
Table 4. 5 Scores obtained on the three dimensions of status consciousness (S),
personalised relationship (P) and dependency proneness (D) by
different categories of employees of Indian Railways

146

In Table 4.5, the lower the scores, the higher the measured tendency of status
consciousness (S), personalised relationship (P) and dependency proneness (D) .The
Statistical package Statistica was used to analyse the data. Wherever ANOVA was used, the
following assumptions of ANOVA were verified to be true before conclusions were made
based on ANOVA:
(i) Homogeneity of variance
(ii) Lack of correlation between the mean and variance.
Since for all ANOVA based analysis, the sample sizes were more than thirty and also
because the violation of normality assumption does not affect the robustness of F test
(Statistica 1998, p. 1710), the test of normality was not specifically done.
The analysis began by verifying whether there was any difference between the S
score, P score and D scores given below. The lower the score, the higher was the tendency of
status consciousness (S), personalised relationship (P) and dependency proneness (D).

Symbol Mean value Valid N
S 2.1578 311
P 2.9768 311
D 2.2057 311
All Groups 2.4468

The details of the analysis done are shown in step 1 at Appendix 3A.
The analysis showed that in the Indian Railway staff, among the three components of
hierarchy, the dimension of tendency for a personalised relationship was significantly
weaker than those of dependency on superior and status consciousness. Further, there was
no significant difference on the scores obtained on the dimensions of status consciousness
and dependency on the superior.
Then it was assessed whether there was any difference among class 1, class 2 and
class 3 staff of the Indian Railway on the three dimensions. The details of the analysis are
available in step 2 at Appendix 3A.
The analysis showed that the status consciousness with respect to the superior and
dependency on the superior increased from class1 to class 2 and from class 2 to class 3
employees. However, there was no difference in their tendency for personalised
relationship with their superior which in any case was significantly weaker than that of

147
status consciousness with respect to the superior and dependency on the superior as seen
from the analysis done in step 1 of Appendix 3A.
The analysis further showed that within a category of employee (class 1, class 2, class
3) there was no significant difference in their scores on the two dimensions of status
consciousness and dependency on the superior from younger (less than 30 years of age) to
older (more than 50 years of age) employees. The details of the analysis are shown in step 3
at Appendix 3A.
On the dimension of tendency for personalised relationship, the analysis carried out
in step 4 at Appendix 3A showed that there was no difference in P scores across different age
groups and across different classes of employees. That is, the tendency for personalised
relationship is consistently weak across different age and class groups in the Indian
Railways.
The hypotheses made in section 3.4.2 are now reproduced for convenience:
(i) Class 1 officers show lower hierarchical tendencies in comparison to class 2 officers.
(ii) Class 2 officers show lower hierarchical tendencies in comparison to class 3 employees.
(iii) Younger employees show lesser hierarchical tendencies than older employees.
In terms of hypothesis testing, hypothesis i and hypothesis ii were accepted on two
dimensions of hierarchy status consciousness and dependency proneness. But
hypothesis i and hypothesis ii were not accepted on the third dimension of hierarchy -
personalised relationship.
Hypothesis iii was not accepted on the two dimensions of status consciousness and
dependency proneness. That is, in the Indian Railways, the younger employees are as
hierarchical in nature as their superiors who joined service roughly 25 years ago.

148
4.3 Data collection and data analysis for survey C

Based on the three criteria for selection of units for survey C mentioned in section
3.5.1.1, the railway units short-listed for this survey and the criteria they satisfied are shown
in Table 4.6.

Railway unit
ISO
14000
certified
Unit headed by
a transform-
ational leader
Requisite
delegation of
authority to the
head of unit
Parel workshop (PRL) No No No
Diesel Components Works (DCW) No No Yes
Alambagh warehousing unit (AMV) No Yes No
Diesel Locomotive Works (DLW) Yes No Yes
Chittaranjan Locomotive Works (CLW) Yes No Yes
Bhopal workshop (BPL) Yes Yes No
Wheel and Axle Plant (WAP) Yes No Yes
Rail Coach Factory (RCF) Yes No Yes
Integrated Coach Factory (ICF) Yes No Yes

Table 4. 6List of short-listed railway units for survey C
Source: developed from fieldwork.

The survey questionnaire was sent by e- mail after the management representative
(MR) or the head of the unit of these units was telephonically advised of the purpose of the
survey. They were then reminded telephonically to complete and return the survey. Two units
CLW and RCF did not respond.
Salient points of the survey are shown in Appendix 4A. Some of the common
conclusions were:
(i) The reason for certification was to initiate a structured way for continuous improvement.
(ii) Top management had been very involved in the quality system.
(iii) Customer feedback is taken as a part of quality system implementation.
(iv) Except DLW, there was no resistance to change from any unit.
(v) The structure of procedure for WAP showed a different approach. It was basically
designed for each business process i.e. it truly reflected the process approach enshrined in
ISO 9000:2000 standard.
(vi) Five out of six units said that implementation of document control prevented non
conformities on account of use of obsolete documents or no documents.

149
(vii) Except WAP no unit calculates process capability index like Cpk. At WAP, the use of
statistical techniques has been good. In the other five units, the use of statistical techniques
has been either low or somewhat.
(viii) Five out of six units said that certification resulted in better understanding of process &
responsibility and linkage to other functions.
(ix) Team work came out as the most important lesson learnt followed by the realisation
that people make the system work.
(x) Except AMV, no other unit involved all departments in the ISO certification.
From the above conclusions, the following are relevant in the context of this research:
(i) Continuous improvement was the reason behind certification. The literature review had
shown that management intent behind ISO certification was an intervening variable in an
organizations transition towards TQM (see section 2.2.5.2).
(ii) Top management was very involved in the quality system. Literature review had shown
that leadership; particularly transformational leadership was a crucial intervening variable in
an organizations transition towards TQM. However, it must be cautioned here that
leadership involvement is one thing; transformational leadership is another thing. That is,
a non-transformational leader can also be very much involved in the certification process
without showing the traits of transformational leadership.
(iii) There was almost no resistance to change. This was contrary to the findings in the
western literature on management of change (see section 2.2.7.2).

4.3.1 Understanding the impact of ISO implementation on railway units in
terms of intervening variables

In Table 4.6, the railway units were short-listed based on three intervening variables
ISO 14000 certification, presence of transformational leadership and presence of requisite
authority to the head of the unit.
Now, after the survey, based on the survey C and the literature review, additional
intervening variables were used to assess their moderating impact on an units journey
towards TQM. The intervening variables which were now considered as having a moderating
impact on the units journey towards TQM were:

(i) time elapsed from ISO certification till J an 2005
(ii) ISO 14000 certification

150
(iii) presence of transformational leadership
(iv) involvement of all departments in ISO certification process
(v) presence of requisite authority to the head of the unit
(vi) use of statistical techniques.

That took the research to survey D.
4.4 Data collection and data analysis for survey D

The purpose of survey D was to assess the development of TQM orientation in ISO
certified units of Indian Railways. The instrument TQM transition questionnaire developed
in section 3.6 was used to get an objective assessment of a units transition towards TQM.
The units short-listed for survey C were used for this survey also so that the effect of
intervening variables could be seen. The questionnaire was e-mailed to the management
representative (M.R.) or the head of the unit after a telephonic discussion about the purpose
of the questionnaire. In three cases (AMV, DLW and WAP), the questionnaire was
personally handed over to the M.R.
The scores obtained on the TQM transition questionnaire by different units of Indian
Railways are shown in Table 4.7. The table also shows the status of intervening variables in
the units which were assessed on TQM transition questionnaire.

151

Railway
Unit
Score
on
TQM
trans-
ition
scale
No. of
years since
ISO 9000
certificat-
ion till Jan
2005
ISO
14000
certif-
ied
Unit
head-
ed by a
trans-
form-
ational
leader
Involvement
of all depar-
tments in the
ISO certifi-
cation
process
Requisite
delegation
of
authority
to the
head of
unit
Use of
statist-
ical
techni-
que
Parel
workshop
(PRL)
13 3 No No No No Non
existent
Alambagh
warehous-
ing unit
(AMV)
13.17 1 No Yes Yes No Some-
what
Bhopal
workshop
(BPL)
13.33 4 Yes Yes No No Some-
what
Diesel
Locomot-
ive Works
(DLW)
25.33 8 Yes No No Yes Some-
what
Diesel
Compon-
ents
Works
(DCW)
10.33 7 No No No Yes Low
Wheel and
Axle Plant
(WAP)
37.66 10 Yes No No Yes High
Integrated
Coach
Factory
(ICF)
21.33 9 Yes No No Yes Some-
what

Table 4. 7Comparison of scores on TQM transition questionnaire of different units of
Indian Railways and the juxtaposition of intervening factors

It can be seen from Table 4.7 that the top leader at Parel, Alambagh and Bhopal were
not having requisite delegation of authority. Further, only the leaders at Alambagh and
Bhopal were transformational leaders. The transformational leadership scores of the leaders
at Alambagh (AMV) and Bhopal (BPL) measured through Bass Multifactor Leadership
Questionnaire are shown at Appendix 6.3. Except for AMV, no other unit had involved all

152
departments in the certification process. The presence of a transformational leader and
involvement of all department perhaps explains why just one year after certification process,
Alambagh registered a score of 13.17 on the TQM transition scale which was the same as
the scores of Bhopal and Parel, even though Bhopal was headed by a transformational leader.
The leaders at DLW, DCW, WAP and ICF were not transformational. But they had the
necessary delegation of authority. With respect to ISO 14000 certification, it was seen that
except BPL, all ISO 14000 certified units (WAP, ICF and DLW) obtained relatively higher
scores. This was in line with the proposition made in section 3.5.1.1 that ISO 14000
certification, because of its emphasis on cleanliness, positively intervenes in an
organizations journey towards TQM. WAP had the highest on the TQM transition scale.
This could partly be explained by the longer period for which it was ISO certified. However,
DLW and ICF were also ISO certified for the last 8 years and 9 years respectively. In the
case of WAP, the use of statistical technique was high. This could be one possible
explanation as to why WAP got higher scores on the TQM transition scale than DLW and
ICF. Still, the rather large difference of scores between DLW and WAP made the researcher
feel that there were other intervening variables which were not considered in Table 4.7 which
could explain the difference in the scores between DLW and WAP.
This insight was carried forward to the rest of the research discussed in chapter 5 and
chapter 6.

153
Chapter 5 The action research project

In section 3.7.1, action research was mentioned as a possible research methodology to
seek answers to the following research questions:
Research question iv: Will a bottom up methodology build learning capacity among
Research question v: How can the enablers of TQM be integrated in a model for
attaining TQM within the ISO framework?
This chapter deals with these issues in detail.

5.1 Situating Action Research in a Research Paradigm

AR is the process of systematically collecting data about a system (e.g. organization)
relative to some goal or need of the system (Aguinis 1993, p.419). Lewin has however
clarified that introduction of action into the scientific model by no means indicate that action
research is any less scientific or lower than pure science (quoted by Aguinis 1993, p. 419).
This means that the data collection is not arbitrary. It is systematic in the sense that the action
researcher is guided by hypotheses and assumptions about the nature of organization and its
sub-systems. The data is fed back to the system and action taken as a consequence. Part of
the action involves modifying the hypothesis if the data so indicate.
Action research in its most basic form is shown in Figure 5.1.

Reflect Plan

Observe Action

Figure 5. 1 The action research cycle
Source: Kemmis and McTaggart (1988).

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Planning involves identifying the problem, formulating a hypothesis about the
situation, identifying the theory in use and planning the action to be taken. The action is then
undertaken. The action is observed with data collected. The fourth stage is reflection which
relates to what the experience means, what can be learnt from it, does theory match practice
or does the theory need to be adjusted in light of the practice. This process is then repeated
until theory accurately predicts the practice.
In the context of learning, Kolb has expressed the cyclic learning as shown in
Figure 5.2. Here there is no need to identify the theoretical assumption underlying the initial
action. Instead an event is selected for reflection and a record of experience kept. Using the
record, the experience is analysed in terms of what happened and why, what was expected to
happen and what does it mean? A meaning is abstracted from it which may result in a theory
or a personal record of what has been learnt. In the fourth stage what has been learnt is tried
out and the cycle is repeated.

Concrete
Experiencing

Active Reflective observation
experimentation

Abstract
conceptualisation
Figure 5. 2The experiential learning cycle
Source: Kuit, Reay and Freeman (2001, p. 128) adapted from Kolb

Cowan (1998) has taken the experiencing learning cycle of Kolb shown in
Figure 5.2 and shown how the cycle can be modified to give rise to generalisation about
learning which can then be tested. Cowan says that the step from reflective learning to
generalisation about that learning is essentially an iterative process in which the learner

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oscillates between reflection and generalisation a number of times before he/she can arrive at
a testable generalisation. This is shown in Figure 5.3.

Experiencing

Test Reflecting

Generalize
Figure 5. 3The oscillation between reflection and generalisation
Source: based on Cowan (1998, p. 44).

Action research cycle has been regarded as a learning cycle (Dick 2000;
Kemmis & McTaggart 1988; OBrien 1998). The literature review (section 2.2.1.3)
identified four forms of knowing - experiential, presentational, propositional and practical.
Extending knowledge into research, Reason (1994, p. 326) has said that in research on
persons, the propositional knowledge stated in the research conclusions need to be rooted in
and derived from the experiential and practical knowledge of the subjects. When formalised
in research, propositional knowledge is the researched world. Reason has further identified
second person action research co-operative inquiry - as the method which integrates these
four forms of knowing and develops learning organization (Reason 2001, p.185).
Positioning action research in the paradigm of knowledge, de Guerre (2002, p. 333)
said that there are three forms of logical inference and not just two deduction and induction
- as were generally supposed. He talks about abduction (or retroduction) as a kind of
inference that yields reasonable ex-post facto hypothesis. It was only by this ability to arrive
at reasonable hypotheses, that we could advance scientific knowledge. Retroduction is
reasoning from the consequent to the antecedent and thus after the fact extracting the
hypothesis (Emery & Emery quoted in de Guerre 2002, p.340). Reason has looked at these
three approaches in terms of three paradigms which are shown in a tabular form in Table 5.1.

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Positivist Paradigm Interpretive
Paradigm
Paradigm of Praxis
O Brien (1998) has said that
logical positivism is based on a
belief in objective reality,
whose knowledge can be
gained only from data which
that can be directly
experienced and verified
between independent
observers. Phenomena are
subject to natural laws that
humans discover in a logical
manner through empirical
testing, using inductive and
deductive hypothesis derived
from a body of scientific
theory. It uses quantitative
measures with relationships.
Positivism has been considered
by many to be the antithesis of
the principles of action
research.

It is characterised by
a belief in a socially
constructed,
subjectively based
reality, one that is
influenced by culture
and history.
Phenomenology,
ethnography and
hermeneutics are the
approaches which are
used here.
It also retains the
ideals of researcher
objectivity and
researcher as a
passive collector but
expert interpreter of
data.
Aristotle defines Praxis as
the art of acting upon the
conditions one faces in order
to change them. He contrasts
it with Theoria those
science and activities that are
concerned with knowing for
its own sake. According to
him both are needed. That
knowledge is derived from
practice and practice
informed by knowledge is an
ongoing process is a corner
stone of action research.
Action researchers also
reject the notion of
researcher neutrality,
understanding that an active
researcher is reflecting upon
his/her experience based on
his/her bias and past
experiences.

Table 5. 1Comparison between three paradigms of knowledge
Source: based on Reason (2001).

Within the three paradigms, action research has been used as a research
method in the paradigm of praxis. To further posit action research as a specific research
methodology, a comparison has been made between the positivist science and the action
research in Table 5.2.

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Points of comparison Positivist science Action Research
Value position Methods are value neutral Methods are social systems
and release of human
potential
Time perspective Observation of the present Observation of the present
plus interpretation of the
present from knowledge of
the past, conceptualisation
of a more desirable future
Relationship with units Detached spectator, client
system members are object
of study
Client system members are
self reflective subjects with
whom to collaborate
Treatments of units studied Cases are of interest only
as representative of the
population
Cases can be sufficient
source of knowledge
Language for describing
units
Denotative, observational Connotative, metaphorical
Basis of assuming existence
of units
Exists independently of
human beings
Human artefacts for human
purposes
Epistemological aim Prediction of events from
propositions arranged
hierarchically
Development of guides for
taking actions that produce
desired outcomes
Strategy for growth of
knowledge
Induction and deduction Conjecturing, creating
settings for learning and
modelling of behaviour
Criteria for confirmation Logical consistency,
prediction and control
Evaluating whether actions
produce intended
consequence
Basis for generalisation Broad, universal and free
of context
Narrow, situational and
bound by context.

Table 5. 2Comparison between positivist science and action research
Source: Susman and Evered (1978, p. 600).

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The above table shows that the value position action research takes is social system
based. Thus action research within the context of systems theory is now looked at.

5.2 Situating action research within systems theory

5.2.1 Soft System methodology

In the early phase of systems theory, an organization was treated as a physical entity
a first order reality - which really exists and which can be defined, designed and engineered
objectively (Gold 2001, p.558). This was taken as the hard systems approach towards the
study of organization. In the context of organisational study, Checkland changed this
approach of systems school. Checkland developed the concept of soft system methodology.
Soft system methodology (SSM) has been advocated as a flexible approach to problem
solving in the context of complex human situations (Gold 2001, p. 558). Schn (quoted by
Checkland & Scholes 1990, p.276) has said that the complex and less clearly defined
problems of business management cannot be solved by technical rationality. According to
SSM, it is not possible to analyse the complex problems of business through a case study
approach (which it considers inadequate). The complex problems can be analysed through
the trick of shifting the focus of systemicity from the world to the process of enquiry about
the world. In hard system, the world itself is considered to be a set of system i.e. is systemic
and these set of systems can be systematically engineered to achieve objectives. But in the
soft tradition, world is assumed to be problematic (Checkland 1999, A 49). In SSM, the
system is no longer some part of the world which is to be engineered and optimised. The
system is in the process of inquiry itself. If that is formalised as a learning system which the
practitioner consciously enacts, then the reflection in action becomes analysable. Out of
that more tranquil reflection, after the event, general lesson may be extracted (Checkland &
Scholes 1990, p. 277). In other words, assumed systemicity is shifted from taking the world
to be systemic to taking the process of inquiry to be systemic (Checkland 1999, A 49). For
example, a well-defined problem such as improving the horsepower of an automobile can be
handled well by hard systems. But implementing a superior quality system in an organization
so that it can institutionalise the changes necessary for manufacturing of engines with
improved horsepower is better handled by soft system methodology. Thus instead of trying
to objectively observe the characteristics of organization, one should attempt to understand

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different ways of seeing the situation. Therefore Checklands soft system methodology does
not attempt to model the real world. He recognises that the chaos and complexity of
organization is viewed differently by different members of organization. He treated
organization as an ongoing and dynamic arrangement of people and objects in relationship
(Gold 2001, p.558). These different views are contributions to a debate about possible change.
They indicate what activities are necessary to achieve a purpose meaningful from a particular
point of view. Thereby, the participants in a problem situation are able to learn their way to
what changes are systematically desirable and culturally feasible given the meanings and
relationships that currently exist in the situation (Jackson 2000). From such different views of
organization, if sufficient meaning is derived, it becomes the basis for action (or non action)
(Gold 2001, p. 559). That also makes SSM a learning system. Thus soft system methodology
is more suitable for studying ill-defined, messy problems. Soft System Methodology had a lot
in common with appreciative system theory developed by Vickers (Checkland 1994).
Checkland started with Mode 1 approach to SSM. However, now he has shifted to
Mode 2 approach. The differences between these two approaches is shown in Table 5.3

Mode 1 Mode 2
Methodology-driven Situation-driven
Intervention Interaction
Sometimes sequential Always iterative
SSM as external SSM as internalised model

Table 5. 3Dimensions of SSM types
Source: Gold (2001).

Mode 1 of the soft system methodology involved a seven-stage learning system using
the mnemonics CATWOE (customers, actors, transformational process, world-view, owners,
environmental constraints). It recognised that there are many ways to describe a situation
depending on the point of view one takes. A different way of conceiving the problem
situation will give rise to a different root definition. Thus a prison can be taken as a
punishment system, a rehabilitation system, a system for taking revenge, a system to protect
society or a system that constitutes a university of crime (J ackson 2000, p. S5). It suggested
that the view which is most insightful or most relevant in exploring the situation should be
selected. Often non- written ways of expressions like story telling and rich pictures (pictorial

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and cartoon like pictures) aid in grasping the contentious aspect of a situation. From these,
root definitions are developed which grasp the essence of the relevant system. Each root
definition reflects a particular worldview of the problem situation. Later, Checkland
considered the methodology driven Mode 1 too restrictive for practicing managers who are
more often driven by the pressures of their environment. From their perspective, Mode 1
SSM is cut off from the day to day working of an organization. Thus he developed situation
driven Mode 2 of soft system methodology. Mode 2 SSM is driven by situational logic and
situational culture. The cultural stream has three types of enquiry (J ackson 2000, p. S7):
Analysis 1- It considers the intervention itself and the roles of client, problem solver and
problem owner.
Analysis 2 It is called the social system analysis. It looks at social roles, norms of
behaviour and what values are used in judging the performance.
Analysis 3 - This examines the politics of the problem situation and how power is obtained
and used.
Though Checkland considers Mode 1 and Mode 2 as a spectrum of possible uses and
not mutually exclusive (Checkland & Scholes 1990), it has been said that it is not easy to
capture SSM in a way that does justice to both Mode 1 and Mode 2 (J ackson 2000, p. S8).
Also Mode 2 based SSM, where problem solvers are able to internalise the methodology,
employ it as a way of thinking as an insider, has not been often used (Gold 2001, p.558).

5.2.2 Soft system methodology as action research

Since SSM involves individuals to take part in the action based on their worldview,
and not simply to observe the action as external watcher, Checkland considers SSM as action
research (Checkland 1999, p. A39). This realisation that all real-world problem situations are
characterized by human beings seeking or wishing to take purposive action led purposeful
action being treated as a system concept (Checkland 1999, p. A54). Different purposeful
activities express different worldviews. Comparison between different worldviews and a
perceived real situation gives rise to a set of action action which is culturally feasible for a
particular group of people in a particular situation with its own particular history (Checkland
1999, A 55).
The current SSM is based on constitutive rules which guide the process of interaction.
It is these rules which make research on the methodology possible and allow the methods and
techniques which support SSM to be continually improved. At the same time, though SSM

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sets out principles for method use, it does not determine their use. It provides a different
response in each situation depending on the user and the nature of the situation (J ackson 2000,
p. S9).

5.3 J ustification of Action Research as the research methodology for this
thesis

Action research is used when the research is expected to be responsive to situation
(Dick 2000) or when the circumstances require flexibility and organisational change must
take place quickly or holistically (OBrien 1998, p.5). Action Research is a powerful
methodology for large-scale change and transformation along with knowledge creation
(Bradbury & Reason 2001, p.449; Kotnour 2001). Action research has been considered more
appropriate than traditional research for improving practice (J orgensen, Boer & Gertsen 2003;
Kofoed, Gertsen & J orgensen 2002) and for professional and organisational learning
(Coughlan et al. 2002; Zuber-Skerritt & Perry 2002). Use of action research methodology is
in keeping with recent articles in the area of change management in operations and logistics
based companies (Coughlan et al. 2003; Harland & Knight 2001; Mileham et al. 1999). In a
review of AR, Coughlan and Coghlan (2002) found action research appropriate when the
research questions related to describing an unfolding series of actions over time which
implementation of ISO 9000 certification would involve. In fact, given the now understood
importance of contingency factors like the change process, its manner of facilitation and the
behavioural factors in TQM implementation (Melan 1998), AR seems to be the natural
choice so as to take care of the full range of variables which may not otherwise emerge
(Westbrook 1994, p.18). The relationship between change and action research has been
considered as a bottom-up approach specially designed as a response to the theory-practice
gap (Suderman et al. 2000, p.571). Action research develops context specific knowledge
which is evolved by the participants. Their collective insight promotes transformational or
paradigm changes (Suderman et al. 2000, p.571). In the specific context of the ISO 9000
standard, Boon and Ram (1997), Haversjo (1999) and Castka et al. (2004) have provided case
studies of implementation of ISO 9000 using the action research methodology. Lilford,
Warren and Braunholtz (2003) have noted that both TQM and action research are cyclical
activities involving examination of the existing processes and affecting change through active
participation of stakeholders. Pace and Argona (1991) have used participatory action research
in a change initiative which merged Quality of Work Life with TQM at Xerox. Webb (1989,

162
p.405) considers action research similar to a case study with the difference that in action
research, the emphasis should be on getting multiple representations and presentation of
evidence in forms which are open to multiple interpretations. On similar lines, Gummeson
(2000, p.116) considers action research as the most demanding and far-reaching method of
doing case study research.
From a theoretical angle, if a comparison is made between the PDCA cycle of ISO
9000:2000 (borrowed from TQM), and the plan-act-observe-reflect cycle of AR, the
methodological commonality between the two is clear: TQM has its origin in operations
management. Therefore, the purpose of PDCA is to understand a problem systematically,
solve it, and then, pick up the next problem and so on. Over a period of time, the repetitive
identification and solution of problems bring about the culture of continuous improvement in
an organization. However, in TQM there is no attempt to develop learning from these
continuous problem-solving cycles which could also possibly become an input to the next
level of problem solving and facilitate it. On the other hand, the action learning cycle
dwells and emphasises upon learning which it develops through reflection in each cycle.
Because action learning had its origin in systems theory, it looks upon improvement of
operations management from a more gestaltist angle and calls it change and again because
of its systems background, it is able to recognise the interrelationships and possibly, the
thematic similarities, between different instances of change or improvement in an
organization, instead of looking upon them as disjointed events. Therefore while the learning
of a PDCA gets dissipated after improvement (change) has taken place, the AR preserves it
by reflection and uses that as an input to the next process of change or improvement. Thus
the difference lies in their focus. Perhaps, it can be said that action research is a richer way of
undergoing the PDCA loop. Once a learning bias is added to the PDCA loop and one
begins looking for data (with a view to analyse them, understand them and benefit from them
in subsequent PDCA loops), the basic skeleton of action learning is already there. After
getting the data, for the purpose of learning, the thematic similarity among different data, the
frequency of occurrences of different set of data need to be reflected upon, instead of
regressed upon as in regression analysis- and you arrive at learning. Here, mind, in
contradistinction to mathematics, is the processor which processes perceptual or cognitive
data as against classificatory, ordinal, interval and ratio data. As against mathematical
modelling, mental models (Checkland 1999, p. A58) are used to make sense of the perceptual
or cognitive data. From there, a progressive loop of learning through subsequent intra-
organisational or inter-organisational confirmation, and at a larger scale, through intra-

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methodological and inter-methodological confirmation gives rise to a theory a theory
whose theory building will be perhaps more eclectic in approach than conventional theory
building and where the experiment of scientific research is replaced by the intervention of the
action research.
Thus TQM and action research can be integrated as shown in the Figure 5.4.
Figure 5.4 shows that in the context of TQM, each cycle of PDCA brings about an
improvement (or change) which can then become the basis for planning next cycle of
improvement (or change). From the PDCA cycles emerges the learning. In the context of
learning, at the individuals/ groups level, the experience of undergoing the PDCA cycle
make(s) her/them reflect on her/their experience(s). She/they draw(s) on theories and
constructs to make sense of her/their experience. That is, the theories and constructs known
to her/them till then are used to interpret and find answers to the questions posed in the
reflection. These answers are the new learning to the individual/group. As a consequence of
this new learning, the individual/group learn(s) to act differently in the organization. Thus in
the next cycle (cycle 2), this learning is part of her/their theory and construct which in turn
moderates her/ their experience, reflection and interpretation. However, the experiential
learning arrived above cannot be elevated to the status of knowledge unless it can be
generalised and then verified to be correct.
This is done in the action research cycle. Here, the learning which emerges during
reflection and interpretation needs to be generalised and tested. For this, the data which
emerges during different experiential learning cycles can be compared among themselves or
with other data sources to make the generalisation more robust. Then, it is knowledge.

164

Cycle 1 improvement Cycle2 and so on
The TQM cycle Plan----Do-----Check-----Act Plan---Do---Check--Act

learning
The experiential Experience--Reflect--Interpret--Act (in Experience--Reflect--Interpret-Act(in
learning cycle organisational organizational
context) context)
emergence of data emergence of data

knowledge
The action research cycle Generalise---Test (in research Generalise---Test (in research
context) context)

time axis
Figure 5. 4Conceptual link between TQM and AR

The time axis in the above figure indicates that improvement precedes learning which
in turn precedes knowledge.

5.4 Research model for Action Research

From the point of view of thesis writing, an action research model has been proposed
by Perry and Sankaran (2002). This model is shown in Figure 5.5.

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2 Act

1 Plan 3 Observe

4 reflect

Ch. 3 Collect data

Figure 5. 5Two-project model for AR based thesis
Source: adapted from Perry and Sankaran (2002).

This divides the research into two distinct projects. One is the core action research
project which solves an organisational problem. The thesis action research project then takes
up the data generated from the core action research project, analyses them and then arrives at
the learning gleaned from it both for the organization and for the academic community.
The conceptual link shown in Figure 5.4 was modified and integrated with the two-
project model shown in Figure 5.5 so as to suit an ISO based change process through action
research. It is shown in Figure 5.6. This was the research model which was used for the
action research in stage 3.

Core action research
project about group
thematic concern =pure
action research
Thesis action research
project about its research
problem concern =thesis
action research
Ch. 2 lit.
review
Ch. 4 analyse data
Ch. 5 contribution to literature

166

Figure 5. 6Research model used in stage 3 shown within the AR framework
Source: developed for this research (adapted from Perry & Zuber-Skerrit 1994).
Conclude
1
st
draft of thesis
Thesis Action research
Plan
the research problem
Act
By initiating core action projects
CORE AL
PROJECTS
Plan
Act
Observe
Reflect
Plan
Act
Observe
Reflect
Plan
Act
Observe
Reflect
Stage 2
development of
Quality Procedure
Stage3
development of
work instruction
Plan
Final draft
Thesis Writing
Act
Write final draft
Conclude these
evaluate
seek comments/revise
Submit thesis
Further Research
Evaluation
Observe/reflect/
theorise
Stage 1
Development of
Quality Policy

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As per the manual of ISO 9000:2000, the implementation of ISO 9000 is divided into
three sub-areas-
(i) Development of the quality policy. This leads to the
(ii) Development of the quality procedure. This leads to the
(iii) Development of the work instruction.
In the model shown in Figure 5.6, each of the above three steps have been integrated
into an action learning cycle. The advantage in this integration was that the progression from
one level of learning (cycle) to the next level of learning (cycle) also marked from quality
angle, a journey deeper down the ISO framework and lower down the hierarchy of the
organization and to that extent, entwined the two naturally. That is, the quality policy was
first cycle of action learning which was proposed to be done with the managers of the
warehousing unit. The next action learning cycle was kept for development of quality
procedures which is a 2
nd
tier ISO document. Thus, it was proposed to be done with senior
supervisors of the warehousing unit. Further, in order to ensure that the ISO documents thus
developed, did not become yet another chiselled management learning deliberately
percolated down by the management to become worker learning, it was proposed that for
each cycle, and, because of the above integration, for each level of ISO document
development, the members of the team (or the co-researchers in the language of action
learning), who would develop the documents, would be drawn from the cross section of
organization. Thus, the quality policy was proposed to be developed not by the top
management of the unit, but by a set of people who represented different functional domain
and different level domain of the organization. After all, if TQM is about breaking down
the hierarchy, about empowerment and about development of enquiring culture, it made
sense that the structure for ISO implementation took care of these aspects right from the
beginning. Thereby, the quality policy, the quality procedures and the work instructions,
when developed, would have a flavour, created and savoured by the organisational members.

5.5 Rigour and validity in the Action Research

As per the traditional research yardstick, scientific experiment is repeatable, though
the interpretation of the finding can be varied. From the point of view of the positivist school,
one of the criticisms which AR has faced is whether the knowledge produced by it is
scientific as per the traditional research yardstick that is whether the observed or assumed

168
relationship are true. Susman and Evered (1978, p.601) have said that action research is not
compatible with the criteria of scientific explanation taken in traditional positivist school.
Webb (1989, p.405) has quoted Greenwood who says that face validity in action research
guarantees that findings fit reality and that reliability can be checked by ensuring agreements
between the interpretations of the researcher and the participants. Echoing a different point
of view, Coghlan and Brannick (2001, p.10) have said that action research is evaluated within
its own frame of reference and that questions of reliability, replicability and universality do
not pertain to the action research approach. For them, an action research should be able to
answer three questions:

What happened? The relating of a good story.
How do you make sense of what happened? This involves rigorous reflection on that story.
So what? This most challenging question deals with the extrapolation of usable knowledge or
theory from the reflection on the story.

Bradbury and Reason (2001, p.447) have indicated that some authors such as
Schwandt and Wolcott have not considered validity an issue in action research. Others have
taken less extreme views. For example, Dickens and Watkins (1999) have mentioned that
some of the criticism of action research has been its supposed lack of internal and external
control and lack of the rigour of true scientific research. Gummesson (2000, p.221) takes a
stand that since the natural state of an organization today is change, it is more important to
show that a theory works in a specific context than to show that it possesses a wide range of
general and approximate application (Gummesson 2000, p. 219). Therefore, from
Gummesson point of view, a theory can be modified (instead of generalised) by its
application and validity in subsequent actions. Thus the theory never gets finalised but is
continually being transcended (Gummesson 2000, p.208). Looking at AR from a qualitative
angle, Coghlan and Brannick (2001, p.15) consider action research as genuinely scientific in
its emphasis on careful observation and study of the effects of behaviour on human systems
as their members manage change. But they accept that it has lost its role as a powerful
conceptual tool for uncovering truth on which action can be taken. Checkland and Holwell
(1998, p.16) have attended to the specific weakness of AR if it is adjudged from a
quantitative angle and accepted that AR cannot produce law-like generalisations from
involvement in a single situation . but it can be made to yield defensible generalisations.
For this, action research should be based on research themes as against research hypothesis.

169
That is, the action researchers should be able to establish that the research theme they are
going to research is worthy of being investigated and exploring this theme further is going to
bring about real world benefit (West & Stansfield 2001, p.265). Checkland and Holwell
further accept that AR based research is not repeatable but if the process of AR is
recoverable, it helps to justify the generalisation and transferability of AR (or case study)
research (Checkland & Holwell 1998, p.17). Thus it is the notion of recoverability, as
against the notion of repeatability, - so important for knowledge acquisition in natural science
(West & Stansfield 2001, p.277)- which makes action research rigorous.
In order to make the AR recoverable, Checkland and Holwell (1998, p. 18) and
Checkland (1999, p. A40) have suggested:

Action research should be conducted in such a way that the whole process is subsequently
recoverable by anyone. This means that there should be a declared-in-advance methodology
(encompassing a particular framework of ideas) declaring explicitly, at the start of the research, the
intellectual framework and the process of using them which will be used to define what counts as
knowledge in this piece of research. The thought process and the models which enabled the team to
make their interpretations and draw their conclusions should be made available to the interested
observer. By declaring the epistemology (the methodology and its framework of ideas) of their
research process in this way, the researchers make it possible for outsiders to follow the research and
see whether they agree with the findings. If they disagree, well-informed discussion and debate can
follow. This would the give AR a truth claim though less strong than that of laboratory
experimentation. Also the learning gained in action research may concern any or all of: the area
focused in the research, the methodology used or the framework of ideas embodied in the
methodology.

However, Checkland holds the opinion that action researches which have been
designed with the above framework are not many (1999, p. A39). Therefore it is not
surprising that there are actually very few action researchers who have made major
contribution to the scientific community (Gronhaug & Olson 1999, p.13). They go on to add
that the weakness of action research studies is that the researchers do not mention their
research in detail about their research activities and how step-by-step they have arrived to
their interpretations. Subjectivity is the main methodological weakness of action research
(Westbrook 1994).
The researcher takes a stand that the approach suggested by Checkland is
theoretically sound. But it tends to take AR as a stand-alone research paradigm. However, it

170
is possible to add rigour to AR if it is used in conjunction with other research approaches.
Mixed method research approach for action research has also been identified by others (Eden
& Huxham 1996; Gummessson quoted in Coghlan & Brannick 2001, p. 7; Lilford, Warren &
Braunholtz 2003). Thus formal quantitative and qualitative data collection techniques are all
appropriate to different situations (Coghlan & Brannick 2001, p. 9).
However, the researcher considers Checklands emphasis on recoverability a
necessary criterion for ensuring the rigour of AR. How these aspects were taken into account
in the conduct of action research is dealt with in the section 5.5.5.
Some other methods which can be used to make the action research more rigorous are
now dealt with.

