BEHAVIORAL SCIENCE IN BUSINESS

Lawrence Zeitlin
Professor of Organizational Behavior
Graduate Center – City University of New York

1. THE EVOLUTION OF WORK IN THE WESTERN WORLD:

Pre-industrial technology: The craft method of production was used in Europe prior to 1600
and is still in use in many agrarian and underdeveloped countries. It is characterized by: intensive
use of labor, unit production, little division of function, and is demand driven. There is high
variability in products and procedures which are dependent on the craftsman's skills.

Craft based production methods - a small number of workers perform all tasks required to
convert materials to a finished form. Little standardization of output. Products are produced on
an individual or small batch basis, largely to customer order. Natural or slightly modified
materials are used. There is little
use of power in the production process. Training of craftsmen is by apprenticeship. Young
people apprentice themselves to master craftsmen, exchanging their services for a period of years
to learn the trade.

Low productivity ratio - Low productivity per worker was tolerable because of low labor cost.
The agricultural productivity ratio, the total population divided by the number of persons
involved in food and raw materials extraction, in pre-industrial societies was approximately 2:1.
The majority of the population was rural. Fewer than 10% lived in urban areas.
Control of product quality - Because products were not standardized, the craftsman assured
that each of his products would function as required by making adjustments to the product before
delivering it to the buyer. Individual modification or customization was the rule and the process
tolerated a wide range of individual difference in design and production techniques. Indeed, it is
just this product variation that make crafted items collectibles today. Control of the product
implies that all variances in production are corrected at once by a final adjustment. Example: if a
gunsmith makes a rifle that shoots a little to the left, he bends the barrel a bit to the right until it
shoots straight.

The decline of the craft system of production: The Black Death - The craft system started its
long, slow decline following the outbreak of bubonic plague in Europe in 1347. By the time the
"Black Death" had run its course, nearly 50% of the population of Europe had died, a total of
over 25 million. In some areas the death toll reached 70%. As a result of the plague, the Church
lost much of its influence (since priests died just like sinners), intellectualism flourished, social
unrest increased, and there were widespread labor shortages. Wages tripled within three years
and enterprises which depended upon a ready supply of cheap labor suffered. The serf system of
agriculture disappeared within a century as farms were consolidated and serfs became "freemen".
The wealth of the dead was inherited by the living and the demand for goods increased. The
Proto-industrial factory: Power applied to production - The low productivity of the craft system
was unable to supply the demand for goods and the emerging merchant class began to seek other
forms of manufacture. The first approach was to reduce the labor intensiveness of craftwork by
the judicious application of power to the productive process. Water wheels and windmills had
been known since ancient times but their use was uneconomical given a large and cheap labor
supply. Powered workshops became more common toward the end of the 16th century. Water
wheels up to 30 ft. tall were used by mills in Germany in 1500. In order to use the power of such
a large wheel, a number of workers had to be gathered in the same location. Further, only a
limited number of streams could provide sufficient water flow on a reliable basis.

Start of specialization - Craft work was disassembled into those portions which could
conveniently make use of power in the production process and those which could not. Garment
making, for example, divided into fabric making, which could use power in the spinning and
weaving process, and the tailoring of clothing, largely a manual craft.

Conditions necessary for the development of the factory system were:

1. Capital - ready access to capital was required for investment in facilities and machines.
2. Markets - higher productivity required more efficient distribution and ready access to
markets, either domestic or foreign.
3. Raw materials - ample supplies of raw materials necessary for conversion. Early industial
countries sought colonies both for their materials and as markets for products.
4. Manpower - the factory system required concentrated manpower available only in cities.
Protofactories were established in centers of population with good access to transportation and
attracted more workers from the surrounding farmland by providing stable employment. The
factory system was a major contributor to the urbanization of society.

Early factory systems - Early factories were characterized by:

1. Use of indivisible natural power sources, generally waterwheels.

2. Location near streams or rivers for both power and transport.
3. Collection of workers under one roof to make use of machines.
4. Simple, unsophisticated transformation of natural materials. (Flax to linen, wheat to flour, ore
to iron)

The 18th century factory - About the time of the American Revolution, the factory concept had
evolved to incorporate the steam engine and more sophisticated production technology.
Craftwork was fragmented into still smaller units which could be adequately performed on the
machines of the time. The labor component was high but the skill level was reduced to the point
that the apprenticeship system was no longer necessary.
Standardized parts concept - The use of interchangeable parts in manufactured goods
originated in France in the late 1700's. It was observed by Thomas Jefferson while he was
Ambassador to France and was recommended for use in America . The basic concept consists of
making all related parts of a series of manufactured goods compatible, i.e. all gun barrels of a
given series of rifles, will fit all gun stocks of the same series. In both the craft system and in the
early factory system, each barrel was fitted to its gun stock individually, by skilled workers. If
the stock broke in the field, a new one would have to be made to fit the specific barrel. In
France , such standardization was achieved by training highly skilled workers to fit largely
handmade parts to a standard pattern.

The "American system" - In 1810, Eli Whitney won the Springfield Arsenal contract for
10,000 rifles by demonstrating and agreeing to supply weapons with fully interchangeable parts.
Any part selected at random would fit any rifle. In the U.S. , a country with labor shortages and a
weak craft tradition, standardization was achieved through the design of specialized tools and
jigs that enabled lower skilled workers to repetitively produce identical parts. This approach was
soon called the "American System" of manufacture. Main theme of standardization - Every unit
of production is identical. The tolerance for human and manufacturing errors is reduced to the
point where the total accumulation of error of all parts of a product is lower than the maximum
allowable error of the completed product. Minimization of manufacturing errors requires total
control of the manufacturing process. Because the final product is assembled of many
components, acceptable quality is achieved by:

1. Standardization of production processes for each component part.

2. High manufacturing precision requiring the use of jigs, fixtures and measuring devices to
insure each part is within error limits.
3. Reduction of human variability in the production process by the specialization of work,
selection of personnel minimize differences, training in standardized procedures, and close
supervision to insure low error performance.

Modern factory systems - The convergence of the two trends in manufacture, application of
power to the production process and the standardized parts concept, resulted in the modern
factory system. The system is highly efficient in multiplying human labor by the use of power
and minimizing handwork by the use of interchangeable parts. It provides high quality, mass
produced products at a reasonable cost.

Characteristics of the modern factory system:

1. Capital and power intensive.

2. Aimed at mass or series production.
3. Involves great division of function.
4. Production driven.
5. Economic production quantities require increasing demand.
6. Reduction of production variability through standardization of production.
7. Quality through control of process.
Consequences of the factory system - Most of the concerns of industrial organizations arise
from the technology of the 19th century factory system. The power sources of the time were
large and indivisible. It is not practical to use individual steam engines or water wheels at each
machine. For greatest efficiency, hundreds of workers had to be gathered under one roof to use
the output of a large stationary steam engine. The factory system required the coordination of the
efforts of large numbers of workers performing standardized tasks while keeping individual
variation as small as possible. In essence, the worker became an adjunct to a machine, a cog in
the production process. Efficiencies of production permitted lowering prices, and, in the 20th.
century, decreasing the length of the work day. Both factors served to increase demand and
hastened the conversion to the factory system.

Evolution of the factory system - The factory system is still evolving to accommodate changes
in production technology, legislation, and the physical and social environment. These changes
include:
Divisibility of power sources - the use of small electric motors and gasoline engines have
permitted power sources to be attached directly to machines located in remote areas. There is no
longer a mechanical need to house large numbers of workers in the same area. Workers may be
placed where needed to enhance work flow or distribution. This distribution of workers makes
direct supervision more difficult.

Ease of communication - telephone and data communications systems permit information to be

transmitted between units of an organization with ease. Face to face contact, although desirable,
is no longer necessary for business. Ease of communication decreases the number of levels
through which information and directives must pass, reducing the number of personnel whose
primary function was transfer of information.

Ease of transportation - personnel and goods can be moved worldwide in a matter of hours.
Combined with ease of communication, the large scale integrated factory, as a physical entity, is
no longer necessary. This has implications on the organization of business, specialization, job
design, and facilitates internationalization of manufacture.

Mechanization and automation - the availability of cheap computing and control technology
(electronic, mechanical, etc.) has made possible the automation of many repetitive job functions.
Tasks formerly performed by low skilled workers are now performed by machine. Example: the
mechanized cotton picker, introduced early this century, did the work of 50 field hands. It could
pick 1000 pounds an hour while a man picked 20 - resulting in a cost of $5.26 a bale picking
cotton by machine as against $39.14 by hand. As worker replacement technology becomes more
affordable and sophisticated, automation will extend higher up the work hierarchy. Current levels
of automation have had dramatic effects on employment, advancement in organizations, and the
nature and distribution of skills required.

