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Canadian Registered Safety Professional

Occupational Health Safety and Environment

Systems Study Guide

Board of Canadian Registered Safety Professionals6700 Century Avenue, Suite 100Mississauga, ON L5N 6A4Tel: (905) 567-7198 Toll free: 1-888-279-2777 E-Mail: [email protected] Web: www.bcrsp.ca Last Revision: 2011

BCRSP Guide to Registration © Page 1 Occupational Health Safety and Environment Systems

OCCUPATIONAL HEALTH SAFETY AND ENVIRONMENT SYSTEMS (OES)

This domain was developed by Don Sayers & Associates Ltd., Fredericton, NB. Originally Developed: 2001 Last Revision Completed: 2011

Table of Contents Unit 1: Managers and Management ..................................................................................................................................... 4

Managers and Organizations .............................................................................................................................................. 4

Levels and Types of Managers ........................................................................................................................................... 5

What is an Organization? ................................................................................................................................................... 6

Productivity, Efficiency and Effectiveness .......................................................................................................................... 6

Managing With Ethics ......................................................................................................................................................... 7

The Management Process ................................................................................................................................................ 12

International Management and the Global Economy ....................................................................................................... 13

Unit 2: Foundations of Management ................................................................................................................................. 19

Perspectives on Management .......................................................................................................................................... 19

The Problem-Solving Process .......................................................................................................................................... 25

Managing Conflict ............................................................................................................................................................. 27

Unit Two Self-Study Questions ......................................................................................................................................... 29

Unit 3: Planning ................................................................................................................................................................... 31

Planning Fundamentals .................................................................................................................................................... 31

Planning Models ............................................................................................................................................................... 32

Strategic Planning ............................................................................................................................................................. 34

Unit Three Self-Study Questions ...................................................................................................................................... 39

Unit 4: Organizing ............................................................................................................................................................... 40

Organizing Fundamentals ................................................................................................................................................. 40

Trends in Organizational Structuring ................................................................................................................................ 43

Organizational Culture and Design ................................................................................................................................... 45

Directions in Organizational Culture ................................................................................................................................. 46

Essentials of Organizational Design ................................................................................................................................. 47

Job Designs ...................................................................................................................................................................... 51

Job Satisfaction and Performance .................................................................................................................................... 51

Directions in Job Enrichment ............................................................................................................................................ 53

Unit Four Self-Study Questions ........................................................................................................................................ 55

Unit 5: Leadership ............................................................................................................................................................... 57

Leadership Fundamentals ................................................................................................................................................ 57

Traits and Behaviour ......................................................................................................................................................... 58

Leading Through Motivation ............................................................................................................................................. 61


Leading Through Communication ..................................................................................................................................... 65

Communication and Diversity ........................................................................................................................................... 67

Leading Through Interpersonal Skills ............................................................................................................................... 68

Unit Five Self-Study Questions ......................................................................................................................................... 70

Unit 6: Controlling ............................................................................................................................................................... 73

Fundamentals of Controlling ............................................................................................................................................. 73

Performance Appraisal Systems ...................................................................................................................................... 76

Employee Discipline Systems ........................................................................................................................................... 77

Information Technology and Control ................................................................................................................................. 79

Unit Six Self-Study Questions ........................................................................................................................................... 81

Unit 7: Innovation and Change .......................................................................................................................................... 82

Organizational Change ..................................................................................................................................................... 82

Managing Change............................................................................................................................................................. 83

Managing in the 21st Century ............................................................................................................................................ 84

Unit Seven Self-Study Questions ..................................................................................................................................... 86

Unit 8: Fundamentals of Effective Training ...................................................................................................................... 88

Training Cycle ................................................................................................................................................................... 88

Curriculum ......................................................................................................................................................................... 89

Evaluation ......................................................................................................................................................................... 91

Instruction ......................................................................................................................................................................... 94

Unit Eight Self-Study Questions ....................................................................................................................................... 98

Additional Resources ....................................................................................................................................................... 100

Recommended Readings ............................................................................................................................................... 100

Suggested Additional Reading ....................................................................................................................................... 100


Unit 1: Managers and Management Rationale: Safety Professionals must deal effectively with all levels of the organization. Dealing with senior managers demands that you not only speak their language – you must be able to think their thought forms! Regardless of technical skills or expertise with various regulatory standards, the fact is that on a practical daily basis, safety professionals spend the vast majority of their time dealing with people. Whether an executive, senior manager, front-line supervisor, shop steward, safety rep, production worker, contractor or external stakeholder, all of these interactions are framed in an organizational cultural and management context. This section introduces the candidate to many management fundamentals senior managers use daily. Many of the questions posed do not necessarily have a ‘right’ answer, but careful consideration of the situation will help the candidate come to a personal conclusion, thus stretching the intellectual envelope and strengthening the capacity to critically examine appropriate safety management systems and models in a modern workplace Managers and Organizations What is a Manager? A manager is person in an organization who is responsible for the work performance of one or more other people. Serving in positions with a wide variety of titles (such as supervisor, team leader, division head, administrator, vice-president, etc.), managers are persons to whom others report. These other people and their managers form the essential human resources of an organization. Together their role is to use the material resources (like information, technology, materials, facilities and money) of the organization to produce goods and services that the organization can provide to its clients. Every manager has one primary responsibility – to help an organization achieve its best performance through the fullest use of all its human and material resources. This means the manager must be able to get things done through other people. In today’s workplace effective managers will achieve both high performance outcomes from their team members and high levels of satisfaction among the team members doing the work. Without high levels of satisfaction among team members it is difficult to sustain the performance of the team members over the long run. Therefore, the way in which a manager carries out their role is vital to the success of an organization. This applies equally to the safety professional in a modern organization. The manner in which a safety professional carries out their role directly impacts their effectiveness and success. Managers also answer to a supervisor. Managers are simultaneously supervisors and supervised. Managers lead a team that forms a work unit within an organization. As the leader of that team the manager must report to a higher-level supervisor regarding the effectiveness of the team. This is called accountability. Managers have people that are accountable to them as well as people to whom they are accountable. As a result managers face a unique challenge. They must depend on the performance of their team members in order to fulfill the accountability requirements they have to their supervisor. For example, suppose you are responsible for a group of construction workers who are hired to erect the framing of a four-story apartment structure. You are held accountable to the project manager for the performance of your work unit. If your team falls behind schedule the project manager won’t go to the team to find out the reasons for the delay. Nor can you transfer responsibility by saying, “I’m sorry we’re behind schedule but it is the team’s fault.” The project manager will then remind you that it is your job, not the team members’, to see that the work stays on schedule. In this way managers must rely on the performance of the team members in order to meet their own accountability requirements. The following diagram illustrates this idea.


Responsibility is something assigned by the manager. When a manager indicates to another person what work or duties they are expected to do, this creates a responsibility – an obligation on the other person to perform the assigned tasks. Along with assigning responsibility for certain tasks, a manager also grants authority for the other person to take the necessary actions to carry out their responsibility. This authority may include authority to spend money, use other resources, or direct the work of others. Levels and Types of Managers Levels of Management Organizations come in all shapes and sizes and within any organization managers must perform well in different capacities and at all levels of responsibility. Top-level managers ensure that major performance objectives are set and accomplished according to the organization’s purpose. This level of management is frequently named by titles such as Chief Executive Officer, President or Vice-President. Often called executives, they are responsible for the overall performance of a significant part of an organization or for the organization as a whole. Since they frequently make decisions under highly competitive and uncertain conditions, top-level managers need to be alert to the organization’s external environment and potential long-run problems and opportunities. Further, they need to be future-oriented, strategic thinkers. Middle managers are accountable to top-level managers, with lower-level managers accountable to them. Examples of such managers include deans in universities, division managers of large corporations and store managers in retail chains. It is the role of middle managers to interpret higher-level directives into action plans for those working below them. They should also communicate to top-level leaders information regarding lower-level concerns and operating conditions. Middle managers need to work well with their peers in order to help co-ordinate the activities of the organization. First-level managers often go by the title supervisor, lead hand, foreman/woman, team leader or department head. Their role is to develop and pursue short-term performance objectives that are consistent with the plans of middle and top management. Non-managerial personnel report to these managers. The diagram below illustrates how role responsibility can vary widely among three levels of managers.

Managers serve not only at different levels within an organization but also in different capacities. For example, distinctions are frequently made between line and staff managers, functional and general managers, and administrators. Line managers develop the processes and mechanisms by which an organization accomplishes its desired outcomes. An example of this unique management capacity would be the retail manager of a local department store. Their primary responsibility lies in the sales operations of the store. By contrast, staff managers use human resource expertise to support the efforts of the line personnel. For example, staff managers in the above department store would use their knowledge and skill in human resource management in a manner that supports the line management objectives. The store’s personnel manager would function as a staff manager. Staff managers exist to enhance and enable the primary


work of line managers. Effectively, a staff manager is an in-house consultant serving the operational needs of the organization. Within many organizations, safety directors/co-ordinators are considered staff managers. Functional managers are responsible for a single, specific area of an organization such as finance, production or personnel. General managers are responsible for more complex units of work that normally include many functional areas of activity. A plant manager who oversees purchasing, manufacturing, warehousing, sales, personnel and accounting is an example of a general manager. Administrators are usually managers who work in public or not-for-profit organizations. Hospital administrators, city administrators and human-service administrators are examples of this role. The Competitive Edge: In order to secure a competitive edge in today’s increasingly changing and aggressive world, many companies are realizing they must turn to teamwork and employee empowerment. Some organizations are reducing the number of levels of management in their ranks – “flattening” their structures. As a result, distinctions between levels of management are being blurred. This means that managers must carefully consider how they do their work if they want to continue their contribution to the organization’s success. In such an environment managers must learn to become effective leaders if their role is to be sustained. All too frequently, the corporate safety system is an early victim of these changes, requiring safety managers to be creative in their systems design and program implementation. What is an Organization? An organization is a group of people working together to achieve a common purpose. An organization is capable of achieving far more than any individual person. Because of these capabilities organizations are a fundamental component of any society. Organizations share at least three common features: purpose, division of labour and an authority structure. An organization’s purpose is its reason for existence. A strong sense of purpose is a powerful asset to any organization. An organization’s purpose is what distinguishes it from other organizations. Ideally, an organization’s purpose should be useful to society. For example, many organizations exist to produce high-quality goods or services that satisfy the needs of its customers. The people within an organization perform many tasks that, when added together, should result in the production of high-quality goods or services. The division of labour happens when large tasks (such as producing useable lumber) are broken down into smaller tasks (such as falling trees, hauling timber and milling lumber), which are then assigned to individuals or teams. The division of labour must be well co-coordinated if the organization is to achieve its common purpose. An important means of doing so is the organization’s authority structure. This is normally a level-by-level arrangement of managers that helps to clarify the performance accountability for every worker to a higher-level manager. A manager’s authority is the right to assign tasks and to direct the activities of those who report to them in ways that enable the organization to accomplish its purpose. Productivity, Efficiency and Effectiveness Productivity measures the quantity and the quality of work performance while taking resource utilization into consideration. Productivity can be measured at the level of the individual, group or entire organization. At all levels productivity reflects the manager’s success or failure to produce goods and services in quantity, of quality, and with a good use of material resources. This concept is demonstrated in the productivity equation:

Productivity = Quantity + Quality – Resources (P = Q + Q – R)

All things being equal, this equation shows that productivity increases when the quantity of outputs increases, the quality of outputs increases, and/or the cost of material resources used (inputs) decreases. Two criteria – performance effectiveness and performance efficiency – are used to indicate a manager’s success in the quest for productivity. Peter Drucker states it this way, “… effectiveness is doing the right thing, but efficiency is doing the thing right.” Performance effectiveness measures task output or goal accomplishment. If you are a production manager,


performance effectiveness means having your work unit meet daily targets of both production quantity and production quality. True productivity, however, requires that you meet these targets while minimizing material resource waste in the process. Performance efficiency measures the material resource costs associated with goal accomplishment – in other words, outputs realized compared to inputs consumed. Common efficiency measures are cost of labour, equipment utilization, facilities maintenance and returns on capital investment. The most efficient manager is one who meets the daily production targets at a minimum cost of materials and labour. True managerial success entails both performance effectiveness and performance efficiency. The following chart explains this index:

Productivity and Quality of Working Life The use of resources for productivity includes another significant issue for today’s world of strong social values. The term “quality of working life” is used to describe the overall quality of human experiences in the workplace. Today’s managers are rightly expected to facilitate productivity for the organization while maintaining the quality of working life for its members. “QWL” expresses itself in respect for people within their work environments. It offers an employee such practical things as:

Adequate and fair pay for a job well done. Safe and healthy working conditions. Opportunity to learn new skills. Room to grow and progress in a career. Social integration into the organization. Protection of individual rights. Flexibility to balance work and non-work demands. Pride in the work itself and in the organization.

Managing With Ethics Please note: this subject is dealt with more thoroughly in the “Law & Ethics” domain of your Guide to Registration. What is Ethical Behaviour? Ethics can be defined as the code of moral principles that sets standards of right or wrong in one’s conduct. These moral principles guide the behaviour of a person or a group. The purpose of ethics is to establish principles of behaviour that assist people in making choices among alternative courses of action. Ethical behaviour is behaviour that is accepted as ‘right’ or ‘wrong’ according to the established principles. Ethical behaviour is always interpreted according to a guiding frame of reference. In a just and fair society any behaviour that is considered ethical should also be legal. However, this does not mean that an action is ethical just because it is not illegal. For example, an employee calls in to work sick in order to simply have a day off? While this behaviour is not considered to be strictly illegal, many people consider it to be unethical. For many


people the ethical test goes far beyond the legality of the behaviour alone. The matter of ethics extends to one’s personal values – the underlying beliefs and attitudes that determine individual behaviour. Since we must move beyond the legalities of behaviour in order to determine whether it is ethical, we must involve value judgments. To the extent that values vary among people, we can expect differing interpretations regarding what behaviour is considered ethical or unethical in a situation. For instance, consider that much of what we consider important in safety practice is actually based in a particular value system, rather than any regulatory or industry standard. Various Ethical Views The Utilitarian View: this view is founded in the works of John Stuart Mill and is a results-oriented approach that delivers the greatest good to the greatest number of people. It tries to assess the moral implications of decisions on the basis of their consequences. For example, under this view it would be considered ethical for a manager to reduce the size of a plant’s workforce by 30% in order to maintain the plant’s profitability and secure employment for the remaining 70%. The Individualism View: this approach to ethical behaviour is based on the belief that one’s primary commitment is to the advancement of long-term self-interests. The key is in the qualifier “long-term”. According to this view, the long-term view on things will not tolerate behaviours like lying or cheating for short-term gain. Why? Because if one person lies or cheats then everyone will and no one’s long-term interests will be served. While this view intends to provide honesty and integrity, in actual practice it tends to evoke a pecuniary ethic: to push the law to its outer limit. The Moral-rights View: this view respects and protects the fundamental rights of people. In today’s organizations this approach includes the following rights:

right to privacy right to due process right to free speech

right to free consent right to health and safety right to freedom of conscience

The Justice View: this view is based on the belief that ethical decisions will treat people fairly according to a set of guiding standards. This approach measures the ethical nature of a decision by the degree to which it is equitable for everyone affected. This view recognizes procedural justice – the degree to which policies and rules are fairly administered (is a first level manager charged with sexual harassment dealt with in the same way as a top-level manager with the same charge?) – and distributive justice – the degree to which people are treated the same; such as ethnicity, gender, race, age, etc. (does a woman with the same qualifications and experience as a man receive the same pay for doing the same job?). Managerial Ethics Managerial ethics are the principles that guide the actions and decisions of managers and allow them to determine if they are right or wrong in a moral sense. Ethical managerial behaviour is behaviour that conforms not only to law but also to a broader set of moral principles. Managers who act ethically can have a very positive impact on other people and on the social good performed by the organization. It is fair to say that the senior manager’s personal ethical model directly shapes and influences the entire organization’s ethical standards. When someone must decide whether to pursue a course of action that, while it has potential for personal or organizational good, is unethical, they are in an ethical dilemma. Most of the ethical dilemmas reported by managers involve conflict with superiors, customers and subordinates. The managers’ bosses were sometimes singled out as pressuring their subordinates to engage in such unethical behaviours as:

supporting questionable viewpoints signing false documents overlooking supervisor’s wrongdoing


At times, managers have to confront unethical behaviour. At such times many rationalizations for the unethical behaviour are put forward. These rationalizations tend to fall into four categories:

Convincing oneself that the behaviour is not really illegal. Convincing oneself that the behaviour is in everyone’s best interest. Convincing oneself that nobody will ever find out what you’ve done. Convincing oneself that the organization will protect you.

Factors Affecting Managerial Ethics Three main influences affect managerial ethics. The manager’s personal experiences, the employing organization and the external environment. The manager’s personal experiences consist of their family influences, religious values, personal standards and personal needs. Managers who have a strong set of personal ethics will find that their decisions are less consistent than those who operate with strong ethical frameworks (personal decision rules or strategies for ethical decision making). Ethical frameworks also provide confidence in tough decision-making situations. The employing organization has an important influence on managerial ethics. What actions are punished and which are rewarded will have a great impact on the behaviours exhibited by employees. The expectations and reinforcement provided by peers and group norms also play an important role. Of course, formal policy statements and written guidelines that are enacted are very useful for establishing an ethical climate for the whole organization, but these are only as effective as the consistent demonstration of their application. Written policies and guidelines that are ignored or not consistently supported will not be implemented or sustained. This is a significant issue for most safety professionals. Every organization has an external environment composed of competitors, laws and regulations, and social norms and values. The competitive climate in an industry can establish an effective set of ethical standards for those who hope to prosper within it. Governments set laws that interpret social values and help define appropriate behaviours for organizations and their members. Regulations allow governments to monitor these behaviours and keep them within accepted parameters.

According to a paper written by Andrei Schleifer of Harvard University (2004) competitive pressures in the marketplace tend to increase pressures for adopting unethical behaviours. This pressure is regularly experienced by safety professionals who are caught between what society deems ‘ethical’, and the expectations of managers who are being squeezed to reduce costs and increase profitability.


Maintaining Ethical Standards There are five primary areas of initiative in maintaining high ethical standards in the workplace: ethics training, protection for “whistleblowers”, support from top management, formal codes of ethics, and strong ethical cultures. In ethics training participants are given tools to better understand the various characteristics of ethical decision making. With these tools, many feel better equipped to incorporate high ethical standards into their daily behaviours. An increasing number of formal and informal courses are being offered and are growing in their popularity. Many of these courses focus on steering through ethical dilemmas and not just telling right from wrong. The above checklist is an example of a set of tools used for making ethical decisions. People who expose the misdeeds of others in an organization are called “whistleblowers”. Many whistleblowers face stunted career progress and other forms of organizational retaliation, including termination. Often, workers reporting particular safety deficiencies in their workplace are viewed as “whistleblowers”. Special effort must be made to remove all organizational barriers to the exposure of unethical behaviours. These efforts are called whistleblower protection. Some organizations have staff members who are formally appointed to serve as ethics advisors; others have staff units designed to process reported infractions. While whistleblowers need to be sure of the correctness of their facts and keep accurate records that document their case, they must also have a thorough understanding of the legal protection they do and do not have. Another key point is that top management sets the ethical tone for the organization as a whole. The ethical standards adopted by top management in carrying out their own transactions, communicating with others inside and outside the organization and utilizing the organization’s resources on a day-to-day basis will shape the organization’s moral tone. As someone once stated, “If the boss winks, employees may wink back.” Top management support will demonstrate itself by being role models of appropriate behaviour to the organization and by communicating similar expectations throughout the organization. This appeal to modeling high ethical standards in behaviour applies to all levels of management. A formal code of ethics is a written and official guideline on how to behave on situations prone to creating ethical dilemmas. Ethical codes are found in such professions as engineering, medicine, law, safety, and public accounting. They seek to ensure that individual behaviour is consistent with the accepted norms of the professional group. The following items are among the matters most frequently addressed in written codes:

workforce diversity bribes and kickbacks conflicts of interest political contributions

honesty of financial records customer/supplier relationships misappropriation of corporate assets confidentiality of corporate information


For a code of ethics to be effective, senior management must be seen to believe in it, practice it and enforce it consistently within the organization. Realistically, ethical codes have limits. They cannot cover every situation or ensure universal adoption of standards within an organization. All formal codes rely on the people within the organization. There is no replacement for a hiring process that allows organizations to staff with honest, moral people who are led by exemplary managers. Progressive organizations are going to great length to create and maintain strong ethical cultures. For example, Imperial Oil’s publication Corporate Ethics is given to all employees. In the foreword, the CEO states that, “No employee, from myself to the newest member of our staff, is ever expected to commit an illegal or unethical act. Not in the name of business efficiency. Not to get results. Not for any other reason.” In their book “Managing By Values”, Ken Blanchard and Michael O’Connor state, “In a company that truly manages by its values there is only one boss – the company’s values.” This statement is further illustrated in the flow chart below:

Values and Individual Rights Managers must deal with ever changing social values and employee expectation. In the contemporary workplace managers must be prepared to deal with pressures like:

equal employment opportunity participation and employee involvement privacy and due process freedom from sexual harassment

job security job security occupational safety and health equity of compensation and benefits

More and more, traditional ‘glass ceilings’ within organizations are not tolerated. The unseen limits placed on employees because of gender, race and other factors are increasingly prohibited. Some managers overlook disabled persons, unable to see their true abilities. Many managers are realizing that the emerging generation of employees in the workforce demand a higher level of self-determination on the job. They expect real opportunities to participate in decisions affecting their work. Further, controversies over computerized work monitoring, employee testing for drugs, and honesty are frequently in the media. The response that each manager gives to these issues will powerfully shape the ethical culture within their organizations.


The Management Process Functions of Management Management is what managers do to achieve productivity with a diverse workforce in a changing environment. The management process involves planning, organizing, leading, and controlling the use of resources to accomplish the organization’s objectives. As stated earlier, effective managers do so in a way that achieves both high performance and high satisfaction among those doing the required work. Successfully implementing the management process requires a capability to recognize problems and opportunities, make good decisions, and take appropriate action. This is done with respect to four basic management functions:

Planning – setting objectives and deciding how to accomplish them. Organizing – arranging tasks, people and other resources to do the required work. Leading – inspiring people to work hard to perform according to plans. Controlling – monitoring performance and taking corrective action.

Planning is the process of determining what is to be achieved, setting appropriate goals, and identifying action steps for accomplishing them. This function involves a manager’s responsibility to identify work results and the means to achieve them. Organizing turns plans into actions by defining tasks, allocating resources and arranging the activities of individuals and groups to implement plans. Leading is the process of stirring people’s enthusiasm to support the organization’s goals and work hard toward accomplishing important plans. Leading involves building commitment, encouraging the efforts of the staff towards goal attainment and empowering others to apply their best efforts in the organization’s behalf. Controlling is a process of monitoring work performance, comparing results to goals, and taking corrective action as needed. This function involves following work progress, maintaining direct and active contact with people in their course of work, and communicating regularly on task-related concerns with those doing the required work. Research indicates that time allocated to planning and organizing tends to increase at higher levels of management while time spent on organizing is proportionately greater at lower levels of management. Time given to leading tends be similar at all management levels.


Essential Management Skills A skill is an ability to translate knowledge into action that results in desired performance. While many skills are required to master the challenging nature of managerial work, the most important ones are those that help others maximize their productivity. Robert L. Katz has classified these essential skills into three categories: Technical Skills: The ability to perform certain tasks. Human Skills: The ability to work well with other people. Conceptual Skills: The ability to think analytically. Although all three skills are essential for managers, their relative importance tends to vary across levels. A technical skill is an ability to apply in one’s work a special proficiency or expertise relating to a method, process, or procedure. For example, accountants, engineers, market researchers, and computer scientists all possess technical skills. The ability to work well in co-operation with others is a human skill. A manager with good human skills will have a high degree of self-awareness and a capacity to empathize with the feelings of others. This will show itself in the workplace through trust, enthusiasm, and interpersonal involvement. Given the highly interpersonal nature of managerial work, these skills are essential for all managers. The conceptual skill of the manager allows them to view situations broadly and solve problems for the good of all concerned. This skill draws heavily on one’s analytical and diagnostic capabilities. It involves the ability to break down problems into smaller parts, to see the relations among the parts, and to recognize the implications of any one problem for others. As managers assume higher responsibilities in organizations, they must deal with more ambiguous, abstract problems that require a high-level of mastery in conceptual skills.

