Title : NSF 95-99 - Transformations to Quality Organizations Type : Program Guideline NSF Org: CROSS-DIRECTORATE Date : May 30, 1995 File : nsf9599 Transformations to Quality Organizations Program Description Deadline: Proposals must be received at NSF by Close of Business on August 15, 1995 Sponsored by: The Directorate for Engineering The Directorate for Social, Behavioral and Economic Sciences Transformations to Quality Organizations Program Description OBJECTIVE This announcement provides guidelines for the second year of a program to support interdisciplinary or multidisciplinary research (i.e., involving engineering and management and/or social science disciplines) on quality in organizations. Research supported by this program must be based on partnerships between researchers and firms or other organizations. The objectives are to support research to develop or improve concepts, theories, and methodologies for better managing transformations to quality organizations, and to encourage the development of new tools or processes leading to quality improvements in organizations. BACKGROUND The adoption of quality practices has caused a revolution in organizations throughout the US. Practices associated with Total Quality have spread not only across all dimensions of operations and management throughout the industrial sector, but increasingly through organizations in the health, education, government and other non-profit service sectors. While leaders and managers now are aware of many of the characteristics of quality firms, there is a need for systematic research to build a generalizable knowledge base and theoretical frameworks related to quality transformations in organizations. To develop this knowledge base and to answer questions about transformations to quality organizations, the National Science Foundation (NSF) and the Total Quality Leadership Steering Committee/1 (LSC) propose to fund an expansion of research on organizational quality. This will provide an opportunity to improve both empirical and theoretical understanding of organizational transformations and quality systems. The challenge for researchers is to work in partnership with organizations to conduct research with the potential both to contribute to the knowledge base and to improve practices in organizations. The results of this research should enable US businesses and organizations to implement quality improvements more rapidly and successfully. The impact of these changes should include improved work processes and technologies, products and services, job security, customer satisfaction and financial performance. First, research is needed to identify best practices that can be used by organizations involved in managing change. The principles that ensure effective practices or outcomes are in most cases not yet generalizable to a wide variety of firms, sectors, or operations. Second, research based on data from organizations is needed to strengthen theories about quality organizations and change, and to build a theoretical foundation for quality principles. This will lead to better theories and knowledge in the social, behavioral, economic, and engineering sciences. Research on transformations to quality organizations represents an opportunity for empirical study of fundamental issues such as organizational change, diffusion of innovation, engineering systems integration, and cultural differences in organizations. An additional objective of this program is to strengthen research collaboration between faculty in the areas of engineering, management, and the social science disciplines. A quality orientation requires a holistic understanding of the enterprise, especially an understanding of the interdependency between domains traditionally associated with engineering (e.g., manufacturing, production operations, technological innovation), and other domains traditionally associated with the management disciplines (e.g., strategy, performance and measurement, human resources). Research on quality transformation likewise must integrate interdisciplinary or multidisciplinary perspectives that span engineering, management, and the social sciences/2. THE RESEARCH DOMAIN While the research domain associated with "Quality" is continually evolving, this process has produced an emerging consensus around certain core concepts. NSF will use nine of the eleven/3 core concepts identified by the Malcolm Baldrige National Quality Award Program/4, plus two additional categories, to suggest the research domain. The two additional categories include concepts related to innovative technological and engineering methodologies, and cross-cutting or integrating research concerns (described below). These content categories are meant to help focus the research proposals, not to imply strict limits. Research opportunities exist for new conceptualizations or definitions. ******* 1/The Leadership Steering Committee (LSC) is a consortium of Fortune 500 firms and universities organized to provide national leadership in the accelerated development and deployment of quality concepts and methods in the United States. ******** 2/For purposes of this program announcement, interdisciplinary or multidisciplinary research is defined as research that integrates or combines concepts, theories, and methods from two or more major intellectual traditions (e.g., from a particular engineering subdiscipline and a management subdiscipline). Proposals that combine concepts or methods from two subdisciplines within the same intellectual tradition (e.g., from two subdisciplines within engineering, or two within management) will not be considered to meet the definition of interdisciplinary or multidisciplinary for purposes of this program. ******** 3/In the first year of the TQO program (1994), eight of the ten Baldrige categories were selected to help define the research domain, based on extensive consultation with many organizations regarding the most critical areas of need. In this year's program, one new Baldrige concept (results orientation) and one continuing concept (partnership development) have been added, while one category included in last year's announcement (management by fact) is not included here due to the fact that the TQO program currently is supporting