Product sophistication - because of their size or complexity, many manufactured products can
no longer be made by human labor. Examples: microchip electronics, drugs. Automation is a
manufacturing necessity rather than an economic convenience. Changes in manufacturing
technology required by product design has had significant impact on the number and distribution
of persons employed. Increased worker expectations - have changed with regard to the role that
work fills in life. In the more affluent countries, quality of working life (QWL) has become an
important consideration. With the internationalization of business, cultural differences in worker
values and expectations have a considerable influence on personnel management decisions.

Legislative environment - legal constraints have become a significant influence on business.

Employment policy, selection, training, occupational safety, pollution, manufacturing processes,
distribution practices, pricing, etc. are subject to legal control or restriction. Management
freedom of action has become limited.

Competition - there is enough productive capacity to supply any reasonable level of demand in
the developed countries. Except in selected areas, the manufacturing process is no longer
production limited. Demand must be increased by innovation, pricing, utility increases, etc. and
business success cannot be achieved merely by making the production process more efficient.
Short product life cycles - forced innovation creates short product life cycles, requiring rapid task
reassignment and frequent technology changes. The estimated half life of an industrial skill has
dropped from 30 years in 1800 to 10 years in 1900 to about 3 years today, with obvious
implications for frequent retraining, career development, education, personnel selection.

Financial considerations - the primacy of finance as a forcing factor in business decisions has
increased in recent years. Conglomeration, takeovers, leveraged buy-outs, tax law changes etc.
have made production and/or personnel considerations irrelevant in many cases.
Internationalization of business - Business has become truly international with similar products
being made in a number of countries and organizations functioning worldwide. Local culture and
politics play an important role in decisions.

Success of the factory system -The factory system survives because it is the most efficient
method of multiplying human production of goods and services yet devised. In the United
States , only 13% of the population provides all the raw materials and manufactured goods
required by the remainder of the population. Food production requires 2% of the working
population, an agricultural productivity ratio of 50:1. Indeed, the productivity of the factory
system is so high that underemployment is a chronic problem of many developed countries,
requiring socially approved means to increase consumption (advertizing, built in obsolescence,
fashion); decrease the potential labor force (shortened work hours, lengthened vacations,
elimination of child labor, manditory educational requirements, social exclusion of women, etc.);
and underutilize productive capacity (govt. imposition of environmental and safety
considerations, restriction of competitive activities, etc.).

The factory as a model - Because of the success of the factory system, its basic tenets,
specialization of job function and the use of technology to multiply human labor, spread to other
areas of endeavor, including such diverse fields as agriculture, education and medicine. The
factory system can be considered a model for the workplace in the Western world. Business
offices are "paperwork" factories; schools, "educational" factories; hospitals, "patient care"
factories, etc.
Work in craft based production - Considered in the light of 20th century organizational
psychology, craft systems met many of current criteria for job satisfaction.

1. The work itself was mentally challenging providing satisfaction from successful task
completion.
2. The work permitted individual variation and freedom of expression.
3. Craftsmen could work at their own pace, financial rewards largely determined by individual
effort.
4. Success in craft provided a measure of self esteem.
5. Associations of craftsmen (in some countries) provided a degree of social and economic
support which modern labor unions have only begun to approximate.

Work in the factory system - From the viewpoint of the worker, factory productive efficiency
has been gained by a sacrifice in human values .The factory system implies:

1. Restricted behavior (rules, standardized procedures) approximating forced regression to a

childlike form of behavior.
2. Restricted opportunity for individual expression. Reduction of individual variability requires
performance within narrow range of tolerance.
3. Boredom caused by machine paced work of unvarying nature.
4. Substantial dissociation of reward from effort.
5. Little sense of accomplishment or whole task completion.
6. Success achieved by rising in hierarchy, since skill improvements are limited by job structure.
7. Social relationships not facilitated by work activity.

I/O Psychology and the factory system - Many of the efforts of psychologists have been
directed to facilitating worker adjustment to the demands of a factory system shaped by 19th
century technology. Most textbooks published prior to 1990 reflect these concerns.

1. Jobs are studied through work analysis procedures to design optimum procedures
which minimize human variation.
2. Selection techniques are refined so workers can be chosen who provide maximum output with
minimum supervision.
3. Human motivation is studied to facilitate the control of behavior or to provide job satisfaction
in an inherently frustrating environment.
4. Leadership is studied to specify individuals who can control workers in diverse situations.
5. Organizations are designed to maximize communication and control.
6. Workers are evaluated to see if they meet the criteria imposed by the system.
7. Equipment and work procedures are engineered to facilitate productivity with
minimum involvement of human capabilities.
8. Finally clinical psychologists in the industrial setting, deal with workers unable to make an
adjustment to job stress.
2. PERSONNEL PSYCHOLOGY - LOGIC AND RATIONALE

Personnel Psychology uses the techniques of the behavioral sciences to staff an organization
with trained, qualified workers.

Benefits to the organization are based on the recognition that, for most jobs, the variation in
individual work related performance is likely to be greater than the range in compensation, thus
it is possible to increase productivity or work quality without incurring corresponding increases
in cost. Since labor costs are the dominant cost of doing business in all but a few endeavors,
suitably staffing an organization may be the single most beneficial step taken by management in
increasing profitability or organizational effectiveness. This situation is most likely to occur
where worker output can vary (sales, management, non-production line factory work, skilled
labor, professions, etc.) but employment costs (benefits, overhead, investment, etc.) are relatively
fixed. Benefits to the individual worker are based on the assumption that the quality of both
personal and work life are likely to be better if the physical, intellectual and emotional demands
of work are suited to the capabilities and aspirations of the worker.

Staffing the personnel system is a step by step process of identifying organizational needs for
personnel in specific jobs, analyzing characteristics of those jobs that lend themselves to the
development of predictors, specification of charactistics of suitable job applicants, assessment of
job relevant characteristics of candidates, selection of candidates who meet criteria and
subsequent training of successful candidates (where necessary) in organizationally specific tasks.

Performance differences between workers are caused by the interaction of three sets of variables:

1. Individual variables - dependent on worker:

a. Intrinsic characteristics - physical abilities, intelligence, personality, age, sex.
b. Background - specific training, prior work experience, education.
c. Motivation - willingness to perform for job relevant incentives.

2. Situational variables - dependent on pecific work situation:

a. Physical work conditions - environment, lighting, temperature, hours, shift work.
b. Equipment - age, speed, compatibility with worker skills, automaticity, etc.
c. Procedures - specific work procedures, scope of assignment, suitability for equipment, etc.

3. Organizational and social variables - dependent on organization and society:

a. Supervisory style - authoritarian to participative, span of control, worker or task oriented.
b. Incentives - form of "implicit" bargain; economic, social, status incentives.
c. Social environment - company "culture", unionization, work grouping.
d. Culture - work values, acceptance of authority, individual vs. group, work vs. family, etc.
Measurement criteria. Quantification of performance differences is desirable to match
individual workers with jobs requiring various patterns of skills and personal attributes.
Measurement requires comparison of performance with a standard or criterion. Several
categories of job related behavior are used as criteria. These include:

1. Performance criteria - where job related behavior can be directly measured. (sales, units
produced, speed of performance, quality of output, etc.).

2. Cost criteria - these criteria refer to the expense incurred in providing a worker at a given
position and are used when performance can not be directly measured. They include:
a. Tenure - turnover, time in grade, training and replacement cost, etc.
b. Attendance - absences, lateness, cost of substitutes, etc.
c. Accidents and health costs – number and cost of accidents, illnesses, insurance.
d. Disciplinary costs - altercations, fights, worker-mgt. conflict, grievances.

3. Physiological criteria - used in situations where considerable work stress occurs such as
police, air traffic control, emergency medical, etc. Include: stress level, heart rate, anxiety tests.

4. Status criteria - prior work related accomplishments such as degrees, promotions, salary,
"credentials", etc.

5. Subjective criteria - ratings of performance and other attributes by knowledgeable persons.

Qualification of criteria. While almost anything can be used as a standard against which to
measure performance, useful (and legal) criteria share three characteristics. These are:

1. Relevance. The criterion must be relevant to the particular job for which a potential worker is
being evaluated. Thus a measure of typing skill is suitable for a position as typist. Beauty, sex,
and age are not relevant criteria.

2. Freedom from contamination. Differences in measured performance must be due only to

variation in the attribute being evaluated. If typing speed is used as a criterion of typing
performance, differences in test score should be due only to the skill of the typist, not to
differences in typewriters, lighting levels, or complexity of test materials.

3. Reliability. The criterion should be stable. Yardsticks should not be made of rubber. Identical
performance on successive administrations should result in (nearly) identical scores.