International Management and the Global Economy We live in a global economy. Today there is a worldwide interdependence of resource supplies, product markets and business competition like never before. The global economy is a new part of our national and organizational lives. Because of this new reality many managers must prepare themselves to function on the global stage. The odds are quite high that many will someday work overseas in the foreign operation of a domestic firm or as an expatriate employee of a


foreign firm. It is also very likely that some will work for a foreign firm on home soil just as thousands of Canadians do for Shell, Honda or Toyota. Within the global economy there is a special emphasis placed on regional economic co-operation such as the European Union with its European Free Trade Association and, closer to home, the North American Free Trade Agreement. The competitive implications of regional economic co-operation are far reaching. Fortune magazine calls Asia the “mega-market” where ‘opportunity’ seems to be the watchword of the day. Many companies do business abroad but a truly multinational corporation (MNC) is a business firm with extensive international operations in more than one foreign country. The scope of their strategies is worldwide giving them significant influence on the global economy and the affairs of nations. Not-for-profit organizations whose operations span the globe are called multinational organizations (MNOs). Within an ethnocentric company a central headquarters exerts strict control over foreign operations. These firms expect to operate abroad in the same way they do at home, and impose outside policies and practices. This seldom respects local needs and customs and often creates resentment. By contrast, polycentric companies allow their foreign operations to run with more freedom. They seek to respect market differences among countries and they pursue multiple plans that view each country as a separate competitive domain. Locally appropriate practices, such as product designs and advertising, are encouraged to deal with these varied domestic markets. Safety professionals providing oversight to international operations often learn to adapt North American standards and expectations to enable implementation of practical, sustainable programs in very different socio-cultural settings. Increasingly, some MNCs are striving to become “global,” “worldwide” or “transnational” firms. These are the geocentric companies that seek total integration of the global operations. In a truly geocentric firm, management views the entire world as the operating domain for acquiring key resources – same as material and human – locating production facilities, and marketing goods and services wherever in the world they are best suited. They seek to act without any home-country prejudices; make major decisions from a global perspective; and employ senior executives from many different countries. Both the MNCs and the countries that host their foreign operations should mutually benefit from their relationship. However, things can go wrong in the relationship as the following diagram demonstrates:


Ethical Concerns for MNCs We discussed earlier the problem of cultural relativity with respect to ethical behaviour within organizations. Managers within MNCs must face this issue continually. Bribery is one type of unethical behaviour that especially affects business. Large MNCs are frequently accused of using their economic power to “purchase” officials in countries around the globe. Due to the pervasiveness of corrupt practices the American Congress passed the Foreign Corrupt Practices Act in 1977. This act makes it illegal for American companies to engage in a number of practices overseas and requires detailed records for international business transactions. Canada has not yet chosen to follow this example. Environmental Influences on Global Operations In his book The Competitive Advantage of Nations, Michael Porter identifies four environmental elements that are critical to business and national competitiveness in a global economy. Managers can use this model to analyze the competitive potential of business operations in various countries. As the diagram below suggests, a sustainable, competitive advantage for a nation or business is more likely when the following four points on the “dynamic diamond” are positive:

Firm strategy, structure and rivalry: the national conditions affecting how firms operate, specifically the intensity and concentration of competition and the nature of business ownership – public or private.

Demand conditions: the home-market demand in customer base, the number and sophistication of potential customers for various goods and services.


Related and supporting industries: the national base of suppliers a firm needs to secure resource inputs and other essential services.

Factor conditions: the nation’s position on basic resources, basic infrastructure (transportation, energy and other

supporting systems), and skilled labour.

Comparative Management Practices The global economy has brought with it a renewed interest in understanding what managers do, why, and with what results in various parts of the world. Comparative management is the study of how management systems differ from one country and/or culture to the next. We are fortunate to live at a time when managers around the world are realizing they have much to share with and learn from one another. Kenichi Ohmae, noted Japanese management consultant stated it this way: “Companies can learn from one another, particularly from other excellent companies, both at home and abroad. The industrialized world is becoming increasingly homogeneous in terms of customer needs and social infrastructure, and only truly excellent companies can compete effectively in the global marketplace.” Two books written on the subject of comparative management, Theory Z (by William Ouchi) and The Art of Japanese Management (by Richard Tanner Pascale and Anthony G. Athos) were among the first to call attention to the possible link between Japanese management practices and business success. Ouchi’s book used the term Theory Z to identify a management framework used by successful North American firms that follow the Japanese example. Within an organization using Theory Z principles, one would expect to find:

A long-term employment philosophy. Slower promotions and more lateral job movements. An emphasis on career planning and development. Broad concern for employee involvement.

The best approach to comparative management is an alert, open, inquiring, and always cautious one. It is important to keep sight of both the potential merits of management practices found in other cultures and the ways cultural variables may affect their success or failure when applied elsewhere. We should welcome innovations that change our workplace progressively. But we should hesitate to accept any practice, regardless of how well it works in other contexts, as a cure-all for our organizational ills. In fact, comparative management is not intended to provide definitive answers, but to develop critical and creative thinking about the way managers do their work and how they may do it better. This principle


is particularly important in safety practice, where there is a widespread tendency to try to impose various “safety programs” that were successful in one organizational culture, onto the safety professional’s own organization. Most often, these attempts fail to achieve long-term success, and can serve to increase levels of “program fatigue” among stakeholders who must frequently adapt to new programs and models. Unit One Self-Study Questions 1. ‘Effective managers’ are described as those who “…will achieve both high performance outcomes from their team members and high levels of satisfaction among those doing the work.” This appears to shift managers away from strict concern for production alone, towards a responsibility to ‘keep people happy’. In your opinion, why would such a shift be significant? 2. In your company, to whom do ‘safety’ employees report? Is that person a line or a staff manager? Is the OHS reporting relationship appropriate? How would you change the reporting relationship? Why? Would there be a downside to making such a change? 3. In your own words, explain the difference between ‘effective’ and ‘efficient’ performance. In your organization, which – effectiveness or efficiency – currently receives the most attention from senior managers? Why? 4. ‘Quality of working life’ is sometimes introduced as a concept under which health and safety functions belong. According to this model, what other types of initiatives might your company introduce to enhance QWL? How could you personally contribute to such new initiatives? What recent legislative shifts – if any – seem to get moving towards a convergence of OHS and QWL? 5. Various types and levels of ‘management’ are discussed. Based on these categories, how would you describe your own position? That of your supervisor? That of your major clients? 6. Much has been written in recent years about the 'glass ceiling' effect. Is there evidence of such a phenomenon in your company? Is your company taking steps to address it? Carefully consider and list strengths - and potential problems - of attempting to correct disproportionate representation by including membership in 'target' groups as a key staffing consideration. What impact might this issue have on the occupational risk climate in your company? 7. Management functions and roles are discussed briefly. Identify which of each are particular strengths in your company - and your OHS unit - and identify which need some improvement. What types of problems occur when any of planning, organizing, leading or controlling is not done well? 8. There has been much debate in OHS circles over which 'school' contributes most to the dilemma of workplace injuries and damage. From the information provided, which managerial skills are most important to managing OHS in your environment? Most companies tend to focus on one or another skill set. For example, technology businesses tend to reward technical skills, often at the cost of conceptual or human skills. Which is most stressed in your company? What are the advantages/disadvantages of a limited skill focus? How might your OHS programs benefit from widening the focus? How could you begin to stretch your management team to a broader skill paradigm? In your current employment, what skills most contribute to success? 9. Morals, ethics and ethical behaviour are defined. We live in rapidly changing times, in an increasingly pluralistic culture. What is one major weakness of these definitions, in light of these realities? How might this weakness be addressed? Consider various perspectives of 'ethical behaviour' when formulating your response. 10. When the Railway Safety Act was being considered in 1893, a railroad executive said it would cost less to bury a man killed in an accident than to put air brakes on a box car" (Willie Hammer, 1989. Occupational Safety Management and Engineering. Prentice-Hall, New Jersey). How would this statement be received in North America today? Is there any evidence that such mentality exists in industry here? List the issues that might lead an executive to act according to this belief in a modern setting. What steps might your corporate OHS program take to address such a perspective?


11. In your company, which of the following best identifies the corporate view of OHS: - respected corporate conscience - important contributor to bottom line - means of minimizing external interruptions (i.e. compliance) - vehicle for ensuring peaceful labour relations - an HR 'program' - integrated part of corporate culture Of these, which is the most desirable? Why? What impact does your company culture have on the group perception of OHS? What individual most affects this perception? How? 12. In your OHS practice, where is the line drawn between championing safe work conditions (and possibly injury benefits) and company profitability? To what extent are you comfortable with this reality? How does your practice fit with the definitions of ethics and ethical behaviour provided above? 13. "Superficiality is the curse of our age… The desperate need today is not for a greater number of intelligent people or gifted people, but for deep people' (Richard Foster, Celebration of Discipline, 1978, Harper and Row, New York). Although Foster's comments are nearly 30 years old, many feel they are particularly true today. List people you know who demonstrate 'depth' of character. What is their strength? Examine your own 'depth'. How could one's depth or superficiality affect their OHS practice? What type of response to ethical issues might one expect from a superficial person? From a person of depth? What ethical issues do you face in your own practice? 14. The guide presents types of multi-national companies and identifies them according to their perspective orientation. Which type would your company likely demonstrate if you were to operate in - for example - the former Soviet Union? Carefully consider the impact of each orientation on your OHS programming overseas. Which orientation would likely result in optimal risk management? Best short-term profitability? Long-term profitability? Why? You should also consider the information provided on ‘environmental influences' in your response. 15. Many management gurus point to the obvious success Japanese companies have in optimizing output from their human resources. What might be some serious limitations to superimposing a 'Japanese' management style on a typical North American company?


Unit 2: Foundations of Management Perspectives on Management The Classical Approaches Many organizations today exhibit and practice management models that have evolved over the past century. In an increasingly global environment, and with an increasingly sophisticated workforce, the ability to identify an organization’s management paradigm, and to understand its strengths and limitations in the emerging economy are central to the safety professional’s ability to fully contribute to the risk management goals of the employer or client. Many of the principles identified in these approaches are accepted as “normal” in Canadian business management circles. But they are not cast in stone, and there may be much better ways to organize, plan, lead, control and evaluate work (and safety performance) today, given the speed at which cultures, regulations and standards are changing and evolving. The three branches of the classical approach to management, listed with their principal proponents are:

Scientific management: Frederick Taylor; the Gilbreths. Administrative principles: Henri Fayol; Mary Parker Follett. Bureaucratic organization: Max Weber.

The classical approach to management is based on an assumption about people at work: they are rational and economically oriented in their approach toward work. That is, people will rationally consider opportunities made available to them, and do whatever is necessary to achieve their own greatest economic gain. In 1911, Frederick W. Taylor published The Principles of Scientific Management. Early in the book, Taylor makes the following statement: “The principal object of management should be to secure maximum prosperity for the employer, coupled with the maximum prosperity for the employee.” Taylor felt that many workers of his time performed below their true capacities. He believed this problem could be corrected by a systematic approach to management based on proper direction and support by supervisors, and monetary incentives for the workers. Taylor developed these four principles of scientific management for managers to follow:

Develop standardized work implements, proper working conditions, and rules of motion for every job. Carefully select workers with the right abilities for the job. Carefully train these workers to do the job, giving them proper incentives to co-operate with job incentives. Support these workers by planning their work and by smoothing the way as they go about their jobs.

The implications of Taylor’s work are found in many management settings today. Where jobs have been standardized - for example at fast food restaurants - ensuring consistent quality at an acceptable cost, can be delivered time after time. Motion study is the science of reducing a task to its basic motions, as mentioned in Taylor’s first principle of scientific management. Frank and Lillian Gilbreth are the acclaimed pioneers of motion studies. In one famous study, for example, they reduced the number of motions used by bricklayers and tripled their productivity. The Gilbreth’s work was foundational for later advances in the areas of job simplification, work standards, and incentive wage plans – all techniques still used on the modern workplace. Some of these principles can be observed in the practice of Ergonomics today. Scientific management is based on some questionable assumptions about the worker’s motivations – assumptions that are outdated by nearly a century. Unfortunately, the principles of scientific management offer no guidance to the manager regarding the manner by which these supervisory functions are to be carried out. Further, much current leadership literature contradicts the assumptions made by Frederick Taylor about the role of the supervisor and the worker. Consider how this quote from The Flight of The Buffalo (James A. Belasco and Ralph C. Stayer) suggests very different assumptions from Taylor about the role of supervisor and worker:


“I’ve learned as the leader of my organization that my job is not to solve other people’s problems, but to create the circumstances where they want to own the responsibility for their own performance…I learned that the best person to be responsible for the job is the person doing the job. Since the person doing the job is the expert doing the job, he or she should be the one who makes the decision about how the work can best be done.” The administrative principles school of thought is the result of the works of Henri Fayol. After a career in French industry, Fayol published Administration Industrielle et Generale in 1916. This book outlines five rules or duties of management that reflect his views on the proper management of organizations. The list resembles the four functions of management discussed earlier.

Foresight: to prepare a scheme for the future.

Organization: to provide resources necessary to implement the plan; to mobilize effort in support of the plan.

Command: to lead in such a way that workers are evaluated properly and inspired to give their best.

Coordination: to ensure that the efforts of subunits fit properly together and ensure that information is shared and problems solved.

Control: to verify progress and make sure things happen according to plan, taking corrective action as required.

Fayol developed other principles that are still commonly used by today’s managers: scalar chain – that there should be an unbroken line of communication from top to bottom in the organization; unity of command – that each person should receive orders from only one boss; unity of direction – that one person should be in charge of all activities having the same performance objective. Upon her death in 1933 Mary Parker Follett was eulogized as “one of the most important women America has yet produced in the fields of civics and sociology.” She displayed an understanding of groups and a deep commitment to human co-operation in her writings about business and organizations. She firmly believed that groups were organisms through which diverse individuals could combine their talents for a greater good. In her view, managers and workers should work in harmony, without one party dominating over another and with the ability to reconcile conflicts and differences. For her, the role of the manager was to help people within organizations co-operate with one another and achieve the needed integration of interests. Max Weber was a German intellectual at the turn-of-the-century whose ideas have had a major impact on the field of management and the sociology of organizations. His ideas formed a critique of the deficiencies he observed in the German government of his day. People were placed in positions of authority, not because of their job-related capabilities, but because of their privileged status in German society. Weber argued that because of this, many organizations were not performing up to their potential. Weber developed the concept of bureaucracy – an ideal, intentionally rational, and very efficient form of organization founded on logic, order, and legitimate authority. The special characteristics of Weberian bureaucracy are:

Clear division of labour: Jobs are specialized into routine and well-defined tasks and people become highly skilled at performing them.

Well-defined hierarchy of authority: Authority and responsibility are identified for each position, and each

position reports to a higher-level.

Formal rules and procedures: Written documents guide behaviour and decisions, and extensive files are kept as an historical record.

Impersonality: Rules and procedures are impartial, apply to all employees and clients, and are uniformly applied.

Careers based on merit: Personnel are selected and promoted on ability and performance accomplishments,

and managers are career employees.


While Weber envisioned bureaucracy as an efficient means of organization, today, bureaucracies are equated with inefficiency due to excessive “red tape”, slowness in handling problems, rigidity in the face of changing client needs, resistance to change, and employee apathy. These characteristics can be fatal for today’s organizations that must be flexible and quick in adapting to changing circumstances. Researchers are still examining Weber’s model. They want to know when and under what circumstances the features work best. They also want to know what are the useful alternatives to a bureaucratic framework. The Behavioural Approaches The branches of the behavioural approach to management share the basic assumption that people are naturally social and self-actualizing. People at work are assumed to act on the basis of desire to satisfy social relationships, responsiveness to group pressures, and the search for personal fulfillment. The four primary branches of the behavioural approach are diagrammed below.

The Western Electric Company at the Hawthorne Works of the firm’s Chicago plant initiated the Hawthorne Studies in 1924. This initial study had a scientific management perspective and sought to determine how various levels of illumination in the workplace affected output. The researchers found no relationship between illumination and production and concluded that unforeseen psychological factors had somehow interfered with their experiments. This beginning led to a series of studies that would ultimately have a major influence on the field of management. Harvard’s Elton Mayo led a team of researchers in 1927 to examine the effect of fatigue in output performance. The team was careful to design a test that would be free of the psychological effects thought to have confounded earlier study results. Six workers were placed together in an isolated test room. They were given various rest pauses, lengths of workday, and lengths of workweek, while their productivity was regularly measured. The researchers failed to find any correlation between changes in physical working conditions and total output. In fact, productivity steadily increased regardless of the changes made. Mayo and his colleagues singled out two factors as having special importance. First was the group atmosphere. The workers had opportunity to share pleasant social relations with each other and desired to do a good job. Second was more participative supervision. The test-room workers were made to feel important, were given a lot of information, and were frequently asked their opinions. The other workers elsewhere in the plant did not receive this type of supervision. Later studies revealed that work conditions and wages were not consistent factors in determining employee satisfaction and that workers will restrict their output in order to avoid the displeasure of the group, even if it meant sacrificing increased pay. These studies identified the importance of the work group and from them we learned what is now called the Hawthorne Effect: people who are singled out for special attention tend to perform as anticipated merely because of the expectations created by the situation. It is important to note that contemporary scholars criticize the Hawthorne studies for poor research design, weak empirical support for conclusions drawn, and for the tendency of the researchers to over-generalize their findings. Yet these studies


do represent an important turning point in the evolution of management that remains intact today. Indeed, these studies paved the way for the human relations movement during the 1950’s and 1960’s and set the stage for what has now evolved as the field of organizational behaviour. Many safety professionals can point to results from interventions they have initiated, as being driven more by the Hawthorne Effect than by the intervention itself. This has implications for all OHS professionals, and for understanding the real underlying cause of behavioural changes for various interventions. Abraham Maslow’s work in the area of human needs was also an important foundation of the human relations movement. A need is a physiological or psychological deficiency that a person feels the compulsion to satisfy. Managers need to be aware of this because needs create tensions that can influence a person’s work attitudes and behaviours. Maslow identified five main areas of human need. In his theory, people will try to satisfy the five needs in sequence, progressing step-by-step from the lowest level in the hierarchy to the highest. Along the way a deprived need dominates the person’s attention and determines their behaviour (the deficit principle) until it is satisfied. Then, the next higher-level need is activated and progression up the hierarchy occurs (the progression principle). At the level of self-actualization, the deficit and progression principles cease to operate. At this level, the more the need is satisfied, the stronger it grows. Maslow offers a useful way of considering the needs people may bring with them to their work. His theory helps to guide the efforts of managers who want to help people satisfy important needs by removing workplace obstacles that block need satisfaction and cause frustration, negative attitudes, or dysfunctional behaviour.

Both the Hawthorne studies and Maslow heavily influenced Douglas McGregor. His classic book, The Human Side of Enterprise, advanced the thesis that managers should give more attention to the social and self-actualizing needs of people at work. McGregor calls upon managers to shift their view of human nature from a perspective he called “Theory X” to one called “Theory Y.” According to McGregor, a manager holding Theory X assumptions believes that his or her subordinates by nature:

dislike work lack ambition are irresponsible are resistant to change prefer to be lead rather than to lead.


Theory Y, by contrast, involves an alternative set of assumptions. A manager operating under Theory Y believes that subordinates are:

willing to work willing to accept responsibility capable of self-direction capable of self-control capable of imagination, ingenuity, creativity.

McGregor points out (similar to the Hawthorne effect) that managers holding either Theory X or Theory Y assumptions can create self-fulfilling prophecies. This means that subordinates may act in ways that confirm a manager’s original expectations. Managers with Theory X assumptions tend to exercise supervisory behaviours that create passive, dependent, and reluctant subordinates. Managers with Theory Y assumptions tend to exercise supervisory behaviours that create initiative and high productivity. Both approaches create self-fulfilling prophecies.

Chris Argyris, a well-regarded scholar and consultant, holds assumptions that are consistent with Maslow and McGregor. But in contrast with McGregor’s concern for managerial assumptions, Argyris is concerned about the organizations themselves. His book Personality and Organization points out that the workplace common to traditional and hierarchical organizations may conflict with the needs and capabilities of mature adults. Consider these examples. Scientific management assumes people will work better as tasks become better defined. Argyris believes this may inhibit self-actualization in the workplace. In Weber’s bureaucracy, a clear hierarchy of authority where top levels direct and control lower levels presumably increases efficiency. Argyris believes that this creates dependent, passive workers who feel they have little control over their work environment. In Fayol’s administrative principles, the concept of unity of direction assumes that efficiency will increase when someone’s work is planned and directed by a supervisor. Argyis argues that this may create conditions for psychological failure. Psychological success requires people to be able to define their own goals. McGregor believes that any mismatch between workers’ mature personalities and management practices will create problems. His advice is to expand job responsibilities, allow more task variety, and adjust supervisory styles to include more participation and better human relations. With this positive treatment of people, responsible adults will achieve productivity. The Quantitative Approaches The quantitative approaches to management are based on the assumption that mathematical techniques can be used to improve managerial decision-making and problem solving. The terms management science or operations research are often used interchangeably to describe scientific applications of mathematical techniques to management problems. A problem is encountered, it is systematically analyzed, appropriate mathematical models and computations are applied, and an optimum solution is identified. Management science applications include: mathematical forecasting (makes future projections that are useful in the planning process), inventory modeling (mathematically establishes how much to order and when), linear programming (calculates how to best allocate scarce resources among competing uses), queuing theory (allocates service personnel or work stations to minimize customer waiting time and service cost), network models (break large tasks into smaller components to allow better analysis, planning and control of complex projects), and simulation (makes models of problems to test different solutions). While the techniques differ, the quantitative management approach includes these characteristics:

Primary focus on decision making with ultimate implications for management action. Based on economic decision criteria such as costs, revenues, and return on investment. Use of formal mathematical models following sophisticated rules and formulas. Frequent use of computers allowing quick processing of large amounts of data.

Since many of the techniques are highly sophisticated, organizations often employ staff specialists to help managers best take advantage of them. Recent software developments make these applications easier to use and makes it even


more important for managers to understand the value of each technique. In all cases, of course, mathematical solutions to problems must be supported by good judgement and an appreciation for the human factor. Modern Approaches The underlying assumption of the modern approaches to management is: people are complex with multiple and varied needs that can change over time. They possess a range of talents and abilities that can be developed over time. High-performing organizations respond with a wide variety of managerial strategies and job opportunities.

In modern approaches to management, organizations are viewed as systems, a collection of interrelated parts that function together to achieve a common purpose. In Unit 1 organizations were described as open systems that receive resource inputs from the environment and transform them into product outputs. A subsystem is a smaller component of a larger system that operates to its benefit. Because the environment is a critical element in the open-systems perspective of organizations, managers must stay alert and informed as the environment changes over time. In this way they can help the organization respond in a positive way to ensure the organization’s long-term prosperity. Contingency thinking tries to match managerial responses with the unique problems and opportunities posed by different situations – particularly those posed by individual and environmental differences. In modern approaches there is no longer an attempt to find “the one best way to manage in all circumstances.” Rather, the contingency perspective tries to understand situational differences and help managers respond in ways that best facilitate productivity in various circumstances. The following list highlights eight attributes of performance excellence in modern approaches to management:

A bias toward action: making timely decisions and getting things done.

Closeness to the customer: knowing their needs and valuing their satisfaction.

Autonomy and entrepreneurship: supporting innovation, change and risk taking.

Productivity through people: respecting human resources as the keys to quality and performance.

Hands-on and value-driven: having a clear sense of organizational purpose.

Sticking to the knitting: focusing on activities that the organization does well.

Simple form and lean staff: minimizing the levels of management and the use of staff personnel.

Simultaneous loose-tight properties: allowing worker flexibility while maintaining overall control.


The Problem-Solving Process Problem Solving Managers deal with all kinds of problems. Some problems are expected; some are unexpected. Some problems are routine; some are unique and new. Some problems are crises that, if not handled properly, could spell disaster for the organization. This is why managers must become competent problem solvers. This is particularly true of safety professionals in senior staff positions. The following diagram outlines the problem-solving process:

Step 1: Find and define the problem Questions asked at this stage include: “What is the actual situation?” “What is the desired situation?” “What is the cause of any difference?” This stage often begins with the appearance of symptoms, which signal the presence of a performance deficiency or opportunity. In assessing the situation accurately, managers must gather information that allows them to look beyond the symptoms and find out the true cause of the situation. This information can be gathered by talking with other people, examining deviations from past experience, examining deviations from plans, observing other organizations or work units, and from personal or organizational memory. Step 2: Generate Alternative Solutions Creativity is essential. The end result can only be as good as the alternative solutions generated in this step. Care must be used to ensure that inappropriate assumptions are not used in place of missing information. Here are ten suggestions for enhancing creative thinking:

Look for more than one “right” answer: don’t get stuck in the trap of thinking there is only one way.

Avoid too much logic: let your thinking range into metaphors, fantasy, and divergent viewpoints.

Challenge the rules: ask “Why?” a lot and don’t always accept the way things have always been done.

Be practical: ask “What if?” a lot in order to focus on the practical outcomes of a proposed course of action.


Make ambiguity work for you: leaving things a bit unclear can provoke creative thought in others. Look on the positive side of error: fear of error will paralyze creativity. Trial and error can be a path to

success.

Take time to play: tinkering with various ideas can relieve pressure and be a path to discovery.

Break out of your specialization: use the insights of other viewpoints to expand ideas and increase viable options.

Support nonconformity: let differences exist. They can form creative tensions.

Believe in your creativity: create some self-fulfilling prophecies.

Step 3: Evaluate Alternatives and Select a Preferred Solution The evaluation of alternatives is based on five criteria:

Benefits: What are the benefits of using the alternative to solve a problem?

Costs: What are the comparative costs associated with implementing the solution?

Timeliness: How fast will the benefits occur and a positive impact are achieved?

Acceptability: To what extent will the alternative be accepted and supported by those who must work with it?

Ethical Soundness: How well does the alternative meet accepted ethical standards in the eyes of the stakeholders?