5.5.1 Falsification

Falsification is another way to enhance the rigour of the action research. In positivist
paradigm, it involves matching the hypothesis with the data empirically collected. The degree
of correspondence indicates the appropriateness of the hypothesis (Aguinis 1993, p.418). It is
possible to use the criteria of falsification in action research also. Heron (1988, p.52.)
suggests that for falsification in AR, an inquirer would read out from the records of the
different cycles, their impression of others reality. Any other inquirer could then come
forward as devils advocate and sceptically attack these impressions reducing them to purely
naturalistic explanation. The defendant now has three options: to give a reasoned defence of
the impressions as valid impressions of others reality, to yield to the devils reductionist
explanation as being most reasonable or to stick out their intuitive guns even though unable
to argue the case.
Dick (1999) has also suggested similar ideas for making action research rigorous. He
uses dialectics to generate agreement from disagreement. Here a person does not persuade
the other person to his/her point of view but presents evidence which he/she think others may
have overlooked. He/She also adds to his/her list those items from other persons list which
were earlier omitted by him/her but he/she is now prepared to accept. He/she then provides
his/her own list giving reason why it should be added to the other persons list. Then the
other persons revise their list. This process continues till consensus emerges. Thus Dick says
that while a consensual process operates by identifying agreements and an adversarial
process operates by choosing one of the competing views, dialectical process uses
disagreements to generate agreement (Dick 1999, p.24).

171
Triangulation can also be used to falsify an emerging hypothesis. The concept of
triangulation involves the use of more than one research approach in a single study to gain a
broader understanding of the issues being studied (Duffy 1987). Duffy has identified four
ways of triangulation:
(i) Analysing data in more than one way.
(ii) Using more than one sampling strategy.
(iii) Using different interviewers, observers and analysts on one study.
(iv) Using more than one methodology to gather data.

5.5.2 Reflection and three levels of learning

Learning through reflection has been considered central to action research (Cowan
1998, Eden & Huxham 1996, Heron 1988, Reason 2001). Zimmer (2001) has explained
reflection at three levels of action learning. His ideas were used to improve the quality of
reflection in the action research project. A summary of the three levels of reflection is shown
in Table 5.4.

172
First order
learning
Second order learning Third order
learning
Concrete
experience
I notice what I am
getting from the
system in focus
(You) and I
imagine what I will
be getting from it
(You).

There is only one
layer of sense
making involved
which is I-it.
I offer You My
receptiveness thereby
inviting Your reflections
from Your own
perspective- and then await
them.
Thus it has two layers of
sense making involving I-
You. It thus permits
communication.
My sensing becomes
listening to Your
perspective.
I monitor My
communication with
You, My sense of
your communication
with Me and My
sense of Our
communication
together.
Reflective
observation
I note how I feel
when I compare
what I think I will
be getting from the
system (You) with
what I need
I offer you My
understanding and thereby
positively including Your
reflections and await
Your receptiveness as
confirmation.
Thus My checking
becomes acknowledging to
check Your perspective.

I check Our
togetherness as I
experience it, for
conflict vs.
cooperation.
Abstract
conceptualisation
I want to do
something toward
the system (You) in
order to get what I
need and
My planning becomes
thinking and speaking to
put Your perspective
together with Mine
I offer You My
reflective, receptive
understanding,
thereby inviting
Yours in return
and if necessary, I
actually request it.
Table 5.4 (contd)

173
Table 5.4 (contd)
First order
learning
Second order learning Third order
learning
Active
experimentation
If I can, I do it.

My acting takes into
account Your needs and
vice versa. Thus I can
negotiate with You to see
what You and I actually
can do to get both Your
needs and My needs met.
Here the two cycles
helps each other
along. If there is
conflict, We look for
parts of the cycle
that is missing.
Comment It is manipulative
rather than
communicating. I
am treating the
system (You) as an
object to be
subjected to my
prediction and
control. Thus most
of what one hears in
first order learning
is dogma, demand
and judgement.
This leads to
conflict.
Thus there is no conflict.
Also, it has in-built
autonomy for I and You.
Offering You, My
reflection, offering You,
My receptiveness and
offering You, My
understanding provides the
core of successful
communication which
prevents conflict.
The transformation
process here is one
in which I
experience the two
of Us at becoming
more and more as
one while
remaining as
individuals, totally
free. This kind of
action learning is
not very often, yet it
is possible.

Table 5. 4First order, second order and third order learning
Source: based on Zimmer (2001).

Bartunek et al. (1993) and Coghlan and Brannick (2001) have indicated how to do
action research within ones own organization. Ross and Roberts (1994) have shown how it
is possible for an insider to balance advocacy and inquiry to begin changing a large
organization from within. There is much similarity between what they have suggested and
the second order learning suggested by Zimmer (2001). Since Ross and Roberts have

174
indicated a practical way of how to do the balancing, it was explained to the co-action
researchers. The same is summarised in Table 5.5.

Situation Way to handle
Protocols for improved
advocacy
(i) Make your thinking process visible (walk up the ladder of
inference slowly)
(ii) Publicly test your conclusions and assumptions
Protocols for improved
inquiry
(i) Ask others to make their thinking process visible.
(ii) Compare your assumptions to others.
Protocols for facing a point
with which you disagree
(i) Inquire about what has led the person to that view.
(ii) Listen for larger meanings that may come out of honest, open
sharing of mental models
Protocols for when you are at
an impasse
(i) Embrace the impasse and tease apart the current thinking. (you
may discover that focusing on data brings you all down the
ladder of inference.)
(ii) Consider each persons mental model as a piece of larger
puzzle.
(iii) Look for information which will help people move forward.
(iv) Do not let the conversation stop with an agreement to
disagree

Table 5. 5Skills of balancing inquiry and advocacy
Source: based on Ross and Robert (1994).

Coghlan (1993) has looked within the process of reflection and used a model called
ORJ I developed by Schein. It focuses on what goes on inside the head of action researchers
and how it affects their overt behaviour. Briefly, it says that when we observe (O), we react
(R) emotionally to what we observe, we make judgement (J ) based on our observations and
feelings and then we intervene (I) so as to make something happen (Schein quoted in
Coghlan 1993). Thus the ORJ I process focuses on the spontaneous emotional reaction as
they arise rather than later and provides a framework whereby learners can recognise feelings
and distinguish it from cognitive processes. This adds sophistication to the reflection in the
sense that it improves observational ability and avoids premature judgement and

175
inappropriate behaviour (Coghlan 1993, p.93). This concept is schematically shown in Figure
5.7.

Concrete
Experiencing

Active O R Reflective observation
experimentation
I J

Abstract
conceptualisation
Figure 5. 7 The ORJI within experiential learning cycle
Source: based on Coghlan (1993).

The broken arrow indicates that the reflection process at the emotional level can also
back from intervention (action) to judgement to reaction to observation. This deeper
reflection at the emotional level was used in the AR project.

5.5.3 Intervention

Intervention or action is the output of an AR cycle. The rigour of action research will
improve if intervention is studied in detail. Coghlan and Mcdonagh (1997) have quoted four
types of interventions. They are shown in Table 5.6.

176
Intervention type Aim Assistance to the client
Exploratory Getting the basic story In addition to providing the story, it
also builds relationship between the
client and the action researcher.
Diagnostic Enables the client to do a
diagnosis of the situation
Here the researcher helps the client to
interpret what is taking place and test
theories of what is happening
Action alternative Helping the client clarify
and review courses of
action
It focuses on possible actions and
strategies.
Confrontive Confronts limitations of
thought, attitude and
behaviour
It exposes the thinking patterns
around the content of the issues

Table 5. 6Types of intervention
Source: Coghlan and Mcdonagh (1997).

5.5.4 General criteria for assessing rigour in AR

Reviewing the study of action research, Bradbury and Reason (2001) have identified
five choice points for assessing the rigour of an action research. They are:

(i) Relationship - The action research should be explicit in developing a praxis of relational
participation. That is whether the action research group is set up to ensure maximum
participation. Whether best decisions are those which ensure maximum participation.
Whether less powerful people are helped by their participation in the inquiry.
(ii) Practical outcome - The action research should be guided by reflexive concern for
practical outcomes. That is, the research is validated by participants new way of acting in
light of the work. At the end the participants should be able to say that was useful. I am
able to use what I have learnt.
(iii) Extended ways of knowing - The action research should be inclusive of a plurality of
knowing. That is,

177
(a) The action research should ensure conceptual-theoretical integrity. A well-written
AR study should be such that it can be used by fellow inquirers with similar concern to see
as if and illuminate their own situation.
(b) It should embrace ways of knowing beyond the intellect that is artful ways of
expression such as song and dance, video, poetry, and photography.
(c) The AR should intentionally choose appropriate research methods. The choice of
methods should be ecologically sensitive to the context in which it is being used.
(iv) Pay attention to what is worthy of attention- How do we decide where to put our effort?
At the heart of this process is to always ask the question what values do we hold vis--vis
the value of work with which we engage. Since the AR community is committed to bring an
attitude of inquiry towards questions of fundamental importance, we would do well to find
ways to address the question of what purposes are worthy of more direct attention. It is
worthwhile to articulate positive, life enhancing qualities in a situation and to amplify these
than to seek problems and try to solve them. It is thus better to ask appreciative questions
than critical questions. The emphasis should be to ask the right research questions so that we
are convening a process which will generate the outcome we want (Bradbury & Reason
2001, p. 453).
(v) Enduring consequences - The AR should emerge towards a new and enduring
infrastructure. This means that the dyadic, small group micro engagement of people should
manifest into an ongoing new patterning of behaviour at a macro level even after the action
researchers have left the scene (Bradbury & Reason 2001, p. 445).
Bradbury and Reason acknowledge that a given AR project cannot address all these
points. A dissertation can be reviewed on its strength and weakness using the above five
choice points as the yardstick. An action researcher can explain these points to co action
researchers (Bradbury & Reason 2001, p.454). Quality and validity in AR involve
encouraging debate and reflection on all these issues among all those involved.

5.5.5 Rigour and validity in this Action Research

From the above review, notwithstanding the apprehension expressed by some critics
about lack of rigour in AR, the researcher was satisfied that it was possible to conduct a
research using the action cycles, fully meeting the requirements of rigour and validity.
Based on the discussions above, a model for making the action research rigorous was
developed for this work. It is shown in Figure 5.8

178
Cycle 1
Plan----act-----observe-----reflect
emergence of data

Figure 5. 8 Model for validation of learning which occurred in each cycle by using
different methods, different sources of data and different types of data
Source: adapted from Checkland (1999), Coghlan & Mcdonagh (1997), Dick (1999), Eden &
Huxham (1996), Ross & Robert (1994), Susman & Evered (1978), Zimmer (2001).
D
i
f
f
e
r
e
n
t

o
b
s
e
r
v
e
r
s

(
i
,
i
i
,
)

Data set
A(a,1,i )
Data set
A(b,2,ii )
Test
agreement
between
different
overlapping
data set
Explain
disagreement
between
different
overlapping
data set
Interpretations are
gleaned
Interpret
through
reflection,
comparison
etc
Cycle 2- plan---act--check--reflect
Lateral
data input
from lit.,
other
sources
Interpretations
are cross
confirmed
Input for next cycle: (a)
validated interpretations,
(b) refined question, (c)
refined methodology
Ignore non-
overlapping
data
disagree
ment
Different methods (a,b,.)
agreement

179

The model shows that after conducting an AR cycle, different datasets - A(a,1,i),
A(b,2,ii) - were available which had been generated by different combination of methods (a,
b. etc), persons (1,2.etc) and observers(i, ii.etc). The topics mentioned by more than
one dataset defined the topics which were to be further questioned. That is, the overlapping
topics were the ones which needed further analysis. Any topic mentioned by only one dataset
was to be ignored. Now, the overlapping topics could be in agreement or in disagreement.
The agreements were tested across different datasets and the disagreements were explained
across different datasets. This can be called intra-cycle validation. The interpretation thus
arrived at was considered fit for carrying forward to the next cycle. However, before they
could be accepted as a valid input into the next cycle, they were further tested for their
validity by cross comparing with data made available from independent sources if any. This
can be called inter-cycle validation. Only such interpretations which passed through this were
to be taken as valid inputs for the next cycle. The interpretations thus developed also served
another useful function- they helped in refining the questions and methodologies with which
a given cycle had started. These three inputs observation from a cycle, intra cycle
validation and inter cycle validation - therefore modulated the planning for the next cycle and
made it more precise and often more economical. Delphi face-to-face method (Dick, 1999)
was used to attain time economy. A progressive convergence of interpretations finally led to
a conclusion. This conclusion was used to support, refute or modify the original research
questions. Thus the conclusions were arrived at much in the same manner as the conclusions
arrived at by any other research methodology. At this point of time, for its final verification,
the conclusions were compared with the literature just as any other research output would
have been compared. However, in the case of AR, one can extend the validation process
further. J ust as the proof of a pudding lies in eating it, the test of a research also lies in
finally implementing the change it claimed, it would bring about (Lewin, quoted in Dickens
& Watkins 1999, p.139). If it could do that, and not merely tinkle with the whys and hows
of a business process, that is the final vindication for a methodology. Thus in the context of
this research work, if ultimately, it was found that the AR methodology did succeed in
bringing about a change towards TQM in a railway unit, that was to be its final validation.
Data collection: The aspect of collecting data from many sources and through many
methods have been emphasised earlier. Therefore, at the data collection stage, different
viewpoints were taken so that personnel bias was minimised. Multiple sources of information
were looked for during each cycle. Thus, data were collected in the form of field notes,

180
participant presentations, discussion etc. It also included feedback, observation and
interviews. A number of railway personnel are semiliterate or illiterate. Thus there was a
need to encourage and look for non-textual data. It has been said that observation can be a
powerful tool during the hypothesis building process (Ticehurst & Veal 2000, p. 123). Hence
observation and story telling (Checkland, 1999) were used to encourage non-formal ways of
data generation and data collection. The root definitions (Gold 2001, p.571) which AR
viewpoints generated were validated with data generated from other methods. In this
connection, the learning gleaned from stage 1 and stage 2 were useful in triangulating the
learning which took place during the action research cycles.
Therefore, it was possible to draw arguably valid conclusions from the action research
cycles.

5.6 Action research at J hansi Stores Depot

5.6.1 Selection of unit for action research

The warehousing and material distribution unit of Indian Railways at J hansi was
selected for the action research project. The warehousing and material distribution unit is
called stores depot in the Indian Railways parlance. The J hansi stores depot is responsible for
supplying all the material required for the North Central Railway of India. Formal permission
from the head of the depot was taken for the project. A team of five co- action researchers
was put together at J hansi.

5.6.2 About Jhansi Stores Depot

The J hansi wagon maintenance workshop and warehousing unit were established in
1884. The wagon maintenance workshop and the warehousing unit are abutting each other
separated by a wall. Daily, in the morning, the shop foreman would come to the warehouse
with a list of items. These were then issued by the warehouse in-charges against issue tickets
and the cost of the material issued would be debited at average book rate through posting in a
computer. This activity was over during the first half of the day. During the second half, the
warehousing unit had virtually no work.

181
The organisational chart of J hansi workshop is shown in Appendix 10. All the
managers who are not from the mechanical engineering department, besides reporting to the
Chief Workshop Manager (CWM), also report to their departmental heads at the headquarter
(see Appendix 7). The Workshop Accounts Officer (WAO) was vested with the power of not
having to agree with the CWM and the CWM could not overrule him. In case of any
difference of opinion between them, the matter had to be reported to the Financial Advisor &
Chief Accounts Officer (FA&CAO) and the Chief Mechanical Engineer (CME) together. If
they do not agree, the matter had to be reported to the General Manager (GM) who alone had
the power to overrule the FA&CAO (or for that matter any finance officer). Even then, the
FA&CAO had the power to submit a note of dissent to the Railway Board.
The total staff strength of J hansi warehousing unit headed by Dy CMM was about
400. Out of this four were managers. 150 were technical supervisors and clerks and 250 were
labours. The warehouse used to work from 8 AM to 4 PM with 30 minutes lunch break.
Around 1300 items were stocked in the warehouse. The warehouse was divided into different
storage wards. Each storage ward used to stock about 300 items. In addition, there were
receipt and inspection wards which used to receive material from different vendors, inspect
them and send them to storage wards for storage. It was the responsibility of the warehouse
to assess the demand for material for the next year, generate indents which were then sent to
the headquarter for placement of purchase orders, liaise with different vendors for timely
supply of the material, stock them and distribute them to the workshop and other end users
across the railway system.
The overall atmosphere both in the workshop and the depot was laid back. Both, in
general, wore an unkempt look. From an engineering point of view, the workshop was
saddled with a 100-year-old layout which was now outdated but not yet changed. Shortcuts in
production and shoddy workmanship were generally overlooked in the name of achieving the
target. The shop staff were generally very critical of the material shortage which according to
them was affecting their targeted output. However, during detailed discussion, it was
revealed that often, they used the materials shortage as a convenient scapegoat to hide the
shops failure in meeting the desired production targets.
The warehousing staff were aware of the items in short supply, however, they would
not react fast enough to prevent a stock out or would not react at all unless poked by the shop
staff. In the warehousing unit, almost all the ferrous items were kept in the open in gunny
bags. During rainy season, if the gunny bag had weathered off, the items were lost in the mud.
There were layers of dust in number of godowns. Even though the warehousing staff were

182
almost free of regular work in the second half of the day, the aspect of improving the
housekeeping would not cross their or their managers mind.
During the last 100 years or so, there has not been any planned change initiative in the
warehousing unit. However, ISO 9000:1994 was implemented in part of the wagon workshop.
As per the shop staff, only paper certificate was taken and certification per se had not
brought about any improvement in the shop. Apparently, being a part of government set up,
there was no need to change because there was no demand for change.
Against this backdrop, the researcher made a proposal to the head of the depot to
initiate a change initiative through action research methodology. The head of the depot (Dy
CMM) had arrived at J hansi in March 2004 on transfer from a sister railway and was quite
dissatisfied with the state of affairs in the depot. He was aware of the fact that the J hansi
workshop and depot were going to seek ISO 9000: 2000 certification. He thus wanted that
the change initiative should aim at ISO certification for the depot.
The depot head and his immediate subordinate were advised about the action research
methodology. They were also told about the Plan-Do-Observe-Reflect cycle of action
learning. They were explained that customer satisfaction was one of the central concerns for
ISO 9000: 2000 which could form the initial theme to initiate change towards attainment of
ISO certification. A thematic concern defines a substantive area in which a group decides to
focus its improvement strategies (Kemmis & McTaggart 1988, p.9). It is different from
method which might be used to improve things. Identification of a theme was in line with
the suggestion given by Checkland and Holwell (1998) and West and Stansfield (2001)
mentioned in section 5.5. The action research cycles are dealt with in section 5.6.3.
In the action research cycles, this thesis identifies the head of the depot as Dy. CMM
and his immediate subordinate as DMM.

5.6.3 The action research cycles

The action research consisted of three major cycles. The three cycles and the themes
covered in these cycles are shown in the Table 5.7.

183

Cycle
no.
Time
duration
Objective Outcome
1 April 2004
for three days
Explanation of the purpose of
intervention, understanding the as is
situation. Explanation of process
orientation using Figure 3.4 and the
related concept of continuous
improvement and customer satisfaction
Emergence of the
concept of the next
person in the process as
the customer and
acceptance of the
concept of customer
satisfaction as a valid
organisational motto
2 April 2004
for two days
and May
2004
Finalisation of action plan for
improvement in depot house keeping
Agreement on depot
improvement action plan
3 May 2004 for
1 week
Iterative development of work instruction
and quality procedures,
Preparation of work
instructions, quality
procedures

Table 5. 7The AR cycles
Source: developed from field data.

Selection of co-action researchers: Reflection is difficult when done in isolation. It
works best when done in collaboration with others (Kuit, Reay & Freeman 2001, p. 140).
Kuit, Reay and Freeman (2001, p. 138) have quoted Beaty as having said that for planning
changes emanating from reflection on experience, the question so what should be asked.
Asking the question so what is the most challenging part of the cycle as it involves the
extrapolation of usable knowledge or theory from the reflection on the experience (Coghlan
& Brannick 2001, p.24). Partly because of this and partly to ensure that the opportunity went
beyond the private reflection of the researcher, the researcher decided to have co-action
researchers. To begin with, the Dy CMM and one DMM were included as co-action
researchers. The reason behind taking the managers was to secure enough organisational
clout so as to be able to handle any future organisational politics (Coughlan & Brannick 2001,

184
p.63). Later more co-action researchers were included. The names of co-action researcher are
available at Appendix 8. Enlarging the number of action researchers enabled the co-action
researchers to come up with more reasons to explain the mismatch between expectation and
reality. The Dy CMM was a class 1 officer, the DMMs and the AMM were class 2 officers
and the rest of the co-action researchers and also the staff of the J hansi warehousing unit
were class 3 supervisors.
The different action cycles and reflection cycle are now dealt with.

185

PDCA Cycle no 1 (from 20.4.04. to 22.4.04)

Mini
cycle1.1
Day1 Plan
1.1
Do 1.1

Check 1.1

Get the staff of the depot to focus on a theme which can act as a trigger to
initiate a change initiative in the depot. Use this interaction to develop an
as is situation.

22 supervisors and all the four managers were called for what was
described as a brainstorming session to improve the working standard of
the depot. The session began by asking everyone to write down
(i) How do you measure how well you are working?
(ii) Who are your customers?
(iii) What are the problems faced by the depot?
Based on Delphi face to face (Dick 1999), persons working in similar area
were then grouped together. They were explained that since they were from
the same functional discipline they have been grouped together so that
collectively they can compare their responses. After getting the responses,
they were discussed.
Not everybody answered all the questions.
(i) For the first question, the most popular answer received was through
turn over ratio (TOR) of the inventory. Does the shop care for this? No,
they do not. Then why do you use it? Because this is our departmental
objective and on 31
st
March, we are supposed to meet the departmental
target fixed by HQ. If required we issue the material on paper to shop so as
to reduce our closing inventory and get the required TOR. Why dont the
shop staff care for it? Because their objective is production.
(ii) The answer to the second question generally drew a blank. Some
however mentioned the passengers as the customer for Indian Railways.
(iii) The server is very often down and lack of material handling
equipment were the most cited problems. Suppliers often do not supply
the material on time. This gives the workshop opportunity to complain
about lack of material. But it is not our problem. It is of course a problem
for the shop. It also drew defensive statements such as we do our work

186

Reflection
1.1

perfectly; there are constraints, but work is anyway getting done; there
is nothing much we can do as the purchase order is placed by HQ, if the
firm does not supply, we often make local purchase, but that is not
adequate; shop does not know its own requirement, their forecasting is
erratic.
The above session lasted for one day. The co-action researchers and the
researcher then reflected on the proceedings. The researcher began by
saying whether the lack of awareness about customer was because we, the
logistics and warehousing personnel, did not yet think that we create an
output. From this point of view a component could be considered an output
for a vendor. We were only passing that output to the shop. Thus the shop
was the customer for the vendor. However, the co-action researchers did
not appreciate the logic of the researchers reasoning. They shared with the
researcher, their own lack of understanding about the workshop being their
customer. We do know our functional requirement. But we would like to
know how our functional role gets integrated with the customer approach
which you say is important for bringing about an enduring improvement
asked a co-action researcher.
The emphasis on a departmental objective TOR- which bore no
relationship with the expectations of the customer, made the researcher
reflect before the co-researchers whether, this was a pointer to the existence
of bigger departmental silos which made each department in railway look at
its departmental objectives or improvements only. However, since the
awareness of customer itself was non-existent, this issue was kept pending
for future reflection.
Two abstract conceptualisations from this cycle were (i) J hansi
warehousing unit was steeped in its traditional role. This conclusion was
considered as a valid conclusion because it was mentioned by more than
one member of the J hansi warehousing unit.
(ii) The employees lacked a systemic focus for the organization. They had a
departmental mindset which made them look at their activities from their
own point of view instead of their customers point of view. In fact the
concept of customer was alien to them at that point of time. However this
conclusion was arrived at by the researcher without any confirmation from

187

Intervent-
ion 1.1
the co-researchers. Thus the researcher decided to treat it only as a tentative
conclusion till it was validated more rigorously.
The following interventions were decided by the researcher
(a). Since it was apprehended that the employees do not have an
organization wide focus, it was decided to first explain them the process
orientation inherent in an organisational working.
(b) The next action planning was to impart to the members of warehousing
unit the concepts of customer and customer satisfaction.
(Mini cycle
1.2) Day 2
Plan & Do
1.2

Check 1.2

For the action plan mentioned above, the researcher was interested in using
a framework which could integrate all the above concepts so that the
pedagogy could become simpler. The central process orientation diagram of
ISO 9000 standard (shown in Figure 3.4) was used as the framework to
explain the process orientation, the concepts of customer, customer
satisfaction and continuous improvement. The group was also explained the
concept of internal customer and external customer. Thereafter, all the
participants were asked to indicate the following:
(i) Who are your internal and external customers (ii) Which aspect of your
work affect the customer (iii) How you can improve your work so as to
satisfy your customer better.
They were able to correctly identify their external and internal customers.
As a group they were able to identify activities that contributed to their
customers satisfaction. The activities were:
(a) For receipt ward, ensuring the correct quality.
(b) For storage ward, preserving the material properly.
(c) For ledger section, ensuring that there is no stock-out situation.
(d) For scrap ward, proper lot formation and ensuring that lot is available
for delivery after auction.

However, that it should be their endeavour to satisfy their customer was
not appreciated by them. The shop fellows will never be satisfied. Also,
then we will be at the receiving end because by virtue of being our
customer, the shop staff will only demand and we would be expected to
satisfy their demands come what may. Then they will always have an
upper hand before CWM. Now we are at least equal. As it is, we are not

188

Reflection
cycle 1.2.1

Day 3
working under our departmental boss, we are working under CWM who is
an officer from the mechanical engineering cadre and the shop is a
mechanical shop. On top of it, if we actively begin to satisfy them, these
mechanical chaps will have an upper hand. One of the co-action researcher
said, After all why will they say that they are satisfied with us. The
moment they say this, the responsibility of low production is on them.

The researcher said Can you collectively figure out whether they can give
you additional trouble. They were then requested to think it over and
come the next day.

The session with the co-action researchers was held. They repeated the
apprehension expressed by every one during the day that they cannot
formally declare that satisfying their customer would be their motto. This
way we will only be inviting trouble for ourselves. Because no one in turn
is going to listen to our problems. If the railway decides to go for ISO
certification simultaneously for the purchase office, for other warehousing
units, for accounts office, then it would make sense, because then we will
also be their customers. Otherwise, how can we do something better than
what we are already doing. The researcher responded that may be now we
are able to appreciate how the system called Indian Railways need to be
interlinked with customer focussed performance parameters. This was
agreed by the co -action researchers. However, they could not agree that
warehousing unit should make a proactive attempt to satisfy their
customers. Faced with this situation, the researcher mentally referred to
Ross and Robert protocol (Table 5.5) which dealt with the situation when
there was difference of opinion among the co-action researchers. The
researcher verbalised his thought process to the co-action researchers that
he wanted to understand the larger meaning behind their and their staffs
apprehension in willing to satisfy their customer. It was agreed that the next
day we should try to understand the interpretation of the concept of
customer satisfaction. It was noted that we had requested the staff to mull
over the issue and come the next day.
The next day, every one assembled. One person had come up with a

189
reflection
cycle 1.2.2
(done with
a larger
group
consisting
of the co-
action
researchers
and the
staff)

probe
question

definition of customer satisfaction - cust in Hindi means pain/ problem,
mer in Hindi means to die. Thus he reasoned, customer is a person who
gets satisfaction while we die trying to solve his problem. It was an
amusing metaphor but it found a ready echo among others. Everyone
agreed that it would be akin to dying if they began to satisfy the whimsical
demands of their customer the workshop staff. After some discussion, one
person from the ledger section said If I am giving material to the shop as
per their monthly quota how can they complain before CWM about
material stock-out. In that case, let them first increase their annual
requirement and get it vetted by finance. Then we will place the order. Only
then they can say that we are not meeting their specified requirement. I do
not think customer satisfaction means trying to fulfil even the unreasonable
expectations of the customer.
-And who will decide what expectations are unreasonable some one
asked.
- I think we should decide it before hand. After all when we go to bank,
dont we see that the bank has publicly displayed that the time required to
encash a cheque is 10 minutes. We have to decide something on these lines.
Say that the stock-out situation will not be more than 2%, the man from
ledger section replied.
This was picked up by others. Progressively, they began to agree that if
there could be a way to predetermine the customers expectation of service,
then one could attempt to achieve it and once achieved one could attempt to
improve upon it.
-May be our work will increase. Perhaps we have to work more.
- Perhaps, this is why we are not keen for customer satisfaction. There
was laughter all around. However one of them clarified that it was more of
a mind set. We are used to ensuring that our boss is satisfied with our
work. He has been the ultimate arbiter and the ultimate judge of our work.
That now, we, should endeavour that the workshop - and not the boss - is to
be satisfied with our work, is a totally new concept.
The co-action researchers wanted to confirm that their new
understanding of customer satisfaction is correct. So as a probe question,
they asked all the groups to write that with respect to the activities

190

Interven-
tion 1.2

Reflection
1.2.3

identified on day 2, an action that will enhance their customers
satisfaction.
The following actions were identified as improvement actions-
(a) For receipt ward The drawing and specifications for all the items were
not available. Updating the drawing and specifications was taken as the
improvement action for the receipt ward.
(b) For storage ward There were many chemicals and rubber items, which
were supposed to have shelf life. But the concept of shelf life was not in the
warehousing unit. Thus it was decided that all items which had a shelf life
would be identified and a process would be developed so that they could all
be consumed within shelf life.
(c) For ledger section Since material demand was generated from there,
they needed to closely liaison with storage ward so that self-life items were
not over stocked.
(d) For scrap ward A number of unaccounted vouchers and scrap material
in thousands of tons were awaiting entry into books. The accounting system
needed to be up-to-date.
The responses indicated that the depot staff had correctly learnt the concept
of customer and customer satisfaction. Some of the staff suggested that
since these actions for improvement had now been identified, let us discuss
them for their implementation.
After deliberation, the following action plans were decided-
For storage ward improvement in house keeping was identified as the
first step for improved storage conditions.
For other three wings of the warehousing unit the improvement action
indicated earlier were retained as the action plan.
At the end of day 3, the action research team reflected on the days
proceedings.
(i) One of the co-action researchers began with extending the concept of
mindset expressed during reflection cycle 1.2.2. He said thinking back on
the last three days, it occurred to me that within railway set up, keeping my
boss happy is my main objective. A mental orientation that the customer
should be given what he wanted was there, but I cared for him because I
was afraid that he would complain against me to my boss. Thus again it

191
came back to our boss. Now we understand that keeping the customer
happy should be the motto of our working in railway. He is our new boss.
May be. This would mean dispensing with our internal measures of
efficiency.
Now the measure should be more customer oriented. I think that will
change our very approach to work.
I am wondering why we had been continuing with our departmental
measures of efficiency. I had always been knowing that it was an artificial
contraption.
We went back to our reflection no. 1.1 where we had raised the issue of
railway being a departmental organization. We all being railway persons,
we reasoned with ourselves that within the railway system, we spend a
substantial portion of our time only with our departmental members. Even
outside the office, in railway clubs and other social functions, our
interactions are more often with our departmental members. Thus we
become more clannish in our outlook which makes us difficult to work with
other professional groups within the railway system. Thus there were
expressions of unease at having to work under CWM who was an officer
from the mechanical engineering department. Thus it was natural for us to
think that keeping our departmental boss satisfied with our departmentally
defined professional parameters was our main objective. That perhaps
explained why we were all outraged when we were told to care for our
customer and not our departmental objectives. To probe this question more
deeply, it was necessary to seek viewpoints from other sources. A search of
the literature indicated that development of effective interpersonal
relationships in non-familial setting and outside ones caste have been a
problem for Indians (Kumar 2000). Indians feel very insecure in inter
personal relationship (Chaudhari, quoted in Kumar 2000, p.64). The
researcher decided that the aspect of departmental bias should be validated
from other surveys being done as a part of this research work. Thus, this is
further dealt with in the generalisation arrived at the end of first cycle.
(ii) The action researchers were now satisfied that the concepts of customer
and customer satisfaction have been learnt by the staff of J hansi
warehousing unit. However the concept of continuous improvement was

192
not yet broached before the depot staff. Again, the co-action researchers
expressed their reservation about how can any thing be continuously
improved. Once we reached a target, we can rest. After all, the target is a
measure of whatever level of proficiency we wanted to achieve. The
researcher decided not to broach the aspect of continuous improvement at
that point. We agreed that let us first concentrate on implementing the
improvements we had identified in this cycle.
Learning in cycle 1 (i) Understanding the concept of customer and customer satisfaction
by the employees of J hansi warehousing unit.
Generalisation based on action learning cycle 1

Generalisation (i): Indian Railways is fragmented into different departments.
Validation of the conclusion from different sources The survey A conducted among
senior managers of Indian Railways had also brought out that internally Indian Railways is
fragmented along departments. In Table 4.2, 41% of the respondents wanted to have fewer
departments in Indian Railways and 11.7% of the respondents wanted a lesser role for
finance department. Thus more than 50% of the respondents were in favour of reducing the
departmentalism in the Indian Railways. The departmental fixation makes the Indian
Railway employees look only at their departmental efficiency with a corresponding lack of
concern for customer or organisational efficiency. Reducing the number of departments
and developing more team-oriented work was one of the desirable changes which these
senior managers had suggested.
A second source of validation came from the survey C of ISO certified units in Indian
Railways. A review of the ISO certified units showed that except for Alambagh
warehousing unit, none of the units thought it fit to include finance, HRM and security
departments in their ISO 9000:2000 change initiative, even though systems approach and
team working are amongst the basic principles of ISO 9000:2000 standard. The
contribution of these departments in overall railway working was admitted. But ISO was
treated as a technical activity. Thus these non-technical departments could be left out, said
one of the workshop unit head. Another reason was that I do not know whether they will
like to get into this. Unless their FA&CAO or CPO tell them, they may not go for it said a
M.R. On the other hand managers of these department felt that because we are not in the
mainstream, GM/ CWM perhaps thought we could be left out. Unless the GM/CWM is
from our department, we will continue to be left out like this on the plea that we are not

193
into production. All these showed lack of free and honest communication across
departmental boundaries.
Literature on Indian Railways indicated that the Rakesh Mohan committee had also
identified departmentalism a major problem in the Indian Railways and had recommended
a single managerial cadre instead of ten cadre existing at present.
Thus these three different data sources validate the conclusion that Indian Railways
is departmentally fragmented.
Emerging hypothesis i - At the fundamental level, the caste driven Indian ethos gets
reflected in the working life also.
In India, just as a person is born in a caste and dies in the same caste, likewise, when
he/she joins railway service, it is as if he/she also joins a professional caste which is the
railway department he/she joins. The lack of movement from one department to another
strengthens his/her bond with his/her professional caste. J ust as ones biological caste
defines one boundary of ones early socialisation in India (Kumar 2000, Deshpande 2003),
his/her professional caste in the Indian Railways his/her working department - decides
his/her boundary of adult socialisation within the Indian Railways. J ust as an Indian
develops a feeling of own-others (apne-paraye) with loyalty towards own and
apprehension towards others (Sinha 1991, Sinha 1995), he/she also develops an irrational
affiliation for his/her department and is apprehensive of the moves and intention of
members of other departments. This was amply demonstrated by the persistent
apprehension of J hansi warehouse staff towards the intention of the workshop staff. This
was also the reason why the staff were more comfortable with their departmental boss Dy
CMM than with their non-departmental superior CWM.
After this, the researcher looked for additional evidence for this line of reasoning.
Among the Indian grown organizations, the researcher zeroed on the Indian Army. The
Indian Army was founded by the British about 150 years ago; around the same time Indian
Railways came into existence. The entry into the Indian Army at that time was made on
linguistic and regional lines, a practice which continues even today. Thus the Indian Army
has a Maratha regiment which recruits soldiers who are Marathas i.e. those who hail from
the state of Maharashtra. The Punjab regiment consists of only the Punjabis i.e. those who
hail from the state of Punjab and the Gurkha regiment is having its soldiers from Nepal
only. This reflected the intuitive understanding by the British of what the social researchers
in 20
th
century termed as the own-other (apne-paraye) syndrome of Indians. To
strengthen their hold on India, the British needed the army more than any other institution.