Identification of Predictors - A rational approach to personnel selection involves the

identification of predictors, measures of individual difference of job candidates, which correlate
highly with eventual performance on the job. Predictors may be any legal, job relevant measure
of individual difference, including test scores, recommendations, work samples, academic
records, and job histories. Much of the effort in Personnel Psychology is devoted to the
identification of predictors which provide an early, reliable, low cost estimate of job performance
prior to hiring.
3. THE DIVISION OF WORK IN ORGANIZATIONS

Definitions: Any action performed by a worker in the course of his/her work is a task. All of the
tasks performed by a single worker define the worker's position. There are as many positions in
an organization as there are workers. All similar positions constitute a job, which is usually
described by a single job title. A group of related jobs progressing from entry level through
senior level and occupied by individuals during the course of their employment is a career.

Division of work into JOBS - An individual entrepreneur performs all of the tasks necessary to
carry out the functions of a business. As the business grows and others are hired, the work must
be divided into specific jobs. Several approaches to job design are used. Real organizations
employ a mix of strategies.

Job design by TOP DOWN satisfaction - Bases work allocation on the premise that
organizations are run to suit the needs of their dominant members. Top members keep work
functions which give them maximum satisfaction, pass down less satisfying tasks to lower
members. The result is that lowest members have the least satisfying jobs. This approach is
usually followed during the formative years of most organizations when activities overlap and
work is ill defined, and at the upper levels of mature organizations.

Job design by TASK SPECIALIZATION - Work is structured by grouping similar tasks and
functions into units which can be performed by an individual during the course of a working day.
Tasks may be grouped by skill level, physical capability, training, intelligence, sex, social class,
etc. It is the predominant method used for middle and lower levels of mature organizations. Job
specialization facilitates worker training and mobility. Since the functions to be performed in
organizations in the same business sector are similar, specialization permits off the job training
and personnel transfer between like areas of specialty.

Efficiency as a criterion of job design - Modern industrial practice uses efficiency as the
primary criterion of job design. Productivity or man hours of input for each unit of output is used
as the yardstick. There are several objections to using efficiency (productivity) as the sole job
design adequacy criterion. These include:

1. Productivity is a contaminated criterion - it may well depend as much on

capital investment per position or on work procedures as on worker performance.
2. Workers protest dehumanizing job designs passively by lowering output or
actively by labor unrest or sabotage. Turnover is higher. Dissatisfied workers increase overall
costs to the organization, either to cope with lower productivity or to increase hiring and
replacement costs.

Job satisfaction criterion of job design -The HUMAN RELATIONS movement offered job
satisfaction as an alternate criterion, operating under the assumption that satisfaction correlates
with productivity. Unfortunately research has failed to demonstrate a significant correlation
between the two, other than in the reduction of turnover.
Combined efficiency-satisfaction criteria - The optimal job design would permit employees to
gain important personal satisfactions in direct proportion to the degree of productive, efficient
work. (This is, in effect, a return to the craftwork approach.) Most modern theorists have adopted
this conjoint criterion. The consensus of current theory is that a job must be structured to:

1. Allow a worker to feel personally responsible for a meaningful portion of

his/her work.
2. Provide outcomes which are intrinsically meaningful or otherwise experienced as
worthwhile to the individual.
3. Provide feedback about what is accomplished.

4. JOB ANALYSIS AND THE JOB DESCRIPTION

Job analysis is the collective name for the techniques by which existing jobs are studied to
derive a job description. Techniques include:
1. Observation techniques - ranging from unstructured observation, through checklist
aided observation, to formalized time and motion analysis. Observation is essentially looking at
work being performed.

2. Interrogation techniques - ranging from unstructured interviews, through structured

interview, to
position analysis questionnaires. Interrogation involves asking how the job is performed.

3. Documentation techniques - study of old job descriptions, archival material,

personnel records, equipment manuals, Dictionary of Occupational Titles, job descriptions of
other companies, etc. Documentation techniques involve reading information about the job.

Job descriptions are documents that contain information about the job sufficient to
specify the requirements for personnel to fill that job. The most important types of information
are tasks, duties, skills, knowledge and abilities. Job descriptions are used for organizational
decision making, personnel actions including hiring and promotion, wage and salary
determination, equipment and work design, and training. Most job descriptions include:
1. The job title and location within the organizational hierarchal structure, including
relationships to other jobs.

2. An exact description of the work. Scope of duties and responsibilities. Explicit and
implicit requirements.

3. Specific knowledge, skills, and experience required of the job holder.

4. Personal characteristics required (initiative, alertness, perceptual abilities, physical

abilities, etc.)

5. Standards of productivity and performance required. Methods of evaluation.

 6. Working conditions, including, equipment, techniques, environment, etc.

7. How the position is attained, including selection and training procedures, prior job
requirements, etc.

5. EMPLOYMENT AND THE LAW

Assumptions: The U.S. government has always operated under two, often conflicting,
philosophies in the regulation of employment. The first of these, equality under the law, attempts
to assure equal opportunity for all citizens in hiring, promotion and pay. Examples are: civil
rights and fair employment laws, equal pay laws. The second, preferential treatment, attempts to
satisfy social objectives by treating selected groups differentially. Examples are: veteran's
priorities in employment and education, affirmative action programs. Conflict occurs when
preferential treatment and employment equality concerns converge in a personnel action. The
issue is generally resolved in the courts. Example: U. Calif. Regents vs. Bakke (1978)

Federal Legislation: Laws and regulations influencing employment are:

1. The Civil Rights Act of 1964 (Title VII) - race, color, religion, sex and national origin
illegal as hiring criteria.

2. The Equal Employment Act of 1972 - forms Equal Employment Opportunities Comm.
(EEOC) to enforce Title VII.

3. Equal Pay Act of 1963 - equal pay for equal work (same job title and responsibilities).

3. Age Discrimination Act of 1967 - increases scope of Title VII to cover age.

Federal Executive Orders: Executive agencies which influence employment:

1. Office of Federal Contract Compliance, 1965 (OFCCP) - forbids discrimination on

Federal contracts.

2. Fair Employment Practices Commission (FEPC) - reviews practices of Gvt.

agencies concerning discrimination.

3. U.S. Office of Personnel Management - issues Uniform Guidelines on Employee

Selection.
State and Local Agencies: State and Local legislation and agencies can impose stricter rules that
the U.S. Govt. Examples: Sexual preference is not considered under Federal law but cannot be
used as a criterion for employment in NYS. Similarly HIV positive status is considered a
handicap, not a disease, in NYS and is protected in hiring.

Adverse impact: Employment discrimination is assumed if an employer has a hiring rate less
than 80% of a group's representation in the potential work force. Example: if only 20% Blacks
are hired for a company located in Harlem , unfair discrimination is indicated. Several groups are
specifically "protected" under current regulations. These are: African-American, Native
American, Hispanic, Native Alaskan, Native Pacific Islander. The remedy for discrimination is
usually fines or penalties, mandated hiring of impacted worker(s), and preferential hiring of the
impacted group to increase its representation to the 80% or higher level.

Affirmative action: Preferential treatment in hiring or selection is given to protected classes to

remove the past effects of adverse impact. This may take the form of hiring quotas, setting aside
"minority" places, dual hiring procedures, bonus scores on tests. etc. How much preference given
and how long programs should last are questions yet unanswered.

Selection and discrimination: Selection always involves discrimination. Federal and State
courts have held that employers have the right to use selection criteria which are job relevant.
These include work experience, education, skills related to the work, and physical characteristics
related to the work. It is illegal to use selection criteria prohibited by law (age, sex, race, religion,
etc.) or those of a personal nature (marital state, economics, military discharge, arrest record,
etc.) which are not job related. There are exceptions (age of airplane pilot, police record of bank
teller, etc.) but they are not common and must be supported by evidence. The U.S. Supreme
Court affirmed the right of the employer to use job relevant selection methods in Griggs vs.
Duke Power Co. (1971) and Albermarle Paper vs. Moody (1975). NYS courts have held that
employees have a property interest in jobs, hence employers must show cause before firing.

6. PERSONNEL RATING SYSTEMS

Personnel ratings: Ratings are (subjective) assessments of job relevant characteristics made for
ranking individuals prior to taking some personnel action. They are judgments of how much of a
particular characteristic or trait the person being rated possesses. To be effective, ratings must be
reliable and valid. Reliability implies that the rating must be repeatable. Successive ratings of the
same individual should give similar scores. Independent ratings of a given individual by several
raters should also agree. Validity implies that the ratings reflect the "true" variable being rated.
The rating and an independent assessment of the actual job relevant characteristic or
performance should agree.
Rating systems: Several types of rating systems are used to facilitate making judgments and
increase reliability. These include:

1. Rating scales - require assessment of characteristic or trait on a numerical or multiple

step scale. Example: female beauty on a 10 point scale; ice skating skill on a 6 point scale, etc.
Best when there are accepted standards.