Managers must always ask questions about problems. For example, “Is the problem significant?” “Is the problem solvable?” “Is the problem here to stay?” “Is this my problem to solve?” Here we can distinguish between three major approaches to problem solving:

Further, decisions can be viewed as individual decisions (the decision is made alone), consultative decisions (the decision is made by an individual in consultation with others), or group decisions (the decision is made by the group)


Step 4: Conduct the Ethics Double-check of the Preferred Solution This step should increase your confidence that a particular course of action meets moral standards. Remember, asking the following two questions may check the ethical foundations of any decision: “How would I feel if my family found out about this decision?” and “How would I feel about this decision if it were reported in the newspaper?” Step 5: Implement the Solution At this stage, managers need the support of many other people who can add to the information available and to the level of commitment to the change process. The directions are finally set and problem-solving action plans are initiated. This involves identifying obstacles and developing plans to deal with them if they arise. Step 6: Evaluate Results This step is what the management function of controlling is all about. True problem solving requires a continuing commitment to gathering information. The problem-solving process is not complete until results are evaluated to ensure that the desired outcomes have been achieved. If they are not, the process must be recycled in order to take the necessary corrective actions. Managing Conflict Interpersonal relations within organizations are bound to create occasional conflict; disagreement between people on issues of substance or emotion. The nature of safety practice is such that safety professionals typically spend considerable time arbitrating or facilitating resolution of conflicts. For instance, organizations often struggle with a tension between productivity pressures, and legitimate attempts to reduce the risks inherent in production operations. This form of conflict management often falls first to the in-house safety professional. Substantive conflicts involve disagreements over such things as goals, resource allocation, reward distribution, policies and procedures, and job assignments. Emotional conflicts result from feelings of anger, distrust, dislike, fear, resentment, and other forms of personality clashes. Both forms of conflict have potential for destruction or for creativity and innovation. It depends on how they are managed. Destructive conflict, or dysfunctional conflict, works to the disadvantage of the people and organization involved. Constructive conflict, or functional conflict is quite a different story. This type of conflict actually benefits the people and organization involved. These benefits include:

Increased creativity and innovation: conflict can lead to people behaving in new and better ways.

Greater effort: conflict can overcome apathy and cause people to work harder.

Increased cohesion: conflict with outsiders can strengthen group cohesion and commitment to common objective.

Reduces tension: conflict can allow people to release tensions that, if held back, could cause harmful stress

and disrupt work efforts. Conflict may arise for a variety of reasons. These include unclear job expectations, sharing of resources, performance interdependence with others, competing objectives, structural incompatibilities, and unresolved prior conflict. Where these conditions exist a manager will expect conflict to surface. When the conflict surfaces it can be resolved or suppressed. Conflict suppression happens when the source of the conflict is not removed but the conflict behaviours are controlled. Since the actual source of the conflict remains, suppressed conflict will arise again at a later time. Conflict resolution eliminates the underlying source of the conflict and thus reduces the potential for similar conflicts in the future. The following diagram outlines the predominant styles of conflict management. It measures the styles according to the degree to which they express high/low co-operativeness and high/low assertiveness.


Often conflict resolution requires some type of negotiation procedure. Negotiation is the process of making joint decisions when the parties involved have different preferences. There are two important goals in the negotiation process. Substance goals are tied to the content issues of the negotiation. These are what you are negotiating about. Relationship goals are concerned with the process. These goals focus on how the negotiations will take place and how the parties will relate after the negotiations are completed. Unfortunately, participants often sacrifice relationship goals in the interest of attaining their substance goals. Effective negotiation occurs when issues of substance are resolved and working relationships between the parties are maintained or even improved. There are three criteria for effective negotiations:

Quality: produces a wise agreement that is truly satisfactory to all sides.

Cost: it is efficient and takes no more time than absolutely necessary.

Harmony: it fosters, rather than inhibits, interpersonal relationships.

Distributive negotiation focuses on claims made by each party for certain preferred outcomes. This can take a competitive form where one party can gain only if another party loses. It is in this context that relationships are often sacrificed. Integrative negotiation is based on a win/ win orientation. The focus is to base the final outcome on the merits of an individual claim, and to try to find a way for all claims to be satisfied if possible. According to Fisher and Ury, following these four negotiation principles can do this:

Separate the people from the problem. Focus on interests, not on positions. Generate many alternatives before deciding what to do. Insist that results be based on some objective standard.

Further, it is important to remember that the negotiation process is complex and filled with pitfalls. This is a list of the four most commonly encountered pitfalls around the negotiation process:


The myth of the “fixed pie”: acting on the belief that in order for you to gain, someone else must give

something up.

Non-rational escalation of conflict: overly committed to previously stated demands; allowing ego and face saving to increase perceived importance of one’s demands.

Overconfidence and ignoring others: acting on the belief that your position is the only correct one; failing to

see the merits in another’s position.

Too much telling and too little hearing: parties fail to make themselves understood; parties fail to listen sufficiently to understand what each other is saying.

Another form of negotiation is mediation. Here a neutral third party tries to improve communications and help the parties remain focused on the relevant issues. The mediator does not issue a ruling or make a decision even though they may be involved in the discussions. This may include making suggestions in an attempt to move the parties toward agreement. Arbitration is a stronger form of conflict resolution. It involves a neutral third party who issues a binding decision. Arbitration usually involves a hearing where the arbitrator listens to both sides before making a ruling. Managers who are involved in negotiations, mediation, or arbitration must exercise a very high level of ethical standards. Motivations for profit or competition must be clearly put away if the parties involved are to participate freely and with confidence in the proceedings. Unit Two Self-Study Questions 1. Frederick Taylor is often called 'The Father of Scientific Management'. Although his theories were developed early in the 1900's, they still impact many operations. Review his principles and identify which characterize your company's management style today. Which principles evident in your organization have a positive impact on OHS practice? Which impede progressive safety management systems? 2. Similarly, Fayol left legacies that endure. Fayol's 'duties' would sound familiar to a traditional manager. Which of these are recognizable in your company? Can you identify any tensions that these 'duties' create in the modern workplace? If so, what is the source of these tensions? What are some ways managers differ in their interpretion of duties like 'command', and 'control'? 3. Weber's theories can be demonstrated in the organization and operation of modern institutions. List several organizations of your acquaintance that demonstrate these characteristics. From a management perspective, what are the advantages of these principles? Now consider the advantages/disadvantages from the client's perspective. Which of these principles are evident in your own company? Your OHS unit? Weber’s bureaucratic model tends to promote efficiency. In your opinion, how is it likely to impact organizational effectiveness in a modern organization? 4. The Hawthorne studies have very significant implications for traditional OHS programs. Consider the implications of this phenomenon for program development. What lessons can we learn about measuring human performance? What might be the impact on initiatives like auditing, incentives, and peer inspections? Is the goal of OHS programming simply to reduce the incidence of reported losses, or is it important to address underlying systems that contribute to losses? Given the reality of 'the Hawthorne effect', how could you adjust your OHS program evaluation criteria? 5. Abraham Maslow's work is fundamental to understanding human motivation for OHS initiatives. What might be some advantages of meeting needs in as many of his identified levels as possible into your OHS program design? How many of his levels of inherent human motivation could you incorporate into your program design? 6. Theory X and Theory Y are often readily identifiable styles in traditional organizations. Although more recent works have taken this idea much further, McGregor's contribution is a useful yardstick for identifying performance problems. What might be the OHS environment in an environment dominated by a Theory X leadership style? Of Theory Y leadership?


7. Argyris starts to point out potential tensions between organizational culture and human performance. What lessons might you learn from Argyris about organizing work in your company? What might be some benefits to OHS performance, of adjusting job design? Carefully contrast Argyris' and Weber's theories, and determine which would be most receptive to a modern OHS program. Why? 8. Some researchers suggest that roughly 80% of a typical manager's role is problem solving. The guide presents some types of problem solvers, and some common styles. Which are evident in your company? Evident by your manager? Evident by yourself (be brutally honest!)? What are strengths and limitations of each style (i.e. systematic vs. intuitive)? 9. A 6-step problem solving process is offered. Summarize each of the steps in your own words, and apply it to some recent problems you've been involved with. What are the strengths of this process? What are some limitations? 10. In your own experience, how often has time been expended to solve problems that the 'solver' does not own? While it is commendable to help others, there are some dangers in utilizing personal resources in this way. In OHS management, what might be some common instances where problems are directed incorrectly to the OHS unit for 'solving'? What might be some steps to incorporate in your problem solving process to alleviate this tendency? Is problem avoidance an issue in your company? What are the potential implications of this tendency? 11. Review and evaluate the list of ways to enhance creative thinking. Which are most likely to be effective in your environment? Which have been tried in recent years? 12. To what extent should safety professionals be involved in OHS problem solving in your company? Who owns the problem? Who should own the solution? What might be an appropriate role for the OHS unit in this case? 13. List ways that your daily practice engages in some form of conflict management. How could you adapt/adopt these principles into your own conflict management practices to strengthen your own effectiveness?


Unit 3: Planning Planning Fundamentals Planning as a Management Function Planning is formally defined as a process of setting objectives and deciding how to accomplish them. Objectives are the specific results that one wishes to achieve. Therefore, planning is a special process for results-oriented decision making. Modern safety management requires excellent planning to ensure wise stewardship of limited resources, solid credibility with senior managers, and demonstrable success in achieving rational corporate OSH goals. Good managers plan for three important reasons:

Stability – to help ensure continued success in a fairly stable environment.

Adaptability – to help ensure successful reaction to changes in a dynamic or uncertain environment.

Contingency – to help anticipate events that may happen in the future. The planning process involves the following steps: 1. Define your objectives: know where you want to go in terms that are specific enough that you will know when

you have arrived and where you are at during each step along the way. 2. Determine where your current stance is in relation to the goal. Analyze current strengths and weaknesses in

terms of being able to meet the objective. 3. Develop your premises regarding future conditions: seek to understand the current factors that help or hinder

accomplishment of the objective and how these factors may develop in the future. 4. Identify and choose among them to create plans for accomplishing objectives: list and evaluate alternative

action plans 5. Implement the action plan and evaluate results: do what the plan requires and carefully evaluate results to

ensure accomplishment of objective. Remember, planning is one of the primary functions of management, and safety management requires planning at least as thorough as the other organizational functions. The diagram below helps illustrate how planning relates to the other management functions:

A statement of the intended means to accomplish a desired result is a plan. Managers at different levels within the organization work with different types of plans. Plans at one level should identify the objectives toward which plans the next lower level are directed. Top-level managers spend more time on strategic, long-term planning for the organization as a whole. Middle-level managers spend more time on operational and standing-use plans that implement top management plans and set action guidelines for lower-level managers. Lower-level managers spend


more time on short-range, single-use plans that implement the operational plans of middle managers on a day-to-day basis. Safety professionals – who are often in a staff management role in their organization – will likely be engaged in strategic, operational and single-use plans at various times, because of the scope and breadth of safety management systems in most organizational settings.

In addition to these types of plans are the following:

Production Plans: methods and technology needed by people in their work.

Financial Plans: money required to support various activities.

Facilities Plans: facilities and layouts required to support task activities.

Marketing Plans: requirements of selling and distributing goods or services.

Human Resources Plan: recruitment, selection, and placement of people in various jobs. Planning Models The planning process may be approached in different ways. Important distinctions are made between:

Inside-out vs. Outside-in planning Top-down vs. Bottom-up planning Contingency planning

Inside-out planning involves focusing on what we are already doing with a view to doing it better. This type of planning will not bring dramatic change to an organization but it can help the organization effect better resource utilization. Outside-in planning involves analyzing the external environment in order to select a unique niche for the organization’s activities. In top-down planning, top management sets the broad objectives and then allows lower levels of management to make plans within these constraints. Bottom-up planning begins with plans that are developed at lower levels without constraints from upper-management. The plans are then sequentially passed up the hierarchy to top-level management. Dick Levin suggests that the best planning is probably initiated from the top but that it proceeds in a manner that allows serious inputs from all levels. Contingency planning involves identifying alternative courses of action that can be implemented if and when an original plan becomes inappropriate due to changing circumstances. Here are five guidelines for effective contingency planning:


1. Identify the things that might go wrong and interfere with the success of original plans. 2. Estimate the likelihood that each of these things actually will go wrong. 3. Examine the cost and inconvenience of preparing plans to deal with each of these things. 4. Select those things that are most significant and most reasonable to address by contingency plans. 5. Prepare specific contingency plans for dealing with those things – if and when they should occur.

Forecasting Forecasting is the process of making assumptions about what will happen in the future. While these forecasts may be wrong, all good planning involves some forecasting, either implicit or explicit. Qualitative forecasting uses the opinions of experts to inform the view of the future. Quantitative forecasting uses mathematical and statistical analyses of data banks to inform the view of the future. Time-series analysis is a technique that seeks to project past trends on expectations about the future. Statistical surveys use polls and attitude surveys to forecast future consumer tastes, employee preferences, and political choices, among other things. In the final analysis, forecasting always relies on human judgment and should, for that reason, be treated cautiously. Remember, forecasting is not planning. Planning is a separate process that tries to decide what to do about the implications of the forecasts once they are agreed upon. This is an important distinction sometimes lost on those responsible for planning significant corporate functions, including safety management systems. Planning Effectiveness Since planning is foundational to the whole management process, it is essential that it be done well. This cannot be overstated! Central to good planning is the need for wide ownership of the plans and their implications for the members of the organization. Participative planning actively includes in the planning process as many of the people as possible who will be affected by the results. This approach to planning increases the creativity and information available for planning. It also increases the level of “ownership”, understanding, acceptance, and commitment of people to the final plans. Indeed, good planning requires good planning; an effective approach that broadens ownership and commitment. No organization exists in a vacuum. Planners need a thorough understanding of what is happening outside the immediate workplace. This can provide for external comparisons that may give an added perspective to current performance within the organization. This process is called benchmarking and it allows progressive companies to learn from other excellent companies. This process moves beyond analyzing competitor’s prices and products to actually learning from other organizations how to function more effectively. As the planning needs of organizations grow, there is a need to increase the overall sophistication of the planning process. Some organizations hire staff planners to co-ordinate the planning processes for the total organization. The following illustrates an effective planning process:


Strategic Planning A strategy is a comprehensive plan of action that sets critical direction for an organization and guides the allocation of its resources. It represents a “best guess” regarding what must be done to ensure long-run prosperity for the organization or one of its subsystems. A comprehensive safety program should be one element of a corporate strategic focus. Strategic planning is the process of formulating and implementing strategic plans. It involves the processes diagrammed above. The reason for strategic planning was made quite clear by Peter Drucker, who says: “The future will not just happen if one wishes hard enough. It requires decision – now. It imposes risk – now. It requires action – now. It demands allocations of resources, and above all, human resources – now. It requires work – now.” Strategic management is the process of leading the strategic planning effort and ensuring the strategies are well implemented. This process begins with strategy formulation and must carry on into strategy implementation as diagrammed below:

Well selected and well implemented strategies help achieve competitive advantage, a special edge that allows an organization to deal with market and environmental forces better than its competitor. Strategies are found at four levels within an organization:


Institutional Strategy: sets the organizational character. Corporate Strategy: sets the overall strategic direction. Business Strategy: sets strategic direction for a business unit. Functional Strategy: sets functional directions for supporting business and corporate strategies.

Strategy Types Institutional strategy identifies core values and beliefs that give the organization a distinctive character or identity. It answers the question: “What type of organization do we intend to be?” It defines the social and human standards by which the organization intends to operate. Corporate strategy answers the question: “What business or businesses should we be in?” This level of strategy sets direction and guides resource allocation for the total enterprise. Business strategy is for a single division or strategic business unit. It answers the question: “How are we going to compete in this particular business area?” These strategies include decisions about product/service mix, facility location, new technologies, etc. Functional strategy guides activities within a specific area of operations. It answers the question: “How can we best apply functional expertise to serve the needs of the business unit or organization?” The following are examples of grand strategy types: Growth strategies: seek greater size and the expansion of current operations. This is done in different ways. Some organizations achieve this through concentration – using existing strengths in new and productive ways without the risk of a major shift of direction. Other organizations pursue growth through diversification – the acquisition of new businesses in related or unrelated areas, or investment in new ventures. Retrenchment strategies: these involve decisions to gain efficiencies and performance improvements by reducing operations and cutting back. This happens in three primary ways: turnaround downsizes to reduce personnel and other costs while restructuring to correct problems and improve efficiency. Divestiture involves selling parts of the organization to cut costs, improve operating efficiency, and return to areas of traditional business strength. Liquidation involves the closing down of operations through complete sale of assets or declaration of bankruptcy. Stability strategy: this maintains the present course of action without commitment to any major operating changes. This strategy is used when an organization is already doing very well, when decision makers need a time of low risk, and when time is needed to consolidate strengths after a period of development under other strategies. Combination strategy: simultaneously employs more than one of the other strategies. This is a common approach in complex organizations operating in dynamic and highly competitive environments. Strategy Formulation The responsibility of strategic management is strategic formulation. If this is done well it should lead to the selection of strategies that can be well implemented in support of organizational objectives. The four major elements of strategic formulation are illustrated below:


Strategy Implementation No strategy, regardless of how well formulated, can achieve results if it is not implemented properly. Any manager, at any level in an organization, is responsible for strategic management as it pertains to their work unit. The major strategy implementation pitfalls fall into two major categories: Failures of Substance: these reflect inadequate attention to major strategic planning elements – analysis of purpose and mission, managerial values and corporate culture, organizational strengths and weaknesses, and environmental threats and opportunities. Failures of Process: these reflect poor handling of the ways in which the various aspects of strategic planning were accomplished. This includes failure to effect wide participation in the planning process. As a result, low commitment from key persons to the all-important action follow through will severely damage the implementation process. Another common process failure is getting so bogged down in details that the planning process becomes an end in itself, instead of a means to an end. Approaches to Strategic Planning Managers, staff planners and consultants use a number of different approaches to strategic planning. Five are outlined below. Portfolio strategy is designed to assist managers in deciding on the investment of scarce organizational resources among competing business opportunities. The goal of this form of strategic planning is to identify a mix of investments that best serve organizational objectives. It is most effective for addressing corporate level strategy in multi-business or multi-product organizations. The BCG matrix (Boston Consulting Group) shown below is one example of a portfolio approach to strategic planning. This matrix ties strategic planning to business opportunities measured by comparing market growth rate and market share, and can be instructive to safety professionals building in-house proposals for new programs or risk interventions.


Question Marks: poor competitive position in a growing industry. Recommended strategy… growth or retrenchment; apply resources to accomplish positive turnaround or pull back if the outlook is poor. Stars: dominant competitive position in a growing industry. Recommended strategy… growth; add resources and build the business further based upon market projections. Dogs: poor competitive position in a low growth environment. Recommended strategy… retrenchment; sell, liquidate the business to eliminate resource drain. Cash Cows: dominant position in low growth environment. Recommended strategy… stability or modest growth; maintain benefits of strong cash flow while keeping resource investments minimum. Michael Porter criticizes the portfolio approach for leading corporate strategists into unwarranted diversification. His competitive model is a popular alternative that focuses strategic planning efforts on the organization’s current and potential competitive environment.

Porter uses the competitive model to identify three generic strategies organizations can use to gain competitive advantage:

Differentiation: trying to distinguish one’s products from those of the competition.

Cost Leadership: using cost minimization to operate more effectively than competitors.

Focus: concentrating on serving one special market or customer group.


The major premise of the Miles and Snow adaptive model is that organizations should pursue product/ market strategies that are congruent with the nature of their external environments. A well-chosen strategy allows an organization to successfully adapt to environmental challenges. The four strategies in this model are:

Prospector strategy: pursuing innovation and new opportunities in the face of risk, and with prospects for growth. This is best suited for dynamic and high-potential environments.

Defender strategy: emphasizes existing products and current market share without seeking growth. This is

suited for a stable environment and perhaps for declining industries.

Analyzer strategy: seeks to maintain stability of a core business strategy while selectively responding to opportunities for innovation and change. This is a “follow-the-leader-when-things-look-good” strategy similar to what many of the clone makers in the computer industry are doing.

Reactor strategy: primarily responds to competitive pressures to survive. Reactors do not have long-term and

coherent strategies, leaving them with a “follow-as-last-resort” approach. This strategy is often found among public utilities and other government regulated organizations.

A product life cycle is a series of stages a product or service goes through in the life of its marketability. Four typical stages are introduction, growth, maturity, and decline. The product life cycle approach to strategic planning suggests that different business strategies should be used to support products in different stages of their life cycles. Products in the introduction and growth stages lend themselves to differentiation and prospector strategies (discussed above). In the maturity stage, the strategic emphasis shifts toward focus and cost leadership strategies. Sometime during the decline stage of the product’s life defender and analyzer characteristics may appear as strategic planners seek ways to extend a product’s life. Understanding product life cycles and adjusting strategic planning efforts accordingly is an important business skill for all managers to develop, especially during dynamic times. This approach has application for safety professionals responsible for program design and evaluation. When does a “safety program” become redundant, ineffective, and in need of regeneration? In summary, consider this set of guidelines for developing effective strategic planning:

Become a “strategic actor” as opposed to a “trapped executive”: don’t be reactive, critical, paying most attention to organizational weaknesses with a focus on daily problems. Rather, be proactive, supportive and responsible for truly strategic thinking within the organization. Acknowledge and affirm the organization’s strengths.

Get the right people involved: make sure the right people from all levels are involved in strategic planning.

Ensure widespread ownership of change.

Use a checklist for minimizing errors of substance: used as a reference point, a simple checklist can help you stay on target and thorough.

Don’t be afraid to conclude that an existing strategy is good or even great: there is benefit to doing

strategic planning even if the end decision is to stay with the current strategy. Don’t assume that all change is progressive.

Be responsible for the total process of strategic planning: implementation and follow-through evaluation are

necessary to the total strategic plan.

Use strategic planning as a catalyst to success in all management functions: when done well, strategic planning helps managers fulfill their other planning, organizing, leading, and controlling responsibilities. In turn, these lead to successful implementation of the strategic plan.

Remember, a good strategy alone will not ensure organizational success: strategies merely set the stage

for action. The action will only be as good as the ability of the rest of the organization to implement it in a coordinated manner. Harold Geneen, past CEO of ITT has the last word on this:


“You decide what it is that you want to do, and then you start doing it. It never ceases to amaze me how many people can give this lip service and then not follow through. It is the follow-through that is all-important.” Unit Three Self-Study Questions 1. A planning process includes five steps. How do your existing planning processes compare with this model? Which of these steps are practicable for your program? Which are of limited usefulness? Why? 2. Several benefits of planning are discussed. Based on this information, list problems you have observed in your company that may have resulted from inadequate or inappropriate planning. 3. The term 'strategic planning' has been extensively used in Canada to mean different things. The guide presents a useful picture of how strategic planning contributes to the overall functioning of a typical organization. To what extent has strategic planning contributed visibly to the operation of your company? To what extent are your OHS program(s) linked to corporate strategic and operational goals? Do corporate OHS goals directly impact corporate goals, or the other way around? 4. 'Inside-out' vs. 'outside-in' and 'top-down vs. 'bottom-up' are very different planning approaches, yet each can contribute to OHS goals. Review each and determine which (if any) dominates your current company planning process. Decide which would be most appropriate for OHS planning processes, and be prepared to defend your decision. 5. A significant OHS role in most organizations is forecasting losses and risk. Which of 'qualitative' or ‘quantitative' methods are used most often in your OHS initiatives? Carefully think through several strengths and limitations of each for the safety professional. Can you identify an occasion when a forecast was mistaken for a plan? If so, what were the results? 6. Ensure that the terms 'strategic planning' and 'strategic management' are clear. How is your OHS program impacted by corporate strategic planning? To what extent are clear OHS objectives linked to the corporate strategic vision? 7. Traditional 'staff’ functions are facing increasing pressure to demonstrate direct linkage to profitability in order to survive. How might your OHS unit/programs gain credibility and access to resources by viewing OHS program development through a 'strategic business unit' lens? What sort of 'value added' opportunities might such a perspective provide? What barriers exist to shifting to a similar model? Which planning model might best serve this goal of demonstrating return on investment (ROI) for the safety function? 8. If your unit has developed a strategic plan, double-check it against the checklist. How does your plan stand in light of the checklist? What problems does this list suggest for you? What strengths?


Unit 4: Organizing Organizing Fundamentals Formal/Informal Structures As the second function of the management process, organizing is the process of creating a collection of people in a division of labour working together to achieve a common purpose. Organizing turns plans into performance results. For most safety professionals, the ability to organize people (managers, supervisors, Joint Health & Safety Committee’s, regulators, etc) around specific OSH goals is a fundamental success indicator.

A formal organizational structure shows the lines of formal authority and communication linking one position to the next. The formal structure is the way the organization is intended to function in its official state and is often diagrammed in organizational flow charts. The flow chart conveys useful information about an organization. It shows the division of work, type of work performed, supervisor/subordinate relationships, formal communication channels, major subunits or work groups, and levels of management. The diagram below represents a typical organizational flowchart.

An informal organizational structure lies behind every formal structure. This is a shadow organization of unofficial, but often critical, working relationships. Even though they are never formally acknowledged or even necessarily approved by management, no manager can succeed without understanding the informal structures that operate in any work setting. Informal structures can be helpful, especially during times of change when formal structures are slow to respond to new realities. However, informal structures can also be susceptible to rumours, divert work effort away from the primary task, breed resistance to change, and thus be a detriment to the organization as a whole.