194
They intuitively realised that in order to maintain discipline, develop team spirit and a
sense of belongingness to the army, it was necessary that the members of a regiment
belong to the same in-group be it region based or be it caste based. One wonders what
would have been the fate of the Indian Army if the British had foisted upon it a region-
neutral recruitment policy and the resultant heterogeneous composition which they
practiced in their own British Army and also in all other institutions they developed in
India including the Indian Railways. It is worth noting that though this practice started 150
years back, it is prevalent even today, though India is now a democracy claiming to
provide equal opportunity and no discrimination on the basis of region or caste. That this
institution of region-based recruitment has continued in the Indian Army, strengthened the
researchers hypothesis that in India, the caste driven Indian ethos gets reflected in the
working life also.
Generalisation ii: There is a general lack of genuine concern about customer satisfaction
in Indian Railways.
Validation of conclusion from different sources: A perusal of the performance
yardsticks of Indian Railways (Indian Railways year book 2002-2003) showed that there is
not a single yardstick within its set of more than 50 statistics which can be said to be
customer-centric. All the statistics are nothing but combination of operational and financial
data which are internally relevant to Indian Railways but carry no meaning to its
customers. Since Indian Railways is bureaucratic, customer satisfaction does not come
naturally to its members. Further, the societal induced organisational value does not make
one look beyond ones departmental perspective.
Emerging hypothesis ii The caste system has reinforced the bureaucratic propensity of
lack of teamwork in the Indian Railways.
Earlier it has been seen that the caste-based mentality has given rise to value system
related to functionality, status, power and relationship among the Indian Railway
employees. Thus on the social side, there is hardly any felt need for inter-group interaction.
Both inside and outside the office, the socialisation is more within members of a
department. On the organisational side, till the process of liberalisation started in India in
early nineties, Indians have been used to a bureaucratic working style in almost all walks
of life as large government organizations dominated most of the professions. Literature
review has shown that bureaucracies are not known to espouse teamwork (McHugh &
Bennett 1999). The researcher therefore reasoned that both the caste system and the
bureaucratic set up have worked in tandem which has resulted in poor teamwork among

195
Indian Railway personnel. Sinha and Sinha (1990) have mentioned how personal
relationship (in contrast to professional relationship) is has seeped into Indian
organizations as a social value.
Probe activity: It was decided by the researcher to test this hypothesis as and when the
opportunity arose in the subsequent action research cycles. The opportunity to test it came
during the action cycle 4 dealt with in chapter 6.

PDCA Cycle 2 (from 23.4.2004 to 24.4.2004 and during May 2004)
Cycle 2
Plan &
Do 2

Check
2

In this cycle, the co-action researcher directly dealt with the staff of J hansi
warehouse. The researcher was present only as an observer.
The discussion concentrated on planning for the improvements discussed in
cycle 1.The groups assembled in cycle one continued. Each group was asked to
make a process sheet of their work and identify ways through which the
improvements suggested in cycle one could be implemented. After the process
sheet was made discussions were held about the steps for improvement.
The general conclusion was that it was better if they could visit other ISO
certified warehousing units so that they can get a practical feel of the
improvements made by them. They decided that they would visit DLW and
DCW which were reported to have superior warehousing systems. A group of
five persons visited these two manufacturing units in May 2004. On their
return, they narrated their experience about what they saw and the specific steps
needed for initiating the improvement at J hansi. The specific steps identified for
improvement were:
(i) Each stocking item should have an identified location in the 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 be
improved using the principles of 5S.
(ii) There is lack of material handling equipment at J hansi. The only forklifter is
under breakdown since the last seven years. The electric trolleys are very few
and they are in a very bad shape.
(iii) J hansi depot does not have an updated list of drawings and specifications
for its inspection wing.

196

Act 2

(iv) The unloading of scrap from wagons takes lot of time. It needs to be
improved so that wagon detention is reduced.
In order that the improvement activities get integrated with the ISO related
change initiative the co-action researchers decided that ISO awareness program
should continue concurrently with the above improvement activities.
PDCA cycle 3 (May 2004)

Cycle 3
Day 1
& day
2, Plan
& Do
3.1
Check
3.1

Reflect
3.1

Starting from Figure 3.4, the quality policy, quality procedure and work
instruction were explained to the co-action researchers and a group of 22
supervisors by the researcher. The researcher had planned that in line with the
research model proposed in Figure 5.6, first quality policy, then quality
procedure and finally work instruction would be dealt with in three cycles.
However when feedback was taken from the participants, they expressed
difficulty in differentiating between quality policy and quality procedure, and
between quality procedure and work instruction. It was found that the whole
terminology of quality policy, quality procedure and work instruction were too
esoteric for the staff and they were not able to differentiate amongst these
terminologies.
The reflection in this cycle was done with the co-action researchers. The five
criteria of good action research (Bradbury & Reason 2001) were told to the co-
action researchers. In section 5.5.4, the researcher has mentioned about
Bradbury and Reason (2001) observation that action research should include
extended ways of knowing like song and dance, poetry etc. Scanning the
literature of organisational learning, it was found that Nonaka (1994) had
theorised that metaphor plays an important role in associating abstract,
imaginary concepts (p.21). He said that the essence of metaphor is
understanding one kind of thing in terms of another (p.20). Similarly Prange
(1999) had also emphasised the use of metaphors in organisational learning
(p.39). He looked upon metaphor as a way of thinking (p. 37) which liberate
imagination and thereby encourage varied perspectives for understanding
organisations (p.37).
One of the co-action researchers said that perhaps it was too much for them to
visualise what should be the quality policy of J hansi depot. Policy making is
the job of senior officers, how can we do it?. However, they were aware of the

197

cycle 3,
Day 3,
PDCA
3.2

actual work they were doing and after seeing the work at DLW and DCW, it
was possible for them to decide a way of working which could improve the
working at J hansi. Thus at a physical level they were able to understand the gap
between their work and the work of a better railway unit like DLW and DCW,
but at a conceptual level, they were not able to understand the differences
among the ISO terminologies like quality policy, quality manual, quality
procedure and work instruction.
When they were told of Bradbury and Reasons extended way of knowing and
of metaphors, one of them linked the ISO terminologies with the constitution of
India. The Indian constitution has a preamble, then articles, sub articles and Acts
which flow from the sub articles. From this he developed a metaphor which was
as follows

My intentions are my quality policy. This is like the preamble of the
constitution.
The way I plan to implement my intentions is my quality manual. These are like
the articles of the constitution.
What I do as per the above planning is quality procedure. These are sub-articles
of the constitution.
How I should do what I am supposed to do is my work instruction. Work
instructions are like the Acts which are supposed to be in consonance with the
articles and sub articles of the constitution.

This analogy went well with other co-action researchers. It was then decided to
use this analogy to explain the ISO terminologies to the staff. This analogy
was quickly grasped by the staff also. Now they were able to differentiate
among different ISO terminologies. Now they were conceptually ready to frame
the quality procedures and work instructions. However, they did not agree to the
scheme suggested in Figure 5.6. Instead they reversed it. They first made the
work instructions. Then they ensured that their actual working was as per the
work instructions. Then they made the quality procedure. From there, they
framed their quality policy.

198
Generalisation based on cycle 3
(iii) Developing a metaphor was crucial for understanding of new concepts and their
effective internalisation in the warehousing unit.
Probe activity: The workshop attached with the warehousing unit at J hansi was also
planning for ISO certification. A team of staff from the workshop was sent for training at a
weeklong lead auditor course. They had returned after completing the training program.
They asked one of the co-action researchers whether he could explain the difference
between ISO terminologies as it was not clear during the lead auditor training. It was
decided that the co-action researcher would explain the ISO terminology to the whole team
of the workshop. The team met. The same analogy which was developed during cycle 3
was explained to them. They were able to grasp it. Buoyed with this understanding, the
workshop staff requested for another day long session with a larger group of about 80 staff
members from the workshop
Emerging hypothesis iii Metaphors are important in developing learning capabilities.
Validation of this hypothesis: Even after doing a formal week long training at
accredited ISO training program, the program participants were not able to understand the
difference between different terminologies used in ISO standard, but they were able to
grasp it when explained in terms of the metaphor developed in cycle 3.

5.6.4 Experiential learning during action research

The experiential learning cycle which the researcher underwent is now dealt with.

Experiential learning cycle by the researcher

Experience
1.1

During J une 2003 and J uly 2003, the researcher had worked in the store depot
for about 45 days as the head of the unit. The employees of this unit were
aware that the researcher was pursuing higher study under the sponsorship of
the Indian government. Thus the researcher was not new to employees. The
researcher felt this helped him in developing a rapport with the employees.
Coming to the specific experiences, during all the first three days, whenever

199

Reflective
observa-
tion 1.1

Abstract
conceptua-
lisation 1.1

the researcher entered the class, every one would get up in deference. It was a
normal Indian practice which the researcher had not paid heed to till then.
However, now as an action researcher, it was taken as a possible data point
which could provide important clues to the underlying social dynamics.
The researcher decided to ask them at the end of second day as to why did
they get up when he would enter the class. They were quite surprised that
such normal behaviour could be questioned. After a significant pause, some
of them replied that it was part of their collective upbringing that they were
expected to show respect to their superiors which according to them, the
researcher was. The researcher provoked them by saying that let them not do
it from next time. However, there were murmurs of mild protest. A few of
them got up and said that even the researcher must be getting up when his
superior would walk in, so why should you object when we get up? A few
others said Some officers mind if we dont get up. They take it as an affront.
So why take a chance?

The researcher perceived a status difference between him and the employees
who were being trained by him. Are they considering me as their boss? The
researcher was concerned whether it would promote or hinder free
communication between the learners and him. The researcher reflected back
on the literature review which had pointed out how the hierarchical
orientation is deeply engrained in the Indian psyche as well as in the Indian
bureaucracy and how hierarchical orientation works against team work and
empowerment. However, the researcher recalled from the literature review
(Sinha & Sinha 1990) that it was possible to convert these societal values into
organisational strengths. The researcher decided to attempt that.

The researcher perceived the power equation in the classroom as a superior-
subordinate relationship. He decided to change the power equation of the
group from that of superior subordinate to teacher student: All the staff
had been students in past and the student teacher relationship in India,
though hierarchical, is not power laden. Also if it were a student-teacher
relationship, it would be conducive for learning and the change might not
look directive i.e. being imposed by the researcher.

200
Active
experim-
ent 1.1

On the first day, the researcher had requested them to form groups
amongst themselves so that they can discuss the issues in small groups. About
half of them could not make groups for themselves. Also, not all groups were
able to discuss effectively. The researcher decided on two things. One was to
ask them to make presentation in teams during the next session which was to
take place one week later. Second was that the rest of the groups would
comment on the presentation on a paper and give to the researcher. The
researcher then used these comments to initiate discussion and arrive at a
consensus. This scheme was borrowed from Dicks (1999) rigour without
number.
Experience
1.2

Reflective
observa-
tion 1.2

Abstract
conceptua-
lisation 1.2
ISO training was the first ever training which was imparted to the employees
of the unit. The researcher was surprised at the ease with which they grasped
the concepts and were able to relate it to their work place. After the concepts
of customer, customer satisfaction and how ISO could contribute to it were
internalised by the staff, they did not show any resistance in going for a large-
scale change in their working systems.

The literature generally talks about resistance to change. However here the
situation was different. The staff willingly started a self-sustaining change
program. There was no unfreezing (Hersey, Blanchard & J ohnson 2002,
p.380) required to be done as suggested in the literature on change.

As I reflected on this I reasoned with myself that the prolonged static style of
working in the Indian Railways has developed a pent up dissatisfaction
among the railway personnel against its working procedures. At an informal
level, they understood it. But they were not sure how to get out of it. A
support from their superior and perhaps the pride of changing their working
style in consonance with an international standard called ISO, induced them
on a self sustaining change path. Their inability to grasp the sequential
division from quality manual to quality procedure to work instruction and the
consequent reversal of the scheme suggested in Figure 5.6 could also have
instilled in them a sense of achievement which then pumped them on an
autonomous path of self directed change.

201
Generalisation from the experiential learning cycle 1
(i) The action research at Jhansi showed there is no resistance to TQM oriented change in
the Indian Railways
Validation of this generalisation: In the ISO survey done with different railway units, it was
asked whether there was any resistance to change (see Appendix 4, Q. D6). The summary
of ISO survey is shown in section 4.3. One of the findings of the survey was that except at
DLW there was no resistance to change at other units. This perhaps shows that the
employees of Indian Railway are amenable to a large-scale change initiative if it is
undertaken in a participative manner i.e. involving them.
A special feature of the action research was the opportunity for frank communication
for the warehousing employees. The need for clear and open communication during period
of change has also been highlighted in literature (Robbins 1997, p.390). At a more basic
level, since an ISO based change by itself involves a lot of upward and downward
communication, a lot of participation gets generated during the ISO certification process
which thus builds up employee involvement. The researcher reasoned that this reduced the
resistance to change.
As another possible explanation, the researcher decided to look at the issue from
another angle. Earlier survey A was done to understand the manner in which Indian
Railways should change from the point of view of its senior managers. The survey brought
out that even though Indian Railways is at present a bureaucratic organization,
empowerment and following an informal and flexible management style was supported by
the senior managers. It was thus reasoned by the researcher that since the ISO based changes
were associated with a shift towards more empowerment for the staff and a more informal
hands-on management style in contradistinction to a bureaucratic management style, it
was in tune with the privately held belief of the Indian Railway personnel. Hence there was
no resistance to change.
Emerging hypothesis iv: Indian Railways is amenable to a participative TQM
implementation. Since it is non-threatening to different stakeholders, it is also
implementable.

In May 2004, the work instruction, the quality procedure and the quality manual for
the J hansi warehouse were ready. The team has got off to a good start. Getting off to a good
start is often crucial to enable a team run on a self-sustaining course (Hackman 1990, p.503).
The staff of the warehousing unit were now willing to modify their work methods in line

202
with the ISO documentation. From the ISO implementation point of view, the quality
objectives were yet to be identified for the warehousing unit. At that time, the researcher
decided to withdraw from the scene. He told the managers at J hansi that since they were
aware of the specific steps required to modify their work in line with ISO guidelines, he
would now return. But if they needed, they could call him back.

203

Chapter 6 Reflection after action and development of TQM
transition model

6.1 Reflections after action

This chapter deals with five reflections after action.

6.1.1 Reflection after action- 1

The lack of resistance to change across different units of Indian Railways continued
to nag the researcher to come up with more fundamental explanation than what has been put
forward at the end of chapter 5.
As he reflected on his experience at J hansi, he recalled that during his trip around the
warehouse, whenever he would go with the head of the warehouse to different storage wards,
those staff of the ward who were sitting idle, would move towards the open area around the
ward and start plucking the grass weeds from the ground. The researcher was quite amused
by this conditioned response of the ward staff. He asked them why they resorted to plucking
of grass weeds the moment they saw us. They said that it was the instruction of the Dy CMM
(the head of the warehousing unit) that whenever the staff had no work to do, instead of
sitting idle, they would remove the grass weeds from the ground so that the area around their
ward remained clean. Thus whenever they saw the Dy CMM, they would start plucking the
grass weeds lest he gets annoyed. The researcher asked them that if the purpose was to keep
the area clean of the grass weeds, why not do it at one go and be done with it. The staff said
that the instruction of Dy CMM had to be obeyed. That it could also result in a clean
surrounding was just as well. Dy CMM also did not seem to mind that the staff tended to get
into the mere ritual of plucking the grass weeds irrespective of whether the primary objective
of cleanliness was achieved or not.
The researcher felt that there was a marked tendency among the staff to obey the
instructions of their boss. He also linked this with the lack of resistance to change towards
ISO certification reported in survey C by different railway units. He then reflected back on

204
the dependency proneness tendency among the Indian Railway employees found in survey
B. He wondered whether the lack of resistance to change was because of the strong sense of
identity which subordinates had with their leader the head of their group in line with own-
other syndrome mentioned in the literature review, and high power distance with respect to
the leader reflected through the hierarchical tendency of dependence proneness on their
boss (leader). Was it that together these two factors made the subordinates more amenable to
an internal leaders instruction? Was it that their strong tendency to identify with their boss
made them less critical of the change initiatives if the change initiatives were in consonance
with their privately held belief about how change should occur.
The researcher went back to the literature review (section 2.2.6) where many studies
had said that in India, the power laden organisational interaction emanating from hierarchical
cultural trait is dysfunctional for participative working. The researcher reflected on it and
tried to understand as to how hierarchy introduces dysfunctionality in organisational set up.
After all J apanese culture is also hierarchical (Sinha 1995, p.100). He argued as this:
Hierarchy gives rise to power distance. This differential power status does not permit open
discussion between the superior and the subordinates and perhaps it also tends to legitimise
coercive behaviour. He then tried to understand different types of power from literature. They
are shown in Table 6.1.

Power type Definition
Coercive power The perceived ability to provide sanction, punishment or
consequences for not performing
Reward power The perceived ability to provide things people will like to have
Legitimate power The perception that it is appropriate for the leader to make
decisions because of title, role or position in the organization
Connection power The perceived association of the leader with influential persons
or organizations
Referent power The perceived attractiveness of interacting with the leader
Information power The perceived access to, or possession of, useful information
Expert power The perception that the leader has relevant education, experience
and expertise

Table 6. 1Different types of power
Source: based on Hersey, Blanchard and J ohnson (2002, p.210).

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Among the above power categories, in the context of organization, coercive power,
reward power, legitimate power and perhaps connection power can be thought to come from
the position one holds in the organization. On the other hand, referent power, information
power and expert power can be thought to come from the person. The researcher felt it is the
position based power types which can be said to stifle frank professional discussion between
superior and subordinate. However if the source of power is transferred to personal bases like
referent power, information power and expert power, the same power laden, hierarchical
organisational situation can in fact be used advantageously. He reflected back on the
reflection cycle 1 where the initial superior-subordinate power structure was replaced by a
teacher-student relationship. That still retained the power differential, but the bases of power
shifted from coercive, connection and position to information, referent and expert. Hierarchy
remained, but now instead of stifling discussion and dissent, it promoted curiosity. This
promoted discussion which in turn promoted learning and learning led to change. The
researcher recalled that India has a strong tradition of guru-shishya (teacher - student)
relationship, which though hierarchical in nature has not been dysfunctional. Ancient Indian
scriptures like Upnishad make a special mention of the relationship between a teacher and a
student:

O almighty God, you protect both of us (the teacher and the student) together; you bear both
of us together, may both earn the shakti (power of learning) together, may our learning be
luminous (impressive); may we never bear ill-will towards each other ( from kathopnishad
shwetayashawaropnishad quoted in preface to Rig Ved).

Even in modern India, a student always addresses his teacher by sir, and never by
the teachers name even decades after he passes out from school /college. But this respect,
this differential power relationship does not stifle discussion or difference of opinion, nor
does the tendency for an individualised teacher-student relationship make a teacher favour a
particular student at the cost of other students. Thus the researcher hypothesised that
hierarchy per se was not problematic. What matters is what is the source of hierarchy. On
what dimension does hierarchy differentiate. If it is differentiating on higher dimensions of
power like information power, referent power and expert power, it develops a resonance with
the Indian tradition of teacher-student (guru-shishya) relationship and then, it is conducive
for learning and therefore it is conducive for change. Thus hierarchy can be an advantage it

206
can promote compliance towards change if it is based on such bases of power which invoke a
teacher-student (guru-shishya) relationship between the boss (leader) and the subordinate
rather than a superior-subordinate relationship. A review of literature showed that Indians
have a preference for leadership by gurus (teachers)(Sekhar 2001, p.361). Sekhar (2001)
found Indians to rate teachers to be ethically far ahead of other professions as compared with
Americans. Ancient Indian scripture like Gita also supports a raj-rishi model of leadership
where the king (raj) is also a learned one (rishi a guru, a teacher ) (Chakraborty 1996;
Radhakrishnan 1949, p.383). Ashok is an example of philosopher-king (raj-rishi) in ancient
India (Chhokar 2003, p.13). There is a contemporary example to show that teachers are
intuitively more acceptable as leaders in India. After the last general election in India in the
year 2004, a coalition government was to be formed. The Congress party being the largest
coalition partner suggested three names from its members of parliament as the possible
candidates for the Prime Ministership. Two were veteran politicians with decades of political
experience. The third one was Dr. Manmohan Singh, an academician whom all considered
politically nave. He was regarded more as a university teacher. However, all the coalition
partners unanimously preferred Dr. Manmohan Singh as the next Prime Minister of India to
the other two seasoned politicians.
Thus teachers in the role of leadership have an intuitive acceptance for Indians.The
researcher felt he got an insight as to why there was no resistance to change at the six ISO
certified railway units and also at J hansi. He reasoned that during the process of change, the
subordinates had to learn many new things whose fundamental validity appealed to them. For
example ensuring that there was no item at J hansi warehouse whose shelf life had expired
had a natural validity to the employees. This learning oriented change, induced teacher-
student relationship between the boss and subordinate which in turn invoked higher power
bases like information power and expert power among the subordinates towards their boss.
That is, between the boss and the subordinate, the change situation acquired a teacher-student
relationship which was learning oriented. This coupled with subordinates strong existing
tendency to comply with their bosss instruction because of their socially induced
dependence relationship with the boss, made the subordinates go for the change process
without any resistance.
This led the researcher to formulate the fifth hypothesis.

Emerging hypothesis v: Hierarchical teacher-student (guru-shishya) relationship
with leader invokes personal bases of power which promotes change in India.

207

Thus the position power and coercive power if replaced by information, reward or
referent power will still maintain the hierarchy, but it will take the dysfunctionality out of the
power relation.
This hypothesis has important policy implication for Indian Railways and indeed for
Indian organisations. It shows that a TQM oriented change initiative should generally be
supported by the managers and staff because of the learning bias it generates.
Further, the researcher linked the positive teacher-student (guru-shishya) orientation
with intellectual stimulation factor of transformational leadership (see section 2.2.8) and
reasoned that this teacher-student (guru-shishya) relationship is conceptually similar to the
intellectual stimulation factor of transformational leadership. He also noted that literature
(Bass 1990) has said that intellectual stimulation develops team orientation (see section
2.2.8). On similar lines Hackman (1990, p. 503) found in his study of teams that coaching by
leader facilitated good work by a team.


The researcher then reflected on the tendency of personalised relationship among
Indians and tried to arrive at a fundamental basis to explain this: In Hindu religion, there is
singular interaction with God. In contrast, there is collective interaction with God both in
Christianity and in Islam. In both these religions, a group of worshippers collectively bow in
church or in mosque, but in a temple, a Hindu will jostle with others in a long queue under
the sun, and wait for his turn to make his very individual and very personal offering to God.
If at the time of offering, he is the only person before the deity, he is so much more satisfied
as a worshipper after all, he could make his exclusive individual obeisance to God. Making
a collective obeisance along with many others - who are so different from him - is almost an
anathema to him. Thus there is a ritualised collective worshipping the Friday namaaz and
the Sunday mass- among Muslims and Christians respectively. As against this, there is
ritualised individual puja among Hindus. (The collective worshipping in Hindus is limited
to within family members only who are part of the own group). God is powerful. He can do
much harm and good to the worshipper in his spiritual world. Thus every Hindu prefers his
very personal rapport with his God to the exclusion of others. The researcher looked for
validation of this line of reasoning in literature: Nakamura (1964, p.111) has said that
Indians harbour an ardent desire to have a direct relation with the absolute and refuse to have

208
any intermediate agent. In fact all the three religion which developed in India Hinduism,
Buddism and J ainism assert that salvation of ones soul should be attained only by ones own
effort without relying upon others. J ainism for example says that others cannot protect thee
or help thee(Nakamura 1964, p.111).
The researcher extrapolated this sub-conscious thinking to an office where the boss is
the presiding deity who can do many harm and good to a person in his temporal world. To an
illiterate worker, the boss is the mai- baap (literary meaning the parents. Figuratively it
means like a parent, he holds all the cards for the well being of his son the subordinate).
To an educated manager, the boss is the person who writes his confidential report and
decides his career progression. But, both for the illiterate worker and the literate manager, the
basic orientation towards boss remain the same. Boss represents power in the temporal world
just as God represents power in the spiritual world. Thus it is just as well that an Indian
prefers a personalised relationship with his boss to the exclusion of others. The personalised
relationship is his hot line to God whether spiritual or temporal. It makes explaining
things to him so much simpler when things go wrong as one of the supervisors told the
researcher.
Then, the researcher brooded on the next question: In organisational context, what is
the problem with this personalised relationship and its related concept of own-others
which different studies in section 2.2.6 have referred to? Perhaps, the problem here is that
personal considerations begin to influence organisational decisions. I promote my favourite
subordinate because I like him. So the problem is not personalised relationship per se. The
problem is the extraneous influence it begins to wield on organisational matters. Thus the
right approach is to retain the personalised relationship, but not let it cloud professional
decision. Then the researcher thought of what Bass calls individualised consideration as one
of the factors of transformational leadership (see section 2.2.8). The researcher pondered
whether there was something common between personalised relationship and
individualised consideration: The common point between the two is that both believe in one
to one relationship between the boss and the subordinate- the boss does treat a subordinate as
a distinct individual with his distinct set of needs and aspirations. The difference between the
two is that the propensity for personalised relationship makes the boss give disproportionate
reward to his own (say favourite) subordinates to the exclusion of others, on the other hand
the propensity for individualised consideration, makes the boss relate with the subordinates
on a relationship which is equitable (Bass & Avolio 1997, p.36). This emphasis on equity is
the crucial difference between personalised relationship and individualised consideration.

209
Thus, the researcher argues that it is possible to take this Indian propensity for personalised
relationship and elevate it to the status of individualised consideration, thereby cleanse it
of its dysfuntionality. Survey B (see section 4.2.2) found that the tendency for personalised
relationship though present, is significantly lower than those of status consciousness and
dependency proneness. Thus the tendency for personalised relationship is a weaker
tendency among the three hierarchical tendencies. Therefore, the researcher argues, it would
be more amenable for modulation into a slightly different mould.
The researcher thus argues that instead of having an abstract professional relationship,
if a subordinate prefers a personal relationship with his boss which is weakening, why not
turn this propensity to develop work oriented ethos in place of a bureaucratic ethos. The
researcher goes back to literature review (section 2.2.6.2) where Khandwalla (1992, p.255)
had said that whether a traditional behaviour or a modern behaviour will be evoked depends
on what cues are emitted at work and Sinha and Kanungo(1997) had discussed the high
context sensitivity of Indians. Thus if the boss could zero in on a battery of professional
expectations for his subordinates, and deal with his subordinates on an individual basis and
reward the subordinate subject to his satisfactory fulfilment of the desired professional
expectation, then the very personalised relationship would stand modulated into what Bass
calls individualised consideration. The high context sensitivity of Indians would now act as
a facilitating factor which would make the subordinates more inclined to accept the
professional cues emanated by the boss.

Emerging hypothesis vi: The personalised relationship with a more equitable slant
can be modulated to the status of individualised consideration.


Then the researcher reflected on other factors of the transformational leadership
model and wondered if they could be linked with any Indian specific leadership model.
If the transformational leadership model is compared with the Indian specific
nurturance task (NT) leadership model discussed in section 2.2.6.4, conceptual similarity
between the contingent reward factor of transformational leadership and the nurturance task
leadership can be seen. Contingent reward is a transactional leadership construct within the
transformational leadership model (see section 2.2.8). Sinha also does not consider NT model
as transformational (Sinha 1995). Both aim at satisfactory work performance by the

210
employees. In the contingent award, the award is contingent upon satisfactory completion of
work. In the NT model, nurturance is the award which is given after satisfactory completion
of work. The difference between contingent reward and NT is that contingent reward is non-
personal in its approach, but a NT leader is more personal in his handling of the follower. He
cares for his subordinates, shows affection, takes personal interest in their well-being, and
above all is committed to their growth (Sinha 1990).
Emerging hypothesis vii: The NT leadership model is conceptually similar to the
contingent award factor of transformational leadership.

The emerging hypotheses v, vi and vii led the researcher to create a link between the
components of transformational leadership and its proposed equivalent set in Indian cultural
set up. They are shown in Table 6.2.

Components of transformational
leadership model of Bass
Indian cultural equivalent
Intellectual stimulation Hierarchical teacher-student (guru-shishya)
relationship
Individualised consideration Equity based personalised relationship
Contingent reward Nurturant task

Table 6. 2Components of transformational leadership and their proposed Indian
cultural equivalent


Armed with these insights, the researcher wondered if TQM could be adapted to the
Indian context. The opportunity came in August 2004. In August 2004, the researcher was
invited by Railway Staff College to deliver lecture on TQM to the senior managers of Indian
Railways. Railway Staff College is the nodal training institute for training of senior managers
of Indian Railways. Almost all the managers who attended the 5 days long training
programme were engineers. They had knowledge of ISO and quality management. They had
heard of TQM and some of them were practising many of its tools like fishbone diagram,

211
Pareto analysis, control charts etc. However, they were unaware of TQM as an integrative
concept which could act as a vehicle of organisational change. Thus the researcher planned to
orient their thought to TQM in its totality. Among other things, the researcher explained to
them the critical success factors of TQM mentioned in section 3.6.1. They are reproduced
below for the sake of convenience:

(i) Customer focus
(ii) Communication across organization/ information and data management
(iii) Continuous improvement
(iv) Delegation and empowerment
(v) Leadership
(vi) Process improvement
(vii) Result and recognition
(viii) Strategy
(ix) Supplier focus
(x) Team working
(xi) Values and ethics
(xii) Work culture / congenial inter personal relationship / worker manager interaction

The feedback the researcher got from them was that if so many individual factors
were responsible for successful implementation of TQM, it was not surprising that TQMs
success rate was only around 25% to 30%. How can an organization emphasise on all these
factors simultaneously? And how do I operationalise these factors in actual situation. What
if there is a conflict between these factors in business situations?
As the researcher reflected on these CSFs of TQM and his own unsuccessful attempt
in trying to explain TQM as an aggregate of these CSFs, he correlated this with the difficulty
experienced by J hansi employees in trying to understand the differences between quality
policy, quality procedure and work instruction in action cycle 3. The researcher wondered
whether the reductionist western approach of breaking TQM to its sub components had taken
the essence of TQM out of it. He also wondered that if senior managers were finding it
difficult to accept TQM as a combination of various factors, how this could be explained to
the lower level employees of Indian Railways. This reflection gave the researcher the insight
that if TQM as a concept had to be internalised by the Indian Railway employees, it must be
viewed in a more Gestaltist manner. The gestalt may subsume in it the individual factors, but

212
these individual factors should not be emphasised as the basis for developing an
understanding of the concept of TQM. It has to be reverse. Implementation of TQM should
begin with a singular Gestaltist idea. With time, this idea should gradually lead to the
unfolding of other enabling factors like a dnouement. Then TQM becomes a sequential
concept. This means that not all CSFs of TQM are equally important at the beginning nor it is
possible to begin a TQM oriented change program with simultaneous emphasis on all the
factors. This only leads to confusion and scepticism among the employee as it did with the
railway managers. Rather, there should be a sequential emphasis on these factors starting
with the most basic at the beginning. Literature has also said that it takes between 5 to 7
years before quality is solidly ingrained (Hersey, Blanchard & J ohnson 2002, p.402). The
Deming Prize also maintains a developmental orientation in its TQM model (see section
2.2.3.3, p. 44). This realisation led to the next emerging hypothesis:

Emerging hypothesis vii: There is a sequential relationship among the CSFs of TQM.

Thus a model of TQM based on sequential relationship among these factors should be
more successful than a model which is based on simultaneous application of these factors.

Identification of the central concept of TQM: The emerging hypothesis vii led the
researcher to search for the most basic factor for successful beginning of TQM
implementation. Since the factor was to be such which had to appeal to a cross section of
employees, the researcher began to realise that basically he was not looking for a mere factor.
He was looking for a value an all pervading value which could supplant the existing
bureaucratic value of Indian Railways, a value which was both generic enough to have pan
organisational validity and which was also ethical enough to be acceptable to people across
organisational ladder. Once this value was identified, it could piggyback on the cultural trait
of an Indians strong identification with their leader (boss) for its dissemination and
acceptability. The researcher looked at TQM in its totality. He reasoned with himself that of
all the components of TQM, customer satisfaction was that component which should be
propagated as a value rather than as a measure a la customer satisfaction index - across an
organization: If it becomes a value which pervades the nooks and corners of an organization,
it will become an underlying current, the new ethereal medium like air - which people
breathe. Employee and their organization will asphyxiate if this new ether is sucked out of
their organizational space. Thus in this new organization call it customer-centric

213
organization -the boss should both propagate and reward only such behaviour which is in line
with the value called customer satisfaction. For this to happen, the staff should be able to
relate with customer satisfaction in an intuitive way. It will then become a value. It will then
not remain an abstruse concept to be measured mathematically. The reason for choosing
customer satisfaction was its universal validity across different types of organizations. The
ethical relevance of customer satisfaction was developed as follows: In the action learning
cycle 1, one of the staff had mentioned about how banks had decided that they would encash
a cheque in 10 minutes. This logic was taken further: In his/her day-to-day life an Indian goes
to a bank, to a municipal office, to an electric supply company office or to a hospital. The
common theme in all these institutions is that he/she is a customer and he/she wants his/her
problem to be addressed efficiently. However, the general experience in India is that
interaction with these institutions leaves a bad taste in mouth. If the staff in the Indian
Railways are explained that the common theme lacking in these organizations is a customer
orientation, they should be able to understand its relevance to their organization. In fact then
customer orientation does not merely remain a value, rather, it becomes a meta-value i.e. all
other values are then reinterpreted to facilitate the meta value called customer satisfaction.
Since Indians are prone to think in totality rather than in a reductionist way, the
understanding of customer satisfaction as a meta-value valid across different organizations
will make them understand the big picture and their own role in that big picture. Once they
are able to fathom that customer satisfaction is the new mantra, and once they are able to
draw the big picture for customer satisfaction and the role in it for themselves, then a jumbled
puzzle called organisational change should gradually begin to make sense and start taking a
meaningful shape. The resulting process orientation should create a fertile field in which will
sprout such enabling factors as teamwork, delegation and empowerment, communication
across organization etc. Because of the subordinates strong identification with their boss, if
the boss supports customer satisfaction as the new mantra, then due to its general intuitive
appeal across employee categories, customer satisfaction has the potential to become the new
organisational value. The survey C of railway units also showed that development of
customer orientation has been one of the consistent outcomes of ISO certification. That is,
while ISO certification might or might not have resulted in inculcation of other aspects of
TQM, it did develop a customer orientation in the employees at the ISO certified railway
units.

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6.1.5 Development of TQM transition model

With these insights, the researcher began framing a model for TQM implementation
within the framework of ISO 9000 suitably aided by the emerging hypotheses developed
earlier in this research. The model developed is shown in Figure 6.1.