2. Personnel comparison systems - one individual is compared with another individual

or group of individuals.
a. Rank order - group of individuals are ranked in terms of rated trait or characteristic.
This is a good, quick system for groups of 10 or fewer, but rankings are reliable only for first and
last few ratees.

b. Paired comparison - each individual is compared with one other, the best is selected,
the bests of adjacent pairs are compared, and so on. In this way a ranking can be derived. The
paired comparison approach is extremely reliable but is very time consuming for large numbers
of personnel since the number of comparisons grows exponentially. Comparisons = N(N-1)/2.
i.e. 45 comparisons for 10 ratees, 190 comparisons for 20 ratees.

c. Forced distribution - ratees are allocated into fixed groups according to a

predetermined system. In college this is called "grading on a curve". In a large class, for
example, 10% are given a grade of A, 20% are given B, 40% get C, 20% receive D, and 10% get
F. Judgments are grouped in broad categories.

3. Critical incident techniques - some behaviors are so critical to job performance

(coolness under stress, excessive drinking, etc.) that the presence or absence of the behavior is all
that is necessary to determine acceptability or unacceptability. A rating is based on the
observation of the presence or absence of the critical behavior.

4. Behavioral checklists and scales - for well studied jobs, checklists of relevant behaviors
can be developed which ask the rater to make judgments only of specific ratee actions. The
checklist technique increases reliability because it merely asks the rater how much of a behavior
is present, removing from the rater the requirement to judge if a behavior is job relevant. Student
ratings of instructor performance, as used at colleges, are behavioral checklists. The overall
rating is derived from the numerical score given on the various items in the checklist.

Distortion and error in ratings: All personnel judgments are subject to error resulting from the
rater's inability to be perfectly objective. The halo effect results from a rater's tendency to be
overly influenced by one characteristic of a ratee, and letting the judgment on that characteristic
sway the judgment on all other characteristics. Example: a pretty candidate for a job as secretary,
is judged less critically on job relevant characteristics than less pretty candidates.
Stereotyping is exhibited when the rater lets one characteristic of an entire group influence
judgments of job relevant behaviors of any member of that group. Example: if a rater feels that
women (as a group) make poor executives, then any female candidate for an executive position
will be rated poorer than a man of equal qualifications. Stereotyping is illegal if the judgment is
based on any prohibited criterion, but pervasive nevertheless.
The Contrast effect is the tendency of the rater to compare each individual with the one who
came before. If the first candidate is good, the present candidate will seem poorer by comparison,
and viceversa.

Constant error is the tendency of the rater to concentrate ratings on one end or the other of a
scale, i.e. lenient or strict.

Range restriction is the tendency to use only the central part of a scale, excluding high or low
ratings. Both of these numerical errors can be nullified by normalizing rater's scores. Control of
rater bias is best handled by careful construction of rating scales and training of raters.

7. PERSONNEL TESTS

Personnel tests - A test is a sample of behavior, observed under controlled conditions, used to
predict future behavior. The use of tests in personnel selection assumes behavioral constancy;
that is, that behavior remains relatively constant over time. In personnel work, tests are used to
measure psychomotor abilities (physical and perceptual characteristics), job specific abilities
(skills such as driving, typing, etc.), cognitive abilities (mental skills and intelligence),
personality, and interests (vocational preferences).

Test reliability - reliability is measured by the correlation of one test score with a second test
score. Several types are:
1. Stability: same group, different times. Example: typing test score today, typing test
score tomorrow, same person.

2. Equivalence: different groups (same general population), same time. Example: test
score, two Baruch psych. classes.

3. Internal consistency: all parts of the test should be consistent. Example: first half
should correlate with second half.

Test validity - test scores should correlate with independent determinations of the characteristic
to be measured. Several types are:
1. Content validity: measures agreed upon representative sample of behavior which
defines content area. Experts define sample of job behavior. Examples: skills measured in
driving test; job sample test; actor's audition.

2. Construct validity: attributes which underlie desired behavior. Examples: intelligence

and SAT scores underlie college success; physical strength and endurance underlie success as a
sanitation worker.
 3. Criterion related validity: test scores are correlated with the actual performance of
workers on the job.Criterion related validations of selection tests hold up best in court tests.

a. Predictive validity - an applicant sample is tested, hired without reference to the

test, test scores correlated with job performance of the same sample at a later date.

b. Concurrent validity - presently employed sample tested, test scores correlated

with present job ratings.

Relationship of reliability and validity- A test can never have a higher validity than its
reliability since it can never have a higher correlation with any other measure than with itself!
Tests with validities lower than 0.5 have low predictive efficiency and should be combined with
other measures in a selection battery. Tests with validities lower than 0.2 probably should not be
used in personnel selection at all.

Personal attributes measured - tests for the following attributes are listed in declining order of
reliability and validity:
1. Physical characteristics, performance - size, speed, perceptual ability, strength.
Examples: eye test, running speed.

2. Skills and job related performance - Examples: typing test, driving test.

3. Achievement test - measures skill learned after fixed period of exposure to content
material. Example: school tests.

4. Aptitude test - uses aptitude test score in given area to predict future performance in
same area. Example: use of school grades to predict college performance. Note -
achievement and aptitude tests are similar. The prediction is different. Example: SAT

5. Intelligence test - an intelligence test is a generalized aptitude test used to predict

overall intellectual performance.

6. Interest test - a measure of vocational likes and dislikes, often used to predict
satisfaction with a vocation.

7. Personality test - used to predict patterns of response to life situations. Since daily
mood swings alter responses on personality tests, test reliability tends to below. This may be due
to poor test design and/or to subject variability.
8. TYPES OF TESTS USED IN SELECTION

Cognitive abilities - tests of cognitive abilities measure one or more of the following mental
abilities:

1. Thinking flexibility and speed.

2. Fluency or variety of thinking.
3. Inductive reasoning.
4. Associative (rote) memory.
5. Memory span.
6. Number facility.
7. Perceptual speed.
8. Deductive reasoning.
9. Spatial orientation and visualization.
10. Verbal comprehension.
12. Visual memory.

General validity of cognitive tests - Cognitive tests are best at predicting ability to learn and
perform jobs requiring moderate to high levels of mental functioning. On average such tests have
validity coefficients of 0.40 with learning criteria and validities of 0.30 with job proficiency
criteria. Thus they are useful, but not sufficient, instruments for selection and should be
combined with other measures in a test battery. The Differential Aptitude Test and the Otis
Test of Mental Ability are group administered examples of cognitive tests. Reliable individually
administered intelligence tests such as the Wechsler Adult Intelligence Scale (WAIS) are
sometimes used in executive selection but are costly for general use.

Mechanical ability tests - Mechanical ability tests take two forms. The first is a cognitive
abilities test in which the test content is restricted to mechanical and physical science
information. Such mechanical comprehension tests are useful for selecting personnel whose
interests and knowledge lean toward things mechanical. The Bennett Test of Mechanical
Comprehension is typical of this group. The second form of mechanical ability test requires the
demonstration of actual skill in manipulation, assembly, or disassembly of standardized objects.
It is a generalized work sample test. The validity of both types of test average 0.35 for learning
mechanical skills and 0.20 for predicting job proficiency.

Psychomotor and physical abilities tests - Psychomotor and physical abilities tests measure the
following:

1. Reaction time
2. Movement speed and precision
3. Limb coordination and flexibility
4. Static and explosive strength
5. Manual dexterity and steadiness
6. Endurance and stamina
7. Balance
The validity of physical and psychomotor tests is highest for simple tasks which utilize these
abilities in a nearly "pure" form. These skills often comprise a portion of the underlying abilities
hypothesized in construct validation approach to the development of selection tests. Typical tests
are the Purdue Pegboard and the Stromberg Dexterity Test.

Perceptual tests - Visual and auditory abilities are critical to many jobs. Tests in these areas are
used both as absolute criteria and as performance predictors. Specific visual abilities tested
include acuity, color discrimination, and depth perception. Auditory tests include monaural and
binaural hearing loss and frequency range. Typical of this group are the Snellen Visual Acuity
Test and the Ortho-Rater Visual Test.

Job specific tests - Work sample tests and job specific tests examine knowledge and abilities
used on the job by requesting the applicant to perform a portion of the job under standardized
conditions. Driving, typing, and lifeguard tests fall in this category. So too do qualification tests
for pilot's licenses and inbasket tests for executives. Job specific tests have a relatively high
validity but are limited to areas where job relevant behaviors can be easily sampled.