Restructuring is a common term that refers to managerial efforts to reorganize an organization’s structure in an attempt to increase performance efficiency and productivity. This term is often associated with “downsizing” and other efforts to streamline operations. However, managers need to realize that their understanding of organizational structure will help them in two important ways:

Structure is a somewhat fixed characteristic of the environment in which managers work. The structure may change but the manager needs to keep abreast of how those changes will implicate on them and their work unit. This understanding will allow a manager to continue to find the most effective means of working well within the structure. Since OSH sections often experience ‘re-structuring’ in times of economic challenges, it is particularly important for the safety professional to understand the management implications and foundations of structural changes in the safety unit, and ways of continuing service provision in light of possible structural changes imposed on the unit.

Structure is something managers will create within their own work units. It is the manager’s responsibility to

ensure that the structure they use does the best possible job to allow work to proceed effectively and efficiently. The manager’s role is to create an action framework through which people can achieve optimum performance.

Traditional Structures An important decision when creating organizational structures is how to group people and jobs to form various work units or departments. Then a decision must be made about how to link these departments to create a well-functioning whole. This process is called departmentalization. Traditionally, the most common approaches to departmentalization have been functional, divisional, hybrid, and matrix structures. Each has advantages and disadvantages In functional structures people with similar skills who perform closely related activities are placed together in formal groups. They are expected to work together to perform a critical function for the total organization. Typical functional groups within an organization are marketing, finance, production, and human resources. This structure works well for smaller organizations operating in stable conditions with only one or a few products or services. The major potential advantages are: economies of scale with efficient use of resources, task assignment that is consistent with technical training, high-quality technical problem solving, in-depth training and skill development within functional group, and clear-cut career paths within functions. The major potential disadvantages to functional structures are: poor communication and co-ordination across functions, overspecialization and narrow view of performance objective, too many decisions referred upward in the hierarchy, lack of clear responsibility for product or service delivery, and slow innovation on response to environmental changes. A second organizational alternative is the divisional structure. It groups together people with diverse skills and tasks, but who work on the same product, with similar customers or clients, in the same geographical region, or on the same time schedule. This approach to structuring is useful in complex situations where organizations are pursuing diversified strategies. The diagram below illustrates the different types of divisional structures. The hybrid structure blends the functional and divisional approaches within the same organization. This is a common


approach used by many larger organizations. They reflect attempts to address different operating contingencies, and match subunit structures with the specific challenges of different operating circumstances. This often characterizes organizations seeking the benefits of global operations. The following diagram shows a hybrid structure approach to organizing a Credit Union with several branches in the same city.

A fourth organizational form is called the matrix structure or matrix organization. This approach uses permanent cross-functional teams to blend the technical strengths of functional structures with the integrating potential of divisional structures. This model is very useful for organizations that have several projects operating at any given time. Personnel are still employed in the standard functions and report vertically to functional department heads. But they are also assigned to cross-functional teams responsible for completing specific projects. Thus, members of the project teams have dual allegiances: to their respective functional managers, and to their project managers. This approach grew out of the aerospace industry and has gained a strong foothold elsewhere in the workplace. The flexibility offered by the matrix approach can offer a helpful management strategy for the complexity of cross-national differences, multiple product, program, and project orientations that characterize multinational corporations. Matrix structures are often found in organizations pursuing growth strategies in dynamic and complex environments. The following diagram helps demonstrate a matrix structure.


The matrix structure has many advantages including: more interfunctional co-operation, flexibility, customer service, better accountability, improved decision making, and improved strategic management. Safety managers can often find themselves in various matrix hierarchical structures as they work on different safety/risk management projects as staff experts. However, like all structure types, the matrix also has some potential disadvantages:

Power struggles: the “two-boss” system can result in power struggles between functional managers and program managers.

Anarchy: unless great care is taken to clarify the “two-boss” system, team members may become confused

when unable to identify appropriate task directions. Considerable effort by all managers to actively engage in communication, both vertically and horizontally, is necessary to avoid confusion and errors.

“Groupitis”: team members may become overly focused on themselves and the group process, and lose sight

of important program goals.

Excessive cost: the matrix adds costly overhead in extra salaries for program managers; these costs must be well justified with offsetting high performance benefits.

Trends in Organizational Structuring Today’s managers face increased pressure as organizations compete for productivity and competitive advantage in a dynamic and complex environment. This has led to developmental trends in the way that organizations structure themselves. Closely related to the matrix organization is the team structure. Here, permanent and temporary teams are created to improve lateral relations and solve problems throughout an organization. The typical team structure is superimposed over a functional structure. These teams are used to supplement, not replace, the normal mode of operation. An important feature is the cross-functional teams, composed of members from different functional departments.


Members of these teams work together to solve problems and seek out opportunities. As such, the goal of any team-based structure is to harness the intellectual and problem-solving potential of human resources.

Organizations using network structure consist of a central core that is linked through networks with outside suppliers of essential business services. These networks, in the form of strategic alliances and business contracts, allow the organization to operate without having to own all of its supporting functions. They are accessed as needed through the network. This approach allows organizations to maintain expansive operations and still operate as smaller systems. As information technology continues to develop and as the concept of network structures becomes better understood, the future will very likely see this type of structure growing in its usefulness. In practice, safety professionals are increasingly engaging variations of network structures in their own context in order to achieve program design, implementation, and measurement goals. In fact, networking is often a primary success indicator for modern safety professionals. The diagram below demonstrates how a very small company can use a network structure to market lawn and deck furniture.

In order for an organization to succeed it must depend on two complementary forces – differentiation and integration. Differentiation creates differences through a division of labour. Integration co-ordinates the results of the labour so some common purpose is achieved. For many years the need for integration has been addressed by relying heavily on top-down management authority. The issues of chain of command, span of control, unity of command and centralization


of control were shaped by the classical schools of thought. But, as the emergence of team and network structures suggest, the many pressures in the contemporary environment are bringing about many changes. There are simply too many things happening too fast for the old-fashioned pyramid to keep up with them. This is particularly true as new OSH standards and regulations directly impact how organizations go about their business, and how safety professionals must provide wise insights so their organizations can survive and thrive in face of these rapid changes. Integration in the emerging world of management is engaged as follows:

Shorter chains of command: When organizations grow in size, they tend to grow “taller” as more levels of management are added to chain of command. This increases overhead costs and greatly slows the decision making process. Progressive organizations are keeping the chain of command as short as possible; organizations are becoming flatter as unnecessary levels of management are eliminated.

Wider spans of control: a manager’s span of control indicates the number of people that report directly to

them. Many organizations are shifting to wider spans of control as chains of command are shortened; individual managers are taking responsibility for supervising larger numbers of people. This reduces overhead costs and allows the individual worker to act with more independence; a quality that informed managers increasingly associate with increased performance and satisfaction.

Less unity of command: traditional approaches insist that every person in an organization should report to one

and only one supervisor. Today, organizations are using more cross-functional teams, task forces, and matrix-type structures, and they are becoming more customer conscious; as they do so, employees often find themselves working for more than one boss.

More delegation and empowerment: in progressive organizations, managers indicate to another person what

work they are expected to do. Then the manager assigns to that employee the right to take necessary actions to accomplish that task. Added to this is the requirement to eventually answer back to the manager for performance results. The manager assigns responsibility, authority, and accountability. These are the essential building blocks of empowerment.

Decentralization with centralization: while empowerment and related forces are contributing to more

decentralization in organizations, advances in information technology simultaneously allow for the retention of centralized control. Computerized reporting systems can keep managers informed of the many decisions being made by their personnel.

Reduced staff component: organizations are reducing the number of staff personnel; they are seeking

increased operating efficiency by employing fewer and smaller staff units. Restructuring the staff component of an organization often means minimizing the size of the staff and maximizing the resources of the staff that is left. This frequently means traditional ‘safety’ personnel must now master new competencies to add value to their organization’s investment and enhance job security.

Organizational Culture and Design Organizational Culture Noted scholar and consultant, Edgar Schein, has defined organizational culture as the system of shared beliefs and values that develops within an organization and guides the behaviour of its members. This aspect of the organization is also called corporate culture and can give important meaning and direction to the day-to-day behaviours of its members. Organizational culture is an indicator of organizational success. A strong culture commits and reinforces its members to do things for and with one another that are in the best interest of organizational objectives. Dysfunctional behaviours, such as tedious squabbling among committees, are discouraged. For this reason, in order for strong culture to have the desired effects, functional behaviours must become the standard. Good managers help create and maintain strong cultures in their areas of responsibility within the organization. There are two levels of culture within an organization: the observable culture and the core culture. Observable culture is what one sees and hears when walking around an organization – as a visitor, a customer or an employee. It is observed in the way people dress at work, how they arrange their offices, how they behave toward one another, and


how they talk about and treat their customers. The diagram below illustrates the kinds of observable things that make up organizational culture.

Like the organization as a whole, the work unit will have a culture. Good managers – at any level in organizations – work hard to set core values as the foundation of a strong a positive culture. Directions in Organizational Culture Today’s managers must make informed choices to best utilize the concept of organizational culture. The following list highlights some of the factors that managers must keep in mind when shaping a corporate culture:

Culture and Worker Empowerment: the best cultures are ones that value the talents, ideas, and creative potential of all members allowing the human resources of an organization to be utilized to their fullest potential, and that allow the people involved in them to feel good about those contributions.

Culture and Workforce Diversity: the cultural diversity of the modern workplace is raising many questions

about differences based on such factors as ethnicity, race, gender, and age. The cultural underpinnings of diverse groups must be understood if diversity is to be valued and well managed. This points out the presence of subcultures within an organization:

o Occupational Subcultures: different occupational groups possess differing values and approaches to

work and management. For instance, the people who manage them must understand “salaried professionals” – such as lawyers, engineers, accountants, and the like . This group has needs for work autonomy that may conflict with traditional, top-down management methods. If these needs are not recognized and responded to positively, the occupational culture may make it difficult to integrate professionals into the organizational culture.

o Ethnic and Racial Subcultures: values may vary across ethnic and racial boundaries. This is a critical aspect of organizational culture for multi-national corporations and for organizations that exist in a highly multi-cultural environment. It is vital that managers understand the values of any persons in their workforce who are of a different ethnic background. This is done through direct contact with, personal commitment to, and genuine openness in dealing with such people.

o Generational Subcultures: the general population in many Western countries is aging. Those who grew up during different periods of history, and whose values have developed under very different influences, have different needs. For instance, those who were teens during the ‘60’s tend to need a high-level in participatory decision-making and struggle with a traditional top-down management style. However, this is the very style that persons who grew up during the 40’s and 50’s are often most comfortable with. The question now being asked is: “What will the kids of the 21st century expect from the workplace?”


o Gender Subcultures: research shows that when men work together, a male work culture forms. It typically has a competitive atmosphere that tends towards winning and losing stories. Similarly, when women work together, a distinctly female culture develops. It typically involves more personal relationships with an emphasis on collaboration. What happens when gender based subcultures mix in the organization? What happens when a man leads a committee made up of mostly female members? When a woman leads a committee of mostly male members? Good answers to these questions are still needed as progressive managers address gender issues in the workplace.

Ethics and Organizational Culture: the guiding corporate culture must communicate a desired ethical

climate. This is a shared set of understandings about what is considered ethically correct behaviour in the organization. This can greatly simplify the challenges that inevitably come during times of ethical dilemma and decision-making.

Safety Culture: the shared values and beliefs in an organization that define how the tension between apparently competing goals – such as productivity, research, marketing, and workplace safety – are managed. An organization’s safety culture may vary widely between organizations in similar industries. It also varies widely between differing industries. For instance, few resource, manufacturing or health-care organizations have safety cultures similar to nuclear power plants or aviation companies.

Essentials of Organizational Design The ultimate purpose in organizational design is to put into place structures that facilitate the accomplishment of key objectives. This includes making sure that: i) people have access to information needed for decision-making and problem solving and ii) the many activities of diverse organizational components serve a common purpose. There are four primary design alternatives. These can be plotted on a continuum that measures the relative tendencies of each in the following five categories:

Bureaucratic Organizations: the bureaucratic features of organizations include: a clear-cut division of labour, a

strict hierarchy of authority, staffing by technical competency, formal rules and procedures, and an impersonal approach to decision making. Many bureaucracies are flawed. It is widely believed that bureaucracy is most effective in stable environments. That helps explain why bureaucracy is an ineffective structure in today’s dynamic and rapidly changing workplace.

Mechanistic Design Alternatives: Henry Mintzberg identifies three common forms of mechanistic organization:

o Machine Bureaucracy: a clear hierarchy of authority with a large middle-management group. Tasks are

highly specialized and standardized. The departmentalization is usually functional and authority for major decisions tends to be concentrated at the top management levels. This approach is common among mass-production organizations like McDonald’s.


o Professional Bureaucracy: here, organizations are staffed by a large number of highly trained

professionals, such as hospitals and universities. The professional’s work with a high level of autonomy and the structure becomes decentralized as they make decisions within their areas of expertise. A large support staff assists the professionals while middle management tends to be relatively small. This works well in stable but complex environments.

o Divisionalized Bureaucracy: a hybrid form of departmentalization with a number of relatively

autonomous internal units operating within a common organizational umbrella. Divisions are formed according to product, client, or geographical differences and are co-ordinated by top management assisted by a large staff component. They work best in diversified markets and with stable environments at the division level.

Adaptive Organizations: Rosabeth Moss Kanter notes that the ability to respond quickly to shifting challenges

in today’s rapidly changing environment is crucial to organizational success. In many settings the limits of any form of bureaucracy are increasingly evident. Adaptive organizations operate with a minimum of bureaucratic features and develop cultures that value worker empowerment and participation. These organizations are often based on the team structures and network structures approaches that were discussed above.

Organic Design Alternatives: these operate with more decentralized authority, fewer rules and procedures,

less precise divisions of labour, wider spans of control, and more personal means of co-ordination. Mintzberg distinguishes between two forms of organic design alternatives: the simple structure and the adhocracy. These are diagrammed below.

The simple structure has little or no staff, a single top manager who works directly with other personnel doing a variety of operating tasks.


The adhocracy has little line-staff distinction and relationships develop based on knowledge and expertise rather than authority. Highly skilled personnel must often work together on projects and in cross-functional groups. It is best suited for organizations that depend on continued innovation for success in dynamic and complex environments. Contingency Factors Effective organizational design is done on a contingency basis. It should result in supportive structures that satisfy situational demands and allow all resources to be used to best advantage. These principles apply equally to the design of the corporate safety team structure. The following five items are keys contingency factors to consider in organizational design:

Does the design fit well with the major problems and opportunities of the external environment? Environmental uncertainty is the rate and predictability of change associated with important environmental elements. The general environment consists of the sociocultural, economic, technological, legal-political, and other background conditions that substantially influence the operations of an organization. The specific environment consists of the actual organizations, groups and persons with whom an organization must interact in order to survive and prosper.

Does the design support implementation of strategies and accomplishment of key operating objectives?

Structures must support strategy if desired results are to be achieved. Stability strategies will be more successful when supported by mechanistic design alternatives; growth strategies will be more successful when supported by organic design alternatives.

Does the design accommodate core technologies and allow them to be used to best advantage?

Technology is the combination of knowledge, equipment, and work methods used to transform resource inputs into organizational outputs. There are three categories of manufacturing technologies: small batch (custom production in small quantities to customer specifications), mass production (standardized production in large


quantities by assembly line), and continuous process (continuous production through an automated system). Service sector technology includes: intensive technology (focuses the efforts of many people with special skills on the needs of patients or clients), mediating technology (used by banks, real estate firms, insurance companies, etc. to link together parties seeking a mutually beneficial exchange), and long-linked technology (functions like mass production where client is passed from point to point for various aspects of service delivery). Organic design alternatives are best suited to organizations using small-batch and intensive technologies. Mechanistic design alternatives are best suited to organizations using long-linked or mass production technologies.

Can the design handle changes in organizational size and different stages in the organizational life

cycle? Most organizations move through a predictable life cycle. While the actual pattern may vary from one organization to the next, most encounter these four stages:

o Birth Stage: organization is founded and remains small with a simple structure.

o Youth Stage: marked by rapid growth and management responsibilities are spread among more

people. Simple structure begins to exhibit signs of stress and need for change.

o Mid-life Stage: structure usually grows more complex as organization continues to grow. The founder may have difficulty remaining in control as the number of staff and personnel increase greatly and more levels appear in the chain of command.

o Maturity Stage: organizational size stabilizes and mechanistic structures appear. At a time when

adaptiveness is needed to remain competitive, bureaucratic tendencies may lead the organization into decline. Effective ways of managing the maturity stage of the organization’s life are essential to ongoing vitality.

Does the design empower workers and allow their talents to be used to best advantage? A good

organizational design provides people with the supporting structures they need to achieve both high performance and satisfaction in their work. Mechanistic designs will appeal to people who prefer task direction and more routine work. Organic designs will appeal to people who prefer autonomy and variety in their work.

New Options for Organizational Design Jay Galbraith and Edward Lawler, leading organizational theorists, contend that there is a new logic for organizing companies at work today. The new structures are considerably more flexible and they all involve the breaking down of barriers is some fashion, either internally or externally. Here are four examples of new structural options:

The Team Structure: when teams are used as the main or central co-ordinating device, that organization is using a team structure. This approach breaks down departmental barriers and decentralizes decision-making to the level of the work team. This approach requires employees to be generalists as well as specialists. An example of this is Toyota Canada's parts distribution centre in Toronto.

The Modular Organization: similar to the Network Structure, this approach sees a small core organization outsourcing its major business functions. Many companies are organized this way, like Nike, Dell Canada, Reebok, etc. Why do it all when, sometimes, someone else can do some of it better and cheaper?

The Virtual Organization: this is a continually evolving network of independent companies – suppliers,

customers, even competitors – linked together to share skills, costs, and market access. Amazon is an example of this approach to structure.

The Boundaryless Organization: this structure seeks to eliminate the chain of command, have limitless spans

of control, and replace departments with empowered teams. This structure tends to depend heavily on information technology for its communications. Companies moving towards this structure are General Electric, Hewlett-Packard, AT&T and Motorola.


Job Designs Work and Quality of Work Life Work is an activity that produces value for other people. As such it involves a positive give-and-take, or exchange of values, between the individual and the organization. This positive exchange is expressed in the concept of a psychological contract – a person’s expectations about what will be given to and received from an organization as part of the employment relationship. The ideal work situation is where this exchange of values is considered fair – that is where a healthy psychological contract exists. A person offers contributions of effort, time, creativity, and loyalty to the organization. The organization gives the individual inducements such as pay, training, a safe work environment, and opportunities for growth and personal advancement. Most people spend many hours a week, and many years of a lifetime, at work. What happens to them at work, how they are treated at work, and what their work is like, can all have an influence on their lives overall. Quality of work life is an important component to the overall quality of life for us all. Modern managers must be aware of the opportunities they offer for improving the psychological contracts that bond together people and organizations. The chart below highlights some of the trends that are helping advance the quality of life in the modern workplace. Increasingly, quality of working life is being integrated into the job descriptions of safety managers, as organizations explore ways to add value to their staff management investment. This integration of QWL with OSH is not necessarily a negative trend, but does require safety professionals to have an awareness of the principles of QWL and organizational wellness in order to add this value to their corporate contributions.

Job Satisfaction and Performance A job is a collection of tasks performed in support of organizational objectives. Some form of job description or employment outcomes statement backs most jobs. The employment outcomes statement identifies key ends or objectives to be achieved, but allows the jobholder greater discretion in how to accomplish them. Traditional safety management systems tend to rely on job/task perspectives that are not necessarily relevant today. Understanding how


people view jobs and define personal satisfaction with those jobs can be an invaluable tool when designing various safety program elements, to ensure optimal buy-in, and to increase the sustainability of a new program element. Job satisfaction is the degree to which an individual feels positively or negatively about various aspects of the job. It represents the personal meaning or perceived quality of one’s job and associated work experiences. Some important aspects of a job that can affect satisfaction include:

Satisfaction with pay. Satisfaction with assigned tasks. Satisfaction with the quality of supervision. Satisfaction with co-workers. Satisfaction with the work setting. Satisfaction with promotion and advancement opportunities.

Job performance is the quantity and quality of task accomplishments by an individual or a group at work. Performance is the “bottom line” for people at work and is the cornerstone of productivity. All managers should consider both job performance and job satisfaction as key results to be achieved by people at work. The manager must develop skills that allow them to understand what work means to their employee; and then create a work environment that helps them achieve high levels of both performance and satisfaction. Frederick Herzberg developed a two-factor theory as an important frame of reference for managers who want to better understand job satisfaction and related job performance issues. Herzberg identified hygiene factors and satisfier factors that directly affect performance in the work place.

Hygiene Factors: job dissatisfiers are more likely to be a part of the work setting than the nature of the work itself. They include such things as: working conditions, interpersonal relationships, organizational policies and administration, technical quality of supervision, and base wage or salary. Altering these conditions may help reduce job dissatisfaction but may not enhance job satisfaction. Herzberg claims that is controlled by an entirely different set of factors.

Satisfier Factors: to really improve job satisfaction, Herzberg advises that the manager’s attention must be shifted away from concerns for hygiene factors and toward the satisfier factors. These are part of the job content; they deal with what people actually do in their work. By making improvements in what people are asked to do in their jobs, job satisfaction and performance can be raised. The important satisfier factors include: a sense of achievement, feelings of recognition, a sense of responsibility, opportunity for advancement, and feelings of personal growth.

Many managers allocate considerable time, attention, and other resources to improving things that Herzberg would consider hygiene factors. Special office furniture, attractive lounges for breaks, and even high base salaries are examples. Herzberg cautions managers from expecting too much from these efforts. Rather, his theory is a reminder that true job satisfaction begins with the nature of the job itself. This thinking is a foundation of many current directions in the new workplace. Job Design Approaches Job design is the process of creating jobs by allocating specific work tasks to individuals and groups. Good job design involves the specification of task attributes (job content) and creation of a supportive work setting (job context).


The following diagram illustrates some important distinctions in alternative job design strategies:

Job Simplification: involves standardizing work procedures and employing people in well-defined and highly

specialized tasks. The logic of this approach is straightforward. Because the jobs don’t require complex skills, workers should be easier and quicker to train, less difficult to supervise, and easy to replace if they leave. With narrowly defined tasks, workers should be good at doing the same tasks over and over again. If working at repetitive tasks is not how people want to spend their time then productivity can suffer as unhappy workers drive up the costs through absenteeism, turnover, boredom, and alienation – all of which increase risks of error and thus potential for loss.

Job Rotation and Enlargement: job rotation allows for greater variety in tasks by periodically shifting workers among jobs involving different task assignments. This is also a good way for managers to be well informed about job pressures and needs of peers and employees alike. Job enlargement increases task variety by combining into one job, two or more tasks that were previously assigned to separate workers. However, it also places extra pressure on ensuring workers are adequately trained to address the risks inherent in their new roles.

Job Enrichment: Frederick Herzberg questions these design approaches. “Why,” he asks, “should a worker be

motivated when one or more ‘meaningless’ tasks are added to previously existing ones, or when work assignments are rotated among equally ‘meaningless’ tasks?” Rather, he says, “If you want people to do a good job, give them a good job to do.” Building satisfier factors into job content is the means through which this is done. Job enrichment seeks to address job depth, not just job scope. There is a lot of opportunity for improving general safety performance simply by reviewing how various “programs” and tasks are viewed by those who must administer them.

Directions in Job Enrichment Job enrichment is an important strategy of job design in the new workplace. Modern management theory goes beyond Herzberg’s suggestions and adopts a contingency perspective that recognizes that job enrichment may not be good for everyone. Richard Hackman and his associates have developed a model of job design called the job characteristics model. It offers a way for managers to create jobs – enriched or otherwise – that best fit the needs of the people and the organization. The model offers a diagnostic approach to job enrichment. Five core job characteristics are identified as task attributes of special importance. A job that is high in the core characteristics is considered enriched; the lower a job scores on the core characteristics, the less enriched it is considered to be. In addition, the diagnostic model understands job satisfaction and performance as influenced by three critical psychological states of the individual. These three states are in turn affected by the presence or absence of the five core job characteristics. Being a contingency model, however, it recognizes that the core characteristics will not affect all people in the same way. The key contingency variable is growth-need strength, the degree to which an individual desires to achieve a


sense of psychological growth in his or her work. Simply put, not all employees want jobs that entail more responsibility at work. The job characteristics model is illustrated below:

Alternative Work Schedules Not only is job content changing in today’s workplace, so is job context. It is significant to note the emergence of a number of alternative ways for people to schedule their work time. As managers deal with today’s highly diverse workforce, whose members have varying needs and interests, it is popular to talk about a new and more flexible workplace. Some effective and popular alternatives are listed below:

Compressed Workweek: is any schedule that allows a full-time job to be completed in less than the standard five days of eight-hour shifts. Its most common form is working 40 hours in only four days. This can raise important questions about risks, particularly in jobs that require high levels of vigilance, or the ability to respond quickly to emergencies, such as nursing, police work, aircraft pilots, truckers, and so on.

Flexible Working Hours: this describes any work schedule that gives the employees some choice in the

pattern of daily work hours. This gives the employee greater autonomy in managing their schedules while still completing their tasks.