several research projects in this area. ******** 4/A copy of criteria for the Malcolm Baldrige National Quality Award Program is available from the Malcolm Baldrige National Quality Award Office, National Institute of Standards and Technology, US Department of Commerce, by calling (301) 975- 2036 or (fax) (301) 948-3716. Proposals in response to this announcement may come from interdisciplinary or multidisciplinary teams that integrate or combine perspectives from engineering, statistics, marketing, operations management, accounting, organizational behavior, management science, economics, information systems, anthropology, sociology, psychology, technology studies, and/or other disciplines, as appropriate. Although single discipline proposals may be considered in specific cases, they generally fail to capture the total organizational perspective that constitutes the core thrust of this program, and therefore will be given lower priority in the proposal selection process. Examples of Research NSF believes that the best ideas for research within this, as in any other domain, will originate from the investigators themselves. Thus the research examples provided below are meant only as illustrations and are not intended to exclude other ideas. The illustrations do, however, reflect extended consultations with a variety of organizations on their most critical information needs. Baldrige Core Values and Concepts Continuous Improvement and Learning This could include research related to new methodological approaches and techniques that support quality improvement; or it could include evaluations of the impact of such tools as re- engineering, information systems or quality-oriented software, or studies of methods for replicating success within an organization. Customer-Driven Quality This might include research on the development of effective and responsive customer-firm relations (including supplier networks), or on identifying factors that facilitate or inhibit a customer, client or stakeholder focus in design, production, or service processes. Design Quality and Prevention This could include studies of methods for translating quality requirements into the language of design and engineering of products, services, software and processes in manufacturing and non-manufacturing environments. It could also include developing models that incorporate experimentation or information feedback into design processes, or understanding the role of design in quality results for the entire enterprise. Employee Participation and Development Research under this topic might include studies of the impact of work teams, (including cross-functional or customer/supplier teams); cultural diversity, the roles of rewards and recognition, or education and training in creation of a quality organization. Fast Response Research related to this topic might include understanding the role of information technology or integration of customer information on reducing cycle time. It could also cover the impact of supplier quality linkages on organizational response time and agility. Leadership Topics might include the role of leadership at any level of an organization, understanding the role of leaders in relation to other quality concepts or tools, or the role of leadership in facilitating or preventing change. Long-Range View of the Future Research related to this area might include studies on the integration of quality strategies with other business strategies and goals. This area also could encompass studies on policy alignment in relation to quality concepts (i.e., policy management and policy deployment). Research could also evaluate the interaction of long- range outlook with decentralization or employee autonomy, or could analyze long-range outlook in relation to systems integration. Partnership Development This could include a focus on the development of internal partnerships such as labor-management cooperative relations or the building of trust across internal units to promote flexibility and responsiveness; or, research could examine the development of external partnerships among customers and suppliers, including strategic alliances. Results Orientation Research could investigate the development of performance systems focused on results and how these relate to the larger quality goals of the organization, or on the development of specific results-oriented methodologies (e.g., statistical quality control for batch and discrete parts manufacturing, such as correlated data and time series modeling). Innovative Technological and Engineering Methodologies Quality improvements in organizations, as well as the sustainability of the total quality concept, often are based on fundamental technological advances (e.g., statistical process control methodologies). Yet, for a variety of reasons, many technological innovations fail during implementation. To enable successful integration of technological innovations within basic business processes (a critical requirement for quality transformation), advances in knowledge are necessary, including knowledge regarding relationships between quality-oriented technological and engineering methodologies, and other dimensions of the organization. Understanding how to accomplish integration of technological advances ultimately will improve education in engineering, management, and other disciplines, and help prepare future managers and leaders for the business enterprise. Research that leverages technological advances to enhance transformations to quality organizations through the attainment of higher quality products and service are strongly encouraged. Proposals should demonstrate potential for significant technological improvement, as well as innovative and synergistic integration with the non-technological elements of the organization. Suggestions for two specific content areas to help focus research proposals are provided below. Again, these content areas are meant to be illustrative rather than exhaustive or exclusive. Process Engineering This could include research on new approaches to software development and evaluation, or the development of new methodological approaches and techniques, or generic research tools for quality improvements that include the role of various functions