Personality tests - Personality tests used in business are primarily questionnaires which ask the
individual to identify the behavior most typical of his/her response in a given situation.
Assuming that the respondent is not trying to deceive, the principle of behavioral consistency
suggests that a similar behavioral pattern will be exhibited in the future. A variety of behavioral
models have been proposed, but most personality tests attempt to predict dominance, aggression,
compliance, social consideration, impulsiveness, persistence, etc. Typical group administered
personality tests include the Edwards Personality Preference Schedule (EPPS) and the
California Psychological Inventory (CPI). The validity of personality tests is low for most jobs
except those where social interaction is critical, i.e. salespersons. Clinical personality tests such
as the Minnesota Multiphasic Personality Inventory (MMPI) and projective tests such as the
Rorschach Ink Blot and the Thematic Apperception Test (TAT) are used on occasion but
have very low validity. The legality of non-job relevant questions on personality tests is currently
under review by the U.S. Supreme Court.

Interest Inventories - Interest inventories request the person being tested to indicate the strength
of interest or liking for job related activities, hobbies, recreations, situations, etc. Patterns of
interest exhibited by successful job incumbents are then matched against the pattern elicited by
the testee. The assumption is that individuals will like (and be satisfied with) jobs where their
interest pattern matches that of successful persons already in the job. Interest tests are useful for
predicting tenure and turnover. Since skill or ability is not measured, no prediction can be made
of job success. Typical interest inventories are the Strong- Campbell Interest Inventory (SCII)
and the Kuder Preference Test.

Faking of tests - Test faking is more likely in employment situations, where there is a strong
motivation toget the job, than in clinical situations. Since every candidate tries to appear as good
as possible, the effect of faking can be minimized by developing scoring norms specifically for
the job situation, rather than using clinical or national test norms. Some tests include faking
scores which identify typical response patterns of fakers. In a sense, the successful faker is
demonstrating a good knowledge of the behavioral characteristics required for a job. If he/she
can play the same role after employment, chances for success are good. If you can fake sincerity,
you've got it made.

9. BIOGRAPHICAL DATA

Biographical data - Biographical data (biodata) is personal, background, educational, and

occupational information about candidates secured from application forms or Biographical
Information Blanks (BIB). Additional sources of biodata are interviews, references, educational
transcripts, police and military records, and credit checks. An extensive survey of the literature
shows that biodata and tests are the two best predictors of job performance. Biographical data
from whatever source are subject to the same legal restrictions as other selection criteria. The
Uniform Guidelines on Employee Selection prohibit discrimination on grounds of race, color,
religion, sex, age, or national origin. While it may be legal to collect personal information, it is
illegal to use this information for selection. Application forms and BIBs - The application form
requests factual personnel data (name, telephone number, address), educational data (schools
attended, graduation dates, courses taken, degrees), employment data (past employers, positions
held, salary, duties), miscellaneous job related data (hobbies, languages, skills not shown
elsewhere), and references (job references, personal references, academic references). The BIB
may ask for similar data but usually requests additional detail. Both forms can be "scored" in a
manner similar a test and items or groups of items can be validated as predictors using criterion
validation techniques. If a group of responses, often called a dimension, correlates with job
success, than that group can be used as a predictor.

Dimensions of biodata information include:

1. Trade skills, determined by past jobs.

2. Family relationships.
3. Achievement motivation, job sequence.
4. Academic success, grades, awards.
5. Athletics, extracurricular activities.
6. Socioeconomic level, salary, income.
7. Personal and work related values.
8. Club and association membership.

Accuracy - Biodata can be faked. Experts differ on how much outright lying occurs since, if the
applicant is good at it, it never will be detected. Most applicants are truthful on easily verifiable
information, such as last employer or schools attended; however, inaccuracies occur on items
hard to verify. Salaries are often inflated, bonuses and extra compensation being included in base
pay. Job titles are inflated as well. Janitors become "maintenance engineers". The hardest errors
to detect are errors of omission. Jobs where the employee would not receive a favorable
recommendation vanish from the work history. The same is true for periods of unemployment,
jail terms, etc. A fair estimate is that 75% of all applications contain some factual errors.

Verification of biodata - When possible, biodata is verified by reference checks,

recommendations, and if feasible, credit checks. References, as a whole, have very little
predictive validity. Negative references should be investigated thoroughly since few job
applicants will give references unless they are confident of the recommendation. References
primarily serve as a check on factual information in the biodata.

10. THE INTERVIEW

Uses and abuses of the interview - Interviews are one of the least valid and most used
techniques in personnel selection. Most job applicants are interviewed three times in the
selection process; at initial screening, during evaluation, and before a final decision to hire is
made. Judgments are made about specific aspects of the candidate personal and occupational
history, about personal and social compatibility with superiors and coworkers, and about
characteristics visible in the interview but illegal to determine by other means (race, sex, age,
ethnicity, foreign accent). The interview is not a conversation - Both parties try to appear as
desirable as possible while trying to elicit information from the other that the other does not want
to reveal. The interviewer tries to ascertain the real "persona" of the candidate, the candidate's
true goals, and why the candidate left the last job. In turn the candidate tries to persuade the
interviewer to reveal why the job is vacant, what the real advancement potential of a new
employee is, the "climate" of the organization, and the true economic facts surrounding salary
negotiations.

Interview format and process - Interviews can be entirely unstructured: "Tell me about
yourself." Semistructured: "Let's talk about what you learned on you past job." Structured:
"Please answer the following questions . . . " The more structured the interview, the higher the
interrater reliability. On the other hand, a highly structured interview reveals little that could not
be learned at lower cost through a well designed application blank. The weighting given to
information elicited in an interview is time dependent. Information presented early tends to be
weighed more heavily and influence the perception of later information. It is best to present
favorable information early. Typically, the interviewer judges a candidate based on the early
information, perhaps during the first 5 or 10 minutes.

Applicant variables - Age, sex, race, attractiveness affect favorableness of the interview
outcome, although most interviewers base much of their rating on the perceived competence of
the candidate. Verbal and communications skills are probably the dominating applicant variable
in determining outcome. Situational variables - The most significant situational variable is the
contrast effect. Applicants tend to be judges in comparison to the one who came before. If a good
candidate preceded the current candidate, the current candidate is judged poorer in comparison
and vice versa. Candidates seen early in the morning or very late in the day also tend to be
judged poorer. There are reports of a "Monday -Friday" effect which works against candidates
seen on those days.

Interviewer variables - Many interviewers have stereotypes of "ideal" candidates that they use
as their standard in judging actual candidates. If a real candidate possesses characteristics similar
to that of the stereotype, he/she fares better. Interviewer set implies that an interviewer tends to
have a disposition to evaluate all candidates with a similar bias, either seeking negative
information, or seeking positive information.
Training of interviewers - Training of interviewers can minimize errors in the rating of
candidates; particularly the halo effect, contrast effects, and attitudinal bias. There is little
evidence that training to reduce errors will influence final decisions about candidates. It is
unreasonable to expect that short term training will change well established attitudes.

11. TRAINING IN BUSINESS

Nature of learning - Learning implies a change in behavior that occurs as the result of repeated
performances of a given act. After accounting for such factors as fatigue, maturation, tissue
change, etc. the resulting changes in performance are held to be due to learning. Most learning in
the business setting involves operant conditioning. In operant conditioning, the probability of
occurrence of a given behavior is increased by following it with a "reward", a positive
reinforcement. Positive reinforcements can be anything the person desires or the cessation of
something the person dislikes. Primary reinforcements satisfy basic tissue needs, e.g. food,
shelter, physical contact, sex, etc. Higher order reinforcements are anything the individual has
learned to associate with primary reinforcers, e.g money, praise, shame, etc. Learning is
considered an intervening variable, that is a mathematical relationship describing the change in
behavior due to a series of reinforced (learning) trials.

Progress of learning - Generally most learning occurs during the earliest trials. Less and less is
learned in succeeding trials or training sessions. After a long period of training it tales many
hours of practice for marginal improvements in performance. In learning a sport, golf or tennis,
for example, an individual can learn to play a passable game in a dozen or so sessions. To play
well takes several years. To play at the professional level takes a lifetime of dedication.
Individuals rarely show a smooth relationship between proficiency and trials. In learning a
complex task, there occur periods when no apparent improvement occurs. These plateaus last
until there is some reorganization of the individual's approach to the problem. The implication of
the non-linear relationship between learning time and proficiency is that jobs and prodedures
should be designed to require levels of skill obtainable early in the course of learning. (i.e. a
75% skill level may be obtainable in half the time of a 90% skill level.)

Factors affecting the rate of learning:

1. Knowledge of results (or feedback) - the more timely and direct the knowledge, the faster
the learning.
2. Massed vs. distributed practice - distributed practice generally better for learning
and retention of material.
3. Quickness of reinforcement - the more closely reinforcement is associated with desired
act, the faster the learning.
4. Meaningfulness - generally, the more meaningful the material to the learner, the faster
the learning.
Personnel training - In business training is given in one or more of the following categories:

Orientation training - information about general company policies, activities, and factors
extrinsic to the job. Serves to socialize new employee within context of the company and to
relieve initial anxieties.