215
legend: mech- mechanical
stor-stores
elec- electrical
pers-personal
fin - finance

Work culture

Autonomy (delegation & empowerment)

Teamwork, communication across organization

Figure 6. 1Model for sequential development of TQM factors using the ISO framework

216
The model in Figure 6.1 shows the sequential development of different factors of
TQM within the ISO framework. It begins with the TQM factor called process orientation. A
process is defined as a collection of activities that takes one or more kinds of inputs and
creates an output that is of value to the customer (Hammer & Champy 2001, p.38). This
definition shows that adding value to the customer is central to the concept of a process. Thus
process orientation is closely related with customer focus. The model shows that the first step
is to replace the functional orientation of different departments by process orientation. This
can be affected by developing process based ISO documents instead of function based ISO
documents. This process orientation is the first activity which should kick start congruent
behaviour disposition among members of different functional units in an organization. ISO
9000 has a concept of corrective and preventive action (CPA). This aims at identifying
deficiencies in the organisational working and developing ways to eliminate them. The
process-oriented documentation of ISO 9000 should give rise to such CPAs which transcend
a functional boundary. The compulsion of CPA should necessitate interaction across
functional silos and therefore gradually inculcate teamwork. Coordination and information
management across different functional units should then be a by-product of these activities.
Progressive improvements thus brought about by CPAs should imbue a feeling of autonomy
among the employees. This feeling of autonomy is itself empowering that is, in this
situation, empowerment is not something which is delegated by superiors. The employees
feel empowered. All these give rise to a work culture which promotes worker manager
interaction and congenial interpersonal relationship. Thus, the initial trigger is process
oriented ISO documentation. This will give rise to process oriented quality objectives. Thus
functional orientation begins to get de-emphasised from the very lowest level.
The model shown in Figure 6.1 should be contrasted with the functional model shown
in Figure 3.3. In Figure 3.3, the vertical purple lines are indicative of functional orientation
and the blue horizontal lines are indicative of coordinational orientation.
Figure 6.1 is different from Figure 3.3 in four respects. The first difference between
Figure 3.3 and Figure 6.1 is that there is no centralised focus in Figure 3.3. Each department
defines its own objectives and ways of working. But in Figure 6.1 the customer focus gives
rise to process orientation. This process orientation is essentially a way to operationalise the
customer focus in terms of the nuts and bolts of organisational working.
The second difference is that the spiral vortex of CPA (see blue spiral arrow in Figure
6.1 shown in blue because CPA creates the coordinational orientation) sucks all the

217
departments towards the focus of customer satisfaction. Thus the functional cylinder of
Figure 3.3 is transformed into a funnel in Figure 6.1.
The third difference is that the coordinational vector which was confined at the level
of GM/DRM in Figure 3.3 is now at all levels in Figure 6.1 represented by the blue CPA
spiral vortex.
The fourth difference is that coordination is no longer required to be attempted by
GM/DRM as in Figure 3.3. It gets integrated in the work vector itself. In Figure 3.3, the work
vector (shown in black arrow) consists of two components the coordinational vector
(shown in blue horizontal arrow) exerted by GM/DRM and the functional vector (shown in
purple vertical arrow) exerted by functional superiors within a department. That is, the work
which an employee performs is reducible into two mutually independent components of
coordinational work and functional work. However, in Figure 6.1, there is only one vector -
the black work vector (shown as the contours of the funnel). The mutually independent
functional vector and coordination vector of Figure 3.3 is now subsumed in this single work
vector because of the pull exerted across levels and across functions by the CPA vortex even
though the functional departments retain their individual identities.
Where does leadership fit in this model? The facilitating role of leadership is shown
at different levels of transition to TQM by the semi circular arrows which provide the
required vortex at the beginning (at the lowest level which is the first TQM level) by
emphasising the process orientation. Then as the CPA vortex draws the organization up
towards continually improved working, appropriate leadership and appropriate reward and
recognition system at the subsequent higher levels of TQM will further facilitate this vortex.
It is to be noted that this model does not presuppose a transformational top leadership as has
been mentioned in earlier literature (see section 2.2.5.2). A good transactional leader with an
understanding of this model should be sufficient to make a beginning. However
transformational leader will definitely facilitate the creation of vortex by emphasising the
process orientation.
Further, the model till now is independent of the contextual role of organization or
country specific values and culture. Their contextual role gets operationalised at the level of
leadership and reward. In the Indian context, drawing from Table 6.2, the role of leadership is
that of a facilitator who maintains a reward and recognition system which is hinged on the
three Indian specific values of equity based personalised relationship, hierarchical teacher-
student relationship and nurturance based on satisfactory task completion. These are
pictorially shown in Figure 6.2.

218

Work culture



Figure 6. 2Model for implementation of TQM in India using the ISO framework

219

The model synthesises the current literature of TQM with the Indian specific cultural
values, Indian specific organisational values and Indian specific leadership style and
therefore can be considered as a valid TQM implementation model in the Indian context.
This model shows that making a beginning with a NT leadership style, the leader should
develop an equity based personalised relationship with the subordinates. He/she should also
orient the superior subordinate relationship with subordinates into a teacher- student (guru-
shishya) relationship. This will create the cultural groundswell in which the subordinates will
be ready for an ISO based change targeted towards TQM. Then to create the customer focus,
process based ISO document should be created. Once work starts on the lines of process
based documents, then the CPAs generated as a result of ISO implementation should be
implemented and the employees should be rewarded for generating and thereafter
implementing the CPAs. This process orientation is the first activity which should kick start
congruent behaviour disposition among members of different functional units in an
organization. The process-oriented documentation of ISO 9000 should also give rise to such
CPAs which transcend a functional boundary. This will give rise to teamwork and
communication across organization. Progressive improvements thus brought about by CPAs
should imbue a feeling of autonomy among the employees. This feeling of autonomy is itself
empowering that is, in this situation, empowerment is not something which is delegated by
superiors. The employees feel empowered. All these give rise to a work culture which
promotes worker manager interaction and congenial interpersonal relationship. Therefore, the
primordial affiliation to ones professional caste his/her department in railways- begins to
get de-emphasised from the very lowest level. Similarly, the feeling of autonomy and
empowerment also begins to de-emphasise the dependency proneness upon superiors. The
continuous improvement brought about by the CPAs keeps the organization focussed onto
the customers.
After this model was developed, the researcher looked for an opportunity to validate
this model.

6.2 J hansi revisited
.
In December 2004, the head of the J hansi warehousing unit telephoned the researcher
to come to the J hansi for few days. He said he wanted to show the improvements which had

220
come about in the depot and to seek suggestions for further improvement. The researcher
visited the depot for three days. The broad areas of improvement which were identified in
cycle 2 in May 2004 and their status in December 2004 are indicated in Table 6.3.

Improvement steps
identified in May 2004
Their status in December 2004
(i) Each stocking item
should have an
identified location in the
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 be
improved using the
principles of 5S.
(i) All the 1300 items were having a specified location in the
warehouse. Different storage bins and ground space were
allocated 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. However, this time, the staff
did not wait for the civil engineering department. They did all
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.
(ii) There is a lack of
material handling
equipments at J hansi.
The only fork lifter is
under breakdown since
the last seven years. The
electric trolleys are very
few and they are in a
very bad shape
(ii) Proposal was made for replacement of electric trolleys and
fork lifter. In the railway system, every proposal for
replacement of old machinery is required to be cleared by the
finance department. However, this proposal 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 back by finance. The
matter rested there i.e. the depot continued to live with the
problem of lack of material handling equipment.

Table 6.3 (contd)

221

Table 6.3(contd)
Improvement steps
identified in May
2004
Their status in December 2004
(iii) J hansi depot does
not have an updated list
of drawing and
specifications for its
inspection wing.

(iii) The staff of J hansi depot found out that soft copies of most
of the drawings were available at the Research & Development
centre of Indian Railways. They had collected the soft copy of
the drawings and specifications of the wagon components. The
soft copy was in the process of getting integrated with the
computer system of the warehouse.
(iv) There are certain
items like paints,
electrodes, varnishes
which have limited
shelf life. However, the
concept of shelf life
was not there.
(iv) All items with limited shelf life were identified. The
preservation methods for the shelf life item were collected from
other railway units. Work instruction was developed to
formalise the preservation methods for different types of shelf-
life items. The concept of matching the consumption pattern
with the in-bound material supply was developed so that there
was no excess build-up of stock for shelf-life items.

Table 6. 3Improvement steps identified in May 2004 and their status in December 2004
Source: developed from fieldwork.

Table 6.3 shows that the changes in the depot which were within the control of depot
were successfully implemented. However, the depot could not get any of the material
handling equipment because the proposal for their replacement was not cleared by the
finance department. The finance wing worked under the same Chief Workshop Manager
(CWM) under whom the warehouse worked with the proviso that the CWM could not
overrule or even modify the decisions taken by his Finance Manager. The researcher asked
the Dy CMM whether he approached either the head of the finance or the CWM to intervene.
He had not done that. The researcher then went to the head of the finance and asked him
whether he was satisfied that material handling equipment of the depot were required to be
changed. He answered in the affirmative. Then why did you not give financial clearance for
the purchase of those equipments? That was partly because we wanted to see how serious
the depot was to buy these equipment and partly because we as a matter of convention do not

222
give financial clearance at the first go. They will then take us for granted. Did you not give
financial clearance because all the required papers were not available? No, that was just an
excuse to return the proposal uncleared. In this case, I know the papers are not available.
However, after returning the file two three times, I will finally accord the financial clearance.
But for that, Dy CMM should talk to me personally and request for the same. Why should
he talk to you? the researcher asked. Because if he requests personally, even though it is an
official matter, it can be treated differently.
Confirmation of emerging hypothesis ii: The success of the change initiatives in such areas
which were under the control of the warehouse and the failure of the change initiative where
it required inter-departmental dealing made the researcher go back to the emerging
hypothesis ii: The caste system has reinforced the bureaucratic propensity of lack of
teamwork in the Indian Railways. The researcher took this instance as the confirmation of
emerging hypothesis ii. It was yet another example of the impact of the caste induced value
of own (apne) others (paraye) on organisational 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. For the members of the warehousing unit also, it was just as well
that the finance department did not give the clearance. The Dy. CMM said the finance is a
separate (read other paraye) department. So they do not care. But whatever we had
planned in May 2004, we have done (read apne own do not create problem for each
other).
As the researcher reflected on this instance, he reasoned that as a railwayman, he had
been aware of the importance of personal relationship in getting inter departmental issues
settled. In fact, his experience has been that good personal equation across departments and
not just professional excellence has often been the key differentiator between a good team
person and a poor team person in the Indian Railways. It has been reported that collectivist
managers perform poorly when they work with out-group members as compared to in-group
members (Sinha 1997, p.59). The researcher referred back to the literature review where
Myrdal (1968) and Khandwalla (1999) have mentioned about India being a soft state where
accommodation and not confrontation between different groups are preferred (Sinha & Sinha
1990) and where problems are allowed to simmer instead of getting solved at the cost of long
term dysfunctionalities. At J hansi also, the problem of lack of material handling equipment
was allowed to simmer.

223
6.2.1 The next action cycle

The ISO certification process had started in December 2004 and a certifying body
was identified which was to do the certification for the workshop and the warehouse. Dy
CMM therefore wanted a set of quality objectives to be developed for the warehouse. Thus
started one more PDCA cycle. The researcher used this cycle to validate the sequential TQM
model developed in Figure 6.2.

PDCA cycle 4 (December 2004)
Plan 4 Develop the quality objectives for the warehousing unit
Do 4 The six-month period from J une 2004 to November 2004 gave practical experience
to the warehousing staff about ISO oriented working. Now they wanted to develop
quality objectives for the warehousing unit. The quality objectives were explained
as a measure which could be used to adjudge how well the warehousing unit was
working. Then the staff were asked to frame the quality objectives for their areas of
work.
Check
4
The group of staff came up with a wide range of statements. Some of them narrated
what they were doing -the work of line delivery section is to distribute consumable
items to different railway stations. Some of them came up with what was an
improvement activity for the warehouse- to keep the material in the bins and not on
the ground. As in PDCA cycle 3, once again a metaphor helped in explaining the
concept. The metaphor was Your heart works all the time. How will you know
how good is your heart? The answer was by measuring the blood pressure.
Similarly, you are working all the time in the warehouse. But how do you know
how bad or good is your work. This is what quality objective does. It measures your
work quality. After prolonged discussion, they were able to come up with
quantifiable quality objectives. But the quality objectives were functionally defined
e.g. number of stock sheets in storage ward, time taken in placing a purchase
order. At this time, the researcher decided to explain to them that during the earlier
interaction in April 2004 (refer PDCA cycle 1 in chapter 5), they had understood
that the basic objective of their work was customer satisfaction. Thus a valid quality
objective should be customer oriented and not function oriented.
contd

224

contd
Act 4 The quality objectives suggested by the head of the warehousing unit were:
(i) Time taken in material accountal after it is received in the warehouse.
(ii) Time taken in putting up a lot for auction after it is received.
However, there were murmurs of protest about how could one decide how well
was the receiving ward doing when the time taken in material accountal
depended on three different wings of the warehouse receipt, inspection and
storage. Receipt ward quality objective should be based on receipt ward work
only. But this begs the question what work is receipt ward doing? Receipt
ward is only doing invoice matching. The MR interjected, If we are talking in
the context of ISO, then the quality procedure of receipt ward is the
authoritative document to say what work receipt ward does. If what receipt
ward does is given in its quality procedure, then we should first change the
quality procedure. Let quality procedure say that material accountal is one work.
Let it not say that invoice matching is one work. Then only we should assess
how well this single work is being done. Thus began the discussion about
reframing the quality procedure for ISO 9000. Till then there were eight quality
procedures made more or less on the functional lines. On the third day, the
number of quality procedures was reduced to two. These two quality procedures
were (i) supply of material to the workshop (ii) 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 ledger
section, receipt section, inspection section and the storage 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 Hammers
definition of a process a process is a set of activities which provides value to
the customer (Hammer & Champy 2001). The understanding of quality
procedure developed in PDCA cycle 3 was that quality procedure tells you what
you do. Thus if what I do is part of a process, then I am willing to accept a
process based quality objective as one of the co-action researcher put it. Now,
there was more agreement in accepting the two quality objectives as valid
measures of what the staff were doing. Now I know what I am supposed to do
I am supposed to work in a manner that the material is quickly accounted for

225
so that it can be quickly supplied to the workshop and that will decide how well
I am working. Like a horse wearing his side blinds and pulling a tonga (cart),
my work should gallop forward towards the customer and not lurch sideways.
Now the staff were able to accept that their individual work was part of a bigger
work process and that it was that bigger work process which provided value to
the customer not their individual work. Therefore since customer satisfaction is
the ultimate objective, we should aim to improve the bigger work process even
if it means sub optimisation of a section within that bigger work process. But
this sub optimisation should not be viewed against me.
Reflection
4
The way this cycle started, it once again confirmed the earlier finding about lack
of team orientation. However, the new thing here was that once the quality
procedures were made process oriented there was a change in the staff
orientation towards their specific work. Now, they were willing to accept
quality objectives which went beyond their individual task. 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 more gestaltist manner were thus able to appreciate the
work in its totality. Therefore, it also appealed to them intuitively. Once
organization gave them the cue (by framing process based quality procedures)
that it was the total working across a process which would now matter, they
were mentally able to reorient themselves towards this.
In addition, they now knew that the rewards would be on group working. Thus
the reinforcing effect of reward and recognition would further strengthen their
group-oriented behaviour. The changed focus of the work group was now we
know what we are supposed to do. We are together supposed to work in a
manner that the material is quickly accounted for so that it can be quickly fed to
the workshop and that will decide how good we are. The researcher tried to
look at this change in the context of Indian specific values. He reasoned that the
vertical collectivism (see Table 2.13) earlier confined within a section of the
warehouse, now became organization wide. People retained their collectivism; it
only became wider and thus aided in organisational output. This is how the
collectivistic orientation of Indians can contribute in TQM oriented change
within ISO framework.

226

The PDCA cycle 4 more or less satisfied the researcher about the importance of
establishing process based quality procedures for inculcating teamwork among the
employees which creates the initial vortex (see Figure 6.2). This led to the framing of another
hypothesis:
Emerging hypothesis viii: Framing process based quality procedures and quality
objectives leads to development of team orientation in the context of TQM implementation.

However, other crucial aspects of the model were the importance of corrective and
preventive action (CPA) and the reward system for continued propagation of vortex. They
remained to be tested. This has been dealt with in section 6.3.

6.2.2 Action Research revisited

After PDCA cycle 4 in December 2004, the researcher had no interaction with J hansi.
In April 2005, he held a discussion with his supervisor at Banglore, India. Thereafter, he
decided to check the state of affairs at J hansi. The researcher held an interview with the
action research team of J hansi. By then three of them were transferred elsewhere. The other
two informed that:
(i) They had instituted two awards one for the best ward and the other for the best office.
Ward reflected the material flow process, office indicated the support system process.
(ii) The J hansi warehousing unit was adjudged the best warehousing unit in the North Central
Railway.
(iii) For another process scrap disposal, J hansi was adjudged the best in the Indian
Railways and in recognition of this, the head of the warehousing unit was personally awarded
by the Railway Minister of India.
(iv) In contrast, the workshop attached with the warehouse was still struggling to get its
quality procedures and work instructions ready, even though they had appointed a consultant
to assist them in documentation.
(v) In the area of information technology, a Material Management Information System was
initiated for implementation in the warehouse. It was made ready for inaguration by the
Additional Member (Stores) of the Indian Railways in March 2006.

227
Another unit Electric Loco Shed, J hansi was used to cross verify some of the
conclusions drawn earlier. This unit was ISO 14000, OHSAS 18000 and ISO 9000 certified.
Sicne it added to the rigour of the conclusions, it has been dealt with in section 7.4.
According to Weisbord (1987, p. 373) concept of improvement evolved in four stages.
The first stage was experts solving problems piecemeal based on Taylorism. The second
stage was everybody solving problems piecemeal based on participative management. The
third stage was experts improving whole systems based on system thinking. The fourth
stage was everybody improving the whole system based on what he calls the third wave
action project. In the third wave, one goes beyond the design limits, one tends to reach
beyond the boundaries of realism so that people can realise their full human potential
(Weisbord 1987, p. 374).
At the end of the AR cycles, the researcher felt because everybody was improving the
whole system, a large-scale transformation could be implemented in a short time.

6.3 Validation of the TQM transition model

In April 2005, during his visit to Banglore, the researcher visited the Wheel and Axle
Plant of Indian Railways. This was one of the railway units which were earlier surveyed
during survey C and survey D. It was also the first unit in the Indian Railways to get ISO
9000 certification in 1994. It was learnt that in the year 2004, WAP was awarded the Golden
Peacock award - one of the three Indian TQM awards (see Table 2.7). It was then decided to
use WAP to further validate the model developed in Figure 6.1 and Figure 6.2. At the end of
section 6.2.1, it was mentioned that the aspect of CPA was yet to be validated. Therefore, the
number of CPAs and rewards given in WAP were compared with corresponding figures in
other six units. It was also recalled that after Table 4.7, it was postulated that there were other
intervening variables which were not obvious at that time which could explain the difference
in the scores on TQM transition questionnaire between DLW and WAP. Thus for the sake
of comparison, the Table 4.7 with the number of CPAs and rewards added as additional
column was modified as Table 6.4.

228

Railw-
ay unit
Score
on
TQM
trans-
ition
scale
No. of
years
since
ISO
9000
certi-
fication
till Jan
2005
Unit
headed
by a
trans-
form-
ational
leader
Invol-
vement
of all
depar-
tments
in the
ISO
certif.-
cation
process
Requi-
site
delega-
tion of
autho-
rity to
the
head of
unit
Use of
statist-
ical
techni
-que
Num-
ber of
empl-
oyees
Aver-
age
no of
CPA
raised
per
year
since
2001
No of
awards
given last
year
Parel
work
shop
(PRL)
13 3 No No No Non
existe-
nt
1850 15 6
Alamb-
agh
ware-
housing
unit
(AMV)
13.17 1 Yes Yes No Some-
what
805 5 nil
Bhopal
work
shop
(BPL)
13.33 4 Yes No No Some-
what
1800 11 13
5800 141 57 Diesel
Locom-
otive
Works
(DLW)
25.33 8 No No Yes Some-
what
(2 tier CPA, one at AU level
and another at apex level)
3786 12 32 Diesel
Comp-
onents
Works
(DCW)
10.33 7 No No Yes Low
2300 More
than
100
1725
during
2004-
2005
Wheel
and
Axle
Plant
(WAP)
37.66 10 No No Yes High
Integral
Coach
Factory
(ICF)
21.33 9 No Yes Some-
what
7250 18 67
Table 6. 4Comparison of scores on TQM transition questionnaire of different units of
Indian Railways and the juxtaposition of intervening factors including no. of CPA and
no. of reward

229
Table 6.4 shows that what singled out WAP from other units were the large number
of CPAs generated by the employees of WAP and the large number of awards given to them
in recognition thereof. 1725 awards were given during 2004-2005 in WAP where the
employee strength is 2300. Each year, More than 100 CPAs were raised there. Against this,
at DLW less than 100 employees were awarded but 141 CPAs were raised each year. DLW
has staff strength of 5800. Thus though the number of CPAs were more in DLW, as a ratio of
employee strength, WAP was much ahead of DLW. However as a group, both DLW and
WAP were ahead of other units in terms of CPA raised and awards given. This was in line
with the model suggested in Figure 6.1 which emphasised the use of CPA and reward for
continued upward whirling of the vortex. Because WAP had the largest number of CPAs and
awards as a ratio of employee strength, it scored the highest on the TQM transition scale.
DLW had the second largest number of CPAs and awards and it score the second highest on
the TQM transition scale. Further, both WAP and DLW were having two-tier CPA system
one at the auditing unit (AU) level and another at the apex level. Presence of two-tier CPA
system was indicative of deeper assimilation of CPA concepts in these two units. It was also
noted that WAP had process based ISO documents which DLW did not have. The
importance of process-based documents was brought out in PDCA cycle 4. Thus WAP
became another source to validate emerging hypothesis viii. WAP was not led by a
transformational top leader from 2000 to 2004. (MLQ questionnaire could not be used for the
top leader prior to 2000 at WAP as the persons who could talk about him were transferred out
of WAP). This was again in line with the model in Figure 6.2 which does not presuppose
transformational leadership for progression towards TQM, though it accepts the facilitating
role of transformational leadership. The large number of CPA in WAP showed that perhaps
the transformational leadership was relaced by transformational team a set of self
empowered staff who were sailing on the vortex created by CPA and reward.
This validation of the TQM transition model lead to the formulation of another
hypothesis:

Emerging hypothesis ix: A multi tier CPA reinforced with reward and recognition system
positively intervenes in the transition of an ISO certified organization towards TQM.

The research showed that among the seven units which were included in the survey,
WAP could be classified as being a TQM organization followed by DLW. In the case of
WAP, the use of corrective and preventive action mechanism of ISO was crucial for

230
implementation of a number of small improvements which was reinforced by an
institutionalised reward system. WAP also used statistical techniques quite extensively. WAP
however was not led by a transformational leader in the last four years. However its leader
had the requisite delegation of authority. DLW also had a well-established 2-tier CPA system
and was not led by a transformational leader. But its reward system was nowhere near that of
WAP. Thus DLW could not get a reasonably high score on the TQM transition questionnaire.
In the case of BPL, the presence of 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, the presence of transformational leader
and the involvement of all departments brought it in one year at par with units like BPL
which were ISO certified more that 3 years back.

231
Chapter 7 Conclusion

7.1 Introduction

This thesis started with the research issue whether TQM could be used as a model for
organisational transformation of Indian Railways? If yes, how could it be effectively
implemented in Indian Railways? In trying to seek answer to this research issue, the
researcher developed some research questions in chapter 3. The next section summarises the
findings of this research with respect to those research questions.
7.2 Conclusions about research problems

The first research question was: What are and what should be Indian Railways core
values, style of management, growth strategies, competitive strategies and changes in
organisational structure / management system so as to transform Indian Railways into an
excellent organization.
As per the senior managers of Indian Railways, developing a commercial
orientation, team working, empowerment and customer focus are the desirable policies
to be adopted by Indian Railways.
This shows that as an internal working model, TQM based change initiatives should
find a ready echo among senior railway managers. This understanding is more remarkable
when it is realised that the respondents were having complete freedom to indicate any type of
policy change they felt desirable, yet a common set of factors with a pronounced TQM slant
emerged as the desirable policy change.
Being a fair and just employer and making a useful contribution to society are the
two existing organisational values of Indian Railways which emanates from the welfare state
policy of the Indian government. As against this, total quality in every operation and
developing a customer orientation are the two desirable values which Indian Railways
should acquire.
The existing management style of Indian Railways is cautious, with clear formal
reporting relationship and a clear distinction between those who give orders and those who
implement them. In the opinion of the researcher, these indicate a bureaucratic and
hierarchical style which, given the bureaucratic and cultural background of Indian Railway

232
employees, are not surprising. However, the senior managers of Indian Railways strongly
want a bold but calculating risk taking management style characterised with flexibility,
informality and resourcefulness, a management style which is professional and system
oriented. This is same as innovative organisational culture discussed in section 2.2.1.2 of
literature review which finally leads to continuous improvement which is again a TQM based
concept.
The existing growth strategies of Indian Railways are related and unrelated capacity
building and geographical expansion of railway network. As against this, the desirable
growth strategies are empowerment and rapid expansion of customer base by weaning
customer back. Empowerment has already been identified as one of the critical success
factors for TQM.
Indian Railways existing competitive strategy has been to compete on the basis of
price and by offering service to specific market segments. There is almost total unanimity
that the desirable competitive strategies should be to compete on the basis of quality and by
offering novel or unique services. Once again quality strategy and innovative culture are the
desirable directions of change.
With respect to organisational structure and management system, Indian Railways is
trying for greater delegation of authority and a sophisticated management and control
system. The senior managers felt that greater delegation of authority and a leaner
organization should be the desirable changes. Greater delegation of authority is same as
empowerment- a TQM enabler.
This analysis shows that TQM itself and many factors and core concepts of TQM like
continuous improvement, empowerment, customer focus, quality based organisational
strategy, systems approach have been identified by the respondents as the desirable changes
which Indian Railways should initiate.
If TQM is the proposed model of change for Indian Railways, to what extent there is
congruence between TQM oriented organisational culture and the cultural values of Indian
Railway personnel. Towards this, this thesis specifically assessed the hierarchical orientation
among the Indian Railway persons. It showed that the hierarchy is a deeply engrained
culturally induced organisational value among the Indian Railway persons. Younger
employees (less than 30 years of age) and older employees (more than 50 years of age) have
similar hierarchical orientation. Since hierarchy is supposed to be having strong negative
influence on TQM implementation (Tan & Khoo 2002, Tata & Prasad 1998), this conclusion
has important implications for the Indian Railways.

233
The second research question was: What is the impact of ISO 9000 implementation
on Indian Railways?
It was generally agreed that certification resulted in better understanding of process
& responsibility and linkage to other functions. The researcher therefore concluded that it
helped in developing a process orientation among the employees of Indian Railways. Team
work came out as the most important lesson learnt followed by the realisation that people
make the system work.
Implementation of document control prevented non conformities on account of use
of obsolete documents or no documents. Except at WAP, there was not much use of
statistical techniques at other units.
Some other observations, relevant in the context of this research are:
(i) Continuous improvement was the reason behind certification. Literature review (section
2.2.5.2) had shown that management intent behind ISO certification was found to be an
intervening variable in an organizations transition towards TQM.
(ii) Top management was very involved in the quality system. Literature review had shown
that leadership (section 2.2.2, 2.2.3.1, 2.2.3.7); particularly transformational leadership
(section 2.2.5.2) has been a crucial intervening variable in an organizations transition
towards TQM.
(ii) There was almost no resistance to change. This is contrary to findings in western
literature on management of change (section 2.2.7.2).
The third research question was: To what extent has the implementation of ISO 9000
brought about a TQM orientation in Indian Railways. This involved development of a scale
which could objectively measure the transition of an ISO certified organization towards
TQM.
The research showed that among the seven units which were included in the survey,
WAP could be classified as being a TQM organization followed by DLW.
Cleanliness and delegation of authority commensurate with organisational
responsibility were the necessary prerequisite for beginning a journey towards TQM.
Extensive use of CPA with reinforcing reward and recognition system supported by good
transactional leadership was seen to be a stronger enabling factor than transformational
leadership alone. However, in the absence of CPA with reinforcing reward and recognition
system, transformational leadership most strongly intervened in an organizations transition
towards TQM.

234
The fourth research question was: Will a bottom up methodology build learning
capacity among the railway personnel?
The various action research cycles found out that in contrast to consultant supported
training, a bottom up action learning based training provided more enduring learning and also
faster learning. Development of metaphor was crucial to make the participant understand new
and esoteric concepts. It was in keeping with the findings of Nonaka (1994, p.21) that
metaphors plays an important role in associating abstract, imaginary concepts

The fifth research question was: Can the enablers of TQM be integrated in a model
for attaining TQM within the ISO framework?
Figure 6.1 is the model which integrates the enablers of TQM within the ISO
framework. It also shows the sequential relationship between different enablers of TQM.
Figure 6.2 shows the same model contextualised to the Indian cultural values and leadership
style.

7.3 Conclusion about research issue

With the specific research questions now answered, the researcher returns to the
original research issue which was whether TQM could be used as a model for bringing about
organisational transformation of Indian Railways. If yes, how could it be effectively
implemented in the Indian Railways? It is recalled that after literature review, this thesis had
concluded in section 2.3 that TQM could indeed be the model for bringing about
organisational transformation of the Indian Railways. Figure 2.14 was then developed which
showed the gap in effective implementation of TQM in Indian Railways. Figure 2.14 is
reproduced as Figure 7.1.The question of how TQM could be implemented remained
unanswered at that stage. The Indian Railway specific model for TQM implementation which
emerged in Figure 6.2 as one of the outputs of this research is shown as Figure 7.2 which fills
the gap shown in Figure 7.1 (original Figure 2.14).

235

Figure 7. 1Reproduction of Figure 2.14 showing gaps in existing literature

organisational
values and
organisational
practices of Indian
Railways from the
point of view of an
excellent company

Not known
Congruence
between the
two
Not Known
congruence
between the
two
Not known
TQM for
railways
TQM in India should pay
attention to
leadership
policy & strategy
HRM
process
management
Information
management
customer focus
supplier focus
ISO 9000:2000 is the
desired path to be
followed. It is facilitated
by
transformational
leadership
executive mind
set
capacity and
willingness to
learn
?
Indian bureaucracy is
rule bound
monolithic
tunnel vision
directive
(non
participative)
TQM on date draws from
-System theory
-Critical success factors
-Quality awards
-Organisational learning
TQM is the same as
organisational
excellence
Quality
management in
India
through
ISO
Indian culture
hierarchical
dependency
prone
own-other
syndrome
context
oriented
balancing

236

Work culture



Figure 7. 2Model for implementation of TQM in Indian Railways using the ISO
framework thereby filling up the gap shown in Figure 7.1

237
7.4 Assessment of Rigour in this Action Research

Since a substantial part of this thesis was based on action research, the researcher
considers it worthwhile to assess the rigour of the action research work. In section 5.5.4 this
thesis had discussed the choice points identified by Bradbury and Reason (2001) to assess
rigour in an action research based thesis. The extent to which this research satisfied the
choice points is now assessed

Choice points The presence of choice point in this thesis
Relationship There was an action research team which consisted of members from the
managerial and non-managerial cadre. More fundamental than this, most
of the decisions were taken by the supervisors of the warehousing unit.
For example they decided to visit different units on the Indian Railways
and they decided to reverse the document preparation from quality
policy to work instruction to work instruction to quality policy.
Practical
outcome
The participants did begin to behave in a new way after they had decided
what was the new way to work.
Extended ways
of knowing
The AR cycles mentioned in chapter 5 and chapter 6 maintained a
conceptual-theoretical integrity in the sense that any other action
researcher in the area of TQM can place himself/herself in this situation
and get suitable answers to his/her as if questions. However, use of
other data forms such as dance, poetry and rich pictures were not used.
Pay attention to
what is worthy of
attention
The AR cycles were not framed as a general problem solving session.
Rather, the emphasis was to seek only such questions which were related
to the objective of ISO certification for the warehouse.
Enduring
consequences
Even after the researcher left the J hansi warehousing unit, the unit
continued to improve as brought out in sections 6.2 and 6.2.2.

Table 7. 1Assessment of rigour in this action research thesis
Source: based on this research.

238
Thus the action research thesis fully satisfied four criteria laid down by Bradbury and
Reason and it partially satisfied one criterion. Thus it can be concluded that the action
research was a rigorous work.
Another way to assess the rigour of action research was understand the impact of ISO
9000 certification at another railway unit at J hansi Electric Loco Shed (ELS), J hansi.
Based on his field visits, training imparted to staff and subsequent interviews with the head
of the unit, the researcher was able to corroborate the following conclusions drawn from the
action research cycles:
(i) There was no resistance to change from the staff side at the ELS once they
understood that it was going to be ultimately beneficial to them.
(ii) Cleanliness was a big facilitator of overall improvement. The emphasis on
cleanliness at ELS J hansi can be understood from the fact that in February 2006, it secured
the environmental running trophy in the J hansi Commissionary. This field based experience
supported the survey based conclusion in section 4.3.1 that cleanliness due to ISO 14000
positively intervenes in TQM imlementation.
The head of the ELS was now planning to initiate a TQM based Business Excellence
Model framed by Confederation of Indian Industry.
The aspect of cleanliness being a precursor to TQM was further confirmed based on
the feedback received on a paper on 5S (Kumar & Sankaran 2005) developed from ISO
certification in an unit of Indian Railways.

7.5 Contribution to literature

The contribution to literature has been divided into three categories: findings which
support the existing literature, findings which are contrary to the existing literature and
findings which are contribution to the existing literature.

7.5.1 Findings which support the existing literature

The research supports the suggestion given by Nonaka (1994) about the importance
of metaphor in developing learning capabilities.
This research supports the finding by Pheng (2001) that cleanliness is the first step
towards TQM.

239
This research supports the findings by Fei and Rainey (2003); Hill, Hazlett and
Meegan (2001) and Reed, Lemak and Mero (2002) that transformational leadership
positively intervenes in an organizations journey towards TQM.

7.5.2 Finding which is contrary to existing literature

This research does not support the findings reported in western literature (Hersey,
Blanchard & J ohnson 2002; Robbins 1997) about resistance to change. The guru-shishya
(teacher-student) relationship which learning oriented change invokes in India has been
postulated to be the reason behind this lack of resistance to change.

7.5.3 Findings which are contribution to existing literature

The model developed in Figure 6.1 and Figure 6.2 is a contribution to literature. It
provides a specific way about how an organization can lead to TQM via the ISO route.
Further, this research has made following contributions to theory. Since they need to
be validated further, they have been termed as hypotheses.

Hypothesis i: At the fundamental level, the caste driven Indian ethos gets reflected in the
working life also in the form of affiliation to professional caste.
Hypothesis ii: The caste system has reinforced the bureaucratic propensity of lack of
teamwork in the Indian Railways.
Hypothesis iii: Hierarchical teacher-student (guru-shishya) relationship with leader invokes
personal bases of power which promote change in India. This teacher-student (guru-shishya)
relationship is conceptually similar to the intellectual stimulation factor of transformational
leadership.
Hypothesis iv: The personalised relationship with a more equitable slant can be elevated to
the status of individualised consideration factor of transformational leadership.
Hypothesis v: The NT leadership model is conceptually similar to the contingent award
factor of transformational leadership.
Hypothesis vi: There is a sequential relationship among the CSFs of TQM.
Hypothesis vii: Framing process based quality procedures and quality objectives lead to
development of team orientation in the context of TQM implementation

240
Hypothesis viii: A multi-tier CPA reinforced with reward and recognition system positively
intervenes in the transition of an ISO certified organization towards TQM.

The hypothesis iii, hypothesis iv and hypothesis v are shown in tabular form in Table
7.2.

Components of transformational
leadership
Indian cultural equivalent
Intellectual stimulation Hierarchical teacher-student (guru-shishya)
relationship
Individualised consideration Equity based personalised relationship
Contingent reward Nurturant task

Table 7. 2Components of transformational leadership and their Indian cultural
equivalent
Source: developed from this research.

7.6 Contribution to policy and practice

The contributions to policy and practice have been divided in three categories: those
specific to the Indian Railways, those specific to the Indian organizations and those valid for
all organizations.

7.6.1 Implications for Indian Railways

(i) This research showed that Indian Railways is amenable to a participative TQM
implementation. Since it is non-threatening to different stakeholders, it is also implementable.

(ii) One major implication for policy for Indian Railways is to reduce the number of
departments in the Indian Railways. There are a few public and private sector organizations
in India which are comparable to Indian Railways in terms of turnover. (Indian Oil and

241
Reliance Industries for example). They have only one managerial cadre. Within the Indian
bureaucracy, Indian Ordinance Factory has only two services one to man the technical
posts and the other to man the non-technical posts. The researcher believes that reduction in
the number of departments does not mean that the departmental functionaries lose their
functional expertise. They only lose their functional identity.
(iii) ISO certification will not bring about significant improvement unless it involves
all departments and unless the head of the certifying unit has been delegated the
organisational power commensurate with the requirements of ISO. If this is not done, it does
not make sense for maintenance sheds, workshops and trains or railway stations to go for ISO
certification. Ideally ISO certification should begin at the divisional level. However if it is
too big a level to be handled at the first instance, then the railway unit going for ISO
certification should also include such other units with which it interacts. For example, if a
workshop is getting certified, it should include all the departments of that workshop and it
should also include the associate civil engineering department which is under the control of
DRM but the workshop is dependent on it for its civil engineering works.