Job Sharing: this is a work schedule where one full-time job is split between two or more persons. This often

involves each person working one-half day. This is not to be confused with work sharing, a strategy used by organizations during an unexpected downturn in business, where employees agree to cut back on their work hours so all of them can keep their jobs.

Work-At-Home: telecommuting describes work being done at home using personal computers and information

technology with links to other places of work. Those who work at home state the advantages as: increased productivity, fewer distractions, being your own boss, and having more time for yourself. The disadvantages were stated as being: working too much, more difficulty in separating work and family life, and having less time for family. There are also emerging questions about employer liability for home-based workstations and other risks.

Part-time Work: this is a striking trend in today’s workplace. Any schedule that is less than the standard

workweek means the worker is not classified as a full-time employee. More employers are relying on part-time and temporary personnel to supplement a permanent workforce. Because contingency workers can be easily


hired or terminated to suit the employer’s needs, many employers like the flexibility they offer. The most controversial issue relates to the different treatment part-timers may receive from employers. They may be paid less than full-timers and often are not included in important benefit packages. This is especially disturbing when one realizes that most part-time workers are women and single parents.

Unit Four Self-Study Questions 1. The notions of 'formal' and 'informal' organizational structures are discussed. List examples of how the informal structure in your company impacts output and OHS programs. Who are the key influencers - outside the formal structure - that negatively impact your work? Positively impact it? How can you engage these influencers outside the “official” structure? 2. 'Structures' are the established forms into which programs and tasks function. How would you describe the structure of your current working unit? If you were CEO for the day, what changes would you recommend to the board for your current operating structure? Why? Carefully think through disadvantages of your recommendations, and consider the impact of the recommendations on other related functions. 3. Organizational structures are changing rapidly. The section on trends contains information that may already be very familiar to you. Which of these trends has been evident in your company - and your program unit - in the past five years? Evaluate their relative success. What new problems did these changes bring? What opportunities/ advantages? Carefully review the section on 'reduced staff component'. This section contains explicit warnings about general changes in staff roles, for OHS program managers to heed. What specific challenges do you see in your own role as a result of these trends? What steps should be taken personally and as a program - to successfully meet these challenges? 4. "If employees know what their company stands for, if they know what standards they are to uphold, then they are much more likely to make decisions that will support those standards. They are also more likely to feel as if they are an important part of the organization. They are motivated because life in the company has meaning for them. " This statement smacks of 'warm and fuzzy' sentiment, which many argue has no place in the business environment. To what extent do you support/rebut this view? Why? 5. Review the diagram re: organizational culture and impose this model on your own working environment. What stories, rituals and rites, heroes and symbols can you identify in your own culture? How do each of these impact your own performance? If possible, list the core values of your company. Your OHS unit? Have you made a list of personal core values? How could a list of personal core values impact your personal OHS practice? Take some time to carefully think through what you believe and why. 6. Various subcultures are presented, each of which can impact the effectiveness of an organization in different ways. Which are present in your organization? What is the visible impact of each on productivity? On mobility? On your OHS initiatives? What strategies do you need to employ to effectively reach each subculture? How would you describe your own personal subculture in your organizational context? 7. Based on the 'organizational design' information provided, identify which type most accurately describes your company. What are the strengths and limitations of this structure? How does the company structure impact OHS programming? In your opinion, what changes does your company have to make to achieve/maintain a competitive advantage in the emerging marketplace? Why? What impact would those changes have on the delivery of your OHS programs? Is your company structured according to some the “new structures” described in this unit? If so, what are some of the new challenges to OHS management that go along with new structures? What is the key to effective OHS management in the new structures? The new structures are based on the breaking down of boundaries, either internally or externally, or both. Is this a good thing for your OHS practice? Why? Why not? 8. Contingency factors and subsystems also have a powerful impact on effective organizational design. The guide presents many of the key factors that shape structure. From the information provided, identify those factors that shape your company's design, and identify those emerging factors that will impact it in the next five years. What impact could these factors have on your OHS programs? How do Herzberg’s Hygiene Factors compare with any safety program design criteria you use in your own practice? What steps are needed to ensure your program remains relevant to the probable emerging corporate structure? Feel free to contact your manager for information you may lack to complete this assignment.


9. Some safety professionals argue that their primary role in the organization is to be the 'corporate conscience'. Is this a valid role in the emerging economy? Is this role filled in your company? If so, by whom? If not, who would be a logical 'champion of conscience' in your setting? What might be an appropriate scope for such a role? An appropriate reporting relationship? 10. 'Work and the psychological contract' describes the phenomenon of mutual expectations between a 'worker' and an 'employer'. Based on this model, list the expected contributions and inducements that your own job entails. Go beyond the basic job description and compensation package, if possible. List the same categories for a front-line employee in your company. What are the key differences, if any? How might these differences impact the employee's response to OHS requirements? 11. The relationship between work and quality of life has been increasingly explored in the past decade. Examine the diagram outlining differences in the old and new ways and identify where your company is on each continuum. Where is your own OHS program on each continuum? What changes in the work/quality of life relationship would improve your OHS effectiveness? 12. The inherent design of work has a profound impact on individuals and corporate effectiveness, yet it often receives little attention, particularly in highly technical operations. The guide provides insight into the process. Based on this information, evaluate your own OHS role, and suggest ways to improve your contribution to the organization's goals. Identify your major client group, and suggest methods of improving their work design, with a view to enhancing productivity and reducing losses. 13. In your company, do managers operate with ‘job descriptions’ or ‘job outcomes’? What are the strengths and limitations of each? Which would contribute most to an organization in the midst of rapid and dynamic change? Why?


Unit 5: Leadership Leadership Fundamentals Leadership Defined As the third management function, leading builds the commitments and enthusiasm needed for people to apply their talents fully to help accomplish plans. Workplace health and safety programs are a highly visible demonstration of corporate values, which – when designed and administered effectively – can contribute a great deal to senior management’s credibility and ability to inspire, direct and evoke commitment. The safety professional’s role in program leadership cannot be understated, regardless of job title or placement within functional organization.

Leadership and management, however, are not the same thing. Managers must perform well in all four management functions, but all too often, leading turns out to be a weak point. John P. Kotter, a leadership consultant, suggests too many organizations today are over managed and underled. He further points out that this is unacceptable in a society characterized by rapid technological change, intense global competition, and workforce diversity. Abraham Zaleznick, a consultant and Harvard colleague of Kotter, often speaks of the differences between “leaders” and “managers”. The following is a description of a speech that Zaleznick gave to a group of business executives:

Managers Leaders

Engage in day-to-day caretaker activites, maintain and allocate resources

Formulate long-term objectives for reforming the system, plan strategy and tactics

Exhibit supervisory behaviour, act to make others maintain standard job behaviour

Exhibit leading behviour, act to bring about change in others congruent with long-term objectives

Administer subsystems within the organization Innovate for the entire organization

Ask how and when to engage in standard practice Ask what and why to change the standard practice

Act within established culture of the organization Create vision and meaning for the organization

Use transactional influence, induces compliance in behaviour using rewards, sanctions and formal authority

Use transformational influence, induces change in values, attitudes, and behaviour using personal examples and expertise

Relies on contol strategies to get things done by subordinates

Use empowering strategies to make followers internalize values

Status quo supporter and stabilizer Status quo challenger and change creator

Source: Organizational Behaviour: Concepts, Controversies, Applications. 5th Canadian Edition. Langton, Robbins, Judge, 2010.


Leaders, he told the audience, can be dramatic and unpredictable in style. They “are often obsessed by their ideas, which appear visionary and consequently excite, stimulate and drive other people to work hard and create reality out of fantasy.” They often create an atmosphere of change. Managers, he told them, are usually hard-working, analytical, and fair. They often have a strong sense of belonging to the organization and take pride in maintaining and improving the status quo. They tend to focus on “process,” while leaders tend to focus on “substance.” Called the “best book ever written on the subject of business leadership,” Leadership Is An Art by Max DePree is a clear look at what leadership can and must become. As CEO of the Herman Miller Company (a company that in 1988 was picked as one of America’s ten most admired companies by a Fortune poll), DePree has been elected by Fortune magazine to the National Business Hall of Fame. He defines leadership as an art that liberates “people to do what is required of them in the most effective and humane way possible… Leadership is an art, something to be learned over time, not simply by reading books. Leadership is more tribal than scientific, more a weaving of relationships than an amassing of information…” Traits and Behaviour DePree describes leadership rather than define it with statements like: leadership is the ability to “abandon oneself to the strengths of others,” to “encourage contrary opinions,” and to be “one who serves” the needs of others in the organization. When these traits are added to the ones below it begins to become apparent why there is such a vast difference between a good manager and a great leader.

Drive: being willing to take initiative, and possessing high energy and desire for achievement.

Motivation: having a strong desire to lead and to influence others in support of an organization’s vision.

Integrity: being truthful in all dealings with others, and being consistent in words and deeds.

Self-confidence: being decisive and assertive, and projecting confidence in dealings with others.

Intelligence: being able to gather, integrate, and process diverse and complex information.

Knowledge: having a good understanding of the organization, its industry, and technical task requirements. More and more frequently vision is identified as an essential ingredient of effective leadership. This term generally refers to the ability to have a clear sense of the future and the actions needed to get there successfully. John Teets, chairman of Greyhound Corporation, puts vision in perspective, “The executive’s job is to see what the company can be – beyond what it is today.” Another ingredient is power. Power is the ability to get someone else to do something that needs to be done to reach the goal. Leaders exercise power in many different ways; not all are legitimate. Increasingly, leaders are learning about the power of empowerment or as Max DePree says, “abandoning oneself to the strengths of others.” Giving other people the responsibility, authority and accountability to act for the good of the organization is a very powerful means of directing the activities of others. This is one example of what Joint Health & Safety Committee regulations attempt to achieve in most Canadian jurisdictions. Many leadership theorists today no longer search for the one list of traits or single best leadership style. They focus instead on the broader question: “When, and under what circumstances, is a particular leadership style preferable to others?” This is the essence of contingency leadership – an attempt to understand the conditions for leadership success in widely varying situations. The key leadership behaviour is based on how decisions get made. The possible leadership styles range on a continuum with boss-centred leadership at one end and employee-centred leadership at the other, depending on which decision method is used. According to this model, a good manager-leader moves back and forth on this continuum as circumstances dictate. Safety professionals need to be aware of their dominant leadership style, develop their leadership “weak spots”, and be ready to shift styles, as much as is possible, when the situation demands. The Hersey – Blanchard situational leadership theory is one example of the contingency leadership approach. It suggests that leaders adjust their styles depending on the readiness of the followers to perform in a given situation. “Readiness” in this sense is based on how able, willing, and confident followers are in performing required tasks


(described below). The possible leadership styles resulting from different combinations of task-oriented and relationship-oriented behaviours are:

Delegating: allowing the group to make and take responsibility for task decisions; a low-task, low-relationship style.

Participating: emphasizing shared ideas and participative decisions on task directions; a low-risk, high-relationship style.

Selling: explaining task directions in a supportive and persuasive way; a high-task, high-relationship style.

Telling: giving specific task directions and closely supervising work; a high-task, low-relationship style.

The diagram plots leadership behaviour according to the situational differences of follower readiness (according to the Hersey – Blanchard model).

The path-goal theory advanced by Robert House is a second contingency leadership approach. This theory says an effective leader is one who clarifies paths through which followers can achieve both task-related and personal goals. A good leader helps people progress along these paths, removes any barriers, and provides appropriate rewards for task accomplishment. House identifies four leadership styles that may be used in this path-goal sense:

Directive leadership: letting employees know what is expected; giving directions on what to do and how; scheduling work to be done; maintaining definite standards of performance; clarifying the leader’s role in the group.


Supportive leadership: doing things to make work more pleasant; treating group members as equals; being friendly and approachable; showing concern for the well-being of employees.

Achievement-oriented leadership: setting challenging goals; expecting the highest levels of performance;

emphasizing continuous improvement in performance; displaying confidence in meeting high standards.

Participative leadership: involving employees in decision making; consulting with employees; asking for suggestions from employees; using these suggestions when making a decision.

This approach advises managers to use leadership styles that complement the needs of situations. The important contingencies for making good path-goal leadership choices are the work environment – tasks, rewards, and structure – and the employee’s personal characteristics – skills, abilities, and needs. The approach is diagrammed below:

Inspirational leadership that influences the beliefs, values, and goals of followers, and gets them to achieve extraordinary performance is called transformational leadership. These leaders create “transformations” that shift people and organizational systems into new and high performance patterns. Transformational leadership is associated with special personal qualities and leader behaviours. Among these attributes are:

Vision: having ideas and a clear sense of direction, being able to communicate visions to others, and developing in them a sense of great excitement about working hard to accomplish shared dreams.

Charisma: arousing others’ enthusiasm, faith, loyalty, pride, and trust in themselves through the power of

personal reference and appeals to emotion.

Symbolism: identifying heroes, offering special rewards, and holding spontaneous and planned ceremonies to celebrate excellence and high achievement.

Empowerment: maintaining a developmental orientation toward others, removing performance obstacles,

sharing responsibilities, and delegating truly challenging work.

Intellectual stimulation: enhancing the mental involvement of others by creating awareness of problems and stirring their imagination to create high quality solutions.

Integrity: being honest and credible, acting consistently out of a sense of personal conviction, and above all,

meeting commitments by following through – doing what you said you would do. Done well, transformational leadership results in having employees who are highly dedicated, more satisfied with their work, and more willing to put forth extra efforts to achieve success in challenging times.


Leading Through Motivation Motivation and Performance Max DePree wrote: “The measure of leadership is not the quality of the head, but the tone of the body. The signs of outstanding leadership appear primarily among the followers. Are the followers reaching their potential? Are they learning? Serving? Do they achieve the required results? Do they change with grace? Manage conflict?” In short, are the workers motivated? Understanding motivation is central to the goal of encouraging other people to work effectively at their jobs. This term is used in management theory to describe forces within the individual that account for the level, direction, and persistence of effort expended at work. A manager who leads through motivation does so by creating conditions under which employees feel inspired to work hard. The performance equation:

Performance = Ability X Support X Effort means that a good manager will ensure that jobs are staffed with capable people, that those people will be adequately supported, and that those people will receive motivation to exert effort in order to meet high performance objectives. There likely isn’t a single task in the safety program design that doesn’t require genuine motivation in order to be achieved. The implications of leadership ability on an organization’s safety and risk management systems are obvious. A motivational work setting is rich in rewards for people whose performance accomplishments help meet organizational objectives. A reward is defined as a work outcome of positive value to the individual. There are two basic types of rewards available to people at work – extrinsic and intrinsic rewards. Extrinsic rewards are externally administered. These are valued outcomes given to someone by another person – typically, a supervisor or higher-level manager. Common examples of extrinsic rewards are incentive pay, promotion, time off, special assignments, office fixtures, benefits, awards, verbal praise, and the like. Intrinsic rewards or natural awards are self-administered. They are, in a sense, built right into the job itself and occur naturally as a person does their work. This type of reward does not depend on the action of another person. For rewards to be used successfully, managers must: i) understand clearly what people want from work, and ii) create and distribute rewards to satisfy these needs at the same time that the organization’s interests are well served. A number of motivation theories offer insights into both these objectives. These theories fall into three main categories:

Content theories: try to help managers understand human needs and how people with different needs may respond to different work situations.

Process theories: try to help managers understand how people give meaning to rewards and work

opportunities available to achieve them.

Reinforcement theory: tries to help managers understand how people’s behaviour is influenced by its environmental consequences.

Contemporary approaches view motivation as the outcome of a complex process of social learning. This is the learning achieved by people as they behave and interact with others in their social environment. This suggests that people learn to work hard – or not to work hard – by thinking about and responding to what happens to them in the workplace. Key concerns are individual needs, available rewards and reinforcements, actual job experiences, satisfaction achieved, and what others are doing. The social learning framework advises managers to also recognize the motivational significance of three special processes:

Symbolic processes: the use of language, verbal and non-verbal, and other forms of imagery to guide and support individual work behaviours.

Vicarious learning processes: the use of observational learning wherein modeling exposes people to

desirable directions in individual work behaviours.

Self-control processes: the use of self-mediated performance objectives and rewards to reinforce individual work behaviours.


All three social learning components are consistent with directions now being set in the Canadian workplace of the 21st century. To some extent, these can be identified as components in much of what is called “behavioural safety” initiatives. The integration of this model is illustrated below:

Content Theories of Motivation Physiological or psychological deficiencies that an individual feels some compulsion to eliminate are called needs. The following theories discuss different sets of needs, but all agree that needs cause tensions that influence attitudes and behaviour. Good managers establish conditions in which people can satisfy important needs through their work and work settings. They also take action to eliminate things that block or interfere with the satisfaction of important needs. In review, Abraham Maslow drafted a hierarchy of human needs. Lower-order needs include physiological, safety, and social concerns; higher-order needs include esteem and self-actualization concerns. It is important to remember two principles central to Maslow’s theory about how these needs affect human behaviour. First, the deficit principle holds that a satisfied need is not a motivator of behaviour. People tend to act in ways that satisfy deprived needs. Second, the progression principle holds that a need at one level does not become activated until the lower-level need is already largely satisfied. People tend to advance step-by-step up the hierarchy in their search for need satisfactions. Clayton Alderfer’s ERG theory builds on Maslow’s work. He collapses Maslow’s five needs categories into three:

Existence Needs: desires for physiological and material well being.

Relatedness Needs: desires for satisfying interpersonal relationships.

Growth Needs: desires for continued psychological growth and development. Alderfer also differs from Maslow in other important ways. He does not assume that lower-level needs must be satisfied before higher-level needs become activated (Maslow’s progression principle). Nor does Alderfer assume that once-satisfied needs lose their motivational impact (Maslow’s deficit principle). However, Alderfer has developed a unique frustration-regression principle. This means that an already satisfied lower-level need can become reactivated and influence behaviour when a higher-level need cannot be satisfied. When considering design criteria for a new safety management system or program, this principle can be helpful in optimizing the effectiveness and sustainability of the new program. There has not yet been a perfect list of individual needs identified. However, the research has shown that individual needs do exist and directly impact on work performance, and that these needs do not exist in a rigid hierarchy but in a flexible hierarchy such as the one in Alderfer’s ERG theory. Effective managers will take responsibility for creating work environments that meet the needs of their employees. This is particularly true when designing and managing job requirements and programs for harm/loss management systems.


Process Theories of Motivation Another set of motivational theories deals with the thought processes that underlie individual responses to work situations. There are three dominant process theories. Equity theory is known best through the work of J. Stacy Adams. The essence of the theory is that perceived inequity is a motivating state – that is, when people believe they have been inequitably treated in comparison to others, they will try to eliminate the discomfort and restore a sense of equity to the situation. Such a comparison typically occurs whenever managers allocate extrinsic rewards like monetary incentives or pay increases. Inequities occur whenever people feel the rewards received for their work are unfair given the rewards others persons appear to be getting. The comparison to others may be coworkers in the group, workers elsewhere in the organization, and even persons employed by other organizations. This theory predicts that people will respond in one or more of the following ways to perceived inequity:

Change their work inputs. Try to change rewards received. Use different comparison points. Rationalize the inequity. Leave the situation.

Further, Adams identifies how positive inequity will impact work performance differently from negative inequity. In other words, people who feel overpaid in comparison to others will tend to balance their situation by increasing the quality and/ or quantity of their work. Likewise, those who feel underpaid in comparison to others will tend to balance their situation by reducing their work efforts. The implications of this for managers is clear. Not only are managers to use rewards to satisfy employee needs, they must do so with respect to how those rewards are actually perceived by the employees. Unless this is well managed, rewards can become the source of equity problems in the workplace. Safety professionals who rely on various “incentive” programs must pay special attention to how these incentives are actually perceived by the target cohort. Often, what is intended as a positive reward can be seen as a negative. The opposite is also sometimes true. What is intended as a negative reinforcement (punishment) for an undesired behaviour may in fact be seen as a positive by the target group. Careful consultation with the target cohort in designing these rewards is imperative to avoid these damaging errors. Victor Vroom has introduced the expectancy theory. This theory is based on the logic: “People will do what they can do when they want to.” Vroom suggests that a manager must understand the relationships among the three expectancy factors illustrated below.

The theory posits that motivation, expectancy, instrumentality, and valence are related to one another in a multiplicative fashion:

M = E x I x V This means that mathematically speaking, a zero at any variable on the left side of the equation will result in a total motivation level of zero. Therefore, in motivating others, managers are advised to act in ways that maximize all three components of the motivation equation. Not one can be left unaddressed.


Goal-setting theory is based on clear and desirable performance targets called task goals. Developed by Edwin Locke, this theory’s basic premise is that task goals can be highly motivating – if they are properly set and if they are well-managed. By giving direction to people in their work, clarifying performance expectations, and establishing a frame of reference for task feedback, Locke believes goal setting can enhance individual work performance and job satisfaction. This principle is increasingly evident as new collaborative safety management systems appear. Participation is an important component of the goal-setting theory. The degree to which the person expected to do the work is involved in setting the performance goals determines the level of participation. However, while always desirable, participation may not be a prerequisite of all employees all of the time. Research indicates that people will accept and commit to imposed goals if the people assigning the goals are trusted, and if the recipients believe they will be adequately supported in attempts to achieve them. Reinforcement Theory of Motivation This approach to understanding motivation focuses on the external environment and the consequences it holds for the individual. Reinforcement theory views present behaviour as determined by environmental responses to past behaviour. The basis for this argument is Thorndike’s law of effect: behaviour that results in a pleasant outcome is likely to be repeated; behaviour that results in an unpleasant outcome is not likely to be repeated. The law of effect underlies operant conditioning, a term popularized by the late psychologist B.F. Skinner. This is the process of controlling behaviour by manipulating its consequences. You may think of operant conditioning as learning by reinforcement. Organizational behaviour modification describes the application of operant conditioning techniques to influence human behaviour in work settings. There are four basic organizational behaviour modification strategies:

Positive reinforcement: strengthens desirable behaviour by making a pleasant consequence contingent on the occurrence of the behaviour.

Negative reinforcement: strengthens desirable behaviour by making the avoidance of an unpleasant

consequence contingent on the occurrence of the behaviour.

Punishment: eliminates undesirable behaviour by making an unpleasant consequence contingent on the occurrence of the behaviour.

Extinction: eliminates an undesirable behaviour by making the removal of a pleasant consequence contingent

on the occurrence of the behaviour. There are many success stories about the payoffs of organizational behaviour modification. Some critics argue that such positive results may be due only to the fact that specific performance goals were clarified and the workers were held individually accountable for results. There is also concern that the use of operant conditioning principles ignores or even violates the individuality of people, restricts their freedom of choice, and ignores the fact that people can be motivated by other than externally administered results. Generally, Skinnerian behaviour-based safety programs are falling out of favour, because of limitations in their acceptance, and problems with sustainability. Motivation and Compensation Perhaps no other managerial issue in motivation receives more attention as the special case of compensation. This approach ties pay to performance and attempts to do so in a positive and credible way. To make this link performance must be agreed upon, measurable, and well-defined. It is very challenging to do this well. Among the important considerations are:

Merit Pay: a system of awarding increases in base compensation by some measurement of individual performance. This is an attempt to recognize high performers for their achievements and encourage similar and even greater accomplishments in the future. A challenge is having consensus on the reliability and validity of the metrics used to identify “high performance”.

Incentive Compensation Systems: these are the many innovative means of compensating employees that

move beyond the merit pay system. Bonus pay plans compensate employees based on the accomplishments


of performance targets or making some other extraordinary contribution, such as an idea for a work improvement. Profit-sharing plans distribute to some or all employees a proportion of net profits earned by an organization during a stated performance period. Gain-sharing plans extend the profit-sharing concept by allowing employees to share in any savings or gains realized through their efforts to reduce costs and increase productivity. Employee share ownership plans involve employees in ownership through the purchase of stock in the companies that employ them. While this method can be nothing more than a clever financing scheme for business operations, it can function as a very powerful performance incentive.

Creative Pay Practices: these are more contemporary means of building motivation through compensation.

Skills-based pay compensates workers according to the number of job-relevant skills they master. This focuses on what the person must actually do and not on what the job description demands. Entrepreneurial pay sees individuals placing part of their compensation at risk in return for the rights to pursue entrepreneurial ideas within the corporate umbrella and participate in any resulting profits. This may be an attractive option for senior safety professionals looking for ways to gain senior management buy-in of new program ideas. A willingness to put one’s own compensation level on the line as part of the package can be a compelling argument for a senior executive to weigh. Naturally, careful attention to return on investment data would have to be included in this to ensure adequate financial rewards were available when the initiative succeeds.

Leading Through Communication According to Max DePree, “There may be no single thing more important on our efforts to achieve meaningful work and fulfilling relationships than to learn and practice the art of communication.” Formally defined, communication is an interpersonal process of sending and receiving symbols with messages attached to them. This process is foundational for all interpersonal relationships. Communication is essential to managerial success. Managers use communication skills to influence, to inform, to control, and to inspire. The following diagram demonstrates why communication is vital to leaders.