Task (or job) training - sometimes called skills training, serves to convey knowledge of job
related skills. Task training also upgrades skills when new equipment or procedures are
introduced.

Attitude training - serves to influence employee attitudes with regard to company or task.

Management development - upgrading of management skills, attitudes, etc. May combine

skills, attitude, and human relations training.

Location of training - where training takes place is largely determined by the number of people
to be trained and the risks, both economic and physical, of inserting semi-trained personnel into
the work flow.
Training can take place:

On the job (OJT) - training that occurs while the individual is performing job tasks. Training is
usually provided by a co-worker or direct supervisor. It is efficient if small numbers are to be
trained and the semi-trained worker does not pose and undue risk to himself or others. OJT has a
negligible start-up cost but is costly if large numbers are to be trained because of the loss in
productivity of the trainer and the low productivity of the trainee.

Off the job - training which occurs in an off line situation, generally in a formalized or school
setting. Designated trainers (teachers) train new workers using specialized training materials.
May be used for all forms of training including management development. Off the job training
has a high start-up cost but becomes efficient when large numbers are to be trained. The off the
job training location may be outside the control of the organization (i.e. colleges).

Vestibule training - is an archaic name for off line training done in a situation which simulates
and gradually leads into on line work. It is usually employed when inserting a semi-trained
worker into the work situation would entail an economic or practical risk by slowing down
production or exposing other workers to danger. The "vestibule" mimics the work situation but
work is performed at a slower pace in a more regulated manner. Vestibule training is related to
simulation, with the difference that the vestibule trained worker is doing real work while
simulation mimics work.

Determination of training requirements - training requirements are determined by subtracting

the measured capabilities of new personnel from the comprehensive listing of required
knowledge, information, and skills for a specific position given in the job description. The
difference, the required knowledge, information and skills, that the new worker does not possess,
constitute the training requirement.

Training methods - the following training methods are in common use:

Lecture - high flexibility, relatively fixed cost, low feedback.
Seminar (small lecture) - highest flexibility, high cost per person, good feedback. Best for
groups <20.
Audio-visual methods, TV - moderate flexibility, no feedback, good for complex material. Best
for large groups.
Simulation - best for learning equipment operating skills where cost or danger of real equipment
is a factor.
Participation (conference, role playing) - best where human relations skills are taught. Very
costly.
Case method - good where few general rules can be directly applied. Builds practical experience
off the job.
Games (computer simulation) - somewhat lifelike decision simulation with speeded time scale.
Quick feedback.
Programmed instruction - material divided into small units, self paced learning, usually
mediated by computer. Best where exact material must be learned. Economical once material is
prepared for presentation.

12. THEORIES OF MOTIVATION

Nature of motivation - Motivation is an internal force within an organism which impels it to

action. It is generally regarded as an intervening variable, impossible to observe directly but
inferred from an observation of the conditions antecedent and subsequent to behavior. In animals
motivation is held to result from unsatisfied tissue needs (hunger, thirst, sex, etc.), the strength of
the motivation being roughly proportional to the time of deprivation. In humans, living in
civilized societies, motives resulting from tissue needs (primary needs) are generally satisfied
by social institutions (the family, mates, etc.). Motives in humans are largely attributed to
secondary or higher order needs, which are attached to primary needs in childhood by a
process of informal classical and instrumental conditioning. Since child rearing and socialization
processes differ between cultures, adult motivational patterns may reveal cultural differences as
well as differences attributed to the individual's unique hereditary and environmental factors.

Motivation in business - Human performance depends both on ability and motivation. i.e.
Performance = Ability x Motivation. Since it is possible to select and train individuals with the
requisite ability, assuring performance requires maintaining adequate motivation.

Concept of the "implicit bargain" - An essential part of management is the establishment of an