7.6.2 Implications for Indian organisations

If the Indians are technically sound as engineers, as doctors, as software experts, but
poor managerially and poor in teamwork, it is because the Indian organizations they work in,
do not provide an all pervading professional value which can supplant their social value of
power laden hierarchy, of sticking to their primordial group. The top manager is as used to
clannish signals and as much imbued with position power as the middle and the lower
managers. Thus they continue to cling to their societal values. This research showed that the
Indian organizations should be able to morph these socially learned values into professionally
acceptable values by using interventions derived from Indian cultural mores. The value
which can be imparted to the Indian employees is that of customer satisfaction. Customer
satisfaction has a pan-organisational validity in India and the employees can relate to it at an
intuitive level. The inculcation of customer satisfaction as a value among organisational
members can wean the employees away from their primordial group to a more work-centric
group. It can also keep the organisational members focussed on their objective. The way to

242
impart this to the Indian employees and continually strengthen this is by using the Indianised
constructs of transformational leadership shown in Table 7.2.

7.6.3 Implications for organisations in general

The implications for all organisations are with respect to transformation of an
organization into a TQM organization using the ISO route. They are:
(i) The quality objectives and the quality procedures in the ISO documents should be
process based and not function based.
(ii) Corrective and preventive action should be used as the vehicle to invite all members
of an organization to join the journey towards TQM. Process based quality objectives and
quality procedures piggybacking on the CPA vehicle should be able to foster cross-functional
transformational team spirit.
(iii) The reason for developing self propelled transformational teams has a practical
utility. Bass and Avolio (2000) have given the percentile distribution of transformational
leadership traits in about 2000 leaders (see Table 3.6). A perusal of this table shows that there
are not many transformational leaders available in this world to chart an organizations
course of events. The table shows that on the five constructs of transformational leadership
only 5% of the leaders could score more than 3.7. That is, less than 5% of the leaders were
demonstrating the transformational leadership traits frequently if not always. Thus though
transformational leadership is a very appealing concept; this world does not have many
transformational leaders. Therein lies the importance of transformational teams mentioned in
section 6.3. In the absence of transformational leaders, these self-motivated transformational
teams could move on their own to change the course of an organization as long as they have
a good transactional leader. WAP was an example where even though the top leadership
during the last 4 years was not transformational, the organization could bag one of the Indian
TQM awards.

7.7 Contribution to methodology

(i) The action research module of this research was divided into three phases the
first phase was when the researcher was physically present at the J hansi warehousing unit.
The second phase was when the researcher was not present and the co-action researchers

243
continued on their own based on the learning learnt in the first phase. During this period, the
researcher was however available as a guide as and when required. The third phase was when
the co-action researchers were able to bring about a level of improvement which brought
them many accolades. During the third stage, the guidance of the researcher was not
available to them. The basic idea behind this progressive withdrawal of the researcher was to
inculcate in them a sense of autonomy, to cease their dependence on a mentor/guide/leader so
that they could work on their own and become self-propelled transformational teams. This
progressive weaning of a guide/researcher is a useful method within the AR methodological
umbrella which other action researchers can try for creating enduring change.
(ii) Another implication for methodology is the use of inter-cycle and intra-cycle
validity shown in Figure 5.8. The researcher experienced that it brought brevity to the
research effort without sacrificing rigour. The model developed in Figure 5.8 can be used by
other action researchers.
(iii) This thesis uses the basic philosophy of design of experiment without resorting to
quantitative techniques. The Tables 4.6, 4.7 and 6.4 show how it is possible to progressively
assess the impact of different intervening variables by their progressive inclusion without
going for an ANOVA based design of experiment.
(iv) The researcher could find some research using action research by Indian authors
(Devid & Tandon 1983). However, in the area of management, this is perhaps the first
doctoral study using the action research methodology in India. Thus to the Indian academic
community it shows an additional way a thesis can be done.
7.8 Limitations

The model shown in Figure 7.2 does not incorporate two CSFs of TQM (i) values
and ethics and (ii) strategy. To that extent the model has a limitation. Also, all the data
collection was done within Indian Railways. Though care was taken to define values as
specific to Indian Railways, the extrapolation of conclusions drawn within the Indian
Railway to other organization needs to be qualified.
Further in order to test the general validity of the conclusions drawn in the context of
Indian Railways, a summary of the thesis was sent to Indian Railway persons both retired and
working. Very few responses could be received. However the responses received agreed with
one of the research findings that Indian Railway should have fewer departments. A larger set
of responses would have thrown more light on such agreements or disagreements.

244
7.9 Implications for future research

The limitation mentioned above also sets the agenda for future research to enlarge
the model shown in Figure 7.2 so as to incorporate the factors of values and ethics and
strategy in it. Also a study of additional ISO certified units on the model shown in Figure
7.2 would further strengthen the models validity. Another area for future research is to do a
factor analysis of the TQM transition questionnaire. Similarly more responses about the
research summary mentioned in section 7.8 can be structured along the lines of convergent
interviewing as suggested by one of the reviewers of this thesis.

245

Chapter 8 Researchers ruminations

When I started this research, I looked for a research methodology which could make
use of each significant cue around me. The richness of data around me and the intellectual
fascination of putting theory on it (Coghlan 2001, p.219) made me adopt the action research
methodology. I wanted to grasp the data lying around and wring it till it gave insight. Action
research methodology was indeed the most economic way of doing it. I am fairly convinced
that had I used any other research methodology, I would not have been able to come up with
so many research hypotheses, develop a model for change and also validate it.
As a manager I now realise that my role in the AR project was to manage the
boundary and help others gain the skill. In the words of Weisbord (1987, p.373) it mixed
training, problem solving and purposeful focus so that people learnt just what they needed
and when they needed. The reflection after action was perhaps the richest intellectual
journey for me in this thesis. I could understand why a theory building requires a qualitative
grasp of the different shades of data which a quantitative approach would have missed.
I learnt two major things from this thesis. The first learning for me has been about
how to deal with Indian employees in a western organisational set up. Today, Indians have
made their mark as software experts, as knowledge workers, in BPOs and India is a preferred
destination for setting up manufacturing outposts. Almost all these are knowledge-based
activities. Today knowledge is a raw material just as land, labour and capital were in the
industrial era. The Indian ethos of teacher-student (guru-shishya) relationship which has been
discussed in this thesis is perhaps the basic reason why Indians are able to grasp knowledge
so easily. I can now say that an understanding of this Indian ethos and how it can be
seamlessly blended with western models of team working and transformational leadership
has a great practical significance for organizations based in India.
Secondly, this research has made me wonder whether Indians are more adaptable than
what they are normally credited with. The origin of this thought goes back to the lack of
resistance to change which has been reported in this research. As I go beyond the realm of
Indian Railways, and look at many large Indian organisations, I begin to feel that Indians
have been able to create a massive industrial base after independence. But, they were not
handling it efficiently in a western-economic sense perhaps because they were not expected
to look at it only economically- after all India was a socialist welfare state. But once that

246
approach was jettisoned in the early nineties, instead of getting overwhelmed by the
supposedly more efficient economic order of western countries, Indians have been able to
profit from it -look at the transfer of jobs to India from USA. This is what Sinha and
Kanungo (1997) have called context sensitivity (see section 2.2.6.2). If you are sensitive to
the context in which a particular activity is being done then you do not have any history to
pull you back from that activity. Then you do not feel any excessive need to justify whatever
you have been doing till then. When you do not suffer from the need to justify your past or
current activities, you are temperamentally more amenable to change your current activity
into any other activity. Earlier I was doing a job with one mindset call it a conservative
Indian, socialist welfare mindset - because that was expected of me in the context in which
the work was then defined. Now if a new set of activity looks justifiable in a new context, I
may as well do this and do this with full gusto whether it is ISO certification at the J hansi
warehousing unit or whether it is working in a highly competitive world-class organization in
India. Such mentality does not create any resistance to change as long as that change does not
trample upon my hot line to God whether spiritual or temporal (see p. 207). It is perhaps
this lack of resistance to change or more formally the adaptability of Indians, wherein lies the
transformational promise for Indian Railways or for that matter, for most of the Indian
bureaucracy and indeed for the whole of India. Perhaps this also explains why India has been
able to do well in many industry segments which emerged post 1990 the context told them
work better and they immediately rebooted themselves for this no resistance to change- I
no longer look back to justify my looking forward.
This leads me to think whether there is any philosophical similarity between what
Checkland calls soft system methodology and what Sinha and Kanungo have called context
sensitivity and balancing of Indians. It was mentioned in literature review (section 2.2.6.1)
that context sensitivity pertains to beliefs about person (patra), time (kal) and ecological
(desh) components of environment. Context sensitivity is basically a thinking principle or a
mind-set that is cognitive in nature and it determines the adaptive nature of an idea or
behaviour in context (Sinha & Kanungo, 1997). Related to the concept of context sensitivity
is that of balancing. Balancing is a behavioural disposition. It refers to a behaviour which
tends to integrate and accommodate while coping with the environment. It was mentioned in
section 2.2.6.1 that context sensitivity and balancing are related, because the persons who are
sensitive to their contexts are also aware of their diverse demands and therefore, have to
balance them by adapting their behaviour in order to cope with the environment. Thus
everyone assesses his/her own context and acts accordingly. In this situation, there is nothing

247
objective or hard reality about what a person sees or does. His/her context or situation
decides his/her action. On similar lines, Checklands soft system methodology does not
attempt to model the real world. The mode 2 of SSM is situation-driven and always iterative
(see Table 5.3) wherein a person internalises what he/she sees, understands it and then acts
according to his/her understanding of the situation or should we say according to his/her
understanding of context. Now, when you are always iterative you are also always flexible
and then you do not feel the need to offer any resistance to change why because now the
context has changed and thus your internal model of action which interprets the cues of the
external world has got modified. Little wonder in a messy India, the context sensitivity is
echoing what Checkland calls soft system methodology for studying ill-defined, messy
problems of this world (Gold 2001). In fact it is possible to formally integrate context
sensitivity and balancing within SSM.
In order to integrate the context sensitivity within soft system methodology, let us
first see how mode 2 of SSM draws from Vickers concept of appreciative system
(Checkland 1994):

In Vickers appreciative system, the worldview of a person is represented by the interacting
flux of events and ideas. They are represented by two-stranded rope, the strands being inseparable
and continuously affecting each other. There is a recursive loop in which the flux of events and ideas
generate appreciation. Appreciation leads to action. Both appreciation and action also contribute to
flux. A person appreciates the flux of events and ideas and makes judgement about it based on his/her
own standard of facts and values: standards of what is the facts, and standards of what is good or
bad, acceptable or unacceptable the values. Also the very act of using the standard may itself
modify them. Thus, there is no ultimate source for standards by means of which what is noticed is
deemed good or bad, important or unimportant. The source of the standard is the previous history of
the system itself (emphasis in original). Action results from the meaning which members of an
organization attribute to their act and to the acts of others. Meanings are socially sustained and
meanings are socially changed.

This discussion on appreciative system is pictorially shown in Figure 8.1.

248

time

the flux of
events and
ideas

Figure 8. 1The structure of an appreciative system
Source: Checkland (1994, p.83).

The standard here is defined as an individual judgement of what is good or bad,
acceptable or unacceptable and Checkland says that the source of the standard is the previous
history of the system. A question arises at this stage: Is it possible to represent the previous
history of the system in some frame of reference. That is, is there any culturally, socially
constructed frame of reference within which a person assesses and modifies his/her standard
or is it that the standard just evolves from a random drift and the resultant temporary mental
amalgamation of previous history? The researcher believes that at least in India, the three
dimensions of context sensitivity - person (patra), time (kal) and ecology (desh) provide the
frame of reference within which an Indian defines his/her standard. Thus though the standard
Appreciation:
Perceive
J udge, in terms
of facts and
value
Envisage desired
relationship
Standards (of
fact and value)
Action

249
keeps changing, the change in the standard are along the three coordinates of person, time
and ecology. A persons belief, values and action can be placed on these three coordinates.
(Here, ecology refers to the pattern of relationship of a person with his/her social or physical
surroundings).
Further, while responding to the three components of environment, a person in India
expresses a primary expressive mode which is traditional in nature and also a secondary
expressive mode that is acquired as a result of the transplantation of the Western
management concepts onto a traditional Indian core (Sinha & Kanungo 1997, p.100). The
researcher argues that it is the same as what Checkland has called Gemeinschaft and
Gesellschaft (Checkland 1994, p.77). Gemeinschaft is the family or the tribe in which a
person is born and Gesellschaft is the formally created group as when a person joins a
company. Checkland (1994, p.78) says that the traditional organisational theory has
emphasised the Gesellschaft aspect of the organization which has led to hard system thinking.
However, as against this, the researcher argues that Sinha and Kanungo recognise the
Gemeinschaft based response of a person also. They consider the Gemeinschaft based
response of a person as his/her primary expressive mode and the Gesellschaft based response
of a person as his/her secondary expressive mode. The researcher argues that it is along this
continuum of Gemeinschaft and Gesellschaft that the coordinates of person, time and ecology
get differentiated.
The above discussion is pictorially shown in Figure 8.2. It unbundles the standards of
fact and value into three components of time, person and ecology and also positions them
along the Gemeinschaft and Gesellschaft continuum.

250

Historical Manifestations Contemporary
influence influence
(Gemeinschaft) (Gesellschaft)

(Gemeinschaft) (Gesellschaft)

Figure 8. 2Unbundling of standards of fact and value into three components of time,
person and ecology and their positioning along the Gemeinschaft and
Gesellschaft continuum.
Source: developed for this research based on Sinha and Kanungo (1997) and Checkland
(1994).

Thus what has been referred to merely as standard in Checklands model can now
be unbundled using Sinha and Kanungos notion of context sensitivity.
Relating to people (patra)
Primary Mode Secondary mode

In-group embeddedness -------Individualism
Hierarchy ------------- Egalitarianism
Relating to time (kal)
Primary Mode Secondary Mode
Past & present -----------------Future planning
orientation
Avoidance -------------------------Taking risk
Relating to ecology (desh)
Primary Mode Secondary Mode
Moralism --------------------------- Pragmatism
Poverty syndrome --------------- Growth
oriented
Hinduism

Caste

Agriclutural
mode of
production

Invasions

Alien rules
Technologocal
and industrial
expansion

Modernisation

Western
management
education

251
In fact Sinha and Kanungo have quoted research which says that most of Eastern
countries like China, South Korea and India behave in a context dependent fashion.
What Checkland calls action is akin to balancing of Sinha and Kanungo. Action
arises from meaning which members of an organization attribute to each others act
(Checkland 1994, p.78). The action is based on accommodation between different conflicting
perspectives. Action is what is culturally feasible for a particular group of person in a
particular situation with a particular history (Checkland 1994, p. 94). Balancing is also trying
to seek a middle path which in general avoids the extreme path (Sinha & Kanungo 1997, p.
96). It also tends to accommodate between different environmental contexts (Sinha &
Kanungo 1997, p. 96).
Thus it is now possible to integrate the mode 2 of soft system methodology with
context sensitivity and balancing. It is pictorially shown in Figure 8.3. It shows that context
sensitivity is the mental map which provides a different response in each situation depending
on the user and the nature of the situation. And providing a different response in each
situation depending on the user and the nature of the situation is what J ackson (2000, p. S9)
calls SSM.

252

time

the flux of events
and ideas

Figure 8. 3Integration of mode 2 of SSM with context sensitivity and balancing
Standards of fact and value

Gemeinschaft Gesellschaft
Appreciation:
Perceive
J udge in terms of fact and
value
Envisage desired
relationship
Action

Balancing of behaviour
or coping with the
environment

253

In spite of above integration of context sensitivity with the soft system methodology,
there are differences between them. The difference lies in their approach. Both are purposive.
Both are adaptive. Both take the soft system and not the hard system around them in
consideration. The difference lies in that while SSM gives rise to purposive action, context
sensitivity gives rise to purposive coping. It has been shown in Figure 8.3. Because of the
action learning approach, SSM is today a methodology which is relevant more in an
organisational situation. But because of the behavioural science approach of context
sensitivity, it is relevant more in an individual situation. The learning through SSM can be
both at the individual level and at the group level. However, through context sensitivity, the
learning is generally at individual level. Soft system methodology (SSM) has been advocated
as a flexible approach to problem solving in complex organisational situations, context
sensitivity is a flexible approach to social interaction in complex social situations. SSM has
an action bias it decides about an individuals action after considering the environment in
its totality from his/her point of view, context sensitivity has an interaction bias it decides
about how a person interacts with his/her environment after considering the environment in
its totality. But both emphasise the totality of situation and both lead to adaptable behaviour.
At the end, to paraphrase Khandwalla (1992, p. 267) far too much social science
remains compartmentalised, so that insights from studying the family or group are seldom
used by organization theorists and vice versa. Such insights from one kind of collectivity can,
at least, supply provocative hypotheses for other kinds of collectivities. A deliberate attempt
was therefore made in this concluding chapter to link the terminology of organisational study
(SSM) to that of collectivity (context sensitivity). And that is where the defence rests.

254

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281
Appendices

Appendix 1. Tables and figures about quality awards

Malcolm
Baldridge
award (US)
European
Quality
award
Deming
prize
(Japan)
Canadian
quality award
Australian
quality
award
Objective
To help improve
performance practices
and capabilities.
To facilitate
communication and
sharing of best
practices among US
organizations.
To serve as a working
tool for understanding
and managing
performance, planning,
training and
assessment
To stimulate and
assist European
organizations in
improving
customer and
employee
satisfaction,
impact on
society and
business results.
To support
Europe
managers
efforts to initiate
total quality
management
and achieve
global
competitive
advantage
To evaluate and
recognize
methods of
company wide
quality control
To encourage the
adoption of quality
principles, practices
and processes in
Canada.
To improve the
profitability,
responsiveness and
efficiency of
organizations
through continuous
improvement.
To bring higher
living standards to
Canadians
To give
Australian
organizations the
drive and
knowledge for
achieving the
worlds best
quality practices.
To secure the
Australian quality
council as the
commonwealths
principal quality
organization.
To create national
wealth

Table A1.1 (contd)

282

Table A1.1(contd)
Malcolm
Baldridge
award (US)
European
Quality
award
Deming
prize
(Japan)
Canadian
quality award
Australian
quality
award
Quality
principles
Companies must have
direction and customer
focus.
Quality and
performance are
judged by customers
Organizational and
personal learning are
required.
Employees and
partners are vital to
company success.
Success requires
capacity for change
and flexibility.
Market leadership
requires a future
orientation.
Making meaningful
change requires
innovation.
Management requires
factual analysis.
Public responsibility is
important.
Performance
measurement should
focus on results.
A systems perspective
is required.
Customer focus.
Supplier
partnership
People
development
and involvement
Processes and
facts
Continuous
improvement
and innovation
Leadership and
consistency of
purpose
Public
responsibility
Result
orientation

Create a vision
and demonstrate
commitment
Learn the new
philosophy
Understand
inspection
Stop making
decisions purely
on the basis of
cost
Improve
constantly and
forever
Institute training
Institute
leadership
Drive out fear
Optimise the
efforts of team
Eliminate
exhortations
Eliminate
management
quotas and
management by
objective
Remove barriers
to pride in
workmanship
Encourage
education and
self-improvement
Take action
Cooperation +team
+partnering = win-
win.
Leadership =
involvement +
example
Primary focus =
customer
Respect and
encouragement
heighten employee
potential
Strategies should be
process oriented and
prevention based
Companies should
continuously
improve methods
and outcomes
Decisions should be
made based on
factual data or
information
Companies are
obligated to
stakeholders and
society in general
The customer
defines quality
All processes are
variable
Improved process
= improved
output
Decisions should
depend on facts
Improvement
should be
planned
People work in a
system
People = most
important
resource
Leadership =
direction +
support
Continuous
improvement
requires continual
learning
Table A1.1 (contd)

283

Table A1.1(contd)
Malcolm
Baldridge
award (US)
European
Quality
award
Deming
prize
(Japan)
Canadian
quality award
Australian
quality
award
Criteria
Leadership
Strategic planning
Customer and market
focus
Information and
analysis
Human resource focus
Process management
Business results
Leadership
Policy and
strategy
People
management
Resources
Processes
Customer
satisfaction
People
satisfaction
Impact on
society
Business results

Policies (hoshin)
Organization
Information
Standardization
Human resources
Quality assurance
Maintenance
Improvement
Effects
Future plans

Leadership
Planning
Customer focus
People focus
Process management
Supplier focus
Organizational
performance
Leadership
Strategy, policy
and planning
Information and
analysis
People
Customer focus
Quality of
process, product
and service
Organizational
performance

Table A1.1 Comparison between the objectives, quality principles and criteria of
different quality awards
Source: Vokurka, Stading and Brazeal (2000).

284

Table A1.2 Understanding of the seven criteria in different quality awards
Source: Vokurka, Stading and Brazeal (2000, p. 48).

Malcolm
Baldrige award
(US)
European quality
award
Deming prize
(Japan)
Canadian
quality award
Australian quality
award
Leadership
Executive,
company and
community
leadership
Inspiration, support
and promotion of
total quality
management
Policy,
organization and
helpful
supervision
Strategic
direction,
involvement and
improvement
Executive, community
and strategic process
Planning
Strategic direction,
plan development,
plan deployment
and performance
tracking
Product of policy and
strategy
Future plans,
quality control
initiative and
policy focus
Development,
assessment,
deployment and
improvement
Policy, value
integration and
strategic process
Customers
Market
requirements,
customer
relationships and
satisfaction
Measurement of
customer satisfaction
Service activities
and customer
relationships
Knowing
customer needs,
relationship
management,
customer
satisfaction and
improvement
Customer need
awareness,
relationships and
satisfaction
Employees
Human resource
development and
participatory
environment
Release of full
potential through
people management
Training and
motivation of
skilled labour
personnel
Human resource
planning,
participation,
learning and
improvement
People management,
involvement, training,
communication and
satisfaction
Processes
Process design,
implementation,
management and
improvement
Identification,
management, review
and improvement
Standardization,
quality assurance,
maintenance and
improvement
Design, control,
analysis and
change, and
improvement
Quality of product
design and services,
supplier relationships
and improvement
Suppliers
Improvement of
partnering process
and evaluation of
supplier
performance
Leadership
involvement with and
management of
supplier resource
Vendor training
and associations of
related companies
Partnership,
supplier quality
and improvement
Quality of
relationships
Results
Customer,
financial, human
resource, supplier,
operational and
competitive
Objective
achievement,
stakeholder
satisfaction, financial
success and impact on
society
Quality, delivery,
cost. profit, safety
and environmental
effects of quality
control
Product,
operational,
customer,
employee and
financial
Organizational
performance with
customers,
shareholders,
employees and
community

285

Strategic planning
8%
Information and
analysis 8% Business
results
Customer and 45%
market focus
8%

Process
management
10%
Human resource
focus 10%

Leadership 11%

Impact on
society 6% Customer
satisfaction 20%

Policy and strategy
8%

Resources 9%

People Business
satisfaction results 15%
9%
People
management 9%
Processes 14%
Leadership 10%
Figure A1.1a Percentage emphasis of Baldridge Figure A1.1b Percentage emphasis of award criteria
European award criteria
Future plans 10% Policies(Hoshin) 10%

Effects 10% Organisation 10%

Improvement Information
10% 10%

Maintenance Standardization
10% 10%

Quality Human
assurance 10% resource 10%

Supplier focus 5%

Planning 10% Organisational
performance 24%

Leadership 10%

Process Customer
management 17% focus 17%

People focus 17%
Figure A1.1c Percentage emphasis of Deming Figure A1.1d Percentage emphasis of Canadian
Prize Criteria Quality award criteria

Strategy policy and planning
8% People
20%
Information and
analysis 8%

Organisational
performance Quality of
12% process
20%

Leadership
14%
Customer focus
18%

Leadership 5%
Policies and strategies 5%
Processes7. 5%

Resources.5%
Human resource
management 2.5%

Customer
satisfaction 10%

Employees
satisfaction 2.5% Business
Impact on environment results 50%
and society 7.5%

Figure A1.1e Percentage emphasis of Australian Figure A1.1f Percentage of emphasis of Rajiv
Quality award criteria Gandhi award criteria

Source: based on Vokurka, Stading and Brazeal (2000).

286

Malcolm Baldridge award
requirement
European quality
award
Deming
prize
Canadian
quality
award
Australian
quality
award
1. Leadership: How senior leaders and the leadership system address values, company directions, performance direction,
stakeholder (customer) focus, learning and innovation
1.1 Organisational leadership 1a-d,2c,3c,3e,4a,5a-b 1.6,2.2-2.5 1.1-1.4 1.1,1.2
1.2 Public responsibility and citizenship 8a-b 6.9 1.2 1.3
2. Strategic planning: How the company sets strategic directions and develops strategies of action plans. Also, how plans are
deployed and company builds customer relationship and measures customer satisfaction.
2.1 Strategic development 2a-b,2d,5a 1.3, 8.1,8.2,10.1 1.1,1.3,2.1,2.2,2.4 2.2
2.2 Strategy deployment 2c-d,3a,3c,4b-
e,5c,7b
1.1,1.2,1.4,1.5, 10.2-
10.6
1.1,2.3 2.1
3. Customer and market force: How the company determines customer (market) requirements, expectations and preferences.
Moreover, how the customer builds customer relationships and measures customer satisfaction.
3.1 Customer and market knowledge 6a-b none 3.1,3.5 5.1
3.2 Customer satisfaction and
relationship
6a-b 6.11 3.2,3.3 5.2,5.3
4. Information and analysis: How effectively information is selected, managed and used to support key processes, strategic
plans and performance management systems.
4.1 Measurement of organisational
performance
2a,5a,6a-b,7a-b,8b 3.1,3.2,3.4-3.6 3.1,3.3,6.1 3.1
4.2 Analysis of organisational
performance
1b, 2a, 4a, 5a, 5c, 6a-
b,7a-b
3.1,3.2,3.3,6.3,
8.4,9.3
2.2,3.3,4.3 , 4.4 3.1,3.2
5. Human resource focus: How the company enables employees to achieve their full potential in alignment with company
objectives. Also, how the companys work environment encourages excellent performance, full participation and personal/
organisational growth.
5.1 Work systems 1d, 3b-e, 5d-e 2.1,5.2,5.5 4.1,4.2,4.6 4.1-4.3,4.5
5.2 Employee education, training and development 3b 5.1,5.3,5.4 4.3, 4.6 4.1-4.3,4.5
5.3 Employee well-being and satisfaction 3b-c,3f,7a-b 5.3 4.4,4.6 4.6
6. Process management: How key processes are designed, implemented, managed and improved to achieve better
performance.
6.1 Product and service processes 4a, 4c-e, 5a-e 4.1-4.6,6.1-6.8,
6.10,6.12,7.1-7.6,
8.5,8.6
5.1-5.3,5.5 5.1,6.3,6.4
6.2 Support processes 4b, 4d-e,5b-e 4.1-4.6,6.1-6.6,
6.8,6.10,6.12,7.1-
7.6,8.5,8.6
5.1-5.3,5.5 6.3,6.4
6.3 Supplier and partnering process 4c,5b-c 2.6,5.6,6.1,6.2 ,
6.7,6.10,7.1-7.6,8.6
6.1,6.3 6.2
Table A1.3 (contd)

287

Table A1.3 (contd)
Malcolm Baldridge award
requirement
European
quality
award
Deming
prize
Canadian
quality
award
Australian
quality
award
7. Business results: How the company performs and improves in customer satisfaction, financial and marketplace
performance, human resource results, supplier/ partner performance, operational performance and competitive performance.
7.1 Customer focused results 6a-b 9.1,9.2,9.4 3.4,7.1,7.3 7.1
7.2 Financial and market results 9a 9.1,9.2 7.3,7.5 7.1
7.3 Human resource results 3c,7a 9.4 4.5,7.4 7.1
7.4 Supplier and partner results 4c 9.5 6.2,7.2 7.1
7.5 Organisational effectiveness results 8a,9b 9.6 5.4,7.2 7.1

Table A1.3 Mapping of different quality award criteria on the Baldridge award
Source: Vokurka, Stading and Brazeal (2000).

288

U.S. Malcolm Baldrige National Quality
Award (2001/2)
Leadership
Strategic Planning
Customer and Market Focus
Information and Analysis
Human Resource Focus
Process Management
Business Results
Japan Quality Award (2000)
Management Vision and Leadership
Understanding and Interaction With Customers
And Market
Strategic Planning and Deployment
Human Resource Development and Learning
Environment
Process Management
Sharing and Utilization of Information
Results of Enterprise Activities
Customer Satisfaction

European Quality Award (2001)
Leadership
Policy and Strategy
People
Partnership and Resources
Processes
Customer Results
People Results
Society Results
Key Performance Results
Costa Rica Excellence Award (2000)
Managerial Leadership and Strategic Planning
Human Resources
Quality System and Processes
Innovation and Technology
Environment Management
Canadian Award for Excellence (2000)
Leadership
Planning
Customer Focus
People Focus
Process Management
Partner/Supplier Focus
Organizational/Business Performance
South African Excellence Award (2000)
Leadership
Policy & Strategy
Customer & Market Focus
People Management
Resources & Information Management
Processes
Impact on Society
People Satisfaction
Supplier and Partnership Performance
Business Results

Table A1.4 (contd)

289

Table A1.4 (contd)
Australian Business Excellence Award (2000)
Leadership and Innovation
Strategy and Planning Process
Data, Information and Knowledge
People
Customer and Market Focus
Processes, Products and Services
Business Results
Jordan: King Abdullah II Award for
Excellence (2000)
Leadership
Strategic Planning
Process Management
Resource Management
Results
Singapore Quality Award (2001)
Leadership
Planning
Information
People
Processes
Customers
Results
CII_EXIM Business Excellence Award
(India)- CEBEA (2002)
Leadership
Policies and strategies
People management
Resources
Processes
People satisfaction
Customer satisfaction
Impact on society
Business results

Table A1.4 Summary of National Quality Award criteria
Source: based on Hui and Chuan (2002, p. 63).

290

Aspects of
Organizational
Excellence
USA Canada Europe Austr
-alia
Singa-
pore
Japan Costa
Rica
South
Africa
Jordan
Establish mission &
vision
A A A A A A A A A
Leadership by example
x x x x x SE x x x
Create strong customer
focus
A x x x x A A x x
Provide moral support
x x x x x x x A A
Form policies and
strategies
A A A A A A A A A
Balance shareholder
needs
A A A x A x x A x
Consider market/business
risks
x x x A x x x A x
Documentation of
strategies/plans
x x x x x x x A x
Avoiding non-
compliance as a part of
strategic planning
x x x x x x x x x
Commitment to
Excellence
SE A A A SE A A A A
Leaders as role model of,
or commitment to
excellence
x x A x x A x A x
Use of high tech tools to
create excellence
SE x x x x x x x x
Leadership constancy of
purpose
x x x A x x x x x
Create appropriate
climate/ culture
x x x x SE x A A x
Ensure financial, moral
and personal support
x x x x x x x x A
Management vision and
ethics
A A A SE SE A A A A
Corporate citizenship
A x x A A A x A x
Enterprise ethics/ ethical
decision making
x A x SE SE SE x x x

291
Table A 1.5 (contd)
Aspects of
Organizational
Excellence
-alia
Singa-
pore
Japan Costa
Rica
South
Africa
Jordan
Actions/behaviours
displayed by leaders
x x A A A A A A A
People development:
education, learning,
training etc
SE A A SE SE A A A N
Top mgmt commitment
to learning
A x x x A A x A A
Documentation of HR
development
x x x x x x A x x
Employee empowerment
SE SE SE SE x x x x x
Innovation
A A A A A A A A x
People well-being: body
& mind
A A A A A A A A N
People well-being: spirit
x x x x x x x x x
Balanced & healthy life
style
x x x SE x x A SE x
Understanding culture
x x x x x x x A x
Use of new technologies
SE A A A A A SE A x
e-technology, software
systems as part of new
tech.
SE x x x x x x x x
Customer care, service &
satisfaction
A A A A SE SE A A N
Personalised services to
enhance customer
satisfaction
x x x x SE SE A SE x
Documentation of
customer satisfaction
x x x x x x A x x
Supplier/partner
relationship
A SE A A SE SE A A A
Sharing of know-how
with suppliers
x x x x x A x x x
Good work relations
between bosses and
employees
N N N N SE SE A SE A

292
Table A1.5 (contd)
aspects of
Organizational
Excellence
-alia
Singa-
pore
Japan Costa
Rica
South
Africa
Jordan
Trusting relationships
between bosses and
employees
x x x x x x x x x
Responsibilities to the
public ( impact on
society)
A A A A A A SE SE A
Environment
management and
pollution control
x x x x x x SE SE x

Legend: SE strongly emphasized, A- Addressed, N- not clearly described, X- not mentioned
Table A1.5 Summary of various approaches and emphasis for organizational excellence
Source: Hui & Chuan (2002, p. 64).

293

Column 1 Column 2 Column 3
DP examination checklist (1992)

Corresponding DP examination
viewpoint (2000)
They were last modified in 1998. The
word checklist was replaced by the
word viewpoint in the year 2000.
(www.deming.org/demingprize, p.2)
Difference In the set of viewpoints
applicable for 2004 the following
were either the new viewpoints or in
them there were significant changes
(shown in italics) in the emphasis
with respect to those in 1992.
1. Policy
1.1 Policies pursued for management,
quality and quality control
1.2 Methods for establishing policy
1.3 J ustifiability and consistency of
policies
1.4 Utilization of statistical methods
1.5 Transmission and diffusion of
policies
1.6 Review of policies and the results
achieved
1.7 Relationship between policies and
long and short term planning
2.3 Policy management

The entire policy viewpoint of 1992
becomes a part of the policy
management under TQM
framework.
2. Organization
and its management
2.1 Explicitness of the scope of
authority and responsibility
2.2 Appropriateness of delegations of
authority
2.3 Interdivisional cooperation
2.4 Committees and their activities
2.5 Utilization of staff
2.6 Utilisation of quality control circles
2.7 Quality control diagnosis
2. TQM framework
2.1 Organizational structure and its
position ( Interdepartmental activities
are coordinated, meetings and
committees are working efficiently).
2.2 Daily management operational
accountabilities are established.
Through maintaining and improving
standards, favourable results are
obtained

4.1 Cross-functional management and
its operation
2.4 Relationship to ISO 9000 and
ISO 14000 finds a place.
2.5 Relationship to other
management improvement programs
finds a place.
2.6 TQM promotion and operation
gets emphasised as a long lasting
activity.

Table A1.6(contd)

294

Table A1.6(contd)

viewpoint (2000)
3. Education and dissemination
3.1 Education programs and results
3.2 Quality control circle activities
3.3 Teaching and extent of
dissemination of statistical concepts and
methods
3.4 System of suggesting ways of
improvements and its conditions
3.5 Grasp of effectiveness of quality
control
3.6 Education of related entities:
contractors and vendors
3.7 Quality and control consciousness,
degrees of understanding of quality
control
5. HRD
5.1 Positioning of people in
management
5.2 Education and training
5.3 Respect for peoples dignity
(employee exhibit their autonomy
and creativity fully, demonstrate their
high morale and enthusiasm in group
activities).
5. Emphasis shifts from a mere
quality oriented training and HRD
gets recognised in its own right and
the
Further, 5.3 Respect for
peoples dignity is an important
culture based addition..
4.. Collection, dissemination and use of
information on quality
4.1 Collection of external information
4.2 Transmission of information
between divisions
4.3 Speed of information
transformation
4.4 data processing, statistical analysis
of information and use of results
6. Effective utilization of information
6.1 Positioning of information in
management
6.2 Information systems

6.3 Support for analysis and decision
making
6.2 Information system is a reflection
of the systemic orientation in the
current Deming model.
5. Analysis
5.1 Selection of key problems and
themes
5.2 Propriety of the analytical approach
5.4 Linkage with proper technology
5.5 Quality analysis, process analysis
5.6 Utilization of analytical results
5.7 Assertiveness of improvement
suggestions
8. Scientific methods

8.1 Understanding and utilization of
methods

8.2 Understanding and utilization of
analytical and design oriented
problem solving methods

Table A1.6 (contd)

295

Table A1.6(contd)

viewpoint (2000)
6. Standardization
6.1 Systematisation of standards
6.2 Methods of establishing, revision or
abolition of standards
6.3 Outcome of establishment, revision
or abolition of standards
6.4 Contents of the standards
6.6 Accumulation of technology
6.7 Utilization of standards
6.4 Standardisation and
configuration management

7. Control

7.1 Systems for the control of quality
and related costs
7.2 Control items and control points
7.3 Utilization of such statistical
control methods as control charts
7.4 Contribution to performance of
quality control circle activities
7.5 Actual conditions of control
activities
7.6 State of matters under control

4. Management systems for business
elements
4.3 Cost management
4.2 Quantity/ Delivery management
4.4 Environment management
4.5 Safety, Hygiene, and work
management
4.1 Cross-functional management and
its operation

The concept of control of systems
gets subsumed in many other
viewpoints in 2004. However,
Management system for business
elements can be said to be the
conceptual successor to what was
perhaps intended by control in
1992. Also, management systems
gets recognised as an important
viewpoint in its own right which is a
measure of the increased emphasis
which DP gave to organisational
management in 2004 as compared to
operational management in 1992.
Cross-functional management,
environment management, safety,
hygiene and work cost management
are now individualised entries which
were not there earlier.