involved in an organization's basic processes, from design to distribution of products. Life Cycle Quality This might cover research on the relationship between organizational culture and maintenance policies and quality, or methodologies for evaluating early failures, burn-in, and product quality; or research on innovative manufacturing equipment to support quality objectives (e.g., controller designs which incorporate automatic process control, statistical process control, human factors, product diversity, workforce diversity, and manufacturing flexibility). Cross-Cutting or Integrating Research Concerns In addition to the two sets of categories listed, a third research area offers high probabilities for important breakthroughs in research and implementation. These concerns cut across the domain outlined above. Integrative Models and Theoretical Frameworks The interdependence of the categories listed above is obvious. One purpose of this program is to encourage studies that build an integrated understanding of the elements that make up the research domain, and to develop new theoretical frameworks that explain or predict quality transformation. The state of the art in this field indicates a high value for proposals that can potentially improve our understanding of the interdependence of concepts and tools, or that clarify understanding of the systemic effects of change, or that confirm or refute emergent theories related to quality principles. Culture Change Experience with implementing organizational changes has led in many cases to a recognition of the central importance of corporate or organizational culture change in determining effectiveness or success. Research topics related to this concept would include understanding the role of leadership in achieving change, understanding barriers to changing corporate culture, incorporating workforce diversity into models of managing change, or sustaining continuous improvement. Diffusion of Ideas or Innovations Research on diffusion (deployment) of quality concepts and innovations is important both to research users (practitioners) and the development of theories. This could include studies of diffusion of quality practices within firms (e.g., organizational learning), or between firms (e.g., customer/supplier networks). It could also include studies of the impact of inter-firm quality networks (such as regional consortia) on acceptance of innovation, competitive success, or financial performance. Diffusion of ideas - - between sectors and nations -- also is of growing importance. Measures of Effectiveness Finally, in combination with the entire research domain, measures of effectiveness emerged as an important focus. Measures of effectiveness for studying or evaluating quality in organizations are of crucial importance to both practitioners and to researchers. Research on measures of effectiveness could be related to any of the previously cited topics, and could include such topics as evaluating qualitative measures of effectiveness, studying the relationships between quality changes in organizations and traditional indicators of financial performance, or analyzing high performance in the absence of accepted indicators of quality. RESEARCH PROPOSAL GUIDELINES AND SELECTION CRITERIA The NSF/LSC partnership has three goals in supporting this research: To improve the knowledge base and research methods, to improve practice, and to improve education related to quality principles and practices at the organizational level. To achieve these three goals, the program requires that research proposals respond to the following specific criteria, which are in addition to the standard NSF guidelines that also apply to this program (see for details NSF Grant Proposal Guide, or GPG; NSF Publication 94-2). The following criteria will serve as the basis for evaluation of research proposals: 1. Proposals must reflect a real partnership between researchers and one or more firms or organizations. A "real partnership" is defined as a long-term, value-added relationship, rather than a short-term relationship created solely in response to this opportunity. The character of the partnership (whether this is historical, or a long-term relationship projected for the future) should be expressed clearly in the proposal text and in the letter of commitment from the partner(s) (see below). Eligible proposers can be academic institutions or other non-profit research institutions. Firms can be small, large, or associations or sets of firms. Organizations can be in the manufacturing, service, health, education, or public sectors. It is vital that the proposal identify significant contributions from the organizational partner, including involvement in planning the research and in providing access to data and opportunities for implementation. Since the organizational partner(s) must confirm access to data, it is assumed that data will be collected within the partner organization(s), or within organizations to which the partner has clear access. Partner organizations also will be required to provide a written assessment of research progress on an annual basis as a condition for continuation in cases of multi-year awards. 2. Proposals must reflect the integration of engineering and management and/or social science perspectives. Research teams should bring together and integrate researchers from different disciplinary traditions, including traditions in the social/behavioral, management and engineering sciences. The purpose of this requirement is to encourage the development of new, interdisciplinary approaches that expand the concepts, techniques, hypotheses and models brought to bear on studies of quality in organizations. As a minimal requirement, all research teams should include members with expertise in both engineering and management disciplines. Proposals from teams that do not integrate engineering and management disciplines within their membership will be given lower priority in the proposal selection process. 3. Research that is proposed must include data from organizations. While other sources of data, such as laboratory experiments or secondary data may be included, the focus should be on primary data from organizations. Again, it is emphasized that the letter or letters of commitment from the organizational partner(s) must clearly confirm access to all organizational data that is to be collected. 