implicit bargain with workers that states "If you give me your time and effort, I will give you
what you desire." Limits to the bargain are imposed by economic, ethical, and legal
considerations, of course, but the best bargain can be struck by management offering the worker
what he/she desires most. Thus one worker may desire money, another prestige, another security,
another recognition. Striking a bargain on an individual basis, sometimes known as the
"Different strokes for different folks" theory is impractical if more than six or seven workers are
to be motivated. Effective bargain making is dependent on the uncovering of a single approach to
need satisfaction which can be offered to all workers. The search for the "common denominator
of desire" is the driving force behind motivational research in business.
Need theories in motivation - These theories suggest that human motivation is dependent on the
satisfaction of needs, either rational or emotional. Knowledge of these needs provides
management with
information necessary to motivate.
Rational need theories - are based primarily on the classical philosophy of Hedonism, rational
need
theories suggest that the mainspring of human activity is a self interested desire to seek comfort
and
pleasure and avoid discomfort and pain. The search for satisfaction arises out of conscious
purpose. It is
assumed that man is a rational being who knows what he wants and is responsible for his actions.
The
concept of economic man (man works to maximize wages and avoid getting fired) is at the base
of
almost all motivationally oriented mechanisms (wage policies, advancement policies, etc.) in the
business
world. The theory is attractive to business because it prescribes a single approach to motivation,
the
greater the economic reward, the greater the effort. The major liability of the theory is the
evidence that
man does not always act to maximize economic reward. Economic incentives appear to have a
short term
effect on influencing effort. Regardless of theoretical merit, this is the approach to motivation
overwhelmingly adopted in practice!
Expectancy theory - is a modification of the rational approach, proposed by Vroom, that assumes
that
workers are decision makers that choose among various courses of action by selecting the one
that offers
the greatest return. The choice is based on the attractiveness or valence of a particular outcome,
the
instrumentality or correlation between performance and outcome, and the expectancy or belief
that a
specific behavior will result in the outcome. When faced with the opportunity for a number of
possible
behaviors, the individual makes a rational choice. Management motivates workers by convincing
them
that a desired behavior will have a high expectation of resulting in a valued or high valence
outcome. The
theory is interesting but too complex for practical use. Little evidence supports such rational
choice.
Emotional or instinctive theories - suggest that behavior stems from inborn tendencies not
always
under the control of the individual. Man may not understand the causes of behavior. Instincts
include such
factors as search for security, sex, survival, and have been expanded to include emotional needs
as well.
The theory assumes that behavior is directed by unconscious drives manifested in terms of
emotional
promptings to action. The concept of emotional man assumes that man can be motivated by
offering a
social environment which satisfies needs for "security", "love", "belongingness", etc. The basic
problem
in the use of these theories in business is the cataloging of social and instinctive needs and the
manipulation of the work situation to maximize the worker's emotional return. The practical
manifestation
of the theory are social programs and benefits packages aimed at security, human relations, etc.
Many
management policies such as employee counseling, participative management, etc. are
emotionally
directed. The main liability of this approach is the inability to determine unconscious needs and
provide
suitable means of satisfying those needs. In addition, management tends to single out those
emotional
areas most convenient to satisfy rather than those relevant to deep seated needs. It is more likely
to
provide a health insurance program or sponsor a company picnic than permit worker
participation in
company planning or control of work activities. Often deficits in emotional satisfaction are paid
for by
higher economic rewards (combining two theories).
Motivational hierarchy theories - assume that both physical and emotional needs are important in
motivating behavior. Needs can be ranked on a scale and the most important needs must be
satisfied
before the others become influential. The individual must satisfy physical needs before social
needs
become important, social needs before egoistic needs become important. Needs may act in
concert, any
given behavior may result from the interaction of several needs. The most well known of the
hierarchy
theories was proposed by Maslow. He suggested that needs are ranked in order with
physiological needs
being the most basic, followed by safety, social, esteem, and self actualization needs. Physical
and
safety needs require constant external satisfaction and relate to economic or hedonistic theories
of
motivation. Social and egoistic needs tend to be self satisfying and are related to emotional need
theories.
Lower levels of need must be satisfied before higher levels become operative. The basic strategy
of
employing this theory is to find the need level relevant to the individual and attempt to develop a
reward
package to satisfy those needs, allowing for change as lower level needs are replaced by higher
level
needs over time. An alternative theory developed by Alderfer combines Maslow's 5 levels of
need into
three groups. These are existence needs (physical, safety), relatedness needs (social, and some
esteem),
and growth needs (esteem, self actualization). This has come to be known as the ERG theory.
Two-factor motivational need theories - assume that the factors producing job satisfaction and
motivation are separate and distinct from those producing job dissatisfaction. The opposite of job
satisfaction is not dissatisfaction but is simply no job satisfaction. Individuals are motivated on
the job by
those factors which satisfy their egoistic and individualistic needs (achievement, recognition,
responsibility, advancement, etc.). They are dissatisfied by factors which fail to satisfy social and
security
needs (company policy, salary, work conditions, relations with supervisors, etc.). Decreasing the
dissatisfyers does not produce satisfaction, merely an absence of dissatisfaction. Satisfaction can
be
produced by restructuring the job to permit the worker to exercise greater responsibility, provide
more
opportunity for recognition and advancement, and provide opportunity for growth and learning.
The most
well known proponent of two-factor theory is Herzberg. It is a theory beloved by management
practitioners because of its prescriptive nature. It tells a manager exactly what to do in a given
situation.
Although it may not always work, it relieves the anxiety of indecision.
Balance theories of motivation - These theories attribute motivation to an effort to achieve
balance
between an individual's beliefs and his experiences in life. Any inconsistency between beliefs
and
experience cause tension which the individual attempts to resolve. The tension serves as the
source of
motivation which induces efforts to restore balance between beliefs and experience. The best
known
general balance theory is Festinger's theory of cognitive dissonance. It rarely stands alone as a
motivation
theory but is used as an explanatory concept in other theories. Equity theory - as proposed by
Adams ,
assumes that outcome and input in a work situation should be equitable. If an individual believes
that he/
she is appropriately compensated for the effort expended in a job, then the situation is equitable.
If the
person feels underpayed, a state of dissatisfaction occurs and the individual attempts to restore
balance by
improving the outcome/input ratio, either by trying to increase compensation or by reducing
effort. If the
person feels overpayed, the dissatisfaction is resolved by bringing effort into accord with pay or
changing
the belief to justify the pay.
13. JOB SATISFACTION
Job satisfaction - Generally viewed as the overall attitude toward a job, composed of the
individual
attitudes that workers hold regarding various aspects of the work itself, work situation,
supervisors, coworkers,
company policy, etc. It is a subject of great interest to managers and behavioral scientists alike.
Managers assume that a satisfied worker is productive and measures of satisfaction reflect the
overall
emotional health of an organization. Behavioral scientists, utilizing effective techniques for
attitude
measurement, treat job satisfaction as a fertile research area.
Dimensions of job satisfaction - Locke classified various events or conditions (work and work
related
situations) and agents (people) that are considered relevant to job satisfaction. Workers develop
attitudes
about these aspects of the job.
Events or conditions:
1.Work - nature of the work itself, its intrinsic interest, opportunity for learning, difficulty,
amount, chances for success, control over work flow, etc.
2. Rewards - pay, promotion, recognition.
3. Context of work - working conditions including hours, equipment, environment, quality of
work
space, location; benefits, pensions, insurance, vacations, etc.
Agents:
1. Self - values, skills, abilities.
2. Others in company - supervisors style and influence, technical skills, administrative skills;
coworkers
competence, friendliness, helpfulness, technical skill, etc.
3. Others outside company - customers; family members; others.
Evaluation of job related attitudes - The composite attitude of job satisfaction is formed by
evaluating
individual attitudes about job dimensions. A variety of approaches to the evaluation process have
been
suggested. It is likely that any or all of them can be used. These are:
Comparison processes - The individual compares his/her view of each dimension with that of
other
individuals on similar jobs. Pay, for example, is evaluated in comparison to how much someone
else
makes. Thus a ditch digger who makes $10 per hour is satisfied if the digger in the next ditch
makes only
$8 per hour, while a baseball player who makes three million a year is dissatisfied if another
player with
equivalent statistics makes four million.
Instrumentality theory - The individual judges each aspect of the job by how well it leads to
valued
outcomes. Thus if a job provides the opportunity for advancement it is considered good,
regardless of
how bad the conditions are in reality. The medical intern working 80 hour weeks values his/her
position
because it leads to a desirable life style as a high earning specialist. Conversely the worker in a
dead end
position may be dissatisfied in spite of good conditions.
Social influence - The attitudes of others, either co-workers, family or friends influence the
judgment of
the job. If others are impressed, envious, etc. a job is likely to be judged desirable. There is a
fairly stable
popular opinion about the social influence and prestige of various jobs (Supreme Court Justice at
the top,
garbage man near the bottom) that is only roughly related to pay and working conditions. As an
example,
most corporate lawyers have an income many times that of a Federal Judge, yet most would
accept a
judgeship if it was offered because of the social influence and prestige.
Job satisfaction and work behavior - There is little evidence that job satisfaction influences work
behavior except in two areas. Turnover correlates negatively with satisfaction. Low satisfaction
means
high turnover since dissatisfied workers are likely to take the first opportunity to switch jobs.
Absenteeism correlates with job satisfaction but the relationship is complex. Dissatisfied workers
are
likely to be absent a lot, but so are very satisfied workers. Indeed, the possibility of unpenalized
absences
may be a cause for job satisfaction.
14. LEADERSHIP
Definition of leadership - Leaders are individuals who influence group members in task relevant
activities. To exert this influence, a leader performs all or most of the following functions:
planning
group activities, coordinating group actions, directing behavior, allocating resources, and
evaluating
results. Individuals are leaders to the extent that they can actually influence the behavior of
others.
Popularly, the success or failure of an organization is attributed to its leader.
Types of leaders - Leaders are classified according to the method by which they obtain their
position.
Nominal leaders - are leaders in name only. They obtain their position through a formal or
traditional
process but have little actual authority conferred on them by the organization. The Queen of
England is
a nominal leader, the figurehead of the British Empire . Nominal leaders can control the actions
of others
but they do so through influence and example since they cannot normally use the power of the
organization to reward and punish behavior.
Appointed leaders - achieve power through a formal process (election, appointment, succession)
which
places some or all of the control mechanisms of the organization in their hands. Examples are:
the U.S.
President, military officers, business CEOs, college professors. By using the power of the
organization to
reward or punish behavior, appointed leaders can influence behavior is a direct fashion. The
strength of
this control is largely a function of the invested power.
Emergent leaders - are individuals who are perceived by followers as having leadership
characteristics
through force of personality, superior knowledge, and/or physical presence. Power of emergent
leaders is
a function of the belief of followers that their personal well being depends on obeying the
leader's
requests. Examples are: religious and cult leaders (Joan of Arc), maverick political leaders
(Adolph
Hitler), leaders of street gangs, and occasional military leaders. After gaining sufficient strength,
emergent
leaders often consolidate their position by seizing control of organizational power and behave as
appointed leaders.
Leader effectiveness - Effectiveness is measured by assessing leader responsibility for the group
