Guerrilla TQM or How to Infiltrate TQM into your Institution Copyright CAUSE 1994. This paper was presented at the 1993 CAUSE Annual Conference held in San Diego, California, December 7-10, and is part of the conference proceedings published by CAUSE. Permission to copy or disseminate all or part of this material is granted provided that the copies are not made or distributed for commercial advantage, that the CAUSE copyright notice and the title and authors of the publication and its date appear, and that notice is given that copying is by permission of CAUSE, the association for managing and using information technology in higher education. To copy or disseminate otherwise, or to republish in any form, requires written permission from CAUSE. For further information: CAUSE, 4840 Pearl East Circle, Suite 302E, Boulder, CO 80301; 303449-4430; e-mail info@cause.colorado.edu GUERRILLA TQM OR HOW TO INFILTRATE TQM INTO YOUR INSTITUTION Deborah J. Teeter Director of Institutional Research and Planning Jan Weller Director of Telecommunications University of Kansas Lawrence, KS 66045 ABSTRACT Various models for pursuing TQM are emerging on college and university campuses. Most models and TQM gurus insist on a top down approach for TQM to succeed in transforming an organization. This paper explores the experiences in an organization in which TQM devotees pursue the principles and concepts in their own sphere of influence but without official sanction or resistance from the top. Information technology is part of the guerrilla movement. Almost by definition, information technology (IT) organizations are accustomed to being change agents in their institutions since they constantly cope with changing and improved technology. Since most all units in an educational institution are touched by information technology whether it be computing, telephones, or other services, IT can play a key role in transforming an institution into a total quality environment. This paper shares experiences of an IT organization and how it demonstrates the possibilities of TQM through customer focus and reliable, responsive services. GUERRILLA TQM OR HOW TO INFILTRATE TQM INTO YOUR INSTITUTION Various models for pursuing Total Quality Management (TQM) are emerging on college and university campuses. Most models and TQM gurus insist on a top down approach for TQM to succeed in transforming an organization. This paper explores the experiences in an organization in which TQM devotees pursue the principles and concepts in their own sphere of influence but without official sanction or resistance from the top. The key principles of TQM and three models for adopting TQM in higher education are presented. The guerrilla model for pursuing TQM at the University of Kansas is discussed and is followed by a case study from the Department of Telecommunications. KEY CONCEPTS OF TQM Total Quality Management is a managerial philosophy with many names--continuous quality improvement, statistical process control, statistical quality control, among others. Regardless of the label you choose, the key concepts that underlie the quality philosophy include: * focus on customers, * focus on process, *use of scientific method to continuously improve processes, * employee/staff involvement. Many other issues are involved for an organization interested in adopting TQM principles but are not discussed in this paper. TQM places a premium on customers and recognizes their central role in determining quality. The satisfaction of an organization's customers--both those external to the organization and those within the organization--is a key driver of TQM. An understanding of who the external customers are and what they need is critical to carrying out the organization's mission. The customers internal to an organization are partners in accomplishing the organizational mission. In particularly complex organizations like higher education institutions, many subunits of the organization serve one another and receive service from one another as internal customers. For example, the department of telecommunications exists to provide voice, data, and video communications needs within the university. The internal customers--the departments and offices to which they provide services--will determine or judge the quality of those services. To provide quality services, TQM focuses on the activities by which we do our work--processes. To accomplish a goal or perform a task, the means are processes. Telecommunications has processes to provide new communication services (install a phone), to relocate existing services (to move a phone), to upgrade or expand services (to add voice mail), to provide data communication services (install local area networks), to bill for services, to train departmental and office personnel in use of various communication features (e.g., voice mail), among a host of other processes. To improve these service-oriented processes, we use systematic analysis. TQM has an array of tools and techniques to help understand how processes function and to develop alternatives to improve them. "Controlled" experiments are used to test alternatives and to evaluate the success of suggested changes. This scientific method to improve processes is also known as the Shewhart cycle, named for W.A. Shewhart who applied statistical quality control techniques to manufacturing processes in the 1930s while associated with Western Electric (AT&T) Bell Laboratories. The steps of the scientific method or plan-do-check-act (PDCA) cycle include (Sherr and Lozier, 1991, p. 8): Plan: Identify a process in need of improvement, analyze the problems, and develop a proposal for change that will cause some type of improvement. Do: Run an experiment with the proposed change. Check: Collect data to determine whether the experiment produced the desired change. Act: If the experiment is successful, implement the idea more broadly; if not, learn from the mistake and try an alternative. Processes targeted for improvement are systematically studied using the PDCA cycle and data collected about