Table A1.6(contd)

296
Table A1.6 (contd)

Table A1.6 Deming Prize in 1992 and 2000
Source: developed for this research based on The Comparison of the Deming Prize and the Baldrige
Award (n.d., p.2) and Deming Prize Criteria And accompanying Viewpoints (n.d.).

viewpoint (2000)
8. Quality assurance
8.1 Procedure for development of new
products and services
8.3 Process design, process analysis,
and process improvement 8.4 Process
capability8.7 Quality assurance system
and its audit 8.5 Instrumentation 8.9
Evaluation and quality of audit 8.10
Actual state of quality assurance8.8
Utilization of statistical methods
8.6 Equipment maintenance and control
of purchases
8.2 Safety and immunity from product
liability
3. Quality assurance system
3.2 New product and new
technology development
3.4 Test, quality evaluation, and
quality audits 3.1 Quality assurance
system 3.3 Process control 3.4 Test,
quality evaluation and quality audits

3.6 Purchasing, subcontracting and
distribution management
4.5 Safety, hygiene, and work
environment management3.5
Activities covering the whole life
cycle
9. Results
9.1 Measurement of results
9.2 Substantive results in quality,
services, delivery time, cost, profits,
safety, environments etc

9.3 Intangible results
9.4 Compatibility between prediction
of effects and actual records
10. Contribution to realization of
corporate objectives
10.1 Customer relations 10.2
Employee relations 10.3 Social
relations 10.4 supplier relations 10.5
shareholder relation
10.6 Realization of corporate
mission 10.7 Continuously securing
profit
10.Planning for the future
(none)
10.1Grasp of the present state of affairs
10.2 Measures for overcoming defects
10.3 Plans for future advances
10.4 Linkage with long term plans
1. Top management leadership,
vision and strategies
1.1 Top management leadership
1.2 Organisational vision and
strategies

The scope of results gets enlarged
more in line with the MBNQA

1.1 The concept of leadership finds a
place.
1.2 The aspect of vision and
strategies gets more emphasis. The
overall emphasis shifts from
operational management to
organisational management. Both
these observations are in line with
MBNQA.

297

MBNQA criteria (1992) MBNQA criteria( 2004) Difference
1. Leadership (9%)
1.1 Senior executive leadership
1.2 Management for quality

1.3 Public responsibility
1. Leadership (12%)
1.1 Organisational leadership (7%)
(a) senior leadership direction ( setting and
deployment of values, its communication to employees,
key suppliers and partners. creation of an environment
for empowerment, innovation, organisational agility
and learning, fostering of ethical behaviour)
(b) organisational governance (addressing of key
factors such as fiscal and management accountability,
protection of stockholder and stakeholder interest)
organisational performance review ( translation of
OPR into priorities for CI and breakthrough
improvement and into opportunities for innovation,
evaluation of performance of senior leaders and use of
OPR to improve their leadership effectiveness)
1.2 social responsibility (5%)
(a) responsibilities to public( proactive handling of
companys product service, operations on society and
achieving and surpassing their regulatory and legal
requirements. (b) Ensuring ethical behaviour. (c)
Identification and strengthening of key supporters.
Leadership gets more
weightage. Also,
management for
quality gets subsumed
in a more general
management
2. Information and analysis (8%)

2.1 Scope and management of
quality data and information
2.2 Competitive comparisons and
benchmarks

2.3 Analysis and uses of company
level data
4. Measurement, analysis and knowledge management
(9%)
4.1 Measurement and analysis of organisational
performance (4.5%)- (a) How do you collect and
integrate data and information for tracking daily
operations and how they are used for organisational
decision making and innovation
(b) How do you analyse the data to support
organisational level strategic planning and performance
review and how they are communicated.
4.2 Information and knowledge management- How
your organization ensures the quality and availability of
needed data and builds its knowledge assets.

Information recognised
as an asset which need
to be managed.
Table A1.7 (contd)

298
Table A1.7 (contd)
3. Strategic quality planning (6%)
3.1 Strategic quality and
company performance planning
process

3.2 Quality and performance plans

2. Strategic planning (8.5%)
2.1 Strategy development (4%)
(a) strategy development process its key steps and
participants, its correlation with customer and market
needs / opportunities, innovation, social and economic
risk and changes
(b) strategic objective its formulation and its ability to
balance short and long term goals, key stakeholders,
does it address the challenges identified in
organisational profile
2.2 Strategy deployment (4.5%)
(a) Action plan development and deployment and
tracking of action plan for achieving key strategic
objectives. Key human resource plan
(b) Performance projection of key performance
indicators and its comparison with key benchmarks,
goals.
In 2004, strategic quality
planning gets subsumed
in the overall strategic
plan.

In 2004, quality plan
gets subsumed in over all
action plan. In fact in
place of an exclusive
quality and performance
plan, now there is the
mention of human
resource plan and of
benchmarking of
performance.
4. HRD and management (15%)
4.1 Human resource management
4.2 Employee involvement

4.4 Employee performance and
recognition

4.3 Quality education and training

4.5 Employee well-being and morale
5. Human resource focus (8.5%)-
5.1 work systems- (a) how your organization manages
work to promote empowerment, innovation agility and
skill sharing.
(b) How does compensation, performance management
system hiring and career progression enable employees
to achieve high performance.

5.2 Employee learning and motivation- (a)How your
employee education and training support superior
performance and organisational objectives.
(b) how do you motivate employees to develop and
utilize their full potential and attain their career and
learning objectives.
5.3 Employee well being and satisfaction How your
organization maintains a work environment and an
employee support climate that contribute to the well-
being, satisfaction and motivation of all employees.
There is less weightage
on human resource focus
in 2004.
Table A1.7(contd)

299

Table A1.7(contd)
5. Management of process quality
(14%)
5.1 Design and introduction of
quality products and services
5.2 Process management-product
and service production and delivery
process
5.4 Supplier quality
5.5 Quality assessment

5.3 Process management-business
processes and support services

6. Process management (8.5%)
6.1 Value creation process (5%) How you determine
key value creation processes, how you determine its
requirements from customers, suppliers and partners.
How do you design and implement these processes.
How do you improve the value creation process to
reduce variability, to improve product and service and
how do you share these improvements with other units
and processes. How do you minimize overall cost of
inspection and process/ performance audit, rework,
warranty
6.2 Support processes (3.5%) - how your organization
manages its key processes that support your value
creation process.

Process, the core of
quality management, in
1992, gets much less
weightage in 2004.
6. Quality and operational results
(18%)
6.1 Product and service quality
results

No corresponding indicator

No corresponding indicator

6.2 Company operational results
6.3 Business process and support
service results
6.4 Supplier quality results

7. Business results (45%)
7.2 Product and service quality result( 7.5%) current
level and trend in key measures of product and service
performance and their comparison with competitors
figure
7.4 Financial and market result (7.5%) current level
and trend in key measures of financial performance
7.3 Human resource results (7.5%) current level and
trend in key measures of work system performance,
employee learning and development and employee
satisfaction
7.1 Customer focused results (7.5%) current level and
trend in key measures of customer satisfaction, their
loyalty and retention and their comparison with
competitors figures. (researchers note it is related to
3.2 shown below)

7.5 Organisational effectiveness results (7.5%)
current levels and trends in key indicators of (a)
operational performance of key value creation process,
(b) key support processes including productivity and
cycle time, (c) supplier and partner performance and
organisational strategy and action plan

In 2004, Business
results as against
mere quality result
becomes the hallmark
of success. In 2004,
financial results and
HRD gets recognised
as a necessary
component of
organisational
excellence.
There is
substantial increase in
weightage on business
results
Table A1.7(contd)

300

TableA1.7(contd)
7. Customer focus and satisfaction
(30%)
7.6 Future requirements and
expectations of customers
7.4 Customer satisfaction results

7.1 Customer relationship
management
7.2 Commitment to customers
7.3 Customer satisfaction
determination
7.5 Customer satisfaction
comparison

3. Customer and market focus (8.5%)
3.1 Customer and market knowledge (4%)
(a) Customer and market knowledge- how do you
determine the expectations and preferences of
customers and markets to ensure the continuing
relevance of your products and services and to develop
new opportunities
3.2 Customer relationship building and customer
satisfaction (4.5%)- how your organization build
relationships to acquire, satisfy and retain customers,
increase their loyalty and determines customer
satisfaction. How do you use your customer satisfaction
information vis-vis competitor/ industry benchmark.
Customer, who was the
king in 1992with 30%
weightage, gets much
less weightage.

Table A1.7 Comparison of criteria between MBNQA (1992) and MBNQA (2004)
Source: developed for this research based on Sankaran (1993, p.94) and Baldrige
National Quality Program 2004.

301

Appendix 2. Assessment of organisational policies

Graduate School of Management
Tweed, Gold Coast, Australia
Informed Consent Form

Dear Sir,

I am pursuing a doctoral study in management in the area of Total Quality
Management as the basis for organisational transformation of Indian Railways. As a part of
this, a survey is being done by me.
The purpose of this survey to understand the about the top management practices of Indian
Railways as perceived by the top managers of Indian Railways themselves. The perceived
performance, the perceived corporate policies and the perceived style of management of
Indian Railways from your point of view is an important source of feedback for the study. A
sample of such feedbacks would be merged to form an overall summary. This summary will
be an input to understand the readiness of Indian Railways for organisational transformation
through Total Quality Management (TQM).
In this connection, may I request you to spare some time and respond carefully to the
enclosed questionnaire? I would request you to answer ALL the questions.
While responding to the questions, please think of the current railway organization
you are working in and not of the Indian Railways as such.
I would like to assure you that this survey is being taken only for academic purposes. The
confidentiality of the responses will be maintained. While I look forward to you responses to
the questionnaire, you participation is totally voluntary and you are free to withdraw from
completing this survey at any time..
If you have any query, please do contact at the address given below.
Any complaints or queries regarding this project that cannot be answered by the person
responsible for this research project should be forwarded to:

302

Mr J ohn Russell
Ethics Complaints Officer
Graduate Research College, Southern Cross University
PO Box 157, Lismore, 2480
Ph: (02) 66203705 Fax: (02) 6626 9145 Email: jrussell@scu.edu.au

You are requested to send the filled questionnaire by registered post at the Varanasi address
given below ( as I have not received some replies sent by ordinary post).

Thanking you,

Dy CMM/ N.C. Rly. e_mail- madhu_ranjan@yahoo.com
address: Bunglow no. 50, DLW, Varanasi 221004 ph: 0542-2641017

Supervisor
Dr Shankar Sankaran, Associate Prof. Graduate School of Management, SCU, Tweed Head,
Gold Coast, Australia, e mail:- ssankara@scu.edu.au

_______________________________________________________________________
This questionnaire is based on a questionnaire developed by Prof. Khandwalla of IIM Ahemadabad and the
permission to use his questionnaire is greatfully acknowledged. It has been used in many public sector and
private sector organisations in India.

303

Assessment of organisational policies

Date: Age:
Rly Service or Designation: Grade:
Railway unit: Location:

I. What new policies/practices you want the organization to adopt in the new
scenario of liberalisation and globalisation?

1.

2.

3.

4.

5.

304
II( a) What are the core values of the management, that is, values to which the
management is most strongly committed? Given below is a list of fairly widely encountered
management values. Please underline those five to which your management is most strongly
committed:

01. Business integrity
02. Being customer driven
03. Giving best value for money
04. Making a useful contribution to society
05. Growth and development of staff
06. Being a fair and just employer
07. Concern for environment
08. Patriotism
09. Innovativeness and creativity
10. Total quality in every operation
11. Maximising returns to government
12. Pioneering, trailblazing
13. Being a trustee for the interests of all stakeholders of Indian Railways
14. Helping the underprivileged
15. Simple living and high thinking
16. Hard work, efficiency, and thrift
17. Respect for seniors, old traditions
18. Being pragmatic and flexible
19. Achieving goals no matter what is the cost
20. Professionalism
21. An international mind set
22. Other (please specify)

II (b) What do you feel should be the five most important core values of the
management of your organization in the new scenario?

01.

305

02.

03.

04.

05.

III(a) What are the three most important characteristics of the style of management of your
organization? Please tick three items that most fully capture your managements style of
running the organization.

01. Cautious, stick-to-the knitting management that greatly values stability, good profits,
and steady growth.
02. Bold but calculating risk taking, a lot of entrepreneurship, commitment to fast growth.
03. Participative management, seeking broad consensus on issues.
04. Nurturing and caring management that treats staff like family members.
05. Management strongly emphasises clear formal reporting relationships, roles,
procedures, and accountability.
06. Strongly emphasises flexibility, adaptability, informality and resourcefulness.
07. Strongly discipline oriented management; clearly separates those who give orders
from those who must obey them.
08. Altruistic, ethical, idealistic management.
09. Highly professionalised, systems oriented management.
10. A management that greatly values experience, good judgement and playing by the ear
over a lot of analysis and high formal qualifications.

306

III (b) What three attributes listed above of management style do you strongly prefer for
your organization in the new scenario of liberalisation?

01.

02.

03.

IV( a) What is your managements growth strategy for the organization? Please tick the
three most important items below:

307

01. Rapid expansion of present customer base by weaning customers back to the
railways
02. Related capacity building
03. Unrelated capacity building (e.g. doubling, rolling stock augmentations even if they
are not required)
04. Forward and backward integration with other logistic provider
05. J oint venture with domestic travel/ transport partners
06. Variable pricing
07. Empowerment( empowering front line managers to tap and capture new markets by
offering locally relevant, potentially
08. Geographical or locational expansion of railway network

IV ( b) What do you think should be the organizations growth strategy in the new scenario?

01.

02.

03.

04.

308
05.

V(a) What is your managements competitive strategy for the organization? Please tick the
three most important items below:

01. Compete on the basis of price by cutting costs and /or keeping low margins.
02. Compete on the basis of product differentiation and brand equity through
heavy advertising and promotion.
03. Compete on the basis of high quality of service.
04. Compete on the basis of innovating and offering novel or unique new services.
05. Compete by entering into joint ventures with local regional transport agencies or
other arrangements that raise your market power.
06. Compete on the basis of excellent add on services to customers.
07. Compete by developing and offering services to cater to needs of specific
market segments.
08. Compete by tailor making services to the requirements of individual
customers.

V(b) What do you feel should be your organizations competitive strategy in the emerging
scenario?

01.

02.

309
03.

04.

05.

VI(a) What are the significant changes in organisational structure and management systems
that your management is attempting? Please tick the six most important items below:

01. Greater delegation of authority at operating levels.
02. Flatter structure
03. More profit centres and divisions
04. Greater use of matrix structure (dual responsibility, project organization, etc.)
05. More sophisticated management information and control system
06. A more human resource development oriented personnel management
07. Greater participative management at staff and worker levels
08. A special group or division for joint ventures
09. More team management at managerial levels, use of cross-functional team
10. Greater centralisation of major staff functions like finance, HRD, R&D, MIS
11. Fairly extensive downsizing through retrenchment, VRS, attrition, etc.
12. Spin offs/ subsidiaries for larger ventures or joint ventures.
13. Contracting out various functions and activities to make the organization
much leaner

310
14. Greater representation of professionals at the divisional/ zonal/ Rly board level

VI(b) What major changes in organization structure and management systems do you
want in the new scenario?

01.

02.

03.

04.

05.

311
Appendix 2A Summary of responses to question no.II to question no. VI of the
questionnaire assessment of organisational policies (Survey A)

Question IIa. What are the core values of the management, that is, values to which
the management is most strongly committed?

Total number of respondents = 17
Percentage of
respondent who
gave the
response
Business integrity 17.6%
Being customer driven 23.5%
Giving best value for money 29.4
Making a useful contribution to society 41.1%
Growth and development of staff 35.3%
Being a fair and just employer 70.6%
Concern for environment 11.7%
Patriotism 17.6%
Innovativeness and creativity 11.7%
Total quality in every operation 29.4%
Maximizing return to government 17.6%
Pioneering, trailblazing 5.9%
Being a trustee for the interests of all stakeholders of Indian Railways 41.1%
Helping the under privileged 11.7%
Simple living and high thinking 5.9%
Hard work, efficiency and thrift 35.3%
Respect for seniors, old traditions 29.4%
Being pragmatic and flexible 17.6%
Achieving goals no matter what is the cost 23.5%
Professionalism 23.5%
An international mind set 0%
Other (please specify) 5.9%

312
Question IIb: What you feel should be the five most important core values for the
management of your organization in the new scenario?
Total number of respondents = 20 Number. of
respondents
who gave the
response
Percentage of
respondent who
gave the
response
Customer orientation 9 45%
Profitability 2 10%
Least cost movement 2 10%
Total quality in every operation 16 80%
Fair and just employer 4 25%
Market driven 1 5%
Trustee of all stake holders of Indian Railways 2 10%
Professional decision making 4 25%
Business integrity 6 30%
Innovation and creativity 4 25%
Financial viability 2 10%
Flexibility 1 5%
Outsource non core areas 2 10%

313
Question IIIa: What are the three most important characteristics of the style of
management of your organization?

Total number of respondents = 18. Percentage of
respondent who
gave the
response
01. Cautious, stick-to-the knitting management that greatly values
stability, good profits, and steady growth.
77.8%
02. Bold but calculating risk taking, a lot of entrepreneurship,
commitment to fast growth.
0%
03. Participative management, seeking broad consensus on issues.

11.1%
04. Nurturing and caring management that treat staff like family
members.
22.2%
05. Management strongly emphasises clear formal reporting
relationships, roles, procedures, and accountability.
77.8%
06. Strongly emphasises flexibility, adaptability, informality and
resourcefulness.
0%
07. Strongly discipline oriented management; clearly separates those
who give orders from those who must obey them.
72.2%
08. Altruistic, ethical, idealistic management. 5.5%
09. Highly professionalised, systems oriented management. 16.7%
10. A management that greatly values experience, good judgement
and playing by the ear over a lot of analysis and high formal
qualifications.
16.7%
11. Other (please specify) 11.1%

314
Question IIIb: What three attributes of management style do you strongly prefer for
your organization in the new scenario of liberalisation?
Total no. of respondents= 19 Number. of
respondents
who gave
the
response
Percentage
of
respondent
who gave
the
response
Cautious, stick to knitting management that greatly values
stability, good profit an steady growth
1 5.2%
Bold but calculating risk taking, a lot of entrepreneurship,
commitment to fast growth
15 80%
Participative management seeking broad consensus on issues 6 31.5%
Nurturing and caring management that treats staff like family
members
3 15.8%
Management strongly emphasises clear formal reporting
relationships, roles, procedures and accountability
2 10.5%
Strong emphasis on flexibility, adaptability, informality and
resourcefulness
14 73.7%
Strong discipline oriented management, clearly separates those
who give orders from those who must obey them
2 10.5%
Altruistic, ethical, idealistic management 0 0%
Highly professional, system oriented management 14 73.7%
Management that greatly values experience, good judgement
and playing by ear over a lot of analysis and high formal
qualification
0 0%
Others 1 5.2%

315
Question IVa: What is your managements growth strategy for the organization?
Please tick the three most important items.
respondent who
gave the
response
01. Rapid expansion of present customer base by weaning customers
back to the railways
31.6%
02. Related capacity building 52.6%
03. Unrelated capacity building (e.g. doubling, rolling stock
augmentations even if they are not required)
31.6%
04. Forward and backward integration with other logistic provider 15.8%
05. J oint venture with domestic travel/ transport partners 21%
06. Variable pricing 15.8%
07. Empowerment( empowering front line managers to tap and capture
new markets by offering locally relevant, potentially star services with
locally fixed tariffs
21%
08. Geographical or locational expansion of railway network 36.8%

316
Question IVb: What do you think should be the organizations growth strategy in the
new scenario?
No. of respondents = 19 Number. of
respondents
who gave
the
response
Percentage
of
respondent
who gave
the
response
Rapid expansion of present customer base by weaning
customers back to railways
14 73.7%
Related capacity building 12 63.2%
Unrelated capacity building (e.g. doubling, rolling stock
augmentations even if they are not required)
0 0
Forward and backward integration with other logistic provider 7 36.8%
J oint venture with domestic travel / transport partners 11 57.9%
Variable pricing 10 52.6%
Empowerment (empowering front line managers to tap and
capture new markets by offering locally relevant, potentially
star services with locally fixed tariffs)
14 73.7%
Geographical expansion of railway network 2 10.5%
Others 14 73.7%

317
Question Va: What are your managements competitive strategies for the organization?
Please tick the three most important items below:

Total number of respondents = 16. Percentage
of
respondent
who gave the
response
01. Compete on the basis of price by cutting costs and /or keeping low
margins.
81.2%
02. Compete on the basis of product differentiation and brand equity
through heavy advertising and promotion.
6.2%
03. Compete on the basis of high quality of service. 18.7%
04. Compete on the basis of innovating and offering novel or unique new
services.
37.5%
05. Compete by entering into joint ventures with local /regional transport
agencies or other arrangements that raise your market power.
25%
06. Compete on the basis of excellent add on services to customers. 6.25%
07. Compete by developing and offering services to cater to needs of
specific market segments.
62.5%
08. Compete by tailor making services to the requirements of individual
customers.
25%

318
Question Vb: What do you feel should be your organizations competitive strategy in
the emerging scenario?
respondents
who gave
the
response
Percentage
of
respondent
who gave
the
response
Compete on the basis of price by cutting cost and / or keeping
low margins
9 45%
Compete on the basis of brand equity through heavy advertising
and promotion
3 15%
Compete on the basis of high quality of service 20 100%
Compete on the basis of innovative and offering novel or
unique new services
19 95%
Compete by entering into joint venture with local / regional
transport agencies or other arrangements that raise your market
power
12 60%
Compete on the basis of excellent add-on services to
customers
3 15%
Compete by developing and offering services to cater to needs
of specific market segments
7 35%
Compete by tailor making services to the requirements of
individual customers
9 45%
Others 8 40%

319
Question VIa: What are the significant changes in organisational structure and management
systems that your management is attempting? Please tick the six most important items below:

respondent
who gave the
response
01. Greater delegation of authority at operating levels.

68.4%
02. Flatter structure 0%
03. More profit centres and divisions 36.8%
04. Greater use of matrix structure (dual responsibility, project
organization, etc.)
15.8%
05. More sophisticated management information and control system 63.1%
06. A more human resource development oriented personnel
management
36.8%
07. Greater participative management at staff and worker levels 15.8%
08. A special group or division for joint ventures 10.5%
09. More team management at managerial levels, use of cross
functional team
21%
10. Greater centralisation of major staff functions like finance, HRD,
R&D, MIS
36.8%
11. Fairly extensive downsizing through retrenchment, VRS, attrition,
etc.
26.3%
12. Spin offs/ subsidiaries for larger ventures or joint ventures. 21%
13. Contracting out various functions and activities to make the
organization much leaner
26.3%
14. Greater representation of professionals at the divisional/ zonal/ Rly
board level.
15.8%

320
Question VIb: What major changes in organisational structure and management
systems do you want in the new scenario?

respondents
who gave
the response
Percentage of
respondent who
gave the response
Greater delegation of authority at operating levels 14 70%
Flatter structure 6 30%
More profit centres and divisions 6 30%
Greater use of matrix structure (dual responsibility,
project organization, etc)
1 5%
More sophisticated MIS and control system 6 30%
A more human resource development oriented
personnel management
9 45%
Greater participative management at staff and worker
levels
3 15%
More team management at managerial levels, use of
cross functional team
8 40%
15%+40%
=55%
A special group or division for joint ventures 1 5%
Spin offs / subsidiaries for larger ventures / joint
ventures
3 15%
Greater centralisation of staff functions like finance,
HRD, MIS, R&D
2 10%
Fairly extensive downsizing through retrenchment,
VRS, attrition etc
7 35%
Contract out various functions and activities to make
the organization much leaner
9
7+9 =
16
45%
35%+45%
=80%

321
Appendix 3. Behaviour preference scale ( S 004)

Tweed, Gold Coast Australia

Dear Sir,

I am pursuing a doctoral study in management with a topic titled Total Quality
this study, a survey on leadership will be carried out by me.
The purpose of the survey is to understand about the leadership style of railway managers.
I would like to assure you that this survey is being taken only for academic purpose. The
confidentiality of the responses will be maintained. While I look forward to your responses to
completing the survey at any time.
enclosed questionnaire. It will take about 45 minutes to fill the questionnaire.
Mr J ohn Russell

Thanking you,

Dy CMM/ N.C. Rly/,e_mail- madhu_ranjan@yahoo.com
address: Bunglow no. 50, DLW, Varanasi 221004

322
ph: 0542-2641017

Supervisor

______________________________________________________________________
This questionnaire was developed by Prof. J B P Sinha of ASSERT Management Institute, Patna, India. The permission to
use this questionnaire is greatfully acknowledged.

I have read the information above and agree to participate in this study as a leader whose
management style is to be assessed using the questionnaire SOO1, S002, S003 S004,
leadership effectiveness rating and leadership style. I am over 18 years of age.

Name

Name of Witness (who shall be independent of the project)

Signature of the Witness: Date:

323
I certify that the terms of the form have been verbally explained to the subject, that the
subject appears to understand the terms prior to signing the form, and I asked the subject if
he needed to discuss the project with an independent person before signing and he declined.

Signature of the researcher: Date:................................

324
Behaviour preference scale (S 004)
Date: Rly unit (div/workshop/HQ/depot/others): Designation:
Service: Grade: No. of years of
service done in Rly:
Age Location: Education:

The items below ask for your beliefs, practices and preferences in dealing with your
immediate superior. Each item is followed by five alternatives. Please encircle the
alternative which comes closest to your judgement. Please do not write your name on this
questionnaire so that the anonymity of response can be maintained.
Items:
Legend: quite true-1 true-2 undecided3 false-4 quite false-5
01. S I have high respect for my superior.
Quite true true undecided false quite false

02. D I often seek advice and direction from my superior.

03. P I try to maintain personalised relationship with my superior.

04. D Before doing anything new, I prefer to seek the approval of my superior.

05. S I feel bad if a subordinate smokes in front of his superior.

06. P I often pay social visit to the house of my superior.

07. S I try to keep my words humbly low when I talk to my superior.

08. D When faced with a problem, I prefer to consult my superior first.

325
( S 004)

09. S I do not expect my superior to greet me first.

10. P I help my superior or his family members in case of medical or other emergencies.

11. P I feel good when my superior discusses his personal problems with me.

12. D I am not sure of my decision unless my superior approves it.

13. S I gladly accept the authority of my superior.

14. D I want that my superior should notice and appreciate my good performance.

15. P I try to oblige my superior by doing something personal for him.

16. S Whenever there is a difference of opinion between me and my superior, I concede
to make him feel good.
17. P Those who keep close contact with superior are better off.

18. D It is always safe to discuss with your superior before you take a decision.
19. S I do not reply back to my superior even if he is harsh on me.

326
(S004)

20. D I expect my superior to tell clearly what I should do.

21. P I feel pleasure in doing some personal work of my superior.

22. D I feel good when my superior pays attention to what I am doing.

23. S I blindly obey my superior.

24. P I often invite my superior on dinner or socials.

25. D I do not like to disagree with my superior.

26. P I often enquire about the well-being of the family members of my superior.

27. S I always address my superior with Sir.
28. D I do not go against the wishes of my superior even if it means inconveniences to
me.

29. P I feel pleasure in discussing my personal problems with my superior.

30. S I behave humbly and submissively with my superior, even if it is not necessary.

327

Reliability and validity: Sinha (1995, p.118)) have dealt in detail about the reliability and
validity of the above questionnaire. Specifically, he has quoted a study by Prasad (1990)
wherein the three constructs of dependency, personalised relationship and status
consciousness were found to be highly reliable and inter-correlated. The questionnaire
consists of 30 items, 10 each for dependency (D), personalised relationship (P) and status
consciousness (S). Regarding validity, Sinha (1995, p.98) have quoted independent studies
which also identified these three constructs. These studies are mentioned in table A2.1.

construct studies
Dependency Pareek (1968)
Personalised relationship Kumar & Singh (1976), Dayal
(1976)
Status consciousness Dumont (1970), Kothari
(1970)

Table A2.1 Validity of the three constructs of hierarchical orientation

Thus the questionnaire can be considered to be a valid instrument for assessing hierarchical
orientation among Indian managers.

328
Appendix 3A Data analysis for the questionnaire S004 (survey B)

Legend: quite true-1 true-2 undecided3 false-4 quite false-5

Step 1 analysis
The analysis began with verifying whether there is any significant difference between the S
score, P score and D score given below.
Symbol Mean value Valid N
S 2.1578 311
P 2.9768 311
D 2.2057 311
First the assumption of homogeneity of variances between S, P & D was verified
using Hartley F max, Cochran C and Bartlett Chi-square values.

Hartley Cochran Bartlett
F-max C Chi-sqr df p
VALUE 1.304074 .367904 6.008716 2 .049585

It was seen that the difference in variance are only marginally significant at 5% p
level. Further, it has also been reported that violation of this assumption does not seriously
affect the conclusions of ANOVA (Statistica 1998, p.1711).
The next assumption of correlation between mean and standard deviation was tested.
It is graphically shown in Figure A3.1. Though r =.69, the regression coefficient is only 0.06.
The significance of this regression coefficient was tested.
Sums of Mean
Squares df Squares F p-level
Regress. .001719 1 .001719 .920435 .513192
Residual .001868 1 .001868
Total .003587
It was seen that the p level was not significant. Thus the regression coefficient was
not significant. Thus there was no significant correlation between the mean and variance of S,
P and D. Thus both the assumptions of ANOVA were satisfied.

329
Regression
95% confid.
Plot of Means vs. Standard Deviations; variable: VALUE
Standard Deviations =.45585 +.06381 * Means
Correlation: r =.69199
Means
S
t
a
n
d
a
r
d

D
e
v
i
a
t
i
o
n
s
0.55
0.57
0.59
0.61
0.63
0.65
2.1 2.3 2.5 2.7 2.9 3.1

Figure A3.1 Correlation between mean and variance of S. P and D scores

Hence ANOVA could be used to test the difference between the means of S, P and D
scores.
Then ANOVA was used to test whether the mean values of S, P and D are same. The
result is shown below:
df MS df MS
Effect Effect Error Error F p-level
2 65.70 930 .37 174 0.00
n=311, k=2.

This showed that there are significant differences on the three dimensions of S, P & D.
Next, using Scheffe test it was found that the P score was markedly different from the S score
and D score.

330

Scheffe test:
{1} {2} {3}
2.16 2.98 2.21
S {1} 0.00 .62
P {2} 0.00 0.00
D {3} .62 0.00

Result of Scheffe test to assess the significance of differences between the sample
means of S, P and D scores

This showed that among the three components of hierarchical dimension, the
dimension of tendency for a personalised relationship was significantly weaker than those
of dependency on superior and status consciousness. There was no statistically significant
difference on the scores obtained on the dimensions of status consciousness and
dependency on the superior.

Step 2 analysis

Then it was assessed whether there is any difference within class 1, class2 and class 3
staff of the Indian Railways on the three dimensions of S, P and D scores. Since the sample
size was more than 30, the test of normality was not done. The analysis began with the S
score difference among class1, class2 and class3 staff.
Sample mean N
S1 2.43 144
S2 2.13 61
S3 1.79 106
Tests of homogeneity of Variances between S1, S2 & S3-
VALUE 1.352412 .382749 1.853278 2 .395893
This shows that the difference in variance of S1, S2 and S3 are not significant. Then the
correlation between the mean and variance was assessed. It is shown in Figure A3.2.

331
Regression
95% confid.
Means
S
t
a
n
d
a
r
d

D
e
v
i
a
t
i
o
n
s
0.44
0.46
0.48
0.50
0.52
0.54
1.7 1.8 1.9 2.0 2.1 2.2 2.3 2.4 2.5

Figure A3.2 Correlation between mean and variance of S1, S2 and S3 scores

Since the value of regression coefficient was only .063, its significance was tested using
ANOVA.
Analysis of Variance
Sums of Mean
Regress. .000980 1 .000980 .510457 .605062
Residual .001919 1 .001919
Total .002899
The low F value (or the high p level) showed that the regression coefficient is not significant.
Thus there was no significant correlation between the means and variances of S1, S2 and S3
scores.
Thus ANOVA could be used to test the difference between S1, S2 and S3. The result of
ANOVA is
df MS df MS
2 12.85 308 .23 54.33 .000

The significantly low p- level showed that the three sample means were significantly
different. Thus Scheffe test was used to assess the difference between them.

332
Scheffe test:
{1} {2} {3}
2.44 2.13 1.79
S1. {1} .00026 .00000
S2 {2} .00026 .00009
S3 {3} .00000 .00009
This showed that class 1 officers were less status conscious of their superiors in comparison
to class 2 officers who in turn were less status conscious of their superiors than the class 3
supervisors of Indian Railways.
Similar test was done to assess the difference among class 1, class 2 and class3
employees on the dimension of personalised relationship
Sample mean N
P1 2.978472 144
P2 2.916394 61
P3 3.009434 106
The difference in their variance were not statistically significant as can be seen from the tests
of homogeneity of variances between P1, P2 & P3 below-
VALUE 1.252194 .371156 .983970 2 .611416
The correlation between the means and variances of P1, P2 and P3 were assessed.
Regression
95% confid.
Standard Deviations =-1.568 +.74377 * Means
Means
S
t
a
n
d
a
r
d

D
e
v
i
a
t
i
o
n
s
0.59
0.61
0.63
0.65
0.67
0.69
2.90 2.92 2.94 2.96 2.98 3.00 3.02

Figure A3.3 Correlation between mean and variance of P1, P2 and P3 scores

333
The regression coefficient was seen to be high. The significance of the regression
coefficient was assessed from the p level of their regression.
Analysis of Variance:
Sums of Mean
Regress. .002499 1 .002499 26.82212 .121429
Residual .000093 1 .000093
Total .002592

Though the p-level was still low at 0.12, it was not significant at 5% level. Thus
ANOVA was not used to test the difference between P1, P2 and P3.
Therefore, non-parametric test Kruskal-Wallis ANOVA by Ranks was used.

Kruskal-Wallis test: H (2, N=311) =2.001803 p =.3676.

This shows that there was no statistically significant difference among the class 1,
class 2 and class 3 staff of Indian Railways on the dimension of tendency for personalised
relationship.
Then the difference on the dependency relationship among class 1, class2
and class3 staff were was tested.
Mean N
D1 2.55 144
D2 2.18 61
D3 1.75 106
All Groups 311
Tests of Homogeneity of Variances between D1, D2 & D3-
VALUE 1.401909 .371443 3.465783 2 .176789
This showed that the differences in their variances were not statistically significant.
Then the correlation between the mean and variance of D1, D2 and D3 were tested. It is
shown in Figure A3.4.