Effective communication occurs when the intended message of the sender and the interpreted meaning of the receiver are one and the same. While this should always be the goal in every communication attempt, it is not always achieved. Efficient communication occurs at a minimum cost in terms of resources expended. Time is a particularly valuable communications resource. A major communications challenge is to ensure that safety program communications are both effective and efficient. Integral to any communication process is the ability to listen. Managers need to listen for the message content, feelings being expressed, and verbal and non-verbal cues. The feelings being expressed in the communication process need to be responded to and the listener needs to reflect back to the source, in their own words, what they think they are hearing. As Max DePree says, “No matter how good the communications, if no one listens all is lost. The best communication forces you to listen.” Barriers to Effective Communication


Anything that interferes with effective communication is called noise. The major sources of noise are:

Poor use of communication channels: these channels are the medium through which a message is conveyed from sender to receiver. Managers use a variety of oral, written, and nonverbal channels every day. Managers must choose the channel that will be most effective to communicate the information they want disseminated. Written channels are effective for simple, easy-to-convey messages and for those that require extensive dissemination quickly. Oral channels work best for complex and difficult-to-convey messages where immediate feedback to the sender is valuable. Non-verbal communication takes place through hand movements, facial expressions, body posture, eye contact, and uses of interpersonal space. It is a powerful means of transmitting messages. Managers should learn to use non-verbal channels in sending communication as well as learn to “hear” the nonverbal communication channels being used by those communicating with them. Some literature suggests that 90% or more of any message conveyed is communicated by non-verbal means, such as tone of voice, volume, eye contact, gestures, body language, and more. Safety professionals need to think through whether there is consistency between what is communicated (verbal or written), and how the message is communicated. Any time there is a gap between written/stated communications and non-verbal communications, the latter is always seen as the most eloquent, and the message most believable to the target group. Actions do really speak more loudly than words.

Semantic Problems: the sender must send a message in ways that can be clearly understood by the receiver

in order for communication to be effective. Verbal and non-verbal channels must be well chosen and properly used to express the sender’s intentions. For instance, praising a supervisor’s safety performance with words, while flipping through messages on a Blackberry sends conflicting messages about what is really important.

The Absence of Feedback: two-way communication processes are typically more effective than one-way

processes (letters, memos, reports, notices). Using a communication process that allows for feedback from receiver to source will significantly increase communication effectiveness.

Physical Distractions: telephones, interruptions by other employees, and the like often interfere with effective

communication processes. Many of these distractions can be avoided with planning and due managerial attention.

Status Effects: the hierarchy of authority in organizations creates another potential source of “noise”. This can

result in managers that do a lot of telling but not a lot of listening. Employees may communicate only what they think their boss wants to hear. The noise created by such status effects can be quite harmful to an organization and distract from the potential of an otherwise well designed safety program.

Perceptions and Communication The process through which people receive and interpret information from the environment is called perception. It is the way we form impressions about people, other daily life experiences, and ourselves. It is also the way we process information into the decisions that ultimately guide our actions. The illustration below highlights the role of perception in the communication process.

Stereotypes: this occurs when an individual is identified with a group or category, and then have oversimplified

attributes associated with the group or category attached to them. People are stereotyped on the basis of their


age, gender, union affiliation, race, etc. Any stereotype can prevent a manager from accurately assessing individual differences at work and thus limit their own effectiveness. Furthermore, such behaviour is a violation of basic human rights in Canada.

Halo Effects: this occurs when one positive attribute is used to develop an overall impression of a person. This

leads to an obscuring of the true individual in the perception of the manager.

Selective Perception: this occurs when one singles out for attention those aspects of a situation or person that reinforce one’s existing beliefs, values, or needs. This tends to cause people to see things from only their point of view. This practice too can lead to distorted perceptions.

Projection: this is the assignment of personal attributes to other individuals. A classic projection error among

safety professionals is assuming that others share our needs, desires, and values. This is another perceptual distortion that compromises a manager’s ability to respond to individual differences in the work setting.

Successful managers understand the importance of perception in the communication process and as an influence on behaviour – and they act accordingly. Managing through the perception process includes the following skills:

High-level of self-awareness: know first hand how personal needs, experiences, and expectations may affect perceptions.

Seek information and viewpoints from others: “double-check” perspectives on situations and the problems or

opportunities they represent.

Be empathetic: be able to see and understand a situation as others perceive it.

Avoid stereotypes and common perceptual distortions: minimize bias in views of people and situations.

Positively influence other’s perceptions: ensure that work events and situations are interpreted as accurately as possible.

Communication and Diversity Workforce diversity and the global economy are two major trends in modern society. Communicating under conditions of diversity, where sender and receiver are part of different cultures, is a significant challenge. For many Canadians, simply going to work is a cross-cultural experience. A major source of difficulties in the new work place is called ethnocentrism. This is the tendency to esteem one’s culture as superior to any and all others. Ethnocentrism can cause people to not listen well to what others of a different cultural origin have to say. It can also cause people to interact with others in a way that will alienate them – from the message and from its source. Finally, because ethnocentrism often leads to stereotypes, it may interfere with the development of good working relations with persons from another culture or race. Male ethnocentrism is rampant in many organizations. In a study conducted by Catalyst, over half the human resources managers reported their belief that women had less initiative than men and were less willing than men to take risks, indicating a preference for male workers over female, without a scientific or rational basis Success in conducting business across cultural boundaries depends on the ability to understand and deal with differences in a “silent language.” This includes the languages of:

Time: time and how it is used are viewed differently around the world.

Space: how physically close we wish to stand near others is an important and varying aspect of nonverbal communication.

Things: the use and significance of material possessions varies across cultures.


Contracts: different cultures place different significance on written contracts, and on different elements within a contract.

Every organization also has a unique culture. Part of the organizational culture is its communication channels. Just as there are formal and informal structures within an organization, so there are formal and informal communication channels. Formal communication channels follow the chain of command established by an organization’s hierarchy of authority. Informal communication channels develop separately from the formal structure and do not follow the chain of command. They frequently skip management levels or cut across lines of authority. In their book In Search of Excellence, Thomas J. Peters and Robert H. Waterman, Jr. report their study of successful companies. They found, “The excellent companies are vast network of informal, open communications. The patterns and intensity cultivate the right persons getting into contact with each other.” This informal channel is often referred to as the grapevine. Safety professionals involved in workplace accident investigations understand very well the power of the grapevine to influence (usually negatively) the investigation process and results. Communication flows throughout organizations in downward, upward, and lateral directions. In all respects, the degree to which the communication is effective and supportive of job requirements will influence performance results. This section can be aptly summarized by listing the ten commandments of good communication: 1. Clarify your ideas before communicating: good communication requires good planning. Think through your

message and consider who will be receiving it. 2. Examine the true purpose of each communication: ask yourself what you really want to accomplish – obtain

information, initiate action, or influence someone’s behaviour. 3. Consider the total physical and human setting: take into account the timing, physical setting, and social

climate involved. 4. Consult with others in planning communications: participation from others can yield useful insight and

increase support for the message. 5. Be aware of the overtones as well as the basic content of your message: tone of voice, expression, body

language, and apparent receptivity to the receiver have a tremendous impact on those you wish to reach. 6. Take every opportunity to communicate something of help or value to the receiver: people respond best

to those who take their interests into account. 7. Follow up your communication: allow for good feedback in all communications. 8. Communicate for tomorrow as well as today: postponing disagreeable communications makes them more

difficult. 9. Be sure your actions support your words: the most persuasive communication is not what you say but what

you do. 10. Be a good listener: when we start talking we often cease to listen. Leading Through Interpersonal Skills Interpersonal Dimensions of Management In his book, The Art of Leadership, Max DePree states, “Participative management arises out of the heart and out of a personal philosophy about people. It cannot be added to, or subtracted from, a corporate policy manual as though it were one more managerial tool.” This section has to do with the importance of human skills – the ability to work well with other people. Most observers agree that the safety professional’s ability to develop and sustain good interpersonal relationships with internal and external stakeholders at all levels is probably a more important attribute than any other. The focus here is on four interpersonal dimensions of management:


Gaining Positive Influence: research has demonstrated that, while positional power (the influence over others that comes from the position one has in the organization) and personal power (the influence over others that comes from one’s expertise and reference) are important, significant positive influence with others will come from empowering them to achieve and succeed. Power is not a zero-sum quantity – that is, for someone to gain power it isn’t necessary for someone else to give it up. Max DePree summarizes his view of empowerment as “abandoning yourself to the strengths of others.”

Managing Conflict: accept that relations in organizations will inevitably lead to occasional conflict, or

disagreement between people on issues of substance or emotion. This was discussed earlier in detail. Remember, typical sources of conflict are role ambiguity, resource scarcities, task interdependencies, competing objectives, structural differentiation, and unresolved prior conflicts. Managers must choose a conflict management style that will be effective to the nature of the conflict at hand.

Negotiating to Agreement: managers must develop and maintain the skills needed to negotiate with others,

individually and in groups, and to achieve agreement.

Managing Stress: stress is an ever present by product when people work together in organizations. The sources of stress are called stressors and come from work (task demands, role dynamics, relationships, career progress), personal factors (needs, capabilities, personality), and non-work factors (family, economics, personal affairs). All of these factors can and will affect a person’s work attitudes and behaviours. It is essential to distinguish between constructive stress (pressure that energizes and stimulates creativity) from destructive stress (pressure that creates dysfunction for the individual or the organization). Many organizations are developing personal wellness programs that aim to assist personnel in managing the stressors of their lives. Managers need to be very aware of the personal wellness issues that are faced by themselves and their staff.

Team Building for Group Effectiveness Increasingly, organizations are using internal teams and task forces to accomplish specific goals. This approach increases resources for problem solving, fosters creativity and innovation, and enhances commitment and motivation through collective action. The ability to lead well in a team setting is a skill required of more and more managers. Team building is a sequence of planned activities to gather and analyze data on the functioning of a group and implementing constructive changes to increase its operating effectiveness. The basic steps to effective teamwork are diagrammed below.


High-performing teams generally share common characteristics including:

A clear and elevating goal. A task-driven, results oriented structure. Competent and committed members who work hard. A collaborative climate. External support and recognition. Strong and principled leadership.

According to Larson and LaFasto (co-authors of the book Teamwork: What Can Go Right/ What Can Go Wrong), effective team leaders establish a clear vision of the future. This vision serves as a goal that inspires hard work and the quest for performance excellence. As Belasco and Stayer state in their text The Flight Of The Buffalo, “We must manage backward from the future, rather than forward from the present.”

"The prospect for greater public safety is unlikely to be found in a 'technological fix' because of the way people respond to such fixes. Instead, the prospect for safety is inside the human being, not in the human-made machine, or human-made physical environment." -Donald H. Taylor, British psychologist

Unit Five Self-Study Questions 1. 'Great leaders...' get extraordinary things done in organizations by inspiring and motivating others toward a common purpose. To what extent is this quality of leadership evident in your company? In your own department? If a different definition applies, write it out in your own words. 2. To what extent is your personal OHS 'vision' congruent with the corporate vision of growth and purpose? How does your OHS vision contribute? Detract? What are the results of this congruency/dissonance? 3. Traditional leadership paradigms relied heavily on positional power. Review the information on leadership styles and compare your own style with the characteristics presented. Evaluate the appropriateness of your style to your current work setting. Is there a good fit between the two? If not, what can be done about the mismatch? To what extent is 'empowerment' a function of emerging OHS programs? How receptive is your corporate environment to power sharing? 4. Identify major barriers to ‘empowerment' in your company, and list at least two practical strategies for challenging those barriers. 5. Some 'contingency approaches' to leadership style are discussed. To what extent do your corporate managers demonstrate these characteristics? The 'Hersey-Blanchard' model does an excellent job of depicting a progressive contingency approach. Review and describe how this model might impact the implementation of a major OHS initiative. Be sure to include any leadership characteristics that are necessary to lead the progression in styles. 6. Peter Drucker identifies three key elements of leadership. To what extent are these characteristics evident in your corporate leaders? In your own personal style? Who do you rely on for feedback on your personal style? Is this likely a reliable and valid source? Where else might you find valid feedback on your personal leadership effectiveness at work? At home? 7. Each of 'content', 'process', and 'reinforcement' motivational theory types are discussed. Which types of motivational tools are evident in your company? In your OHS programs? With what success? Problems? 8. Maslow's hierarchy of needs has fallen into and out of favour over the years, but has important principles for OHS. Identify those 'needs' that drive your OHS program from the front-line worker's perspective. From middle management’s perspective? From the executive perspective? Which level of needs satisfaction will have the most direct impact on program success? How has this need manifested itself in recent labour negotiations in Canada? 9. There is continuing debate in the OHS community about the relative benefits of 'incentives' for OHS performance. Review the treatment of 'equity theory' and 'expectancy theory' and list possible problems that might arise from a 'safety incentive' initiative. What specific steps should be taken to avoid these problems? What specific 'incentives' would work best in your particular employment setting?


10. The 'law of effect' is the heart of the reinforcement motivational school. Based on the material, explain how this principle manifests itself in your organization. In your OHS programs? What are its strengths? Limitations? How can you use the information on reinforcement theories to enhance your professional practice? 11. An important debate on ethics and behavioural control is raised. What is your personal position on reinforcement techniques? Why? 12. A useful concept of ‘noise’ in the communications process is presented. List the 'noise' that interrupts your OHS messages to the frontline workers. To your senior managers. How does one's preconceived beliefs impact what is received and interpreted? List a recent personal example of how your perceptions impacted a message directed to you. 13. Stephen Covey and others insist that listening is the most important communication skill to master. Review the list of effective listening practices and check off those listening skills that you find easiest. List those that you find hardest. Write down those that are most difficult, and suggest at least one strategy to correct each shortfall. Put the strategies into effect immediately. 14. Verbal vs. non-verbal communication is presented as an issue that communicators frequently overlook. In your own experience, identify examples where your manager has sent a mixed message to you. In your workplace, list examples where verbal and non-verbal messages were inconsistent with each other. In situations where verbal and non-verbal messages are incongruent, which (verbal or non-verbal) is the most eloquent? What are the implications for OHS programs? 15. Over the past decade, the notion of 'perceptions' has played an increasingly important role in successful OHS programs. The guide presents some of the key influencers of perceptions, and suggests how they can impact effective communication. Carefully consider differing perceptions about 'safety' in your company, particularly a) what 'safety' means; b) the personal value of 'safety'; c) who 'owns' the 'safety' program; and d) what does 'safety' cost? How does the front-line worker perceive these questions? The middle manager? The executive? The 'safety' unit? The enforcement people? Compare the answers and list any adjustments you think are necessary to your program. 16. An insidious form of perceptual barrier is 'ethnocentrism'. With an increasingly diversified workforce, a complete understanding of the implications of this reality is essential to achieving and maintaining effective occupational risk management programs. Consider how your own stereotypes have impacted personal communications with new Canadians; senior managers; First Nations members; compliance officials; the physically and/or mentally challenged; other gender representatives; young adults (i.e. < 21 years)? 17. The power of the 'nonformal' communications network is often not clearly understood. What steps can you do to utilize the power of this communication channel to enhance your OHS practice? 18. Ten Commandments of good communication provide a reasonable framework from which to greatly improve personal communication skills. Review each 'commandment' to evaluate the degree to which you have mastered it. Develop a specific plan to correct those deficiencies you identify, and implement it. Develop a mutual feedback system with colleagues, partners, supervisors and employees to keep you focused on these improvements. 19. From this chapter, what principles can you employ to guide the development of various OHS policies? For example, what would likely work best in your company: several different incident causation models selected by different Joint Health & Safety Committee's, or a single corporate policy? Why? 20. Conflict is inevitable. From this section, identify types of conflicts that have impacted your company in the past five years. What was the impact? How was it managed? What was the impact on OHS? How could it have been handled differently? What types of conflicts remain unresolved in your company? In your OHS unit? What strategies should be implemented to optimize the impact of any unresolved conflicts? At what point is simply leaving the company the best solution for the person in conflict? 21. The use of 'groups' or ‘teams’ to manage various aspects of work is becoming popular, but is fraught with danger if mishandled. What experience - positive or otherwise - has your company had with group assignments? How would you characterize the effectiveness of Joint Health and Safety Committees in your company? From this section, what


recommendations would you make to your executive (and Joint Health & Safety Committee leaders) for improving Joint Health & Safety Committee effectiveness? What cultural barriers if any - might exist to your recommendations? 22. “Abandon yourself to the strengths of your people” (Max DePree, 1989). The term ‘abandon’ creates a strong reaction in those who believe the leader’s role is to control and direct. What potential conflicts may arise from this ‘abandonment’ in a traditional ‘safety’ program environment? What possible consequences may arise in the emerging organization if one fails to ‘abandon’? How can/should the ‘safety’ professional make the transition to a leadership versus a ‘management’ paradigm? Why?


Unit 6: Controlling Fundamentals of Controlling Management Control As the fourth management function, controlling is the process of monitoring performance and taking action to ensure desired results. Planning sets the direction and allocates resources, organizing brings people and material resources together in a working combination, leading inspires people to best utilize these resources, and controlling sees to it that the right things happen, in the right way, at the right time. On a practical level, program control is where safety professionals often have the least input and actual control, particularly if they are operating as staff specialists. In those instances, the actual program control lies with the appropriate line manager(s), rather than the safety professional. Some suggest that even the most progressive risk/safety management system is – at its heart – little more than a logical extension of the management control function. That perspective is not entirely wrong, as this section will demonstrate.


The classic example of the control process – in its purest form – is a home thermostat. We set the thermostat to a desired temperature. When actual conditions on a room deviate from the setting, the thermostat senses the difference and takes corrective action. They are automatically turned off again once the desired temperature is achieved. In management practice, the logic of such a system becomes expressed as the four steps in the control process:

Establish objectives and standards. Measure actual performance. Compare results with objectives and standards. Take necessary action.

The critical part of the control process is the comparison between the actual work performance and the performance objectives and standards. A good way to understand this measurement is the control equation:

Need for Action = Desired performance – Actual performance Using this equation allows the manager to exercise management by exception. This is the practice of giving attention to situations showing the greatest need for attention. This allows for an efficient use of time and other valuable management resources. Two types of exceptions can be recognized by the control equation: Problem Situations: where actual performance is less than desired. This indicates a need for corrective action to

restore performance to the desired level. Opportunity Situations: where performance is above standard. The need for action is to discover why desired

performance was exceeded, and learn what can be done to continue this higher level of performance in the future. It is also a chance to review established objectives and standards to determine if they should be improved.

The three major types of controls are classified as preliminary, concurrent, and post-action controls. Each type of control addresses a different part of the input – throughput – output cycle that is typical to all work settings. Preliminary controls are accomplished before a work activity begins. They are designed to anticipate potential problems, ensure proper directions are set and that the right resources are available. This requires a forward-thinking and proactive approach to problem solving. This step of controlling plays an especially important role in the quest for quality within progressive organizations. Many modern risk assessment tools are used to identify specific risk/loss reduction targets which are incorporated into the management control function.


Concurrent controls focus on what happens during the work process. They monitor ongoing operations and activities to make sure that things are being done correctly. Ideally, these controls allow for corrective actions to be taken while the work is being done. This helps avoid the waste and misfortunes of creating finished products that are unacceptable. Post action controls take place after an action is completed. They focus on end results, as opposed to inputs and activities. Restaurants ask you how your meal was after you are finished eating; a final exam grade tells you how well you performed after the course is over; a final budget summary informs managers of any cost overruns after a project is completed. In these ways, post action controls provide feedback that can be used to better any future activities. They also provide a basis for formally documenting accomplishments and making decisions on the allocation of performance-based rewards. There are two broad options that managers can use to exercise control: internal control and external control. Effective control typically involves using both strategies to good advantage. However, the modern emphasis toward more participative and “self-managing” work environments is bringing a renewed importance to the power of internal control. Internal control is self-control. It is exercised by those motivated to take charge of their own behaviour on the job. Douglas McGregor’s Theory Y perspective recognizes willingness for people to exercise self-control in their work. He also notes that people are most likely to do this for those matters to which they are truly committed. This means that managers who expect others to exercise internal control should be willing to let them participate in setting performance objectives and standards. Reliance on an internal control strategy also requires a high degree of trust by the manager. People left to work on their own must be given the chance to fulfill their performance obligations. Unfortunately, many managers have an incomplete view of human nature and begin with the assumption that workers can’t be trusted. McGregor would argue that managers should trust others to exercise self-control in their work wherever possible. Only when, and if, the trust proves unjustified should alternative measures be taken. The potential for self-control is enhanced when capable people have clear performance objectives and proper resource support. It is also enhanced by the internal motivation associated with participative work cultures in which people are treated with respect and consideration, are allowed to exercise personal initiative, and have ample opportunities for intrinsic rewards for job performance. External control is a part of day-to-day supervision. When managers interact with others, they often spot things that need correcting or give advice on improvements. The external control process can be extended in several ways: performance-appraisal systems, compensation and benefit systems, employee-discipline systems, and management-by-objectives. These will be examined in more detail below. Control systems are designed to ensure certain performance outcomes, however, human reactions to the controls can render them ineffective and even dysfunctional. Truly effective control systems channel human energies toward improved work performance instead of toward attempts to “beat the system”. Truly effective control systems are: Strategic and results oriented: they support strategic plans and focus on significant activities making a real

difference to the organization. No more complex than necessary: they fit the people involved, task requirements, and situation, and they are kept

as simple as possible. Prompt and exception oriented: they report deviations quickly, lending insight as to why the variance occurs and

what might be done to correct it. Understandable: they support decision making by presenting data in understandable terms; they avoid

unnecessarily complex reports and statistics. Flexible: they leave room for individual judgment and are modified to fit new circumstances as they arise. Encourage self-control wherever possible: they allow for mutual trust, good communication, and participation

among everyone involved.


Positive in nature: they emphasize development, change, and improvement; they minimize the role of penalty and reprimand.

Fair and objective: all parties concerned consider them impartial and accurate; they are respected for a

fundamental purpose – performance enhancement. Performance Appraisal Systems Performance appraisal is a process of formally evaluating someone’s work and providing feedback on the person’s performance. Any performance appraisal method should meet two criteria: it should be reliable (consistent in yielding the same result over time and/or for different raters) and it must be valid (relevant to the job at hand and unbiased, it measures only factors directly relevant to the performance of the job). The graphic rating scale lists a variety of traits or characteristics thought to be related to high performance outcomes in a given job. A manager then assigns the employee a numerical rating for each trait. These are relatively easy and quick to fill out but their reliability and validity are quite limited. The free-form narrative is a written essay description of someone’s job performance. They are often combined with another performance appraisal method. This method requires good written communication skills on the part of the person doing the evaluation. A behaviourally anchored rating scale is based on explicit descriptions of actual behaviours that exemplify various levels of performance achievement. The behavioural anchors can be helpful in training people to master job skills of demonstrated performance importance. This is becoming an increasingly popular method of performance appraisal even though it is somewhat complicated to develop and administer. The diagram below demonstrates this method:

The critical-incident technique involves a running log of effective and ineffective job behaviours. A good critical-incident log is complete and substantial and can thus be used as a written record of positive and negative performance examples. This requires the manager to be observant, diligent and fair when selecting incidents for the record.


Compensation and Benefit Systems An organization’s compensation and benefit systems help attract talented people and retain them, motivate them to exert maximum effort in their work, and recognize the value of their performance contributions. Many managers still make the assumption that, somehow lower wages will result in lower costs. Henry Ford challenged this assumption when he announced in 1914 that he was raising the minimum wage for plant workers from $2.34/ day to $5/day. Most business people thought he was a madman. It simply wouldn’t work, they said. Needless to say, the Ford Motor Corporation has outlived most of Henry Ford’s detractors. Average wages result in average productivity. High wages result in high productivity. Since attracting and keeping a qualified workforce is a major, universal organizational goal across all sectors early in the 21st century, this section is worthy of attention in the design and implementation of progressive safety/risk management systems. Base compensation on the form of salary or hourly wages is one of the means of obtaining a qualified workforce. This is extremely important since the more capable a person is, the more self-control one can expect that person to exercise. If compensation is attractive and competitive on the prevailing labour markets, the organization can expect to attract highly competent people. This, in turn, will increase productivity and lighten the load on control systems. Incentive compensation is a performance-based monetary incentive. The Hay Group, a specialist in compensation and related matters, recommends that “stars” should get 12 percent increases, that underachievers get no increases, and that average performers get 3 to 4 percent raises. Fringe benefits can also help or hinder the attraction and retention of capable workers. Meeting the demands of fringe benefits – everything from health insurance, to pension plans, to child and elder care – is a very challenging task. Employee Discipline Systems Discipline can be defined as influencing behaviour through reprimand. It is a form of managerial control designed to address behaviours that include: work that does not meet standards, absenteeism, tardiness, falsifying records, sexual harassment, embezzlement, and so on. Ideally, all discipline is handled in a fair, consistent, and systematic way. Progressive discipline is an approach that reprimands according to the severity and frequency of the employee’s infractions. Penalties vary according to how significant a disruptive behaviour is and how often it occurs. The most severe reprimands are reserved for the most severe infractions. The goal of this approach is to achieve compliance with organizational standards through the least extreme reprimand possible. This can lead to an adversarial relationship between a manager and their employee. Positive discipline is an alternative approach that tries to involve people more positively and directly in making decisions to improve their behaviour. This process begins by identifying the difference between actual and desired behaviours. This is followed by a series of progressive reminders given to make the person aware that they alone are responsible for doing things correctly. The next step is often “unpaid” time off for the employee to think about one’s behaviour and its consequences. The final step for continued misbehaviour is discharge. This approach can help to reduce the adversarial nature of labour-management relations. The following list serves as guidelines to employee discipline: A reprimand should be immediate: a hot stove that burns the first time you touch it. A reprimand should be directed toward someone’s actions, not their personality: a hot stove doesn’t hold grudges,

doesn’t humiliate people, and doesn’t accept excuses. A reprimand should be consistently applied: a hot stove burns anyone who touches it, and it does so every time. A reprimand should be informative: a hot stove lets a person know what to do to avoid getting burned in the future –

“Don’t touch.” A reprimand should occur in a supportive setting: a hot stove conveys warmth, but also operates with an inflexible

rule “Don’t touch.”