the process is used to determine the viability of proposed changes to the process. Who recommends process improvement changes? Those most closely associated with the process, often referred to as the "owners" of the process, are in the best position to suggest improvements. TQM recognizes the critical human element in the execution of processes and involves staff in the improvement of those processes. It is the owners of the process who best understand how a process actually operates. This knowledge is critical to the improvement cycle since the focus is on how a process actually works, not how someone removed from the process thinks it works. How a process could work better is the outcome of the process improvement effort. The role of management changes from being directive to coaching as it "empowers" staff to assume greater responsibility for how their work is executed. Staff development is essential to prepare staff for these expanded responsibilities. An understanding of organizational mission, knowledge of customers served, and an understanding of tools and techniques to improve processes are a part of necessary staff development. Furthermore, a sharing of responsibility and credit for the improvement of organizational processes is an obligation of management in a TQM organization. This synopsis of some of the key tenets of TQM provides a backdrop for the ensuing discussion for an organization adopting TQM principles and concepts. For a more extensive discussion of TQM foundations in a higher education setting read "Six Foundations of Total Quality Management" by Lozier and Teeter (1993). ORGANIZATIONAL MODELS FOR PURSUING TQM TQM gurus and industry leaders pursuing TQM in their own organizations insist there is only one model for adopting TQM and that is "top down." While many early adopters in higher education have heeded that advice, there is evidence of other models of pursuit. It is too early to determine their ultimate success but important to note them. In 1991, Seymour and Collett reported the results of a survey of twenty-two institutions with a TQM initiative. They found three distinct models for adopting TQM: * cascade model, * infection, and * loose-tight or combination of top down/bottom up. Each model is briefly described below. The cascade model (or trickle down) involves master planning from the "top down." The senior officers of the organization study TQM principles and tools; the leadership develops a vision for the organization and a three or five-year plan for implementing TQM; education and training are provided; and pilot studies are initiated. In the infection model (or bubble up) there is top level involvement but not necessarily commitment; the implementation takes place through voluntary pilot programs whose successes generate interest and are used to garner interest throughout the organization. In the loose-tight model, institutional leaders need not be zealous nor have a sharply-defined five-year plan; there is some involvement at the executive level and some general map of where the journey is headed with a loosely-developed plan; local champions pursue fundamental transformation of their unit or area; the pilot projects not only focus on the improvement of a targeted process but also a basic change in the unit's culture. The focus of this paper is on a fourth model--the guerrilla model- -with attributes of both the infection and loose-tight model. GUERRILLA MODEL FOR PURSUING TQM AT THE UNIVERSITY OF KANSAS Interest in TQM at the University of Kansas (KU) was spurred by faculty teaching quality concepts in the School of Business. In the fall of 1988, two senior administrators in the financial area attended a five-day professional development program on TQM that the business faculty present each semester for business and industry leaders. As a result of this experience, a pilot project to improve the payroll process was undertaken that resulted in the elimination of signatures (other than the appointing department) on student appointments under $6 an hour. This reduced the complexity of the process, reduced errors, and improved timely payment for hours worked. In May 1989, all senior administrators attended a session on the principles, concepts, tools, and techniques of TQM conducted by Lawrence A. Sherr, Chancellors Club Teaching Professor and Professor of Business Administration. Sherr conducted an expanded version of that session in 1990 first for the directors and then the staff reporting to the University Director of Information Resources (academic and administrative computing, human resources, institutional research, and telecommunications). A pilot project in telecommunications was initiated. During 1991 Sherr presented several seminars on TQM for the Unclassified Professional Staff Association. After several years of presentations on TQM to a variety of administrators and staff, there was no top level "push" to formally adopt these principles. Changes in administrative leadership and other issues diverted the attention of the senior management of the institution. But the grass roots involvement in the pilot payroll project and subsequent seminars for mid-level managers and staff who found the TQM principles and concepts appealing provided the real impetus for pursuing quality concepts. The guerrilla movement began to form in 1991 as individuals who shared an interest in pursuing TQM concepts in their own spheres of influence began meeting to learn more about TQM concepts and to consider how to pursue the practice of these principles in their own organizations. They referred to themselves as the Ad Hoc TQM group and included the following: *Associate Vice Chancellor for Administration and Finance, *the directors of facilities operations, telecommunications, and facilities planning, *the director and assistant director of institutional research and planning, and * associate director of human resources. The group has expanded to include other directors committed to pursuing these concepts. The group does not formally report to any university officer; the