334
Regression
95% confid.
Means
S
t
a
n
d
a
r
d

D
e
v
i
a
t
i
o
n
s
0.45
0.47
0.49
0.51
0.53
0.55
0.57
1.6 1.8 2.0 2.2 2.4 2.6 2.8

Figure A3.4 Correlation between mean and variance of D1, D2 and D3 scores

The significance of the regression coefficient was assessed through the F statistics (or p level)
of the regression.
Analysis of Variance
Sums of Mean
Regress. .003397 1 .003397 2.310859 .370423
Residual .001470 1 .001470
Total .004867
The low F value (or the high p value) showed that the correlation is not significant. Thus
ANOVA could be used to test the difference between D1, D2 and D3.
df MS df MS
2 19.55393 308 .270071 72.40305 .000000

This showed that there was significant difference among the sample means D1, D2 and D3.
Thus Scheffe test was used to identify the means with significant difference.

335
Scheffe test:
{1} {2} {3}
2.55 2.18 1.75
D1 {1} .00004 .00000
D2 {2} .00004 .00000
D3 {3} .00000 .00000

This showed that the class 1 officers were less dependent on their superior as compared to
class 2 officers who in turn were less dependent on their superior than the class 3 supervisors.

Step 3 analysis

The analysis in this step aimed at assessing whether there were differences on the S, P and D
scores within a class of staff at three different age groups of up to 30 yrs, between 31yrs to
50 yrs and more than 50 yrs. Since the sample sizes in this category were less than 30,
ANOVA was not used as the assumptions of ANOVA could not be verified. Non-parametric
Kruskal-Wallis (K-W) ANOVA by rank was used.

Score N
S1_30yr 2.4818 44
S1_31-50 2.4292 89
S1_>50 2.3454 11
Kruskal-Wallis ANOVA by Ranks
Independent (grouping) variable: AGE_GR
Kruskal-Wallis test: H (2, N=144) =.4386395 p =.8031.
The high P value showed that among class 1 employees, there was no difference across the
generation gap in their tendency for status consciousness towards their superior.
Results of K-W test for other categories are shown below:
Score N
S2_31-50 2.029630 27
S2_>50 2.214706 34
Kruskal-Wallis test: H (1, N=61) =1.531847 p =.2158

336
Score N
S3_30yr 1.675000 8
S3_31-50 1.790909 77
S3_>50 1.833333 21

Score N
D1_30yr 2.452273 44
D1_31-50 2.611236 89
D1_>50 2.445455 11

Score N
D2_31-50 2.125926 27
D2_>50 2.232353 34
Kruskal-Wallis ANOVA by Ranks Independent (grouping) variable: AGE_GR
Kruskal-Wallis test: H (1, N=61) =.2595876 p =.6104

Score N
D3_30yr 1.762500 8
D3_31-50 1.744156 77
D3_>50 1.766667 21

Kruskal-Wallis test: H (2, N=106) =.5360950 p =.7649

The analysis showed that within a category of employee (class1, class 2, class3) there
is no significant difference in their scores on the two dimensions of status consciousness and

337
dependency proneness from younger (less than 30 years of age) to older (more than 50 years
of age) employees.

Step 4 analyses

Since it was concluded from the analysis in step 2 that there were no differences on
the P scores among class1, class2 and class3 employees, it was desirable to test whether there
was any difference on the P scores in any age group and in any class of the employees. Since
some of the sample sizes were less than 30, non-parametric K-W test was used.

test for difference in P score

VALUE
P1_30yr 2.911364
P1_31-50 3.022472
P1_>50 2.890909
P2_31-50 2.770370
P2_>50 3.032353
P3_30yr 2.650000
P3_31-50 3.010390
P3_>50 3.142857

Kruskal-Wallis test: H (7, N=311) =7.858904 p =. 3452

The high p level showed that there was no difference in P score across different age groups
and different class of employees in the Indian Railways.

338

Appendix 4. ISO 9000 Survey


Dear Sir,

I am pursuing a doctoral study in management in the area of Total Quality
Management as the basis for organisational transformation of Indian Railways under the
sponsorship of Department of Personnel and Training. As a part of this, a survey is being
done by me.
The purpose of this survey is to understand the impact which ISO certification has
made in your organization. A sample of such impact of ISO on different railway units would
be merged to form an overall summary. This summary will be an input to understand the
readiness of Indian Railways for organisational transformation through Total Quality
Management (TQM).
enclosed questionnaire? I would request you to answer ALL the questions.
I would like to assure you that this survey is being taken only for academic purposes.
The confidentiality of the responses will be maintained. While I look forward to you
responses to the questionnaire, you participation is totally voluntary and you are free to
withdraw from completing this survey at any time.
If you have any query, please do contact at the address given below.

339
Kindly do not write your name on the questionnaire so that anonymity of responses
can be maintained. When responding to the questionnaire, pl. think of your unit and not of
other units.
You are requested to send the filled questionnaire by registered post at the Varanasi
address given below (as I have not received some replies sent by ordinary post) or by e-mail.

Dy. CMM
email- madhu_ranjan@yahoo.com
address: Bunglow no. 50, DLW
Varanasi 221004
ph: 0542-2641017

Supervisor
Gold Coast, Australia, e mail: - ssankara@scu.edu.au ...............................................................


Mr J ohn Russell

_______________________________________________________________________
This questionnaire is based on a questionnaire developed by Prof. Acharya of Indian Statistical Institute,
Banglore, India and the permission to use his questionnaire is greatfully acknowledged.

340
ISO 9000 SURVEY

A. UNIT AND ITS PROFILE

1. Units name:
2. Rly:
3. Product or Service:
4. No. of employees:
(a) in production/marketing or service:
(b) in quality (includes quality assurance, inspection, quality management):
in support activities(includes procurement, planning):
(d) in finance and administration( includes personnel):

5. Which of the following departments were outside the scope of ISO certification:
(a) stores (b) accounts (c) personnel (d) security (e) EDP centre

6. Date of ISO 9000 certificate:
ISO 9000:1994 ISO 9000:2000 ISO 14000

date

7. Accreditation body:

B. ABOUT THE CERTIFYING AGENCY

1. Name of the certifying agency:

2.Reason for choosing the agency (more than one option can be chosen):
(a) cost was competitive
(b) preferred by the consultant
good reputation in the Rly circuit
(d) any other

341
3. What was the emphasis of the auditors during surveillance audits(1 indicates least focus, 6
indicates most focus):
(a) focus on number of outstanding NCs 1, 2, 3, 4, 5, 6
(b) focus on conformance to documentation 1, 2, 3, 4, 5, 6
focus on continuous improvement 1, 2, 3, 4, 5, 6
(d) focus on going through the motion of audit because railway units anyway can be
taken as OK. 1, 2, 3, 4, 5, 6
(e) any other
C. REASON FOR CERTIFICATION

1. Why did you go for certification? ( 1 indicates least important reason, 6 indicates most
important reason)

(a) to install a formal system (1, 2, 3, 4, 5, 6)
(b) for its publicity value (1, 2, 3, 4, 5, 6)
to initiate a structured way for continuous improvement (1, 2, 3, 4, 5, 6)
(d) was directed to do so by the HQ/ boss wanted it (1, 2, 3, 4, 5, 6)
(f) to prevent non-conformance(1, 2, 3, 4, 5, 6)
(g) customer demanded (1, 2, 3, 4, 5, 6)
(h) an organization wide change was long over due. (1, 2, 3, 4, 5, 6)
D. IMPLEMENTATION PROCESS

1. Top Management involvement
(a) very involved
(b) somewhat involved
minimal
(d) not at all involved

2. Was the customer involved?
(a) Yes, if yes how?

(b) No

342

3. Was any supplier involved?
(a) Yes, if yes, how?

(b) No.
4. Length of time taken for successful registration

Time expected Actual (from to)
<1yr
1-1.5 yr
1.5-2 yr
2-2.5 yr
2.5-3 yr
>3yr

5. Was there any break in the registration process? If yes, the reason for break and why it
started again?

6. Was there any resistance for the process of implementation from
(a) old timers
(b) middle management level
workers
(d) union

the type of resistance-

(a) another gimmick
(b) extra work
only paper work

343
(d) long drawn process
7. Did you have a consultant to guide the process?

(a) yes
(b) no

8. Who has prepared the procedures?
(a) People concerned
(b) Consultant
MR
(d) Any other
9. What is the total size of documentation?
(a) number of procedures-
(b) number of work instructions-

10. How the documentation process was managed?
(a) top down
(b) bottom up

11. Which of the following clauses were most difficult to (a) understand (b) to implement, in
the beginning?

(a) Document and data control (4.5 under ISO 9000:1994) i.e. clause 5.5.6 ( control of
documents) under ISO 9000:2000

(b) Control of Inspection, Measuring and test equipment (4.11 under ISO 9000:1994),
i.e. clause 7.6 (control of measuring and monitoring devices) under ISO 9000:2000

Corrective and Preventive action (4.14 unde ISO 9000:1994), i.e. clause 8.5.2
(corrective action) & 8.5.3 (preventive action) under ISO 9000:2000

(d) Statistical technique (4.20 under ISO 9000:1994) i.e. clause 8.4 (analysis of data)
under ISO 9000:2000

344
(e) any other (pl. specify)

12. Were you practicing contract review (under clause 4.3 under ISO 9000:1994) prior to
ISO 9000 implementation?
(a) yes
(b) no
If, no, what problems you faced for installing formal contract review procedures?
13. What methodology has been used for design verification?

14. What method has been used for design validation?

15. Do you feel that implementation of document control resulted in
(a) increased paper work only
(b) delay in providing documents to users
prevented non conformities on account of use of obsolete documents or no
documents
(d) any other

16. Did you have any difficulty in preparing the list of approved vendors?

(a) yes, if yes, how did you finalise the list?

(b) no

345
17. Has the implementation of purchasing (4.8) clause hindered the procurement cycle time
of following types of products
(a) subcontracted
(b) direct supply
imported

18. Did you declare any of your operations as special process?
(a) yes, If yes, how did you qualify those processes and the concerned operators?

(b) no.
19. Do you calculate Cp, Cpk ( or any other) indices for your processes?
(a) yes, if yes, what is the trend?

(b) No

20. How is the trend of production cycle time before and after ISO certification?
21. What problems did you have in satisfying clause 4.11 (Control of IMTs) of ISO 9001 i.e.
clause 7.6 (control of measuring and monitoring devices) under ISO: 2000?

22. What is the methodology you are adopting for identifying
(a) corrective action,
and
(b) preventive action

how many CPAs have been raised and closed in the last three years.

346

23. Have you installed a customer complaint analysis procedure?
(a) yes, if yes, what is the present trend?

(b) No

24. Are you using any statistical technique in the framework of ISO 9000?

technique Area/ function purpose

25. No. of lead auditors in the organization:-

26. No. of internal auditors:-

27. Awareness of SQC/SPC concepts now
(a) non existent
(b) low
somewhat
(d) good
28. No. of trained personnel on SQC related topics/ concepts-

29. Number of hours of training program imparted on the following subjects-
Topic Number attended Total duration
ISO 9000 awareness

347
ISO 9000 document
preparation

Internal quality audits
SQC topics (specify)
1.

2.

3.

4.

5.

30. How many internal audits were gone through before registration?

E. BENEFITS OF CERTIFICATION:

1. ISO certification resulted in (if you choose more than one option, please indicate their
order of importance)
(a) established a system where none existed previously
(b) consistent product quality
better understanding of process and responsibility
(d) uniting of different departments of the organization into a team.
(e) any other

2. How far it has contributed to superior performance in terms of
(a) better performance vis-a vis similar Rly unit which is not ISO certified

348

(b) Any visible improvement in product / service quality?

F. CURRENT FOCUS ON QUALITY
1. The focus is on {pl. grade them on a scale of 1(low) to 6(high)}
(a) continuous improvement 1 2 3 4 5 6
(b) delivery performance 1 2 3 4 5 6
supplier documentation & procedures 1 2 3 4 5 6
(d) retain the certificate 1 2 3 4 5 6

G. LESSON LEARNT

1. Most important lesson was that
(a) team work is essential 1 2 3 4 5 6
(b) people make the system work 1 2 3 4 5 6
cooperation and information sharing is needed 1 2 3 4 5 6
(d) nothing new or significant 1 2 3 4 5 6
(e) Any other

H. If you are to go for certification now, what would you do differently?
(you can choose more than one option)
(a) more emphasis on training
(b) better process management
more emphasis on proper documentation of procedures
(d) learn from others going through the process
(e) top down planning
(f) bottom up planning

I. General information {pl. grade them on a scale of 1(low) to 6(high)}
1. What is the level of respect for system /procedures?
(a) by top management 1 2 3 4 5 6
(b) by middle management 1 2 3 4 5 6
supervisory staff 1 2 3 4 5 6

349
(d) operators 1 2 3 4 5 6
2. Emphasis in quality policy is on
(a) quality as an output strategy 1 2 3 4 5 6
(b) vendor relation 1 2 3 4 5 6
customer relation 1 2 3 4 5 6
(d) quality activities at all stages 1 2 3 4 5 6
(e) ISO system implementation 1 2 3 4 5 6

4. Does the CEO of the organization participate in the management review? Also, pl. indicate
your quality objectives and its measurement in the last three MRMs?

Quality objectives Target
(if
any)
Date of MRM:
Result in 3
rd
last
MRM
Date of MRM:
Result in 2
nd
last
MRM & dt of
MRM
Result in last
MRM & dt of
MRM

5. Other than ISO, was any structured change initiative attempted in your unit during
the last decade? Is yes, pl name it.

350
Appendix 4A Summary of survey C in six ISO certified units of Indian Railways
Aspect Unit AMV BPL DCW DLW ICF WAP
Turn over (in
millions of
rupees)
Not
available
Not available 3000 8000 5500 3180
ISO 9000:1994
date
Not
applicable
2001 Sept 2001 Feb 1997 J an 1996 Nov 1994
ISO 9000: 2000
date
J an 2004 Aug 2004 April 2005 J an 2003 J an 2003 Mar 2001
Departments not
in ISO preview
none Fin, Per,
Security
Fin, Per,
Security
Security Fin, Per,
Security
Fin, Per,
Security
Employees in
organization
805 1800 3786 3786 7250 2300
(total)
Employees in
quality
Not
available
Quality
certified by
direct worker
himself
Not available Not
available
1650 Not
available
Employees in
support
236 100 Not available Not
available
1500 Not
available
Employees in
fin & adm
61 75 Not available Not
available
2300 Not
available
Reason for
choosing the
certifying
agency
Preferred by
consultant
Competitive
cost
Competitive
cost
Competitive
cost
Competiti
ve cost
Good
reputation
in rly ckt
Good
reputation
in rly ckt
Reason for
certification
To initiate a
structured
way for CI
To install a
formal
system HQ
wanted
For its
publicity
value
To prevent
non
conformance
Quality will be
focused
To initiate a
structured way
for CI
HQ wanted

To initiate a
structured
way for CI

To install a
formal
system

Quality will
be focussed
Quality
will be
focused
To initiate
a
structured
way for
CI
Desire for
bringing
about an
improved
managem
ent
system

To initiate
a
structured
way for CI
To install
a formal
system
Involvement Top mgmt -
very
involved
Customer
involved-
yes thru feed
back
Top mgmt
very involved
Customer
involved yes
thru feed back
Supplier
involved - no
Top mgmt
very involved
Customer
involved
yes thru feed
back
Supplier
involved - no
Top mgmt
very
involved
Customer
involved
yes thru feed
back
Supplier
involved- no
Top mgmt
very
involved
Customer
involved
No
Supplier
involved -
No
Top mgmt
very
involved
Customer
involved
yes
Supplier
involved -
No
Appendix 4A (contd)

351
Appendix 4A(contd)
Any break in
regn
No No Yes No No No
Resistance to
change
No No No Yes, from
middle
management
(extra work)
No No
Who did
documentation
People
concerned
People
concerned
People
concerned
and
consultant
People
concerned
and
consultant
MR People
concerned
No of procedure 14 11 47 Not known 11 Apex
procedure
for wheel,
axle,
material
finance,
common
activities
No of WI 78 370 496 Not known 380 All work
station
Documentation
process
Bottom up Bottom up Top down Top down Top down Top down,
no
consultant
for ISO
9000:2000
Clause most
difficult to
understand
Doc and
data control,
Customer
satisfaction
CPA to
implement,
data analysis
to understand
CPA, stat.
Tech.
Control of
IMT to
implement,
CPA to
understand
Establish
ment of
process
measure
in tune
with the
PDCA
cycle as
suggested
in the
standard
stat. tech.,
Customer
satisfac-
tion
Implementation
of doc control
resulted in
prevented
non
conformit-
ies on
account of
use of
obsolete
documents
or no
documents
nil prevented
non
conformities
on account of
use of
obsolete
documents or
no
documents
prevented
non
conformities
on account
of use of
obsolete
documents
or no
documents

prevented
non
conformit
ies on
account of
use of
obsolete
docum-
ents or no
docum-
ents
prevented
non
conformit-
ies on
account of
use of
obsolete
documents
or no
documents
Do you
calculate Cpk
No No No No No Yes, it is
within
limit
Appendix 4A(contd)

352
Appendix 4A (contd)
Prod. cycle time
before and after
registration
Not
applicable
Improved by
30%
Reduced in
some cases
Not
available
Not much
changed
Improved
CPA
implementation
From
internal
audit,
customer
feedback,
AU ensures
compliance
or else put
up to MRM
Shop level
meeting,
customer
feedback,
employee
suggestion
IA, sp.qual.
audit &
customer
feedback
The audit
process, or
otherwise
any staff can
generate a
CP which if
accepted by
the MR gets
included in
the level II
CPA
meeting and
is closed
only after
the problem
is eliminated
From IA
and sp.
Audit
team to
bring up
NCs
Identify
NC
product/
process
Make use
of
statistical
technique
to identify
priorities
Put up
problems
to quality
teams
Implement
suggested
corrective
or
preventive
action
review

No of CPA and
rewards
CPA- 5
Reward- nil
CPA 11
Reward- 13

CPA-12
Reward-32
two tier CPA
(one at AU
level and
another at the
apex level)

Avg. no of
CPA since
yr 2000-
141
reward 57
(two tier
CPA since
yr 2000-one
at AU level
and another
at the apex
level)
CPA- 18
Reward -
57
CPA-
>100
Reward -
1725
(Two tier
CPA one
at AU
level and
another at
the apex
level)
Customer.
Complaint.
Analysis exists?
Yes, it
reduced
customer
complains
Cost and
cycle. time
reduc, less 100
days sick
marking
Yes,
customer
complaint
outstanding
for >90
days=5
Yes, There
is no
complaint
more than 6
months

Yes,
improvem
ent in
customer
satisfactio
n.
Yes
customer
satisfactio
n index
shows
improving
trend
No of LA/IA 6/40 5/20 5/78 3/167 7/20
Use of SQC somewhat somewhat Low (pareto,
cause& effect
diagram)
Some-
what
(pareto)
Good(X,R
chart, Pareto.
Trend
analysis)
Appendix 4a(contd)

353
Appendix 4A(contd)
No of trained
staff on SQC
25 0 65 Not
available
3 All
supervisor
s (200)
Certification
resulted in
Better
understand-
ing of
process &
resp

Consistent
product
quality

Linkage to
other
function
Better
understanding
of process &
resp

Consistent
product
quality,

Established a
system
Better
understand-
ing of
process &
resp,

Linkage to
other
functions,
Substantial
improvement
in working
after ISO.
Better
understand-
ing of
process &
resp

Linkage to
other
functions
Established
a system
where none
existed
previously
Consisten
t product
quality,

Linkage
to other
functions,
Visible
improvem
ent in
product
quality
Better
understand
-ing of
process &
resp,
Consistent
product
quality
Linkage to
other
functions
Establishe
d a system
where
none
existed
previously
Current focus
(rating on 1 to 6
scale)
CI-6, del-6,
retain the
cert-6
CI-4, del-6,
retain the cert-
6.
CI-5, del-5,
retain the
cert-5,
supplier doc
& procedure-
5
Del perf- 6,
CI-4,
Supplier doc
-4

CI-4, del.
perf-5,
retain the
cert-6.
CI-6, del-
5, supplier
doc &
procedure-
4, retain
the cert-6
Lesson learnt
(rating on 1 to 6
scale)
Team work-
5, people-5,
coop & info
sharing-6
Team work-6,
people-6, coop
& info
sharing-5
Team work-
5, people-5,
coop & info
sharing-5
Team work-
6, people-6,
coop & info
sharing-6
Team
work-6,
people-6,
coop &
info
sharing-5
Team
work-6,
people-6,
coop &
info
sharing-6
What would you
do if go all over
again
Better
process mgt,
better
documenta-
tion, learn
from others
Better process
mgmt, bottom
up plg
More
emphasis on
trg,
Better
process
mgmt
Learn from
others
Bottom up
plg
Bottom
up plg
better
process
managem-
ent
Respect for
sys/proc (rating
on 1 to 6 scale)
Top mgt-6
mid mgt-6
Sup-5,
operator-5

Top mgt-5
mid mgt-5
Sup-4,
operator-4
Top mgt-5
mid mgt-5
Sup-5,
operator-4
Top mgt-6
mid mgt-6
Sup-5,
operator-3
Top mgt-
2 mid
mgt-2
Sup-2,
operator-1
Top mgt-6
mid mgt-6
Sup-6,
operator-5
House keeping
(rating on 1 to 6
scale)
6 6 5 4 2 5
CEO attends
MRM
yes yes yes yes yes yes
Appendix 4A(contd)

354
Appendix 4A (contd)
Improvement in
quality
objectives
yes Not available yes yes Yes, % of
rework
reduced
from 16%
in Dec
2003 to
8% in
J une 2004
Reduced
rejection,
rework
and cost,
more
customer
focus

Note: The responses of PRL have not been incorporated above due to lack of space.

355
Appendix 5. TQM transition questionnaire

service done in Rly:
Age No of years of service in this rly unit: Education:

This questionnaire attempts to assess the extent to which ISO certification has
resulted in development of TQM orientation in Railway units.

Pl. comment on the prevalence of the following statements on a scale of 1 to 10 in your
organization.

Against each of the following statements, please write the number that best applies
to your units management practice before ISO 9000 certification and today. For example,
if you feel before certification the emphasis given on cost reduction of your product could
be rated as 3 on a scale of 1 to 10, please write 3 under the heading before certification.
Today, if the emphasis on cost reduction can be rated as 4 on a scale of 1 to 10, pl. write 4
under the heading Today.

356

Q.no. &

Factor
Question
Situation 1
year before
ISO
certification (1
shows less
prevalent,
10 shows
more
prevalent)
(B)
Situation today
(1 shows less
prevalent
10 shows more
prevalent)

(A)

(A-B)

1 Customer
Focus
People in the organization
know who their internal and
external customers are.

1 2 3 4 5
6 7 8 9 10
1 2 3 4 5
6 7 8 9 10

2
Customer
Focus
All departments of my
organization including
finance, personnel, stores and
security care about meeting
their internal customers
expectation.
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

3
Customer
Focus
Both, the internal and external
customers are asked for their
opinions about the quality of
work/ services/ products they
receive from the organization.

1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

4
Communicatio
n across the
organisation
Information
and Data
maangement
The resources, facts and
information needed to do a
good job are available to the
people in the work unit.

1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

5
Communicatio
n across the
organisation
Information
and Data
maangement
Effective communication
across different departments
so as to improve inter-
department cooperation and
align the work force towards
corporate expectation
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

Table A5.1(contd)

357
Table A5.1(contd)
Q.no. &

Factor
Question
Situation 1
year before
ISO
certification (1
shows less
prevalent,
10 shows more
prevalent)
(B)
Situation
today
(1 shows less
prevalent
10 shows more
prevalent)

(A)

(A-B)
6
Communicatio
n across the
organisation
Information
and Data
maangement
The quality management
system contributes to collection
and integration of information
which are then used for
organisational decision making
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

7
Delegation
and
empowerment
The Schedule of Power (SOP) is
modified so as to provide
managers authority
commensurate with their
responsibilities
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

8
Delegation
and
empowerment
Employees are empowered to
take corrective decisions on the
spot without looking up to
managers for their approval
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

9
Delegation
and
empowerment
There is complete formal and/or
de-facto autonomy to the head
of this unit for taking decisions
which affect the working of this
unit.
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

10
Continuous
improvement
There is great emphasis on
employee training for
continuous learning of new
things
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

11
Continuous
improvement
Improvement of all operations
including personnel and
financial activities are
monitored in MRM
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

12
Continuous
improvement
Number of suggestions come
from staff to improve the cross-
functional work processes
which are then implemented .
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

Table A5.1 (contd)

358
Table A5.1(contd)
Q.no. &

Factor
Question
Situation 1
year before
ISO
certification (1
shows less
prevalent,
10 shows more
prevalent)
(B)
Situation
today
(1 shows less
prevalent
10 shows more
prevalent)

(A)

(A-B)
13
Results and
recognition
People in the work unit receive
promotions because they
deserve them.

1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

14
Results and
recognition
There is a system of quick
reward/recognition of people in
the work unit for outstanding
performance

1 2 3 4 5 6
7 8 9 10
1 2 3 4 5
6 7 8 9 10

15
Results and
recognition
The reward / recognition
policies are viewed with
widespread satisfaction.
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

16
Leadership
Leader(s) in the organization
ask people about ways to
improve the work produced, by
setting examples of quality
performance in their day-to-day
decision-making and activities.
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

17
Leadership
Senior managers providing clear
vision and values that promote
quality
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

18
Leadership
The manager provides the
direction for or improvement
and accordingly, workers are
motivated to take initiative. In
case of any difficulty, worker
interacts with the manager to to
improve the situation
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

19
Process
improvement
Use of corrective and preventive
action mechanism of ISO for
process improvement
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

TableA5.1(contd)

359
TableA5.1(contd)
Q.no. &

Factor
Question
Situation 1
year before
ISO
certification (1
shows less
prevalent,
10 shows more
prevalent)
(B)
Situation
today
(1 shows less
prevalent
10 shows more
prevalent)

(A)

(A-B)
20
Process
improvement
Use of pareto analysis and other
statistical techniques
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

21
Process
improvement
Key processes in the
organization are regularly
benchmarked and undergo
quality auditing
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

22
Supplier focus
Quality and not price is the
prime criteria in supplier
selection
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

23
Supplier focus
Long term relationship with
suppliers is encouraged
1 2 3 4 5
6 7 8 9 10
1 2 3 4 5
6 7 8 9 10

24
Supplier focus
Suppliers are treated as
customers whose feed back are
important in the quest for
improvement
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

25
Team work
Emphasis on team based
problem solving approach rather
than individual/department
based problem solving approach
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

26
Team work
People in the work unit share
responsibility for the success
and failure of their work
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

27
Team work
Members of different
department voluntarily come
forward to jointly solve an
organizational problem.
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

28
Value & ethics
The organization emphasizes
doing things right the first time.

1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

29
Value & ethics
Managers in the organization
live up to high ethical standards
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

Table A5.1(contd)

360
Table A5.1(contd)
Q.no. &

Factor
Question
Situation 1
year before
ISO
certification (1
shows less
prevalent,
10 shows more
prevalent)
(B)
Situation
today
(1 shows less
prevalent
10 shows more
prevalent)

(A)

(A-B)
30
Value & ethics
People in the organization are
committed to produce high
quality output rather than
adopting short cuts which
ultimately affect quality
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

31
Work culture
People in the work unit take
pride in their work
1 2 3 4 5
6 7 8 9 10
1 2 3 4 5
6 7 8 9 10

32
Work culture
Making a mistake is not feared.
It is recognised as a part of
learning.
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

33
Work culture
A lot of inter level and inter
department discussions take
place to build consensus before
a policy is instituted.
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

34
Strategy
Meeting and exceeding
customer expectation is
accorded a higher strategic
priority than short-term
production target.
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

35
Strategy
Streamlining the working ( i.e.
business) processes of the
organization
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

36
Strategy
Leaders in the organization try
to plan ahead for technological
and organisational changes that
might impact the
organizations future
performance.
1 2 3 4 5

6 7 8 9 10
1 2 3 4 5

6 7 8 9 10

Table A5.1 TQM transition questionnaire
@ This questionnaire is based on the work done by Wali, Deshmukh and Gupta ,2003 -
Critical success factors of TQM: a select study of Indian organizations, Production Planning & Control
Systems vol. 14, no. 1, pp. 3-14. Further assistance by Prof. S. G. Deshmukh of IIT Delhi in developing this
questionnaire is greatfully acknowledged

361
Validity test scores for the TQM transition questionnaire (survey D)
The scores here indicate (A-B) score i.e. (After Before) score obtained for Table A5.1.

Deming prize winner Railway units
Q.no. &

Factor
Question
Sona M&M Rane PRL AMV BPL DLW DCW

1 Customer
Focus
know who their internal and
external customers are.
2 5 3 2 2.0 5.5 4.6 0
2
Customer Focus
All departments of my
organization including
finance, personnel, stores
and security care about
meeting their internal
customers expectation. 3 5 2 0 1.5 2 2.8 0
3
Customer Focus
Both, the internal and
external customers are
asked for their opinions
about the quality of work/
services/ products they
receive from the
organization.
4 8 4 1 3.5 1.5 2 2
4
Communication
across the
organisation
Information and
Data
maangement
The resources, facts and
information needed to do a
good job are available to the
people in the work unit.

2 5 3 0 2.5 2.5 3.2 0
5
Communication
across the
organisation
Information and
Data
maangement
Effective communication
across different departments
so as to improve inter-
department cooperation and
align the work force
towards corporate
expectation 3 5 4 1 1.5 1 3.6 0
6
Communication
across the
organisation
Information and
Data
maangement
The quality management
system contributes to
collection and integration
of information which are
then used for organisational
decision making
5 4 3 0 2.5 1 2 1
Table A5.2(contd)

362
Table A5.2 (contd)
Q.no. &

Factor

Question Sona M&M Rane PRL AMV BPL DLW DCW
7
Delegation and
empowerment
The Schedule of Power
(SOP) is modified so as to
provide managers authority
commensurate with their
responsibilities 3 5 4 0 0.5 0 1.2 2
8
Delegation and
empowerment
Employees are empowered
to take corrective decisions
on the spot without looking
up to managers for their
approval 2 2 4 0 0.0 0 1.4 0
9
Delegation and
empowerment
There is complete formal
and/or de-facto autonomy to
the head of this unit for
taking decisions which
affect the working of this
unit. 2 2 4 6 0.0 0 0.2 0
10
Continuous
improvement
There is great emphasis on
employee training for
continuous learning of new
things 2 5 2 6 3.0 5.5 3 2
11
Continuous
improvement
Improvement of all
operations including
personnel and financial
activities are monitored in
MRM 2 5 3 3 1.5 3 4 4
12
Continuous
improvement
Number of suggestions
come from staff to improve
the cross-functional work
processes which are then
implemented . 4 3 4 4 2.5 1.5 3.4 3
13
Results and
recognition
People in the work unit
receive promotions because
they deserve them. 2 2 1 0 0.0 0 0.2 0
14
Results and
recognition
There is a system of quick
reward/recognition of
people in the work unit for
outstanding performance 2 3 3 2 0.5 1 2.2 0
15
Results and
recognition
The reward / recognition
policies are viewed with
widespread satisfaction. 2 3 3 2 0.0 1.5 1.8 0
Table A5.2 (contd)

363
Table A5.2 (contd)
Q.no. &

Factor

16
Leadership
Leader(s) in the
organization ask people
about ways to improve the
work produced, by setting
examples of quality
performance in their day-to-
day decision-making and
activities. 4 3 4 2 0.5 0 2.2 0
17
Leadership
Senior managers providing
clear vision and values that
promote quality 4 3 3 0 0.5 1.5 2 1
18
Leadership
The manager provides the
direction for or
improvement and
accordingly, workers are
motivated to take initiative.
In case of any difficulty,
worker interacts with the
manager to to improve the
situation 4 4 4 1 0.5 4 2.4 0
19
Process
improvement
Use of corrective and
preventive action
mechanism of ISO for
process improvement 4 4 3 1 0.5 0 2.8 2
20
Process
improvement
Use of pareto analysis and
other statistical techniques
4 5 3 1 1.5 3 4.6 1
21
Process
improvement
Key processes in the
organization are regularly
benchmarked and undergo
quality auditing 2 3 3 0 2.0 2 2.2 2
22
Supplier focus
Quality and not price is the
prime criteria in supplier
selection 3 2 4 0 0.5 0 2.4 0
23
Supplier focus
Long term relationship with
suppliers is encouraged 2 1 2 0 0.0 0 2.2 0
24
Supplier focus
Suppliers are treated as
customers whose feed back
are important in the quest
for improvement 2 3 3 0 0.5 2 2.2 2
25
Team work
Emphasis on team based
problem solving approach
rather than
individual/department based
problem solving approach 1 0 4 0 1.0 0.5 2.2 1
Table A5.2(contd)

364
Table A5.2 (contd)
Q.no. &

Factor

26
Team work
share responsibility for the
success and failure of their
work 2 2 4 0 1.0 0 0.8 0
27
Team work
Members of different
department voluntarily
come forward to jointly
solve an organizational
problem. 4 3 4 0 1.0 0 2.2 1
28
Value & ethics
The organization emphasizes
doing things right the first
time. 1 0 3 0 0.5 0 0.8 0
29
Value & ethics
managers in the
organization live up to high
ethical standards
2 0 1 0 0.5 0 0.6 1
30
Value & ethics
are committed to produce
high quality output rather
than adopting short cuts
which ultimately affect
quality 4 5 1 0 0.5 1 2.8 0
31
Work culture
take pride in their work 3 0 3 0 0.0 0 2 1
32
Work culture
Making a mistake is not
feared. It is recognised as a
part of learning. 2 0 3 0 1.0 0 0.6 1
33
Work culture
A lot of inter level and inter
department discussions take
place to build consensus
before a policy is instituted. 3 2 4 5 2.0 0 2.2 0
34
Strategy
Meeting and
exceeding customer
expectation is accorded a
higher strategic priority
than short-term production
target. 3 2 4 0 0.5 0 1.6 1
35
Strategy
Streamlining the working
( i.e. business) processes of
the organization 3 3 3 0 2.0 0 0.8 1
Table A5.2 (contd)

365
Table A5.2 (contd)
Q.no. &

Factor

36
Strategy
Leaders in the organization
try to plan ahead for
technological and
organisational changes that
might impact the
organizations future
performance. 5 4 3 2 1.5 0 1.4 2

total 102 111 113 39.0 39.5 40 76.6 31
Sum of factor scores for the
questionnaire (total/3) 34 37 37.66 13 13.17 13.33 25.33 10.33

Table A5.2 Scores obtained by different organizations on the TQM transition
instrument at the final draft stage

366

Score obtained by WAP and ICF on the TQM transition questionnaire

WAP ICF
Question no.
and factor
Question
Raw
score
Factor
score
Raw
score
Factor
score

1 Customer
Focus
People in the organization know who their
internal and external customers are.
6 5
2
Customer Focus
All departments of my organization including
finance, personnel, stores and security care about
meeting their internal customers expectation.
4 1
3
Customer Focus
Both, the internal and external customers are
asked for their opinions about the quality of work/
services/ products they receive from the
organization.
5 5 3 3
4
Communication
across the
organisation
Information and
Data
maangement
The resources, facts and information needed to
do a good job are available to the people in the
work unit.