A reprimand should support realistic rules: the don’t-touch-a-hot-stove rule isn’t a power play, a whim or emotion of the moment. It is a necessary rule of reason.

Management by Objectives Controlling works hand in hand with the other management functions. This is especially true in the relationship between planning and controlling; good planning facilitates control, and vice-versa. One useful technique for integrating these two functions is management by objectives or MBO. Also known by the terms management by results, management by goals, and work planning and review, MBO is a process of joint objective setting between a supervisor and subordinate. It involves a formal agreement between a supervisor and employee concerning: i) the employee’s performance objectives for a given time period, ii) the plans through which they will be accomplished, iii) standards for measuring whether or not they have been accomplished, and iv) procedures for reviewing results. The end product of MBO is a written agreement that documents work objectives for an employee, including a timetable

and a set of evaluation criteria. The face-to-face communication that is required to work in this manner fosters better understanding between all players involved. A key assumption of MBO is that the employee who carries out the job often has the most accurate understanding of the nature of that job. Effective managers will make every effort to tap into this greater understanding of employees. Like any other control measure, establishing performance objectives is an essential part of the MBO process. Improvement objectives document desires to improve performance in a specific way and in respect to a specific factor. Personal development objectives pertain to personal growth activities, often those resulting in expanded job knowledge or skills. Maintenance objectives formally express intentions to maintain performance at an existing level. MBO is one of the most talked about and debated management concepts of the last 25 years. As a result, good advice is available on what to do and not to do if MBO is to be used to maximum advantage. Step 1: An individual lists key performance objectives for the coming period with target dates for accomplishing them. Step 2: Objectives are submitted to the supervisor for review. Discussion between the supervisor and employee result in an agreed upon set of objectives. Step 3: The supervisor and the employee meet each month to review progress, and make revisions or update objectives as needed. Step 4: At the end of six months, the individual prepares a performance report that lists major accomplishments, and comments on discrepancies between expected and actual results. Step 5: This self-appraisal is discussed with the supervisor. The reasons for objectives not being met are explored in depth. Step 6: A new set of objectives is established for the next six months, as in Step 1. Then the MBO cycle begins anew. This approach is a distinct contrast to the “one-way” or “top-down” approach often encountered in management practice. In order for this method to have maximum results, the manager should make sure that top management endorses the


MBO concept; don’t let staff support units operate he MBO process for them; include MBO oriented communications in every day work routines; be participative when setting objectives with employees; make sure all objectives are significant and well stated; and do things daily to support the employees performance efforts. Information Technology and Control Management Information and Control Information is the foundation of managerial control. If a control system is to function effectively it requires communication of the right information at the right time and among the right people. Managers and other decision makers must have useful information if they are to make plans, provide support, and take other appropriate actions. Data consists of raw facts such as figures and other symbols used to represent people, events, and concepts. Information is data made useful for decision making and problem solving. An information system, accordingly, collects, organizes, and distributes data in such a way that they become meaningful information. Information systems serve managers’ needs in two essential ways: They assist in the management of the complex relationship between an organization and its environment

(competitors, regulators, creditors, suppliers, stockholders, clients, etc.). They assist the managers at various levels in the organization’s hierarchy of authority to make decisions and solve

problems in daily operations. As such, information systems are important tools for progressive organizations to establish and maintain a competitive edge among their competitors.

Developments in Management Information Systems (MIS) A management information system (MIS) collects, organizes, and distributes data in such a way that it meets the information needs of managers. This is accomplished by getting the right information into the right hands of the right person in a timely and cost-effective manner. The basic foundations of MIS include data gathering, data storage, data transformation, and information utilization. Today, management systems rely on computers to process the large amounts and wide variety of data required to keep a modern organization functioning. Managers in today’s workplace need a competent level of mastery in using computer technology - both hardware and software. A decision-support system allows users to interact directly with a computer to create information helpful in making decisions to solve complex and sometimes unstructured problems. Its ability to interact with the user in addressing problems makes DSS a more advanced type of management information system. Group decision-support systems are proving to be a very useful extension of DSS. A GDSS is an interactive computer-based information system that facilitates group efforts at solving complex and unstructured problems. Using special software, GDSS facilitates information retrieval, information sharing, and information use among members of a group – whether the members are geographically proximate or distant from one another. Executive information systems offer special capabilities in helping top managers access, process, and share information needed to make a variety of operational and strategic decisions Information Technology and Systems Effectiveness Ideally, the use of computer-based information technology will increase performance efficiency and effectiveness in the workplace. Practically speaking, this will happen only if the systems are properly designed for users who: i) understand their management and organizational implications and ii) are committed to their effective utilization. It is important to realize that just as computer technologies are rapidly changing so are organizational structures, the nature of managerial work, and the nature of job design. In order for computerized information systems to remain effective they will need to reflect the concurrent changes in organizational life. For computerized information systems to be effective these principles should be observed:


Technical quality of the system: information systems of higher technical quality produce more favourable user attitudes.

Management support of the system: strong management support in systems development and implementation

results in more favourable user attitudes. Participation and involvement in systems design: individual involvement in systems design and operation results

in more favourable user attitudes. Some common information system mistakes are: Assuming more information is always better: Managers receive more data than they can possible absorb. Giving

attention to an overabundance of information can be a time waster. Not all data is relevant or useful. Assuming managers need all the information they want: system designers typically determine what information

to provide by asking managers what information they want and need. Managers often play it safe by asking for all of it. This creates an overload of irrelevant information.

Assuming that with more information, decision-making will improve: having information is one thing; using it

well is another. The emerging shift from trailing to leading indicators in safety metrics is one example of how safety management decision making is changing in response to new forms of data.

Assuming the computer can do everything: problem-solving and decision-making needs are much broader than

what computers alone can supply. Assuming nothing will ever go wrong with the computer: reliance on computerized systems has become a way

of life. Computers can and do fail… and the results can be chaotic and costly. Information and Budgetary Control An effective manager not only gets the task completed, they do so within the assigned budget. Budgets are an important foundation for exercising management control over how well resources are utilized to accomplish plans. Budgets are preliminary controls in that they allocate the resources considered necessary to achieve performance objectives. In allowing interim reporting of performance budgets also serve as concurrent controls. Because budgets formally commit the manager to targeted levels of resource utilization and performance accomplishments, they serve as benchmarks for post action controls. Short-range budgets cover a period of one year or less and are of two general types: operating budgets (assign resources to a work unit on a short-term basis) and master budgets (short-term allocation of resources for the entire organization). Top-down budgeting is a process initiated, controlled, and directed by top management. Upper levels of managers set budgets in a manner which is presumed to best allocate available resources among alternative uses within the organization. These budgets are then given to middle and lower-level managers whose responsibilities are to meet the demands conveyed to them. This method can help ensure that resources are directed to the overall organizational needs and opportunities. However, it does little to build commitment from lower-level personnel whose efforts are needed to fulfill the budgeted responsibilities. Bottom-up budgeting begins with the needs and suggestions of lower-level personnel. With this view, budgets are tentatively prepared and passed up to the next highest level for analysis and review. After modification, the budget is combined with others at that level as a proposal to the next higher level. This process continues until an organization wide budget is prepared. This approach helps ensure a high level of commitment among lower-level personnel but it can result in a final budget that does not reflect the requirements of overall organizational requirements and strategies. Activity-based costing (ABC) is a rapidly growing accounting practice that relies on input from the “users” and the “doers”. It encourages employees to change activities and processes to make their organizations more competitive. Most organizations use some combination of top-down and bottom-up budgeting. The two issues that are central to the success of any approach are: i) using a process that provides an adequate basis for constructive dialogue between the


needs of senior management and persons in more operational positions and ii) using a process that satisfies higher-level needs for accountability while still providing flexibility of action for lower levels. Zero-based budgeting demands that a budget must be justified in its entirety at the beginning of each new funding cycle. Each responsible manager starts from zero in building and then justifying a budget request for the new cycle. This imposes rigorous demands on the manager to carefully evaluate their budget needs and related activities. However, the time consuming nature of the process and increased budgetary uncertainty are among its disadvantages. Managers who seek to use information and budgetary control to best advantage should keep the following in mind: Make sure budgets support strategies. Keep budgets tied to desired performance results. Make sure budgets are based on actual information. Keep budgets simple and understandable. Make sure the budgeting process is participative. Make sure budgetary control is prompt and results-oriented. Unit Six Self-Study Questions 1. A simplified control model is offered. Evaluate your own personal control practices, and compare with this model. What differences are there? What are the strengths of this model? Limitations? 2. Several characteristics of 'good' controls are listed. How many of these characterize the controls exercised over your OHS initiatives? Who is accountable for exercising these controls? How is this accountability ensured? How is the accountability received by those who are accountable? 3. 'Self control' mechanisms are presented as emerging control tools. To what extent should self-control systems be implemented in a modem OHS program? What feedback systems could be implemented to support OHS self-control? What role might a Joint Health & Safety Committee have in designing and delivering such a system? How would this role differ from the safety professional's role? 4. In OHS circles, many argue for inclusion of specific 'safety' performance goals in management performance evaluations. The issue of various ‘performance appraisal’ systems as controls is discussed. In considering 'safety' as a management performance goal, what criteria are appropriate for evaluation - losses experienced or risk factors identified? Why? What management performance indicators will most impact the long-term effectiveness of OHS in your operations - proactive or reactive management? From the information presented in this section, design a management performance evaluation system to support your corporate OHS goals, and present it to your executive with complete implementation recommendations. 5. "Any control system requires communication of the right information at the right time and among the right people if it is to function effectively." What changes in information systems have come about in your company in the past five years? What changes do you see in the next few years? What impact have these changes in information technology had on productivity? Morale? Workplace stress? OHS? To what extent have your OHS information systems met the "effectiveness' criteria in the opening statement above? What changes are required to provide a fully 'effective' OHS information system? 6. Most safety professionals have experienced steep learning curves in information technologies in recent years, and the trend to continual learning in the discipline is going to continue. What skill sets do you currently have? What do you lack? The list provided is not exhaustive - what additional computer skills do you think you will need in the next three years? Where can you acquire these skills? 7. The term 'technostress' was coined some years back to describe the impact of rapidly expanding technology on those who had difficulty incorporating the technology into their personal practices. How many colleagues/ acquaintances do you know who may experience 'technostress' and the accompanying aversion to information technology? Given the explosion of technology, what are the career implications for any who might experience this malady? 8. Management Information Systems can be invaluable tools for OHS, and are greatly enhanced by technological innovations. Review the section and identify which systems are most likely to contribute to your corporate OHS goals. What resources (equipment, money, skills) are needed to fully optimize these systems?


Unit 7: Innovation and Change Organizational Change Defining Change Change is an essential part of creativity and innovation in organizations. A change agent is a person or group who takes responsibility for changing the existing pattern of behaviour of another person or social system. Change agents make things happen, and part of every manager’s job is to act as a change agent in the work setting. Most often, safety professionals are engaged in a continuous process of engaging and soliciting change within their respective organizations. Some of the concepts here can be very helpful in facilitating effective, positive and sustained changes. Top-down change is a process that is initiated and directed by top management. Strategic and comprehensive changes typically follow this pattern. When done well, top-down change can occur rather quickly and with a comprehensive impact on the organization. It runs the risk of being perceived as insensitive to the needs of lower-level management and can suffer from implementation problems brought on by resistance and a lack of organization-wide commitment to change. Bottom-up change is also important in organizations. In such cases, the initiatives for change come from persons throughout an organization, and are supported by the efforts of middle and lower-level managers acting as change agents. This type of change is essential to organizational innovation and is very useful in terms of adapting operations and technologies to the changing requirements of work. It is especially effective at creating the advantages of empowerment and participation. Not all changes in organizations occur at a manager’s direction. Unplanned changes occur spontaneously or at random, and without a change agent’s attention. They may be destructive, such as a wildcat strike that results in a plant closure or a disastrous accident; or beneficial, such as an interpersonal conflict that results in a new procedure or policy to guide interdepartmental relations. Planned change happens as a result of specific efforts by a change agent. Planned change is a direct response to someone’s perception of a performance gap; a discrepancy between the desired and actual state of affairs. Organizational change involves some modification in the various components that constitute the essence of an organization. The possible targets of the change process are: Tasks: the nature of work as represented by organizational mission, objectives and strategy, and job designs for

individuals and groups. People: the attitudes and competencies of the organization’s human resources, and the staffing processes used to

acquire and maintain high-quality personnel over time. Culture: the predominant value system for the organization as a whole, the norms and values guiding individuals

and groups at all levels in the organization. Technology: the operation systems used to support job designs, arrange the flow of work, and integrate people and

machines in well-functioning sociotechnical systems. Structure: the configuration of the organization as a complex system, including its bureaucratic features, forms of

departmentalization, and other formal aspects of authority and communications. Performance gaps and the impetus for change in any one or more of these targets can arise from the variety of external forces for change. These include the global economy and market competition, local economic conditions, government legislation and regulations, technological developments, market trends, and social forces, among others. Internal forces for change are important too. Any change in one part of the organization as a complex system can result in the need for change in another part of the system. The organizational targets for change listed above are highly interrelated.


Managing Change Kurt Lewin, a noted psychologist, recommends that any planned-change effort be viewed as the three-phase process shown below.

Managers use various approaches when attempting to get other persons to adopt a desired change. The following diagram demonstrates three broad change strategies.


John Kotter, professor of leadership at Harvard Business School, has built on Lewin's three-step model explained above. He has used it to create a more detailed, step-by-step approach to implementing change effectively. This approach is based on studying the common failures that occur when managers try to initiate change:

1. Establish a sense of urgency by creating a compelling reason for why change is needed. 2. Form a coalition with enough power to lead the change. 3. Create a new vision to direct the change and strategies for achieving the vision. 4. Communicate the vision throughout the organization. 5. Empower others to act on the vision by removing barriers to change and encouraging risk-taking and

creative problem-solving. 6. Plan for, create, and reward short-term “wins” that move the organization toward the new vision. 7. Consolidate improvements, reassess changes, and make necessary adjustments in the new programs. 8. Reinforce the changes be demonstrating the relationship between new behaviours and organizational

success. Managing in the 21st Century The 21st Century Workplace Managers are the keys to organizational productivity. Productivity, in turn, is the key to economic development and growth. Without a doubt, managers of the 21st century will have to excel as never before to meet the expectations held of them and of the organizations they lead. A report from the Massachusetts Institute of Technology identified these persistent weaknesses in corporate management in North America: overemphasis on short-term results, parochialism, failure to adequately train and motivate workers, inability to turn innovations into viable products, and a lack of cooperation within and among firms. Many of these shortcomings are evident in our safety management systems as well. The results of recent Canadian surveydescribed the skills necessary to succeed in today’s changing workplace: Maximizing innovation and change: conceptualizing as well as setting in motion ways of initiating and managing

change that involve significant departures from the current modes. Managing people and tasks: accomplishing the tasks at hand by planning, organizing, coordinating, and controlling

both resources and people. Communicating: interacting effectively with a variety of individuals and groups to facilitate the gathering,

integrating, and conveying of information in many forms. Managing self: constantly developing practices and internalizing routines for maximizing one’s ability to deal with

the uncertainty of an ever-changing environment. Max DePree has identified a key difference in the work force for the 21st century. Most workers are realizing “they could probably find good jobs in any number of groups...” but, “...they choose to work somewhere for reasons less tangible than salary or position.” For this reason DePree gives his view of successful management traits for the new reality: Being faithful is more important than being successful. If we are successful in the world’s eyes but unfaithful in terms

of what we believe, then we fail in our efforts. Corporations can and should have a redemptive purpose. We need to weigh the pragmatic in the clarifying light of

the moral. We must understand that reaching our potential is more important than reaching our goals. We need to become more vulnerable to each other. We owe each other the chance to reach our potential. Belonging requires us to be willing and ready to risk. Risk is like change; it’s not a choice. Belonging requires intimacy. Being an insider is not a spectator sport. It means adding value. It means being fully

and personally accountable. It means forgoing superficiality. Last, we need to be learners together. The steady process of becoming goes on in most of us throughout our

lifetime. We need to be searching for maturity, openness, and sensitivity.


Modern safety management systems tend to lag in adapting new management models. However, to effectively collaborate and ensure ‘buy-in’ from the emerging workforce, these traits need to become part of the safety professional’s toolbox in the same way the CEO of the 21st century must adapt his/her perception of the management role. Customer Service & Quality The organization’s safety team serves internal and external customers. Knowing how to best meet those customer’s needs is a survival tool that will provide a significant return on investment. Progressive organizations recognize the power of customer service and quality when it comes to developing competitive advantage. The key operating objectives for an organization seeking competitive advantage through improved customer service and quality are: To provide every customer with high-quality goods and services. To provide every customer with low-cost goods and services. To provide every customer with short waiting times. To provide every customer with flexible responses to individual needs. At the heart of any comprehensive approach to productivity development and quality improvement in organizations is finding out what customers expect and then giving it to them. This approach needs to understand the presence of external customers (those who buy or use the product you create) and internal customers (the persons/groups in the organization who use or depend on the results of another person/group in order to do their jobs well). The diagram below helps clarify this distinction.

Total Quality Management Total Quality Management is a phrase that has generally become defined as applying quality principles to all aspects of operations, and meeting customer needs by doing things right the first time. Most agree that the principles of Total Quality Management are virtually interchangeable with modern safety management systems. Philip Crosby has developed a popular quality program used in many settings that is based on what he calls the “four absolutes” of management for total quality control: 1) Quality means conformance to standards: workers must know exactly what performance standards to meet. 2) Quality comes from defect prevention, not defect correction: proper leadership, training, and discipline must

prevent defects in the first place. This absolute is central to most safety management models. 3) Quality as a performance standard must mean defect-free work: the only acceptable quality standard is perfect

work. 4) Quality saves money: doing things right the first time saves the cost of correcting poor work. As mentioned above, the measurement against agreed standards is essential in the management of quality. One of the standards that is gaining increasing recognition as an indication of top quality are the ISO 9001:2000 and other


certifications. The ISO standards come from the Swiss-based International Organization for Standardization, an industrial standards authority with members from 92 countries, including the Standards Council of Canada. The standards were developed on the premise that competition can be assisted if everyone agrees on the way plants can efficiently organize the manufacture of quality products. Summary The illustration below is intended to serve as a summary description for the material of this study guide. In one-way or another, all that has preceded funnels into the work of a manager.

Unit Seven Self-Study Questions

1. "The more things change, the more they stay the same" (author unknown). We can be sure that change is becoming the norm in our working culture. Review the section on 'organizational change' and identify those factors that are familiar to your company over the past five years. 2. Not only is change inevitable, it is often vitally necessary. A model for creating change is presented. Select a 'status quo' issue or unit in your company that - in your view - MUST change, and carefully consider the change process required. How can you 'unfreeze' the status quo? What will propel the desired change? How will you know when it has occurred? How will you 'refreeze' the process? To what extent is it appropriate to use a major loss (i.e. fatality) to 'unfreeze' an undesirable OSH environment? 3. Have you attempted to make changes within your organization? Use the eight step guide to assess how successful your attempts were. Which steps did you get right? Which steps did you miss? 4. Service, quality and competitiveness are addressed. Identify the characteristics that the guide recommends, and compare with those evident in your own company. Four 'absolutes' for quality management may sound familiar to safety professionals. To what extent could these 'absolutes' be imposed on a modern OSH policy/program? From this chapter, what parallels can be drawn between contemporary 'quality' goals and OSH goals?


Unit 8: Fundamentals of Effective Training Because “training” is a bedrock of safety management systems, it is important that safety professionals have a complete view of the components of training, basic principles of adult learning, basics of evaluating learning effectiveness, and an understanding of various instructional delivery models. Training is not a unique domain of the safety function. In fact, effective training is essential for any organization to achieve goals and survive in a rapidly changing world. An appropriate definition of “training” is: This definition implies several things:

Training is essentially an imparting of something (skills, knowledge) to a learner, This skills/knowledge transfer is intended to equip the learner for a positive, contributing partnership relationship

with the employer, and The overarching goal of any effective training program must be linked directly and visibly to the goals of the

employer. In this definition, training equips learners to optimize their contribution. It is important to note there is no distinction between types of training. Hyphenated training terms like “safety-training”, “supervisory-training”, “technical-training” are redundant. Training is training is training. If the employer has goals, and learners need skills/knowledge to achieve those goals, then training is indicated. For instance, if a goal of the employers is to ensure that all workers use PPE correctly, then training on the care and feeding of relevant PPE may be indicated. Similarly, if a new process or equipment arrives, people may need training to use that process or equipment effectively. Finally, when an organization is undergoing change (which is normal in today’s dynamic economic environment), then equipping front-line supervisors with new skills in communication, performance measurement, or coaching may be required. All training is linked to organizational goals, period. If instruction is not linked to organizational goals, it is not ‘training’. (Adapted from; Sayers, Don (1994). “ Adults as Learners”, in Scott Williams (Editor) Successful Training Strategies, Southam Information and Technology, Toronto) Training Cycle Training is often misunderstood to be the process of instructing. Someone stands in front of a learner(s) and teaches. While this is one component of “training”, it is an inadequate component by itself. Instructing is a legitimate element, but its effectiveness depends entirely on how well the other elements are conducted. They are inextricably inter linked. Effective training involves a cycle of sub-functions or elements, each supporting the others. Emerging due diligence requirements place increasing importance on the entire ‘training’ cycle. Courts are starting to ask difficult questions around the training cycle, including asking defendants (and plaintiffs) for concrete evidence supporting the training needs analysis process that is the source of the training outcomes identified. This has direct implications for employers who do not yet apply basic, documented needs analysis processes to their in-house training efforts. Next, courts are starting to ask for evidence to demonstrate the extent to which an individual or group actually achieved ‘mastery’ of those learning outcomes identified in the needs analysis. This implies a documented written or performance checklist – often both.

“Provision of skills and/or knowledge that equip the learner to be a fully contributing partner with the goals of the

employer.” Sayers, 1994


Workplace Training Cycle

Curriculum Note that the first step in effective workplace training is establishing what is to be taught, and to whom. This is a critical step, often overlooked by ‘instructors’ anxious to solve performance problems with training. However, failure to carefully determine and document precisely what learning is required, and by whom, is a formula for ineffective training. Considerable expense and effort in the name of “training” is wasted when clear learning goals and learner target groups are not properly identified. In this step, clearly worded and realistic learning goals are crafted to equip learners with the skill and knowledge shortfalls identified through a proper training needs analysis. These learning goals become the ‘targets’ at which you aim your evaluation and instructional strategies. Without clear learning goals, you will fire ‘training’ resources at blurry and indistinct targets, and your likelihood of success in enabling a meaningful improvement in workplace performance from your training investment is seriously hampered. A legitimate and defensible needs analysis could be a simple as creating a ‘focus group’ from various qualified in-house stakeholders. Naturally, this group must include representation from the target group involved, as well as line supervisors familiar with the job and the learner group. Curriculum Principle # 1

Base your corporate training system on a clear and consistent philosophical framework. Organizations demonstrate many human characteristics, including distinct corporate ‘beliefs’ and values. What an organization ‘believes’ about the purpose, ownership, and components of corporate training will have an immediate and direct impact on its overall effectiveness. Of much greater importance is the notion of ensuring that ALL corporate training is integrated, designed, and delivered through the lens of a single philosophical system, regardless of which approach the organization chooses to employ. There is no one ‘best’ system for every organization. It is important that the philosophical framework for the training system be compatible with the beliefs regarding other important organizational systems and programs. For instance, a training belief that places great importance on worker input and empowerment may not work well in an organization that believes management is solely responsible for making all decisions that have a direct financial impact. Without a commitment to a single philosophical approach to training (i.e., set of beliefs about training), each training program could conceivably be so different in approach from other training that learners become disoriented and frustrated with their training experiences and ‘learn’ to avoid training as much as possible. There are many instances of incompatibility between organizational culture and training philosophy, but consider the following examples of beliefs about adult education/training philosophy (Adapted from Elias and Merriam, 1980):


Liberal Behavioural Progressive Humanistic

Purpose

develop mind, make one 'broader'

improve behaviour, behaviour change

transmit culture, enable problem-solving

enhance personal growth, facilitate self-actualization

Learner

cultured, constant learner, knowledge seeker

learner takes active role, practice new behaviours

focus on learner needs, interests/experiences, unlimited potential

highly motivated, self-directed, assumes responsibility for learning

Teacher the 'expert' authoritative

manager, controller, directs outcomes

organizer, guide stimulates, instigates

facilitator, helper, partner, promotes

Methods

lecture, study groups, discussion

contract learning, computer assisted, practice/feedback

problem-solving, scientific method, projects, inductive

experiential, group tasks, team self-directed, individualized

From this example, for instance, an organizational culture that relies heavily on a ‘command and control’ culture is unlikely to be receptive to an instructional culture steeped in a humanistic oriention. Nor will a progressive organizational culture be likely to respond well to a curriculum built on a behavioural model. The differences will clash, and its obvious at the ‘pointy end’ of the classroom. Students pick up immediately on those variances. Curriculum Principle #2

Effective training requires consistent expectations in the classroom and on the shop floor. Imagine receiving the very latest computer technology at your workstation. Remote mouse and keyboard, voice activated software, touch sensitive monitor, etc. As the system is being installed, you carefully read the condensed operator’s manual, so you can start using it right away. The instructional manual is carefully worded in language non-techies can understand, and provides detailed instructions for the best application of your new technology. As the system is installed and turned on, you sit in front of the technological marvel and start to follow the instructions from the manual. Unfortunately, you’re unable to use your new equipment effectively, because what you learned from the manual isn’t working at all at your workstation. There’s been a ‘disconnect’ between what the author of the manual wrote and what the builder of the system created. Somewhere along the line, their paths separated, and they didn’t communicate with each other on what was really important – the end user’s needs! While may sound far-fetched, this and other similar examples of disconnect are almost daily occurrences in today’s workplaces. When this disconnect does occur the signals learners receive in the training session will not be the same signals they receive on the job. Any gap between what they learn in the classroom and what they are expected to do on the job, often means the training exercise has been worse than nothing, because not only will they likely not be able to aply the learning received, they’ve just had their suspicions about management competency confirmed.