4. Proposals should demonstrate potential contributions to both theory in the field of quality, and improvements in quality-related practices. The proposal should delineate explicitly the connection between the proposed research and fundamental problems in the field of quality transformation and/or quality management. In addition to potential contributions to practice in organizations, improvements to practice might mean plans for using research results to improve curricula or training in schools of business, public administration, engineering, or the social/behavioral sciences, or alternative methods to sustain the linkages between research universities and the research user community. 5. Proposers are encouraged to include plans for improving research methods or tools. At a minimum, variables proposed for study must be clearly defined and justified in relation to potential alternatives; time frames must be justified for each of the measures selected (especially for measures of effectiveness or success); and linkages between variables must be discussed. 6. Proposals must include plans for disseminating results to practitioners as well as to the research community. In addition, awardees will be expected to participate in two NSF-sponsored conferences. The first, for discussion of methods and preliminary results, will take place about one year after awards are announced. The second, to present research results in formats that can be widely disseminated by the LSC, will take place no later than 1998. 7. In addition to the special evaluation criteria for the TQO program set forth above, all proposals also will be evaluated in accordance with standard NSF criteria outlined in the NSF Grant Proposal Guide (GPG), namely a) research performance competence, b) intrinsic merit of the research, c) utility or relevance of the research, and d) effect of the research on the infrastructure of science and engineering (see for explanation of each criteria the GPG, NSF Publication 94-2). With the exception of the additional special requirements outlined in this announcement, proposals should be prepared according to the instructions in the Grant Proposal Guide. Letters of commitment from the organizational partner(s), confirming access to organizational data and signed by an appropriate level of management, must be included in an appendix. This is the only exception allowed to the 15 page (single spaced) limit on proposal length specified in the GPG. Please be sure to select a short, technically descriptive title and to describe in the required project summary (NSF 1358) of no more than one page (single spaced) in length 1) the research problem and objectives, 2) the approach and methods to be employed (including the interdisciplinary or multidisciplinary character of the research team), and 3) the significance of the proposed work to the advancement of fundamental knowledge and its importance and relevance to quality transformation and/or quality management. PROCESS FOR EVALUATION AND SELECTION OF PROPOSALS External reviewers will conduct a preliminary evaluation of each proposal to determine the responsiveness of the proposed project to the Transformations to Quality Organizations Program objectives and guidelines. This evaluation will be based solely on a) the information contained in the project summary (as described above), b) the interdisciplinary or multidisciplinary character of the research team (as defined in Footnote 1), and c) the letter of commitment from the organizational partner(s). Proposals that are deemed non-responsive to this Program Announcement will be returned to the proposers with a statement indicating reasons for the return. Proposals may include a cover letter with names of suggested external reviewers. Proposals will be evaluated by an external merit review panel that includes experts from academia and industry. NSF expects to make somewhere between 10 and 15 new awards in the range of $50,000 to $100,000 per year for two or three years. Awards will be made as two-year or three-year continuing grants, with the second and third year funding contingent upon acceptable progress in implementing program objectives, including monitoring and evaluation activities and the availability of funds. Twenty (20) copies of full proposals, including one copy bearing original signatures, must be submitted in conformance with the guidelines in NSF's Grant Proposal Guide (GPG). The twenty copies must be received at NSF no later than August 15, 1995. The address for submission of proposals is: Announcement No. 95-99 or NSF Transformations to Quality Organizations Program NATIONAL SCIENCE FOUNDATION 4201 WILSON BLVD ROOM PPU ARLINGTON VA 22230 No facsimile (fax) or electronic submissions will be allowed. Proprietary mail or courier service delivery are permitted, however. Awards under this program description are anticipated by the end of the 1995 calendar year. Special Notes 1. International Research Transformations to quality organizations has been an international phenomenon, and much of the current knowledge base is derived from international studies. However, awards under this program will only be made to US institutions. NSF generally, and the TQO program in particular, supports international research collaborations and research at sites outside the US through support of a US researcher. For additional information on requirements or opportunities for international research, see NSF bulletin 93-51, or subsequent version. 2. Protecting Confidentiality of Data Data collected with NSF support remain the property of the researcher, and are not transferred to NSF or to any agency of the US government. NSF expects awardees to share research results to the maximum extent possible, to build the knowledge base. However the form in which the data are shared is the responsibility of the awardee. Data and analysis remain the property of the awardee, and dissemination in the form of licensing or sale for profit is not excluded. Research results presented at the NSF- sponsored dissemination conferences described above may be published by the LSC or its agent as conference proceedings. 