5 2
5
Communication
across the
organisation
Information and
Data
maangement
Effective communication across different
departments so as to improve inter-department
cooperation and align the work force towards
corporate expectation
4 2
6
Communication
across the
organisation
Information and
Data
maangement
The quality management system contributes to
collection and integration of information which
are then used for organisational decision making
5 4.66 5 3
7
Delegation and
empowerment
The Schedule of Power (SOP) is modified so as
to provide managers authority commensurate
with their responsibilities 1 0
8
Delegation and
empowerment
Employees are empowered to take corrective
decisions on the spot without looking up to
managers for their approval 4 1.66 3 2
Table A5.3 (contd)

367
Table A5.3(contd)
WAP ICF
Question no.
and factor
Question
Raw
score
Factor
score
Raw
score
Factor
score
9
Delegation and
empowerment
There is complete formal and/or de-facto
autonomy to the head of this unit for taking
decisions which affect the working of this unit. 0 3
10
Continuous
improvement
There is great emphasis on employee training for
continuous learning of new things
4 5
11
Continuous
improvement
Improvement of all operations including
personnel and financial activities are monitored in
MRM 4 6
12
Continuous
improvement
Number of suggestions come from staff to
improve the cross-functional work processes
which are then implemented . 2 3.33 2 4.33
13
Results and
recognition
People in the work unit receive promotions
because they deserve them.
0 0
14
Results and
recognition
There is a system of quick reward/recognition of
people in the work unit for outstanding
performance 4 1
15
Results and
recognition
The reward / recognition policies are viewed with
widespread satisfaction.
5 3 1 .66
16
Leadership
Leader(s) in the organization ask people about
ways to improve the work produced, by setting
examples of quality performance in their day-to-
day decision-making and activities. 5 2
17
Leadership
Senior managers providing clear vision and
values that promote quality 1 2
18
Leadership
The manager provides the direction for or
improvement and accordingly, workers are
motivated to take initiative. In case of any
difficulty, worker interacts with the manager to to
improve the situation 2 2.66 1 1.33
19
Process
improvement
Use of corrective and preventive action
mechanism of ISO for process improvement
4 3
20
Process
improvement
Use of pareto analysis and other statistical
techniques
5 2
21
Process
improvement
Key processes in the organization are regularly
benchmarked and undergo quality auditing
4 4.33 0 1.33
22
Supplier focus
Quality and not price is the prime criteria in
supplier selection 2 2.33 2 2
Table A5.3 (contd)

368
Table A5.3 (contd)
WAP ICF
Question no.
and factor
Question
Raw
score
Factor
score
Raw
score
Factor
score
23
Supplier focus
Long term relationship with suppliers is
encouraged 1 0
24
Supplier focus
Suppliers are treated as customers whose feed
back are important in the quest for improvement
4 4
25
Team work
Emphasis on team based problem solving
approach rather than individual/department based
problem solving approach 5 5
26
Team work
People in the work unit share responsibility for
the success and failure of their work 2 0
27
Team work
Members of different department voluntarily
come forward to jointly solve an organizational
problem. 4 3.66 0 1.33
28
Value & ethics
The organization emphasizes doing things right the
first time. 2 0
29
Value & ethics
managers in the organization live up to high
ethical standards 1 2
30
Value & ethics
People in the organization are committed to
produce high quality output rather than adopting
short cuts which ultimately affect quality 3 2 0 .66
31
Work culture
People in the work unit take pride in their work
2 1
32
Work culture
Making a mistake is not feared. It is recognised
as a part of learning. 2 0
33
Work culture
A lot of inter level and inter department
discussions take place to build consensus before a
policy is instituted. 4 2.66 3 1.33
34
Strategy
Meeting and exceeding customer
expectation is accorded a higher strategic priority
than short-term production target. 3 0
35
Strategy
Streamlining the working ( i.e. business)
processes of the organization 2 0
36
Strategy
Leaders in the organization try to plan ahead for
technological and organisational changes that
might impact the organizations future
performance. 2 2.33 1 .33

total 123 41 64 21.33

Note: Factor score =sum of raw scores for a factor/3.

Table A 5.3 Score obtained by WAP and ICF on the TQM transition questionnaire

369
Appendix 6. Multifactor Leadership Questionnaire

Tweed, Gold Coast Australia

Mr.

Dear Sir,

I am pursuing a doctoral study in management with a topic titled Total Quality
this study, a survey on leadership is being carried out by me.
The purpose of the survey is to understand about the leadership style of senior managers who
have worked in railways and who have been able to make a difference to their organizations.
Anecdotically, you have been considered as a leader who has made significant difference in
his area of work in the Indian Railways. As a student of leadership, it is worthwhile to
formally study your leadership style.
In this connection, enclosed please find a questionnaire called leader form which you are
required to fill. Also attached is another questionnaire called ratter form and
transformational leadership in Indian context. They will be given to managers who have
worked under you. The managers will assess you leadership style. It is being sent to you so as
to seek your consent for the same.
May I request you to spare some time and respond to the enclosed questionnaire.
I would like to assure you that this survey is being taken only for academic purposes. The
confidentiality of the responses will be maintained. While I look forward to you responses to
completing this survey at any time..
Mr J ohn Russell

370

You are requested to send the filled questionnaire by registered post at the Varanasi address
given below ( as I have not received some replies sent by ordinary post).

Thanking you,
Dy. CMM/ N.C. Rly/ email- madhu_ranjan@yahoo.com
Postal address: Bunglow no. 50, DLW,Varanasi 221004
Ph: 0542-2641017

Supervisor
________________________________________________________________________
The questionnaire was developed by Bass of Binghamton University, New York.. The permission to use the questionnaire is
greatfully acknowledged.

I have read the information above and agree to participate in this study as a leader whose
management style is to be assessed using the Multi Factor Leadership questionnaire. I am
over 18 years of age.

371

Name

Name of Witness (who shall be independent of the project)

Signature of the Witness: Date:

I certify that the terms of the form have been verbally explained to the subject, that the
subject appears to understand the terms prior to signing the form, and I asked the subject if
he needed to discuss the project with an independent person before signing and he declined.

Signature of the researcher: Date:

372
Appendix 6.1 Multifactor Leadership Questionnaire Leader Form

My Name:__________________________________________________________Date:_____
This questionnaire is to describe your leadership style as you perceive it. Please answer all items on this
answer sheet. If an item is irrelevant, or if you are unsure or do not know the answer, leave the
answer blank.
Forty-five descriptive statements are listed on the following pages. J udge how frequently each statement
fits you. The word "others" may mean your peers, clients, direct reports, supervisors, and/or all of these
individuals.
Use the following rating scale:

Not at all
0
Once in a while
1
Sometimes
2
Fairly often
3
Frequently, if
not always 4
1. I provide others with assistance in exchange for their efforts....0 1 2 3 4
2. I re-examine critical assumptions to question whether they are appropriate 0 1 2 3 4
3. I fail to interfere until problems become serious. .0 1 2 3 4
4. I focus attention on irregularities, mistakes, exceptions, and deviations
from standards0 1 2 3 4
5. I avoid getting involved when important issues arise .0 1 2 3 4
6. I talk about my most important values and beliefs ..0 1 2 3 4
7. I am absent when needed 0 1 2 3 4
8. I seek differing perspectives when solving problems .0 1 2 3 4
9. I talk optimistically about the future . . ...0 1 2 3 4
10. I instil pride in others for being associated with me 0 1 2 3 4
11. I discuss in specific terms who is responsible for achieving performance targets0 1 2 3 4
12. I wait for things to go wrong before taking action. 0 1 2 3 4
13. I talk enthusiastically about what needs to be accomplished.0 1 2 3 4
14. I specify the importance of having a strong sense of purpose 0 1 2 3 4
15. I spend time teaching and coaching 0 1 2 3 4

373
contd . ..
Not at all 0
Once in a while
1
Sometimes
2
Fairly often
3
Frequently, if
not always 4

16. I make clear what one can expect to receive when performance
goals are achieved.0 1 2 3 4
17. I show that I am a firm believer in "If it ain't broke, don't fix it.".. 0 1 2 3 4
18. I go beyond self-interest for the good of the group,0 1 2 3 4
19. I treat others as individuals rather than just as a member of a group. 0 1 2 3 4
20. I demonstrate that problems must become chronic before I take action 0 1 2 3 4
21. I act in ways that build others' respect for me.0 1 2 3 4
22. I concentrate my full attention on dealing with mistakes, complaints,
and failures. 0 1 2 3 4
23. I consider the moral and ethical consequences of decisions,. 0 1 2 3 4
24. I keep track of all mistakes .0 1 2 3 4
25. I display a sense of power and confidence .0 1 2 3 4
26. I articulate a compelling vision of the future,..0 1 2 3 4
27. I direct my attention toward failures to meet standards ,.0 1 2 3 4
28. I avoid making decisions,0 1 2 3 4
29. I consider an individual as having different needs, abilities, and
aspirations from others0 1 2 3 4
30. I get others to look at problems from many different angles. 0 1 2 3 4
31. I help others to develop their strengths.. 0 1 2 3 4
32. I suggest new ways of looking at how to complete assignments.. 0 1 2 3 4
33. I delay responding to urgent questions, 0 1 2 3 4
34. I emphasize the importance of having a collective sense of mission 0 1 2 3 4
35. I express satisfaction when others meet expectations 0 1 2 3 4
36. I express confidence that goals will be achieved0 1 2 3 4
37. I am effective in meeting others' job-related needs ,..0 1 2 3 4
38. I use methods of leadership that are satisfying , 0 1 2 3 4
39. I get others to do more than they expected to do , .0 1 2 3 4
40. I am effective in representing others to higher authority ,. 0 1 2 3 4

374
contd

41. I work with others in a satisfactory way ,.. 0 1 2 3 4
42. I heighten others' desire to succeed ,.. 0 1 2 3 4
43. I am effective in meeting organizational requirements.. 0 1 2 3 4
44. I increase others' willingness to try harder. 0 1 2 3 4
45. I lead a group that is effective 0 1 2 3 4

Not at all
0
Once in a while
1
Sometimes
2
Fairly often
3
Frequently, if
not always 4

375
Appendix 6.2 Multifactor Leadership Questionnaire Rater Form

service done in rly:
Age Location: Education:
Forty-five descriptive statements are listed on the following pages. J udge how frequently
each statement fits the person who is your immediate superior at your work place. You have
worked under the person for . years. He is in (SS/J AG/ SAG/HAG/GM/
board member) grade.
Use the following rating scale:

Not at all

Once in a while Sometimes Fairly often Frequently,
If not always
0 1 2 3 4

code Sr.no. THE PERSON I AM RATING. . .

CR 1. Provides me with assistance in exchange for my efforts.0 1 2 3 4
IS 2. Re-examines critical assumptions to question whether they are appropriate. ...0 1 2 3 4
MEP 3. Fails to interfere until problems become serious .... 0 1 2 3 4
MEA4. Focuses attention on irregularities, mistakes, exceptions, and deviations
from standards .0 1 2 3 4
LF 5. Avoids getting involved when important issues arise. 0 1 2 3 4
IIB 6. Talks about their most important values and beliefs0 1 2 3 4
LF 7. Is absent when needed 0 1 2 3 4
IS 8. Seeks differing perspectives when solving problems.. 0 1 2 3 4
IM 9. Talks optimistically about the future 0 1 2 3 4
IIA 10. Instils pride in me for being associated with him/her 0 1 2 3 4
CR 11. Discusses in specific terms who is responsible for achieving
performance targets ..0. 1 2 3 4
contd

376

MEP 12. Waits for things to go wrong before taking action .0 1 2 3 4
IM 13. Talks enthusiastically about what needs to be accomplished.. 0 1 2 3 4
IIB 14. Specifies the importance of having a strong sense of purpose 0 1 2 3 4
IC 15. Spends time teaching and coaching ..0 1 2 3 4
CR 16. Makes dear what one can expect to receive when performance
goals are achieved. 0 1 2 3 4
MEP 17. Shows that he/she is a firm believer in "If it is not broken, don't fix it."0 1 2 3 4
IIA 18. Goes beyond self-interest for the good of the group 0 1 2 3 4

IC 19. Treats me as an individual rather than just as a member of a group .. 0 1 2 3 4

MEP 20. Demonstrates that problems must become chronic before taking action .. 0 1 2 3 4

IIA 21. Acts in ways that builds my respect for him . 0 1 2 3 4

MEA 22. Concentrates his/her full attention on dealing with mistakes, complaints,
and failures. 0 1 2 3 4

IIB 23. Considers the moral and ethical consequences of decisions 0 1 2 3 4

MEA 24. Keeps track of all mistakes0 1 2 3 4

IIA 25. Displays a sense of power and confidence 0 1 2 3 4

IM 26. Articulates a compelling vision of the future 0 1 2 3 4

MEA 27. Directs my attention toward failures to meet standards0 1 2 3 4
LF 28. Avoids making decisions . 0 1 2 3 4
contd
Not at all

If not always
0 1 2 3 4

377

IC 29. Considers me as having different needs, abilities, and aspirations
from others 0 1 2 3 4

IS 30. Gets me to look at problems from many different angles 0 1 2 3 4

IC 31. Helps me to develop my strengths ..0 1 2 3 4

IS 32. Suggests new ways of looking at how to complete assignments . 0 1 2 3 4

LA 33. Delays responding to urgent questions 0 1 2 3 4

IIB 34. Emphasizes the importance of having a collective sense of mission 0 1 2 3 4

CR 35. Expresses satisfaction when I meet expectations 0 1 2 3 4

IM 36. Expresses confidence that goals will be achieved 0 1 2 3 4

EFF 37. Is effective in meeting my job-related needs..0 1 2 3 4

S 38. Uses methods of leadership that are satisfying 0 1 2 3 4

EE 39. Gets me to do more than I expected to do 0 1 2 3 4

EFF 40. Is effective in representing me to higher authority 0 1 2 3 4

S 41. Works with me in a satisfactory way 0 1 2 3 4

EE 42. Heightens my desire to succeed 0 1 2 3 4
contd
Not at all

If not always
0 1 2 3 4

378

EFF 43. Is effective in meeting organizational requirements ... 0 1 2 3 4

EE 44. Increases my willingness to try harder.. 0 1 2 3 4

EE 45. Leads a group that is effective 0 1 2 3 4

Reliability and validity: The reliability and validity of MLA questionnaire are extensively
dealt with in Bass and Avolio (2000). They are briefly reproduced below.

Reliability: The reliability of different components of Multi Factor Leadership
Questionnaire (MLQ) is indicated below.

Total Sample (N = 2154)
Scale II(A) II(B) IM IS IC CR MBEA MBEP LF EE EFF SAT
Mean 2.56 2.64 2.64 2.51 2.66 2.20 1.75 1.11 .89 2.60 2.62 2.57
SD .84 .85 .87 .86 .93 .89 .77 .82 .74 1.16 .72 1.28
Reliability .86 .87 .91 .90 .90 .87 .74 .82 .83 .91 .91 .94

Table A6.2.1 Reliability Scores for MLQ 5x
Source: Bass & Avolio (2000, p.16).

The inter-correlation between different components of the MLQ are shown below.

Not at all

If not always
0 1 2 3 4

379
II(A) II(B) IM IS IC CR MBE MBE LF EE EFF
II(A) -
II(B) .79* -
IM .85* .86* -
IS .76* .84* .85* -
IC .82* .82* .87* .84* -
CR .68* .69** .73* .70* .75* -
MB - -0.3 - - - .03 -
MB - - - - - - .28*
LF - - - - - - .18* .74* -
EE .68* .69* .73* .69* .74* .62* .03 - - -
EFF .51* .44* .46* .41* .44* .32* - - - .45*
SAT .25* .22* .21* .18* .27* .19* .06 - - .23* .15*

TableA6.2.2 Intercorrelations among MLQ Factor Scores
Source: Bass & Avolio (2000).
Validity: Bass and Avolio (2000) used Confirmatory Factor Analysis (CFA) to test the
convergent and discriminant validities of each MLQ 5X scale by examining the structural
relations among latent constructs. It confirmed the 9-factor conceptual model proposed by
them. Their item selection process also included an extensive content analysis. Further, Bass
and Avolio also ran a series of CFAs to determine if there were other competing models
which better describe transformational leadership. Specifically, they tested several competing
models to see which factor structure solutions best represented the current MLQ 5X data. The
competing models included:
one general or global leadership factor model;
a two correlated factors model (active versus passive leadership);
a three correlated factors model (transformational, transactional leadership and
non-leadership); and
a nine correlated factors "full range of leadership" model (IIA, IIB, 1M, IS, IC, CR,
MBEA, MBEP, and LF). Each CFA was based on the maximum likelihood estimation
method.
The Table A6.2.3 shows the comparison of several fit measures as well as the chi-square test
results of the competing factor/model solutions. All of the fit measures and chi-square tests

380
improved as the model progressed from a one-factor solution to the full range leadership
model solution (nine factors model). According to Bass and Avolio (2000) improvement
became substantial as one progressed from the two-factor model to the three-factor model
and again from the three- factor model to the full nine-factor model. In particular, the
goodness of fit index (GFI) of .91 for the full model exceeds the .90 cut-off criterion
recommended in the literature (Bentler, 1990; Bollen, 1989). Also, the root mean squared
residual (RMSR) of .04 of the full model satisfies the cut-off criterion of less than .05
recommended by J oreskog & Sorbom (1989). Thus it is reasonable to conclude that the
MLQ leadership model can be used for assessing transformational leadership among the
Indian Railways managers.

Fit measure One factor two factor three factor Nine factor (full range)
model model model model
Chi square/ df
GFI*
AGFI**
RMSR***
5,674 /594 5,260/593 3,529/591 2,394 /558
0.75 0.77 0.86 0.91
0.72 0.74 0.84 0.89
0.07 0.08 0.05 0.04

Table A6.2.3 Comparison of overall fit measures among several factor models
Source: Bass and Avolio (2000)

*Goodness of fit index **Adjusted Goodness of Fit Index ***Root Mean Squared
Residuals

381
Factor
Item II(A)
Factor
Item II(B)
Factor
Item IM
Factor
Item IS
Factor
Item IC
II(A)21 0.73 II(B) 3 0.63 IM25 0.69 IS17 0.71 IC 9 0.60
II(A)31 0.71 II(B)23 0.76 IM35 0.68 IS47 0.73 IC39 0.82
II(A)61 0.85 II(B)33 0.70 IM64 0.79 IS57 0.79 IC49 0.77
II(A)67 0.65 II(B)71 0.72 IM72 0.77 IS73 0.81 IC59 0.73
Item Factor
CR
Factor
Item MBEA
Item Factor
MBEP
Item Factor
LF
CR16 0.65 MBEA 6 0.59 MBEP20 0.73 LF 2 0.57
CR40 0.65 MBEA22 0.37** MBEP36 0.83 LF18 0.51
CR56 0.70 MBEA30 0.60 MBEP44 0.37** LF42 0.71
CR80 0.78 MBEA46 0.65 MBEP52 0.88 LF50 0.68
*Item numbers are for the MLQ5x form and for the current study.
** This item loading was below minimum cut-offs, but retained to provide a broader
assessment of the construct.

Table A6.2.4 The squared parameter estimates of the full range of leadership
model. All of the indicators loading on each construct were statistically
significant, indicating that these respective scales each have satisfactory levels of
internal consistency.

Source: Bass and Avolio (2000).

382

MLQ Multifactor Leadership Questionnaire
Scoring Key (5x) Short
My
Name:_______________________________________________________Date:__________

Scoring: The MLQ scale scores are average scores for the items on the scale. The score can
be derived by summing the items and dividing by the number of items that make up the scale.
All of the leadership style scales have four items, Extra Effort has three items, Effectiveness
has four items, and Satisfaction has two items.

Idealized Influence (Attributed) total/4= Management-by-Exception (Active) total/4 =
Idealized Influence (Behaviour) total/4= Management-by-Exception (Passive) total/4
=
Inspirational Motivation total/4 = Laissez-faire Leadership total/4 =
Intellectual Stimulation total/4 = Extra Effort total/3 =
Individual Consideration total/4 = Effectiveness total/4 =
Contingent Reward total/4 = Satisfaction total/2 =

1. Contingent Reward... 0 1 2 3 4
2. Intellectual Stimulation..0 1 2 3 4
3. Management-by-Exception (Passive..)... ..0 1 2 3 4
4. Management-by-Exception (Active)0 1 2 3 4
5. Laissez-faire Leadership...0 1 2 3 4
6. Idealized Influence (Behaviour).0 1 2 3 4
7. Laissez-faire Leadership.. 0 1 2 3 4
8. Intellectual Stimulation.0 1 2 3 4
9. Inspirational Motivation0 1 2 3 4
10. Idealized Influence (Attributed)..0 1 2 3 4
11.Contingent Reward.. 0 1 2 3 4
12. Management-by-Exception (Passive). 0 1 2 3 4

383
contd
13. Inspirational Motivation...0 1 2 3 4
14. Idealized Influence (Behaviour).. 0 1 2 3 4
15. Individual Consideration. 0 1 2 3 4
16. Contingent Reward. 0 1 2 3 4
17. Management-by-Exception (Passive).. 0 1 2 3 4
18. Idealized Influence (Attributed).. 0 1 2 3 4
19. Individual Consideration0 1 2 3 4
20. Management-by-Exception (Passive)..0 1 2 3 4
21. Idealized Influence (Attributed).. 0 1 2 3 4
22. Management-by-Exception (Active). 0 1 2 3 4
23. Idealized Influence (Behaviour)0 1 2 3 4
24. Management-by-Exception (Active).. 0 1 2 3 4
25. Idealized Influence (Attributed)0 1 2 3 4
26. Inspirational Motivation 0 1 2 3 4
27. Management-by-Exception (Active)0 1 2 3 4
28. Laissez-faire Leadership. 0 1 2 3 4
29. Individual Consideration 0 1 2 3 4
31. Individual Consideration.0 1 2 3 4
33. Laissez-faire Leadership. 0 1 2 3 4
34. Idealized Influence (Behavior).. 0 1 2 3 4
35. Contingent Reward ..0 1 2 3 4
36. Inspirational Motivation0 1 2 3 4
37. Effectiveness.. 0 1 2 3 4
38. Satisfaction .0 1 2 3 4
39. Extra Effort0 1 2 3 4
40. Effectiveness0 1 2 3 4
41. Satisfaction.. 0 1 2 3 4
42. Extra Effort0 1 2 3 4
43. Effectiveness 0 1 2 3 4
44. Extra Effort. 0 1 2 3 4
45. Effectiveness.. 0 1 2 3 4

384

Appendix 6.3 Scores obtained on the Multifactor Leadership Questionnaire
(rater form)

Leader
J P Pandey( Alambagh)
Leader
Pradhan (Bhopal)
No of respondents n 2 2
Dimensions
Satisfaction SAT 3.66 3.55
Extra effort EE 3 3.83
Effectiveness EFF 3.5 3.87
Idealised influence (attribute) IIA 3.5 3.87
Idealised influence (Behaviour) IIB 3.33 3.87
Inspirational motivation IM 3.5 3.5
Intellectual Stimulation IS 3.16 3
Individualised consideration IC 3.25 1.87
Contingent reward CR 3.08 3.75
Management by exception
(active)
MEA
3.41

3
Management by exception
(passive)
MEP
0.58

.625
Laissez Faire LF 0 0

385

Appendix 7. Organization chart of Indian Railways
(Entries in violet are field managers. Entries in black are head quarter managers. Most
of the field managers work under the dual control of their immediate superior field manager
and their headquarter manager. For example a Divisional Operating Manager (DOM) works
under his immediate superior - a Divisional Railway Manager (DRM) and also under his
headquarter superior Chief Operating Manager. DRM and GM are from any department
other than medical and security).

GM

COM CCM CSC CEE COS CME CPO FA& CAO CSTE PCE CMO

CMM CWM CWE, CRSE
Dy CMM Dy CMM Dy CME

DMM APO IPF WME WEE WPO SFM DMM IPF

DRM

DOM DCM DSC DEE DMM DME DPO DFM DSTE DEN MS

GM General Manager, COM Chief Operations Manager, CCM Chief Commercial Manager, CSC Chief Security Manager, CEE
Chief Electrical Engineer, COS Controller of Stores, CME Chief Mechanical Engineer, CPO Chief Personnel Officer, FA & CAO
Financial Advisor & Chief Accounts Officer, CSTE Chief Signal & Telecommunication Engineer, PCE Principal Chief Engineer, CMO
Chief Medical Officer, CMM Chief Materials Manager, CWE Chief Workshop Engineer, CRSE Chief Rolling Stock Engineer,
Dy. CMM Deputy Chief Materials Manager, Dy. CME Deputy Chief Mechanical Engineer, DMM Divisional Materials Manager, APO
Assistant Personnel Officer, SFM Senior Finance Manager, IPF Inspector of Protection Force, WME Workshop Mechanical Engineer,
WEE Workshop Electrical Engineer, WPO Workshop Personnel Officer, DOM Divisional Operating Manager, DCM Divisional
Commercial Manager, DSC Divisional Security Commissioner, DEE Divisional Electrical Engineer, DME Divisional Mechanical
Engineer, DPO Divisional Personnel Officer, DFM Divisional Financial Manager, DSTE Divisional Signal & Telecommunication
Engineer, DEN Divisional Engineer, MS - Medical Superintendent

386

Appendix 8. Intimation about co- action researchers

Informed consent form

dt 20.4.2004
Sub: intimation about co- action researchers

To,
Mr. Sunil Agrawal,Deputy Chief Materials Manager
General Stores Depot, North Central Railway, J hansi, India
Dear Sir,
For the purpose of implementation of ISO 9000 standard in a structured way at J hansi
warehousing unit of North Central Railway, a team of co-researchers for the action research
team is requested to be made.
The learning gleaned from this action research will constitute a part of the doctoral study in
management which the undersigned is pursuing on a topic titled Total Quality Management
as the basis for organisational transformation of Indian Railways from Southern Cross
University, Australia.
I would like to assure you that the learning gleaned from this action research study will be
used only for academic purposes. While I look forward to co-researchers, their participation
is totally voluntary and they will be free to withdraw at any time. However, the information
gleaned till will be used.
If you have any query, kindly do contact us.
Further, any complaints or queries regarding this project that cannot be answered by the
person responsible for this research project should be forwarded to:

Mr J ohn Russell

387

Dy CMM/ N.C. Rly, e_mail- madhu_ranjan@yahoo.com
Postal address: Bunglow no. 50, DLW, Varanasi 221004
ph: 0542-2302807
Supervisor

388
To,

Madhu Ranjan Kumar
Dy COS/ NCR

Ref: your letter regarding ISO implementation at J hansi depot through action research

With reference to your letter, the following members of J hansi depot will be associating
themselves for the ISO implementation as the co-researcher. Their participation is voluntary.

1. Sunil Agrawal- Deputy Chief Material Manager
2. Shashi Bala Srivastava Divisional Material Manager
3. Rajiv Chaturvedi Divisional Material Manager
4. U.C Pandey - Depot Material Superintendent 1
5. B.B. Kalra - Depot Material Superintendent - 1
6. A.U. Siddiqui- Assistant Materials Manager

Sunil Agrawal
Deputy Chief Materials Manager
J hansi depot, North Central Railway
India

389

Appendix 9. List of ISO certified units in the Indian Railways

1 Units Certified Under ISO Quality System (corrected upto 15.10..2003)
2 A B D F G H I
3 S.No.
Type of Unit
W.Shop/Diesel
shed/Training
Centre
Rly. Name of Unit
Staff
strength
Date of
Certificat-
ion
Standard
4 Units already Certified
5 1 Production Units/RDSO
6 1.1 Res. Centre RDSO RDSO/LKO 2500 08.07.1999 9001:1994
7 1.2 PU RCF Kapurthala 5800 6/30/98 9001:1994
8 1.3 PU RCF Kapurthala 5800 26.09.01 9001:2000
9 1.4 PU RCF Kapurthala 5800 21.07.99 ISO-14001
10 1.5 PU RCF Kapurthala 5800 12.7.02 ISO-14001
11 1.6 PU DCW Patiala 3900 08.9.1998 9002:1994
12 1.7 PU CLW Chittaranjan 14230 13.7.96 9001:1994
13 1.8 PU CLW Chittaranjan 14231 26.4.02 14001:1996
14 1.9 PU ICF Chennai 13,687 20.1.2003 9001:2000
15 1.10 PU ICF Chennai 13,687 24.12.2001 14001:1996
16 1.11 PU RWF RWF/ Yelahanka 2345 19.11.94 9001
17 1.12 PU RWF RWF/ Yelahanka 2346 28.6.99 14001
18
19 2 Workshops
20 2.1 Mechanical Workshops
21 2.1.1 W/S CR Parel 1850 25.02.02 9001:2000
22 2.1.2 W/S CR Matunga 9600 03.07.01 9001:2001
23 2.1.3 W/S CR Matunga 9600 20.6.02 14001:1996
24 2.1.4 W/S WCR Bhopal 2200 12.6.01 9001:2000
25 2.1.5 W/S WCR Bhopal 2200 14.4.2003 14001:1996
26 2.1.6 W/S WCR J hansi 700 13.6.01 9001:2001
27 2.1.7 W/S WCR RSK W/Shop 435 21.9.01 9001:2001
28 2.1.8 W/S ER Liluah 8400 2.1.2003 9001:2000
29 2.1.9 W/S NR Kalka NA NA 9002
30 2.1.10 W/S NER Gorakhpur 669 17.9.2001 9002:1994
31 2.1.11 W/S NER Izatnagar 80 7.1.2002 9001:2000
32 2.1.12 C&W SCR Lallaguda NA 19.1.2000 9002
33 2.1.13 Carriage W/S SCR Tirupati NA 21.5.99 9002
34 2.1.14 Wagon W/S SCR Guntupalli NA 24.3.99 9002

390
Appendix 9 (contd)
S.No.
Type of Unit
W.Shop/
Diesel shed/
Training Centre
Rly. Name of Unit Staff strength
Date of
Certificat-
ion
Standard
35 2.1.15 W/S SWR MYS NA NA 9002
36 2.1.16 W/S SWR MYS NA 31.3.2003 14001
37 2.1.17 C&W W/S SWR Hubli 3354 28.10.99 9002:94
38 2.1.18 W/S SR Perambur NA NA 9002
39 2.1.19 Loco W/Shop SR Parambur NA NA 9001
40 2.1.20 W/S SER
Dsl. POH/KGP Coil
Mfg. Section
50 02.01.01 9002
41 2.1.21 W/S SER
Kharagpur, Roller
Bearing Section,
Wheel shop
57 21.3.2002 9002
42 2.1.22 W/S ECoR Mancheswar 1870 10.1.2003 9001
43 2.1.23 C&W W/S WR Ajmer NA 27.6.2001 9002
44 2.1.24 C&W W/S WR Ajmer NA NA 14001
45 2.1.25 W/S WR Lower Parel Mar.2000 9002:1994
46 2.1.26 W/S WR Mahalaxmi
4814
May-00 9002:1994
47 2.1.27 W/S WCR Kota NA NA 9000
48 2.1.28 W/S WR Pratapnagar 550 Sept.2001 9002:1994
49 2.1.29 W/S WR Dahod 2298 J an.2002 9002:1994
50
51 2.2 Engineering Workshops
52 2.2.1 Engg. W/S CR Manmad 918 23.12.2000 9002:94
53 2.2.2 Engg W/S CR Sithouli NA NA 14001
54 2.2.3 Br W/S NR J alandhar 624 21.1.2000 9002:1994
55 2.2.4 Br W/S NR Lucknow 840 20.4.2001 9002:1994
56 2.2.5 CPOH NCR Allahabad 117 NA 9002:1994
57
58 2.3 S&T Workshop
59 2.3.1 S&T W/S SR
Podanur (All sections
except Q Relays)
716 24.10.2002 9002:1994
60 2.3.2 S&T W/S SR Podanur (Q Relays) 161 24.6.1998 9002:1994
61 2.3.3 S&T W/S SR Podanur (Q Relays) 161 23.11.2001 9002:1994
62
63 2.4 Electrical Workshops
64 2.4.1 Loco W/S CR ELW,Bhusawal 1609 17.1.2002 9001:2000
65 2.4.2 TM W/S CR TMW,NKRD,Nagpur 559 17.1.2002 9001:2000
66 2.4.3 EMU W/S NR Ghaziabad NA 25.9.02 9000:2000
67 2.4.4 Loco W/S SCR Lallaguda NA NA 9001
68
69 3 Diesel Sheds & Diesel Training Schools
70 3.1 DLS ER Andal 750 5.5.2003 9001:2000
71 3.2 DLS NR Tuklakabad 1182 18.2.2000 9002:1994
72 3.3 DLS NR Ludhiana 1500 6.12.2000 9002:1994
73 3.4 DLS NR Alambagh 1034 26.12.2001 9002:1994
74 3.5 DLS NR Shakur Basti 163 6.7.2001 9002:1994

391
Appendix 9 (contd)
S.No.
Type of Unit
W.Shop/
Diesel shed/
Training Centre
Rly. Name of Unit Staff strength
Date of
Certificat-
ion
Standard
75 3.6 DLS NWR Bhagat Ki Kothi NA NA 9002:1994
76 3.7 DLS SR Golden Rock NA 9.9.1998 9002
77 3.8 DLS SR Erode NA 21.9.2002 9002
78 3.9 DLS SCR Gooty 1000 31.5.2001 9002
79 3.10 DLS SCR Guntakal 700 28.5.2001 9002
80 3.11 DLS SCR Kazipet 1000 31.5.2001 9002
81 3.12 LOFP/SC SCR Secunderabad 99 28.5.2001 9002
82 3.13 DLS SWR KJ M NA 20.2.2001 9002
83 3.14 DLS WR Ratlam 983 31.3.2003 9001:2000
84 3.15 DLS WR Vatva 848 2.11.2001 9002:1994
85 3.16 DLS WR Sabarmati 959 29.10.01 9002:1994
86 3.17 Dsl Trg Sch WR Sabarmati 14 29.10.01 9002:1994
87 3.18 Dsl Trg Sch WR Ratlam 33 31.3.03 9001:2000
88
89 4 Electric/EMU/MEMU Sheds
90 4.1 ELS CR ELS,AQ,Ajni 902 Sept.2002 9001:2000
91 4.2 ELS NCR Kanpur 1070 11.5.2001 9002:1994
92 4.3 EMU Shed NR Ghaziabad NA 3.10.2002 9000:2000
93 4.4 EMU W/Shop SR Avadi 442 24.10.2000 9002
94 4.5 ELS SCR Lallaguda 768 3.12.2002 9001:2000
95
96 5 Carriage & Wagon
97 5.1 ROH Depot
98 5.1.1 ROH Dpt NR KJ GY 172 04.05.02 9002
99 5.1.2 ROH Dpt SR J olarpettai NA NA 9002
100 5.1.3 ROH Dpt WR Vatva 179 Mar.2002 9002:1994
101 5.1.4 ROH Dpt WR Sabrmati 362 Mar.2002 9002:1994

102 5.2 Coaching Depot
103 5.2.1 C/ Dpt WR Bandra 324 Dec.2001 9002:1994
104 5.2.2 C/ Dpt WR Ahmedabad 516 Mar.2002 9002:1994
105 5.2.3 C/ Dpt WR Mumbai Central 881 J an.2001 9002:1994
106 5.2.4 C/ Dpt WR Indore 243 J an.2002 9002:1994
107 5.2.5 C/ Dpt WR Kankaria 516 Feb.2002 9002:1994
108 5.3 Wagon Depots
109 5.3.1 W/ Dpt CR Kalyan Freight Depot NA 31.5.2003 9001:2000
110
111 6 Training Institutes
112 6.1 Trg Inst CR Bhusawal NA NA 9002
113 6.2 Trg Inst SR Podanur NA NA 9002
114
115 7 Store Office
116 7.1 Pur Off SR Perambur 80 23.8.2002 9001:2000
117

392
Appendix 9 (contd)
S.No.
Type of Unit
W.Shop/
Diesel shed/
Training Centre
Rly. Name of Unit
Staff
strength
Date of
Certificat-
ion
Standard
118 8 Trains
119 8.1 Train CR Bhopal-Nizammuddin NA NA 9001:2000
120
121 9 Construction Units
122 9.1 Con ECOR Bhubhaneswar NA NA 9001:2000
123 9.2 Con ECOR Bhubhaneswar 340 17.2.2003 9001:2000
124
125 10 Operating / Commercial Activity Centres
126 10.1 Res.Enq NCR J hansi NA J ul-03 2001:2000
127 10.2 Ret.Rm NCR Gwalior NA J ul-03 2001:2000
128 10.3 Stn WCR Habibganj, Rly. Stn NA 15.05.03 9001:2000
129 10.4 Cntl Off WCR Bhopal NA Aug.2003 2001:2000
130 10.5 Cntl Off WCR
Divisional Control unit,
BPL
NA 15.05.03 9001:2000
131
132 11 Running Rooms
133 11.1 Running Rooms NCR Jhansi NA J ul-03 2001:2001

393
Appendix 10. Organisational Chart of J hansi workshop unit of Indian
Railways

CWM- Chief Workshop Manager, Dy CMM Deputy Chief Materials
Manager, Dy CME Deputy Chief Mechanical Engineer, WPO Workshop
Personnel Officer, WAO Workshop Accounts Officer, DMM Divisional
Materials Manager, WME Workshop Mechanical Engineer, WEE
Workshop Electrical Engineer, AAO Assistant Accounts Officer, IPF
Inspector Protection Force.

CWM
Dy CMM Dy CME WPO WAO
DMM WME, WEE AAO
IPF

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