group was not appointed by anyone and is not formally accountable to anyone. The ad hoc group was motivated to pursue these principles by the simple desire to be more customer-friendly, provide higher quality services, and be more efficient through the adoption and practice of quality principles. This common interest in pursuing shared goals galvanized the TQM Ad Hoc Group to develop plans and devise strategies to make TQM an operating philosophy. Initially the TQM Ad Hoc Group recognized that an investment in training was essential if the principles of TQM were to become an operating philosophy. The group sponsored training of prospective team members, team leaders, team facilitators, and team sponsors that built upon introductory sessions presented by Sherr. These first efforts were funded by members of the ad hoc committee from their departmental budgets, a real demonstration of commitment in a time of constrained resources. The guerrilla movement advanced with the formation of six teams in 1992 to improve administrative processes. This action step signaled that the movement was beginning to realize the goals that brought together the members of the TQM Ad Hoc Group. The teams reported on their activities in March 1993 to the senior management. While these teams worked, interest in TQM grew. Training in the principles and concepts is now conducted by members of the ad hoc group. Over 300 staff and faculty have been introduced formally to TQM principles and as the interest in TQM expanded, the effort to coordinate and support the formation of teams grew beyond the volunteer capacity of the ad hoc group. Subsequent to the presentation to the senior management about the activities of initial teams, funds were identified to support a full-time coordinator/trainer. This support has enabled the effort to grow by expanding the training and by providing assistance to units to help identify processes for improvement and to form more teams to address new issues. The vision of the early proponents of TQM was that through championing the principles within their own organizations, their successes would capture the interest and attention of others. The strategy that developed from this vision bears a strong resemblance to those used by political movements (Goodwyn, 1978); the activities may be considered as guerrilla tactics. The five phases to the strategy are: *Movement Forming - Create awareness of and interest in a new managerial philosophy that recognizes that the pursuit of quality is customer focused, data driven, process oriented, and empowers faculty and staff. *Movement Recruiting - Form an ad hoc group which shares an interest in furthering the principles espoused by the new managerial philosophy. *Movement Educating - Educate faculty and staff about the principles, concepts, values, tools, and techniques of the new managerial philosophy. *Movement Activated/Embraced - Create a mechanism for the pursuit of these new principles, concepts, and values utilizing the tools and techniques, e.g., teams. *Movement Realized - Integrate these concepts, principles, and values into the daily work life of faculty and staff. The objective of this five-phase strategy is to transform the university into a quality-driven, customer-focused institution in all aspects of the organization. In summary, the principles and concepts of TQM are intrinsically appealing to those desiring to provide high quality services and the tools and techniques provide a means. The challenge is in the pursuit of the philosophy. Initially senior management was neither a supporter nor a barrier. The proponents took it upon themselves to pursue these principles in their spheres of influence. As experience grows and interest builds, other units of the university are targeted to "join the movement." The expansion process is slow but deliberate. With limited resources, the ad hoc group wants to be sure newcomers are adequately trained and supported. The effort is still in its infancy (ad hoc) with the hope of becoming institutionalized over time--the movement fully realized. DEPARTMENT OF TELECOMMUNICATIONS IS INFECTED WITH TQM AND BEGINS THE TRANSFORMATION PROCESS The Department of Telecommunications is a key player in the guerrilla TQM movement at KU for several reasons. At the time the guerrilla movement was forming, the department was undergoing considerable growing pains and suffered a variety of image problems that TQM could help address. There were many opportunities for improvement. Additionally, since all units in the university use telephones, if the telecommunications department successfully practices quality principles, it has the potential of impacting most all units in the institution and could spur interest in TQM. Furthermore, information technology (IT) organizations are accustomed to being change agents in their institutions since they constantly cope with changing and improved technology. The following case highlights how telecommunications became a part of the guerrilla TQM movement and describes the transformation process and its various impacts in the evolution of telecommunications into a quality organization. Background The Department of Telecommunications is one of the newest departments at the university. Once a service provided by facilities operations (physical plant), telecommunications became a department reporting to the senior officer of information resources in 1986. During this period, the university was in the final stages of wiring the campus, installing the new PBX, providing new phone sets, and hiring staff. Processes multiplied and became extremely complex in response to human, technical, or system failures/needs/regulations. Exasperation, frustration, and dissatisfaction multiplied in the client community. Life--in terms of telephone service--had once been simple: if a department wanted to add a phone, move a phone, or disconnect a phone, they had only to call the local Ma Bell to take care of everything. Now the client was faced with new forms to complete, people to deal with who were not telephone