3. Collaborative Proposals Research teams submitting proposals that involve collaboration between researchers based at two or more different institutions should consult the TQO Program Director regarding the most appropriate way(s) to structure the project budget. 4. Submission of Multiple Proposals In submission of multiple proposals (by a single investigator or research team), the scope of work for each proposal should be significantly different. 5. Resubmission of Proposals A previously declined proposal may be resubmitted only after it has undergone significant revision. Proposals that have not clearly taken into account the major comments from NSF reviewers may not be considered for review. Format and Requirements Proposals should be prepared and submitted following the guidelines, including required forms, outlined in the NSF Grant Proposal Guide (GPG) (NSF 94-2). Only one (1) copy of NSF Form 1225, Information about Principal Investigator/Project Director, should be sent, attached to the original signed proposal. Copies of all relevant NSF publications, including GPG (94-2) and this Announcement (95-99) are available at no cost from: NSF Publications Section Room P15 4201 Wilson Boulevard Arlington, VA 22230 Phone (703) 306-1130 For additional information on ordering NSF publications, see the inside cover of this brochure. Copies of the text of most program announcements and other key NSF publications also are available electronically. You can get information fast through STIS (Science and Technology Information System), NSF's on-line publishing system, described in NSF 95-64 (replaces NSF 94-4; see inside cover of this brochure). Administration of Grants Grants awarded as a result of this announcement are administered in accordance with the terms and conditions of NSF GC-1, "Grant General Conditions, or FDP-II, "Federal Demonstration Project General Terms and Conditions," depending on the grantee organization. Copies of these and other NSF publications are available at no cost from the NSF Forms and Publications Unit, phone (703) 306-1130, or via e-mail pubs@nsf.gov (Internet). More comprehensive information is contained in the NSF Grant Policy Manual (NSF 88-47, July 1989), for sale through the Superintendent of Documents, Government Printing Office, Washington, DC 20402. The telephone number at GPO is (202) 783-3238 for subscription information. Grant General Conditions NSF provides awards for research in the sciences and engineering. The awardee is wholly responsible for the conduct of such research and preparation of the results for publication. The Foundation, therefore, does not assume responsibility for such findings or their interpretation. The Foundation welcomes proposals on behalf of all qualified scientists and engineers, and strongly encourages women, minorities, and persons with disabilities to compete fully in any of the research described in this document. In accordance with Federal statutes and regulations and NSF policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, denied the benefits of, or be subject to discrimination under, any program or activity receiving financial assistance from the National Science Foundation. Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to work on an NSF project. See that Program Announcement (91-54), or contact the FA program coordinator in the Directorate for Education and Human Resources at (703) 306-1636 or (703) 306-0214. The Foundation has a TDD (Telephonic Device for the Deaf) capability at (703) 306-0090. Publication and Patent Policy Research projects under this program are pre-competitive and, consistent with preserving patent opportunities, timely publication of results is expected. Patent rights to inventions under NSF- sponsored projects are governed by NSF policy, as expressed in Section 650 of title 45 of the Code of Federal Regulations and in accordance with Public Law 96-517 (the Bayh-Dole Act). Small- business firms and nonprofit organizations, including universities, usually receive patent rights to any inventions they make during Federally supported research. Universities and industrial organizations that propose to collaborate on a project under this Announcement should reach their agreement as to the disposition of patent rights from the project before submitting the proposal to NSF. Privacy Act and Public Burden The information requested on proposal forms is solicited under the authority of the National Science Foundation Act of 1950, as amended. It will be used in connection with the selection of qualified proposals and may be disclosed to qualified reviewers and staff assistants as part of the review process; to the applicant institutions/grantees; to provide or obtain data regarding the application review process, award decisions, or the administration of awards; to government contractors, experts, volunteers and researchers as necessary to complete assigned work; and to other government agencies in order to coordinate programs. See system records, NSF-50, "Principal Investigator/Proposal File and Associated Records" and NSF-51, 60 Federal Register 4449 (January 23, 1995), "Reviewer/Proposal File and Associated Records" 59 Federal; Register 8031 (February 17, 1994). Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of your receiving an award. Public reporting burden for this collection of information is estimated to average 120 hours per response, including the time for reviewing instructions. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to: Herman G. Fleming Reports Clearance Officer Contracts, Policy and Oversight, National Science Foundation 4201 Wilson Blvd. Arlington, VA 22230 Additional Information Telephone and mail inquiries about this program are welcome, and should be addressed to either: Marietta L. Baba Program Director Transformations to Quality Organizations Directorate for Social, Behavioral and Economic Sciences (703) 306-1757 x7210 (mbaba@nsf.gov) Pius Egbelu Director, Design and Computer-Integrated Engineering Program Division of Design, Manufacture and Industrial Innovation Directorate for Engineering (703) 306-1328 (pegbelu@nsf.gov) Catalog of Federal Domestic Assistance Numbers 47.041 and 47.075. OMB#3145-0058 PT 34 KW 0901094 NSF 95-99 (Replaces NSF 94-30)