Curriculum Principle # 3

Effective training is always directly linked to organizational goals. Modern organizations survive and thrive by establishing and widely communicating their goals, visions, values, and mission to all stakeholders. Once thought of as idealistic, in this rapidly changing world, people need to have some overarching notion of ‘what’s important here’ so they can make quick and appropriate decisions about how to spend their time at work and what activities to concentrate on to achieve larger organizational goals. In the same sense, effective training must also be clearly and visibly linked to organizational goals. Training that is not directly and visibly connected to organizational goals is likely to be perceived by those who are being trained, as superfluous, or ‘another waste of my time.’ This is hardly an environment where learning goal achievement or learning transfer rates will be high! Small wonder that a majority of corporate managers do not view ‘training’ as an important contributor to corporate success. This has direct implications for creating and sustaining what current writers refer to as the ‘learning organization’. The ‘learning organization’ is able to learn and adapt quickly to changing environments. Organizations unable to rapidly adapt are destined for extinction. For an example of an ‘organizational learning test’ you can perform for your own organization, go to:

Learner Readiness Survey

(http://www.donsayersassociates.com/Learner%20Readiness%20Survey/Survey.htm) Curriculum Principle # 4

Better to learn a little well than to learn a little about a lot. There are numerous pressures facing corporate training personnel. Whether the content is labelled ‘leadership,’ ‘team-building,’ ‘safety,’ or some technical subject, most organizations seem to operate on the notion that training is a necessary expense item, rather than a strategic investment in people. This means that managers are seldom anxious to make learners and resources available for any longer than is absolutely necessary, resulting in enormous pressure to accomplish much in little time. For that reason, the typical process of designing instructional systems is often a compromise between the ideal instructional environment and what is actually available to training personnel. This pressure is most often evident in the time allotted to training. Trainers are constantly balancing available times with required learning goals and making hard choices about how to accomplish significant learning transfer, with the minimum possible time to achieve that transfer. The end result is typically submission to the temptation to cram as much content into the available time as possible. While this temptation is understandable, it does not serve the goal of achieving effective workplace training. Evaluation Prior to any instruction, the next step in the cycle is determining how you will verify that learning goals are achieved. A management axiom is ‘what gets measured gets managed.’ Increasing competitiveness in business means that organizations are increasingly interested in developing high-performance workplaces, and in ensuring that their human resource development expenditures are providing value to the organization. In this component, the task is to develop a means of determining the extent to which learning transfer has occurred as a result of your training efforts. While there are several strategies in use, one useful way of summarizing them is:

Happiness index - This common devices asks learners questions about the quality of instruction, the facilitator’s style, visual aids, learning relevance, comfort of the venue, and so on. While useful feedback to the instructor/facilitator, it has little to do with whether appropriate skills/knowledge have actually transferred to the shop floor.

Goal Achievement – Of greater value is an instrument or process that enables trainers and facilitators to determine to what extent learning goals have been achieved by the learners. In typical workplace settings, this may require demonstration of a new skill, or some form of pencil/paper test of knowledge such as case study, multiple choice quiz, etc. There is an entire body of applied science (psychometrics) that deals with the


construction of valid and reliable tests, but there are also a number of practical ways that learning goal achievement can be verified at the shop floor level.

Learning transfer - While achieving learning goals in the classroom or instructional area is an important first

step, of greater importance is knowing the extent to which new skills or knowledge have actually transferred to the job. A common problem is not for learners to fully achieve learning goals in a classroom setting, but for them to be unable/unwilling to demonstrate those new skills on the shop floor. This is most often a result of a gap between expectations of the learning goals (which are most often developed by training staff), and operational values (which are determined by cultural factors). If new behaviours/skills taught in the classroom are not acceptable to fellow-workers or supervisors, they will not readily transfer. This is a common phenomenon in safety management circles.

Performance improvement - The ultimate goal of workplace training is to enable the learners to provide an

improved contribution to organizational goals. It is not uncommon for training goals to be achieved, and even transferred to the shop floor/job, but the final training effectiveness evaluation is a determination of whether the new skills/knowledge actually improve work performance. It is not uncommon for well-designed instruction to fully transfer, without any improvement in performance. This can almost always be traced back to an inadequate or faulty needs analysis and/or learning goal setting process.

(Adapted from Kirkpatrick, 1998)

Levels of Learning Evaluation

Level Measures Benefits

Happiness Index Learner satisfaction with learning

experience

Trainer may get feedback helpful in making improvements

Trainer may determine whether learners perceive benefit from instruction

Goal Achievement Whether learners achieve stated learning

outcomes

Enables trainer to adjust instruction to improve outcomes

Learners get constructive feedback on learning performance

Learning Transfer Whether learning transfers from

classroom to shopfloor

Trainer may determine effectiveness of instructional techniques

Management may gain sense of value for training

Training Relevance Whether training effort made desired

contribution to organizational performance

Final and most important measure of training utility

Requires ownership from line managers to validate training value, or return on investment

Validates needs analysis and instructional processes.

Evaluation Principle # 1

Measure ultimate training effectiveness by relevant learning transfer. Period! What gets measured gets managed. This is as true of training programs as anything else. However, what one measures is at least as important as the act of measuring itself. Data derived from measuring activities is evaluated and is


necessary for determining appropriate resource deployments, return on investment, establishing priorities and other critical training decisions. The ultimate purpose of training is to “equip learners with skills and knowledge that enable them to be fully contributing partners with the goals of the organization” (Sayers, 1994). For that reason, if one measures the wrong factors, one will get wrong information to base decisions on, resulting in a compounding of training management errors. It’s no different than principles of measuring safety performance.OSH programs that consistently measure only trailing indicators (i.e. frequency and severity rates, injury patterns, etc) are basing their OSH program management decisions on data derived after a loss occurs. In contrast, measuring leading factors like risk indicators means that program management decisions are based on factors identified before a loss, which are generally much more effective in guiding OHS program than trailing indicators. There is tendency to attempt to measure training effectiveness by factors that are at best only symptomatic of actual effectiveness. For instance, many organizations measure training effectiveness in terms like:

Training Days Completed: number of persons in training times number of training days attended.

Contact Hours: hours of active instructional delivery times persons participating in learning.

Percentage of Budget: increasingly common in public institutions, it is based on meeting a training expenditure goal expressed as a percentage of an operational budget - most often, a percentage of the wage/salary budget component.

Return on Investment: probably the most misused traditional tool, using ROI models to measure training

effectiveness often factually misrepresents actual costs and returns because of the many unknowable variables. On the surface, training ROI sounds simple. Add the costs of training and compare/contrast those with the savings resulting from the training.

Evaluation Principle # 2

Learners have needs. They must be met for effective training to take place. Training evaluation systems often refer to the extent that organizations benefit from training. However, these models can lose sight of the fact that unless individual learner needs are met, organizational needs will not be met. The organization is people. People have needs. Those needs must be addressed throughout the training cycle, starting with the needs analysis, through the evaluation stage and into the instructional delivery phase. We’re not referring here to subjective, ‘warm and fuzzy’ needs, but rather the real needs that people have to contribute and succeed at their work and the very real desire to be equipped properly to make that contribution. When evaluating learning, an important component is a review of whether, and to what extent, the learners perceive that their learning needs have been adequately addressed. In the final analysis, the learners themselves are probably the best source of data on this subject. If they’ve been properly engaged in the needs analysis process, the resulting learning goals and instructional design will reflect this engagement. If the evaluation process indicates learners are not satisfied with how their learning needs have been addressed, something has gone amiss, either in the needs analysis, goal setting, instructional design, or delivery phases. Evaluation Principle # 3

Has management credibility been enhanced or reduced as a result of this training? Early in the 21st century, there’s a growing credibility gap with organizational leaders – in every sector. Corruption, bad faith business practices, exploitation of people, deceit, and personal gain at the loss of others have all served to taint organizational leaders generally. Unfortunately, this broad brushing tends to taint other leaders who are of noble intent and practice – and there are many. However, the overall societal perception of those carrying the mantle of “Manager” is not nearly as positive as it was even 10 years ago. A recurring theme is an apparent gap between an organization’s stated values and their actual performance. For example, a typical OSH program statement will say something like “XYZ Manufacturing believes workplace safety is a top priority,” yet company managers will consistently demonstrate that safety is not even on their radar screen when


juxtaposed between production and other operational priorities. This blatant hypocrisy damages management credibility and increases the likelihood that legitimate directions from organizational leaders will be dismissed as invalid or outright ignored - perpetuating the command and control mindset that limits trust and mutual respect between stakeholders, and yet which is so central to the ultimate success of a modern safety management system. Instruction Once you’ve determine What is to be taught, to Whom, and How learning will be evaluated, you can start to consider which of many instructional strategies to employ to enable your learners to achieve these goals. Traditional ‘face-to-face’ instruction, involving one or more 'trainers/facilitators’ with learners in a classroom or work setting will continue to be an important means of equipping people for some time to come. Newer instructional tools are becoming more popular as well, and are being constantly improved. For instance, there is a rapidly growing application of interactive, electronic instructional media, rather than traditional classrooms. There are real strengths to both traditional and emerging instructional technologies, and you need to evaluate many factors to determine which instructional strategy will provide the most cost-effective transfer of learning goals to your learners. Once that is done, there remains only the development of specific instructional exercises to achieve the learning goals, some form of learning evaluation, and feedback to the curriculum and evaluation steps to enable continuous improvement of your training program. Instructional Delivery Principle # 1

Keep time between learning and opportunity to use learning as short as possible.

This should be a no-brainer, but a surprising amount of training activity is planned and executed around budget cycles and ‘downtime’ needs, rather than around optimizing learning transfer. For example, your fiscal year is coming up and there is a small surplus in your training budget. What sorts of pressures exist to land on your budget targets by purchasing training – whether needed at that time or not? Or your operation is going into a seasonal maintenance cycle, so rather than layoffs, use the time for training – even though the learners will not be able to use those new skills for months! These are common scenarios, which serve to reinforce in the mind of management the notion that training is not a particularly effective use of corporate resources. There is a decay factor between instructional delivery and application. Figures vary between studies, but generally the amount of learning that will actually transfer from the classroom (learning environment) to the job deteriorates quickly with time. Some studies suggest more than 50% of the learning will have evaporated in 24 hours. This implies a need to ensure that your instructional activities are done at – or as close as possible to – the actual time that skill/knowledge is needed on the job. In fact, on-the-job training has a significant advantage over many other classroom-based methods for this very reason. Instructional Delivery Principle # 2

Learning occurs best when the instructional environment most closely resembles the actual working environment.

People learn best through mental engagement. Mental engagement is most effective when the learners are able to relate the instruction to their actual work environment. This is why the use of simulators for instruction is growing in popularity and effectiveness. It may not always be possible to instruct learners in actual operational environments (for example, teaching pilots emergency flight response techniques in a loaded aircraft in flight), but a well-designed simulation can be as effective, and often enables much better control over the learning environment than on-the-job instruction. Practical examples include: If teaching accident investigation skills, have each team conduct an investigation into a simulated scene. Having

them create field sketches, collect evidence and interview ‘witnesses’ is a powerful way of simulating a real world situation, which will result in MUCH greater learning transfer than simply lecturing about those skills in a class setting.


Teach inspection skills by doing an inspection, in the actual operational environment they’ll be using those skills in. When teaching Job Hazard or Risk Analysis, use actual tasks in the learner’s working environment, one that the

learners can relate to immediately and realistically. Instruct PPE using the actual PPE workers are issued, rather than stock ‘training aids’ the instructor may be more

familiar with. As much as possible, teach learners new equipment operation using the actual equipment.

Instructional Delivery Principle # 3

Feedback is the ‘breakfast of champions’. Learning is a process of moving from the known, to the unknown. Frequently, trainers forget that their learners are not yet expert in the new skills/knowledge and move too quickly through down the learning path. Typically, adult learners are not particularly vocal about their learning process in a group setting. If they are not learning as quickly as the instructor is moving, they tend to withdraw, hoping they’ll be able to pick up the new skills from their colleagues, or figure it out on their own later. As mentioned earlier, learners have needs. A fundamental need of every learner is continual feedback on how they’re doing with the new skill. This need is met by providing frequent, non-threatening feedback on their performance. Frequent then, means at each step of the learning process. For example, learning an incident investigation procedure would typically involve several steps. Learners need feedback on their performance during and at the conclusion of each of those steps, as well as feedback on their performance on the entire task. Non-threatening feedback means-- without embarrassment or humiliation. They are learning and are therefore not yet expert. One way to shut down a learner is to publicly criticize performance or make disparaging remarks in front of colleagues. Encourage positive behaviours, correct negative behaviours. Be consistent and equitable with all learners. Create a ‘safe’ environment where mistakes in the learning process are used as teachable moments for all to learn, rather than an occasion for personal criticism. Instructional Delivery Principle # 4

Learning is ALWAYS based on prior learning. On a neurological level, learning means that new channels and links in the brain are established, thus expanding our overall intelligence and enabling additional learning to be achieved more readily – because of the expanding capacity of the brain. This truth applies to job training as well as to graduate studies. The principle of increasing mental capacity applies to both. However, we sometimes forget this principle, and commit one of two errors:

First Error: Starting instruction at a level beyond the current learner’s level. New learning must be based on prior learning, so the mind can make the connection between what is being taught and some pre-existing knowledge. For example, you have developed a first-rate accident analysis module, with a comprehension section and case study on multiple causal factors. It becomes clear that many of the learners have no idea what multiple causal factor analysis is, let alone how to apply it to the accident investigation and analysis process. Most often, this error is a result of weaknesses in the training needs analysis process or setting learning goals. If this occurs in your session, do not proceed further until the learners become competent with required preliminary knowledge/skills. Until they master the underlying skills, they will be unable to master the new skills.

Second error: Starting instruction at a level too basic for the learners. This is the opposite of the first error, but

is also quite common. In this instance, learners are presented with instruction on skills/knowledge they have already mastered. Not only is this seen by the learners as a waste of their time and energy, it does little to enhance the credibility of the organization’s management, or the instructor. Their entire perception of training


may be so tainted by this experience that it will be particularly difficult to get willing participation in any future learning options offered by the organization

Instructional Delivery Principle # 5

Do it right. Or don’t do it at all! For every job task, there is a right – and a wrong – way to perform it. Sometimes there may be a gap between the ‘official right ways’, and how it is typically performed on the job. When instructing learners on procedures or tasks, it is imperative that they are taught the ‘right way’. For that reason, a first step in your instructional design process should be to verify how the job/task is actually performed in operational conditions in your shop. If there is a gap between ‘right’ and ‘actual’, start by reviewing actual practices to determine if they are an improvement on the ‘official’ version – or an example of inadequate supervision or training. Avoid the temptation to take shortcuts in your instruction. Your learners are like a blank slate. What you write on their minds and hearts is what they will carry into their work and life. Foundational to this principle is old-fashioned integrity. Your instructional skills are a reflection of your character, and – because the organization places you in a position of trust as an instructor – your actions also reflect directly on the organization. Therefore, take time to be adequately prepared for instruction, ensure that you know HOW to do the task/skill correctly and demonstrate excellence to the learners. Your personal demonstration of skills/knowledge will be a much more eloquent teaching model than your words – if a gap exists between words and actions. For those teaching applied skills on the job (i.e., those requiring manual, or motor skills as well as knowledge), the following simple model can guide you to effective and consistent instruction of those skill/knowledge sets:

Step 1 - Introduction. Explain What is to be learned, How it will be instructed and How the skill will be evaluated (tested), Why the learner needs this skill and Where it fits into their job.

Step 2 - Perfect Demonstration. Demonstrate the entire task, explaining each step as it is performed. Depending on the complexity of the task, it may be valuable to demonstrate the task more than once. For instance, replacing a toner cartridge on the average laser printer is probably a task that could be demonstrated and explained once. However, a task like teaching a learner how to lift a pallet using a lift truck may require several demonstrations.

Step 3 - Practice with ++ supervision. Guide the learner through each individual step in the task, carefully explaining each step, along with an explanation of why each step is important. Depending on the complexity of the task and the learner’s prior knowledge, this step may be repeated several times.

Step 4 - Practice with moderate supervision. The learner has been guided through the task to the point where (s)he’s able to attempt it without direct control. At this point, the learner should be asked to explain to the instructor what each step is and why it is important. It is critically important that there be no deviation from the ‘perfect’ demonstration skill level. The learner should continue with this level of supervision until the task can be done without error. At this point, the focus is on quality of performance, not speed.

Step 5 - Practice with --- supervision. Once the instructor is comfortable that the learner knows HOW to do the task without error, the learner should be given opportunity to practice the skill/task to build up speed. At this point, there is an increasing focus on quantity of performance, but NEVER at the expense of quality. This step should continue until the learner and instructor are both comfortable with moving to the final step.

Step 6 - Evaluation At this point, the learner has been guided by the instructor, step by step through each part of the task; has been given opportunity to demonstrate basic mastery of the task by doing the task and explaining each step to the


instructor and has also had a period of practice building up speed while maintaining perfect performance. At this point, a final evaluation (test) is indicated. The test will have been explained in Step 1, so there is no surprise about what is expected

Instructional delivery principle # 6

Know thyself – and your learners! Probably the most important lesson safety professionals can adapt to their own training practice is the fact that there is a constant tension between the instructors unique instructional style, and the normally varied learning styles of everyone else in the learning environment. The smaller the gap between learning and teaching style, the greater the rate of successful mastery, or learning transfer. The wider the gap, the more likely the instructor will view learners with differing styles as ‘tree stumps’, or worse. For that reason, it is important for career instructors to take a few moments to consider their own instructional style, as well as the range of possible learning styles they will encounter. At the very least, this will strengthen their empathy with and sensitivity to the gap that exists between the instructor and learner styles. There are additional factors that can impact the chemistry between instructor and learner, including age, gender, intellect, and personality, learning disorders – all of which can also impact the actual instructional style being employed. There are numerous models available to discuss adult learning and teaching styles, but these are currently among the most frequently cited:

1) David Kolb’s learning theory. Kolb proposes that experiential learning has six main characteristics:

Learning is best conceived as a process, not in terms of outcomes. Learning is a continuous process grounded in experience. Learning requires the resolution of conflicts between dialectically opposed modes of adaptation to the world

(learning is by its very nature full of tension). Learning is a holistic process of adaptation to the world. Learning involves transactions between the person and the environment. Learning is the process of creating knowledge that is the result of the transaction between social knowledge

and personal knowledge.

2) Teaching styles theory. Basically, instructors tend to fit one of the following categories:

A. Expert Possesses knowledge and expertise that students need. Strives to maintain status as an expert among students by displaying detailed knowledge and by challenging students to enhance their competence. Concerned with transmitting information and insuring that students are well prepared. Examples include college/university instructors. B. Formal Authority Possesses status among students because of knowledge and role as a faculty member. Concerned with providing positive and negative feedback, establishing learning goals, expectations, and rules of conduct for students. Concerned with the correct, acceptable, and standard ways to do things and with providing students with the structure they need to learn. May be suitable style for college teaching assistant, or very senior safety professional. C. Personal Model Believes in "teaching by personal example" and establishes a prototype for how to think and behave. Oversees, guides, and directs by showing how to do things, and encouraging students to observe and then to emulate the instructor's approach. Appropriate model/style for many safety practioners in typical ‘instructional’ roles. D. Facilitator Emphasizes the personal nature of teacher-student interactions. Guides and directs students by asking questions, exploring options, suggesting alternatives, and encouraging them to develop criteria to make


informed choices. Overall goal is to develop in students the capacity for independent action, initiative, and responsibility. Works with students on projects in a consultative fashion and tries to provide as much support and encouragement as possible. Especially appropriate instructional style in an organizational culture where a relatively high level of academic sophistication among learners is common. E. Delegator Concerned with developing students' capacity to function in an autonomous fashion. Students work independently on projects or as part of autonomous teams. The teacher is available at the request of students as a resource person. Goal is to have Learner's function autonomously. May contribute to improved learner professional development and learner confidence, as well as increased trust and mutual respect between learner and instructor. However, this depends on the learner's ability to function autonomously. Some learners exhibit higher levels of anxiety when not closely supervised, depending on their own learning style, history and confidence. (adapted from Grasha, 1996, http://www.indstate.edu/cirt/id/pedagogies/styles/5styles.html)

There are many dozens of self-assessment tools online that can be accessed at no cost. Those identifying themselves as ‘trainers’ or ‘instructors’ would be well advised to spend some time familiarizing themselves with a few examples of each in order to best help their learner become “… fully contributing partners with the goals of the employer”. (Sayers, 1994) Unit Eight Self-Study Questions

1. How closely does OSH training in your organization follow the training cycle depicted in this domain? What elements are missing? If any, how do these missing elements impact the overall effectiveness of instruction and training there?

2. Is OSH training in your organization based on clear, objective learning goals? How does your organization

establish learning goals, if any?

3. Is training provided consistent with a single, consistent philosophical framework? Which of the approaches listed best describes the philosophical approach in your organization? What are the strengths/limitations of this approach in your context?

4. What steps are taken in your organization to ensure that all training is clearly and consistently linked to

important organizational goals? If this is not the case, what can you do to help improve the linkage between what your organization says it believes, and the training programs?

5. How many of Kirkpatrick’s four steps are used in assessing training effectiveness in your OHS program? What

steps can you reasonably take to improve the quality of your training assessments?

6. Are there long gaps between provision of training and opportunity to use training? How can this impact the effectiveness of training efforts?

“There are two fundamentally differing views of human nature

and work. The ‘objective view’ sees work as a source of economic means. The ‘subjective view’ is concerned with the

effects of work on the person. By the early twenty-first century, quality will become a commodity, and companies will be

distinguished by the wholeness of their people.”

Bill O’Brien, former CEO, Hanover Insurance Company


7. How closely do your OSH instructional programs reflect actual conditions under which the learners must use the new skills and/or knowledge? If there are gaps, what steps can be taken to minimize these gaps?

8. The model depicted for teaching manipulative skills is widely accepted in industry. Is this model in use in your

OSH program? How could this model strengthen instruction on topics like machine guarding, PPE use, equipment maintenance, WHMIS, and other basic workplace skills?

9. How would you describe your personal instructional style? Which type of learner are you most comfortable

working with? Which learning style creates the most difficulties for your own teaching style?


Additional Resources Recommended Readings Bird, Frank E. and Germain, George L. (1996). Practical Loss Control Leadership. Revised Edition. Det Norske Veritas Inc., Loganville, Georgia. Suggested Additional Reading Belasco, James A.; Stayer, Ralph C. (1993). Flight of the Buffalo: Soaring to Excellence, Learning to Let People Lead. Warner Books, New York.

Blanchard, Ken; O’Connor, Michael (1997). Managing By Values. Berrett-Koehler Publishers, San Fransisco. Dennis, Pascal (1997). Quality, Safety, and Environment. ASQC Quality Press, Wisconsin.

DePree, Max (1989). Leadership Is An Art. Dell Publishing, New York. Greenleaf, Robert (2002). Servant Leadership. Paulist Press, New Jersey Kirkpatrick, Donald L. (1998). Evaluating Training Programs; The Four Levels - 2nd Edition . Berrett-Koehler Publishers Inc., San Francisco Kelloway, Kevin E., Francis, Lori, Montgomery, James (2006). Management of Occupational Health and Safety, 3rd Edition. Nelson Publishing, Toronto Laird, Dugan; Holton, Elwood F. III; Naquin, Susan (2003). Approaches to Training and Development – 3rd Edition. Perseus Books Group, Cambridge, USA. Langton, Nacy; Robbins, Stephen P.; Judge, Timothy A. (2010). Organizational Behaviour: Concepts, Controversies, Applications. 5th Canadian Edition. Pearson Canada Inc., Toronto.

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