experts, new rules, and higher costs. At the same time, staff in the telecommunications department were faced with hostile, frustrated clients who yelled at them; had trouble finding information in the files; did not fully understand how the PBX worked; and did not know how to pass information to one another in a meaningful way. In response to this chaos and uncertainty, the staff sought to gain some control by creating new processes, modifying old processes (sometimes combining the processes), adding new forms, and attempting to document the ever- changing procedures. The Beginning of the Transformation... Informal and sporadic discussions about TQM occurred between the coauthors of this paper for over a year, but interest and commitment were undeveloped until 1990 when the annual retreat of the Information Resources units was devoted to an introduction to Total Quality Management principles presented by Sherr. The telecommunications department director left that session with a commitment to explore the possibility of using TQM to evaluate some of the processes that appeared to be badly broken or in need of a "fix." Continuing discussions between the coauthors ended with our agreement to put together a pilot TQM team in telecommunications-- the first since the guerrilla movement began. We established meeting dates and times and met for several months in the fall 1990/spring 1991 before cancelling the project. Why? In short, we did not yet have the tools or training to properly deploy a team. The meeting format was no different than the format established for a staff meeting. Too many people were involved; the staff had no idea of what we were trying to do or what their role should be; the director controlled the meeting and had specific outcomes in mind; the staff had no stake in the outcomes; and, particularly important, the staff was intimidated by the director's presence and the majority were extremely reluctant to participate. It became apparent that this process was not working. Training in leading and facilitating teams and how to approach process improvement was needed. Contrary to the advice of some to "Just Do It," we learned we did not know enough to "Just Do It." Next Phase The commitment to TQM, however, remained. And, fortunately, the TQM Ad Hoc Group arranged for team leader/facilitator training in January 1992. Shortly after this training, six teams formed from units represented on the TQM Ad Hoc Group. One of the teams was from the telecommunications department; the director was the sponsor and one of the department's assistant directors was named team leader. Both had participated in the team leader/facilitator training. The team was charged to improve the telephone work order process. Maintaining Momentum What helped maintain and sustain the telecommunications director's interest in TQM as well as reinforcing support of the departmental team, was the regular meetings of and discussions with the TQM Ad Hoc Group. These meetings reinforced the TQM principles that: *the university is a collection of processes; *units are responsible for the creation and maintenance of many of its processes--they are not imposed by others; *the unit must ask how they perform a specific process, who performs specific tasks in the process, and why; *the unit must not only be willing to change or delete specific processes, but also to continuously evaluate the changed process to maintain gains or seek further improvements. The critical element is that process analysis, change recommendations, change implementation, and change evaluation are conducted by the individuals who perform the tasks in a process or who are responsible for the complete process. TQM Impact on Staff The work order team was comprised of staff from accounting, purchasing, billing, customer services, operations, and management. The facilitator was from another campus department. The team scheduled weekly meetings and established attendance, format, and general behavioral guidelines. The team completed their initial task in seventeen weeks and, one year later, has regrouped to analyze the original changes and determine corollary processes that are candidates for improvements. Three team members enthusiastically wrote an article about their experience for the ACUTA News (Association for College and University Telecommunications Administrators). Published in spring 1993, the article begins: "This year, the department had the opportunity to apply Total Quality Management techniques to the improvement of the telephone work order process. It found that by employing the TQM philosophy--by coordinating all departmental areas and drawing on the insights and talents of all staff--it was able to isolate problems and to create effective solutions." The article ends: "Our most obvious benefit from our TQM process is the new work order. Another benefit is a greater sense of teamwork, as each area within our department communicated and worked with others. Through TQM, Telecommunications staff gained a greater understanding of our department and an increased appreciation of how we can pool our abilities to improve the way we do business. Another benefit was that it placed the decision-making process on the level of the users of the form--both internal and external." From their initial team formation, through completion of the initial team effort, and team reformation, significant, but often subtle changes have occurred. For example, the majority of the team initially expressed skepticism regarding the process and concern that their "real" work would be delayed. It took approximately four meetings before they began to work together, setting aside their work group identities (i.e., accounting, purchasing). Correspondingly, they began to look forward to their weekly meeting as an opportunity to complete work. Team cohesiveness really took shape after an intensive three-week effort on form design. Feeling quite good about the work they had completed and the changes to be made, they looked forward to finalizing the format of the new work order. The facilitator, perhaps frustrated with the lengthy team struggle, on his own devised a format outside the meeting and presented it to the team. Reportedly, very few members commented and the meeting ended. The team informally regrouped and sent the team leader to discuss with the sponsor their reaction--demoralized, undermined, devastated, and frustrated. At the next meeting (after a one-week cool down period), the team successfully confronted the facilitator. The result: the team members drew closer, with a stronger commitment to function as a team. Impact on Management TQM poses many challenges to management. Management is charged with the maintenance and creation of processes and some may view the examination of processes as a challenge to their authority. Furthermore, it can be difficult to relinquish to the staff the authority and autonomy to change processes. The staff must recognize that when they have been provided with the authority and autonomy to improve processes, they also assume the responsibility for the success or failure of the processes they are empowered to change. As the boundaries for management and staff change, everyone needs to understand the implications of those changes. This is an educational process and, in some cases, a struggle for all that requires constant monitoring. Management must recognize that not every staff member may fully understand a process even though they may be a critical player. For example, mail delivery/pickup in telecommunications has historically posed problems. To clarify the process, instructions were written and are continually modified to simplify the process. For example, a list of technical reading material with the designated recipient of each has been posted at the receptionist's desk. Yet, month after month the director's "in-box" was filled with material that should have been directed to others. Frustrated with the failure to follow guidelines, I (Jan Weller) went to the front desk and, self-righteously holding up the misdelivered magazine, asked the receptionist if she had instructions on where this magazine should be delivered. She paused and then said brightly, "Oh yes, but I thought YOU might like to see it before I sent it on to the right person." If individuals don't understand the process of which they are a part, they may, with the very best of intentions, feel free to change the process. Impact on Customers We do know that the customers in the external work order focus group like the changed form. A 62% reduction in call backs indicates success. The number of clients involved with this process, however, are less than 3% of the total faculty and staff at the University. Internal customers, however, indicate that problems exist with the new form in terms of billing and cable plant database updates. While we do have some informal feedback, telecommunications does recognize the need to systematically collect data to assess the impact of changes on all customers. In collaboration with the Office of Institutional Research and Planning, an assessment tool is being developed. Parting Thoughts... The principles and practices of TQM are driving the staff to become more customer focused. Staff now see themselves as clients and know what they want and how they want to be treated. The staff are beginning to practice thinking about what they would expect as a client of telecommunications. The "we" versus "them" mindset is shifting as demonstrated by conscious effort by customer services staff to view irritable clients as a challenge. Recently, the manager said she timed how long it took to turn around a client from negative to positive (or at least neutral). The staff is looking at what we do and how we do it as a series of interconnected processes. They are asking whether they should look at a specific process and, if so, should the evaluation process be formal or "quick and clean." The degree of perceived process complexity and the time to formally study the process are the determinants. Some process issues can be addressed informally using TQM principles and tools rather than a formal team process. Learning about and practicing TQM opens us to new ways of doing old things. At every opportunity we are asking our technical and administrative colleagues how they perform tasks, why, and the results. This, perhaps as much as anything, is what infects the staff. There is excitement that tools exist that allow us to look at old tasks in fresh, new ways--and the staff will be the ones who will assess whether a new way can or will work. TQM is inclusive if staff is provided with basic training in the principles and practices. It is essential for management to articulate why it is important to incorporate TQM into everyday work habits and visibly practice tenets of TQM. Staff who are not trained in TQM basics, or who have not had the opportunity to develop a TQM mindset through participation on a team or other reinforcing activities, can inadvertently subvert a unit's pursuits of being a quality organization. TQM is not a panacea and it is not easy to practice. To learn new ways of thinking and doing can be daunting, and it may seem easier to return to the old way of doing business. But doing things the old way is what drew us to TQM. References ACUTA News, Association for College and University Telecommunications Administrators, April 1993. Goodwyn, L. The Populist Movement. New York: Oxford University Press, 1978. Lozier, G.G. and Teeter, D.J. "Six Foundations of Total Quality Management." In D.J. Teeter and G.G. Lozier (eds.), Pursuit of Quality in Higher Education: Case Studies in Total Quality Management. New Directions for Institutional Research, no. 78. San Francisco: Jossey-Bass, 1993. Seymour, D. and Collett, C. Total Quality Management in Higher Education: A Critical Assessment. Methuen, MA: GOAL/QPC, 1991. Sherr, L.A. and Lozier, G.G. "Total Quality Management in Higher Education." In L.A. Sherr and D.J. Teeter (eds.), Total Quality Management in Higher Education. New Directions for Institutional Research, no. 71. San Francisco: Jossey-Bass, 1991.