achieving its objectives. Effectiveness is evaluated against a variety of criteria. Using a baseball
manager
as an example of an appointed leader, the following criteria would apply:
Performance of work group - Objective measures of overall team success. Team standing in
league.
Judgment by superiors - Owner thinks coach does an effective job regardless of won/lost record.
Judgment by peers - Other managers in league asked for opinion. Voted "manager of year" by
peers.
Judgment by subordinates - Players judge on basis of leadership, fairness, resource allocation,
etc.
Research approaches to leadership - Several approaches to the study of leadership have been
offered.
Organizations are studied to determine formal relations of leaders and followers. The traits of
leaders
themselves are examined to isolate common factors. Behaviors characteristic of leaders are
cataloged for
use in training future leaders.
Position or organizational theories - suggest that leadership resides in the position. Every
organization has prescribed behaviors for incumbent leaders and for followers. The leader
induces
compliance by invoking the authority of the organization. Roles are thus defined by the structure
of the
organization. Research is directed toward the appropriate specification of leader and follower
responsibility, defining the leadership position in such a way as to insure maximum
organizational
effectiveness. This approach assumes that leadership is insensitive to the characteristics of the
individual
occupying a specific position. It is the position which defines the behavior. Static and/or stable
organizations have a vested interest in such theories since such organization outlive many
changes in
personnel. Specific examples are governmental and bureaucratic organizations, military
organizations,
formal religious organizations. Research on position and organizational theories is usually
performed by
political scientists and organizational theorists.
Person and trait theories - suggest that personal characteristics or traits of the leader, regardless
of
how he/she achieves the position, induce followers to follow. Research efforts are directed to
uncovering
the traits effective in a leadership role. The approach assumes that a leader is "born" with specific
traits,
hence training efforts are considered fruitless and attention is directed toward selection. The
person
approach is currently unpopular in egalitarian societies since it smacks of elitism. It is often
discouraged
by social scientists and businessmen who have a vested interest in believing that leadership can
be taught.
To date, the research evidence on person and trait theories suggests a weak relationship between
personal
characteristics and leadership. Ghiselli and Campbell suggest that specific traits may appear in
specific
situations. Further, the true relationship may have been masked by an averaging effect since most
studies
pool leaders working in a variety of situations in defining traits. (i.e. like averaging the physical
characteristics of jockeys, basketball players, and skeet shooters in a search for a typical athlete.)
Research
on trait theories is usually performed by developmental, clinical, and personnel psychologists
whose
professional focus is on the individual.
Process and behavioral theories - assume that leaders lead by effectively performing specific
behaviors relating to task organization, personal relations, motivation, direction, and resource
allocation.
If these behaviors can be identified, they can be taught. The process approach suggests that the
leader's
role is one of situational diagnosis, followed by application of a learned appropriate behavior.
The leader
is, in effect, an actor playing the "role" of leader. It makes little difference if the individual is
"born" to
play the role or learns it through experience. (General Omar Bradley, who served with General
George
Patton in WW II, said that actor George C. Scott played a more impressive General Patton, in the
movie
"Patton", than the general was in real life.) Research is directed both toward situational diagnosis
and
identification of specific trainable behaviors. Most current efforts in leadership research follow
the
process approach. Behavioral theories are further divided into several groups:
Behavior dimension theories - suggest that leaders can orient their behavior into employee
centered or
task centered dimensions. Most prominent of these theories is the one proposed by Fleishman
and
Hemphill. Based on a Leader Opinion Questionnaire, leader behavior was characterized as
initiating
structure (task oriented) or considerate (employee oriented). In the blue collar industries studied
by
Fleishman, considerate leaders proved the most effective. A similar approach, the Managerial
Grid, was
offered by Blake and Mouton. On this grid, managers were rated on a scale of 1 to 9 on both
their
concern for people and their concern for production. The best managers had high ratings on both
scales.
Situational moderator theories - place a heavy emphasis on diagnosis of the nature of the
situation in
specifying appropriate leader behaviors. Leaders must evaluate the needs and capabilities of their
subordinates, the structure of the situation, and, in some theories, their own leadership style, in
choosing a
leadership strategy.
Three influential theories of this type are:
1. Contingency theory offered by Fiedler defines the favorableness of a situation in terms of the
leadermember
relations, the task structure, and the leader position power (authority to enforce decisions). If all
are high, the situation is deemed favorable, if low, unfavorable. Fiedler's research suggests that a
task
oriented leader outperforms a people oriented leader in very favorable or unfavorable situations,
but is
outperformed by the people oriented leader in average situations.
2. Distribution of decision making is held to be the most important aspect of leadership by
Vroom and
Yetton. A leader must choose a decision making strategy that produces both high quality
decisions and
generates motivation to work toward the chosen course of action. The theory offers guides to the
diagnosis of work situations and recommends leadership strategies ranging from the
authoritarian
(boss centered) to the participative (subordinate centered).
3. The path-goal theory of House and Mitchell suggests that a leader must modify his/her
behavior to
suit the individual needs of subordinates. They identified four styles of leader behavior;
directive,
supportive, achievement oriented, and participative which influence subordinate motivation. The
situation
is defined by the leader's freedom to assign tasks and give rewards and by the subordinate's
individual
characteristics and needs. Leadership effectiveness involves matching the proper style with the
task
requirements and the individual needs of the subordinates so that the subordinates will be
motivated to
accomplish the group goals.
Leadership theory and practice - Managers assigned the task of choosing or developing leaders in
their
own organizations do not subscribe wholeheartedly to any of the above theories. In most
instances
potential leaders are selected from the pools of candidates who have exhibited leadership talents
during
their formative years. Biodata is scanned for election to school office, leadership in team sports,
and
participation in public exposure activities (debate, drama). The leadership area is narrowly
defined
(business, military, church) and the behaviors specific to success in those areas are studied for
trainable
components. The organization is configured to endow leaders with suitable position power to
enforce
their decisions, but the decisions themselves are limited by the narrow scope of the defined area.
In this
sense, leadership can be taught. In the broader social environment, however, the situational range
is so
great, the structure so imprecise, and the needs of potential subordinates so varied, that no
general theory
of leadership has proven effective. Leaders emerge, as they have always done, driven by internal
forces
that are yet unknown.
15. ERGONOMICS (HUMAN FACTORS)
Ergonomics - is the sub-specialty of applied psychology that applies information about human
behavior,
abilities, limitations, and other characteristics to the design and use of tools, machines, systems,
tasks,
jobs, and environments for productive, safe, comfortable, and effective human use. It has two
major
objectives. The first is to enhance the effectiveness and efficiency with which work and other
activities are
carried out. Included would be convenience of use, reduced errors, and increased productivity.
The
second objective is to enhance desirable human values such as increased safety, reduced fatigue
and
stress, increased comfort, greater acceptance, increased job satisfaction, and improved quality of
life. The
terms "human factors" or "human engineering" are synonymous with ergonomics in the U. S.
The systems concept - The basic concept of ergonomics is the human-machine system. Such a
system
is an interacting combination of people and machines, possibly connected by a network of
communications, intended to accomplish a specific purpose. The purpose might be
transportation, health
care, air defense, education, business, etc. Most systems are adaptive using feedback of results to
modify
the relationship of humans and machines to improve performance. Typically systems get
information or
raw materials through an input subsystem; process the information (or raw materials); and output
the
processed information or materials. In the ergonomic sense, business can be considered a closed
loop
information and materials processing system whose primary purpose is to maximize profits.
Human role in systems - Historically human-machine systems improved performance by
emphasizing
technology since labor intensive processes made use of a readily available labor supply of easily
trainable
quality. Humans were adapted to machines by selection and training. Current trends to increased
automaticity and lessened human involvement are driven by efforts to reduce labor costs,
increased
system complexity requiring raised selection and training standards, decreased quality labor
supply
because of increased competitive opportunity, cost increasing regulations, foreign competition.
Humans
perform three basic roles (activities) in systems. These are:
Executive role: Decision making function essential to allocation of system resources and
administrative
activities. Examples are analysis of data, alternative routings of communications or transport,
design
functions, management, medical diagnosis, writing a report. In the Executive role, the human
decides
upon a course of action to be taken. Research in this area explores ways in which humans
interpret and
process information and make decisions.
Administrative role: Performs specific functions and controls equipment to accomplish desired
ends.
Examples are data input, vehicle control, computer operation, taking a temperature, typing a
report. In the
Administrative role, the human performs an act, generally physical or sensory in nature, which
controls
or assists the system in meeting its goals. Research in this areas studies best ways of presenting
information to humans through displays and best ways of transmitting information from humans
to
machines through controls. Most "knob and dial" research in ergonomics is directed toward
facilitating
the administrative role.
Support (maintenance) role: Maintenance of the system's readiness to function. Examples are the
repair
of equipments, supply of raw materials and resources, financing, personnel support. Unscheduled
operations involving both decision and action directed toward system readiness. In the Support
role, the
human maintains the system's function. Research centers on strategies for diagnosis and
identification of
equipment (and human) malfunction.
Allocation of system functions - Most systems tasks can be performed by people or by machines.
The
basic objective of function allocation is the optimization of system objectives while staying
within the
parameters of cost, efficiency, safety, availability, reliability, set by the environment within
which the
system must operate. Some function allocations are set by policy, i.e.only the doctor can
prescribe drugs,
some by the unavailability of hardware for specific tasks, i.e. no reasonably priced computer can
interpret
human speech. Machines and humans differ in capabilities as follows:
Human superiority: (areas in which humans outperform machines)
Sensation of low levels of stimuli, vision, taste, complex sound within human spectral limits.
Pattern recognition including vision and speech interpretation. Detection of stimuli in noise.
Storage of large amounts of imprecise information in a small volume. Recall of pertinent
information.
Utilize experience in decision making.
Unprogrammed action in emergencies.
Reason inductively, generalizing from observations. Solve novel problems. Think creatively.
Adapt physical response to wide variations in operational requirements. Mobility in rugged
terrain.
Reliable performance for long periods. (But poor monitoring behavior.)
Machine superiority: (areas in which machines outperform humans)
Wide sensory spectral range. Rapid response to input signals. Measure sensation with extreme
accuracy.
Reason deductively. Logical decision making. (But poor at subjective evaluations and estimates.)
Monitor prespecified events. Perform multiple activities simultaneously.
Store and retrieve coded information in large quantities. Process data accurately.
Exert considerable physical force in controlled manner. Perform repetitive activities reliability.
Fatigue resistant.
Survive in extreme environments if properly designed. Maintain unvarying performance over
time.
Human/machine trade-offs: The decision between fully automatic, mixed, and manual allocation
depends on:
Capabilities - sophistication of equipment, human abilities, available personnel, training time,
etc.
Cost - relative equipment and labor costs, cost of capital, accounting methods, etc.
Convenience - surplus capacity of equipment or personnel, design effort, use of available
facilities, etc.
Constraints - legal requirements, union contracts, social requirements, safety, environment, etc.
Social values - worker job satisfaction, psychological needs, ethical standards, prestige, etc.
Considerations in system design - The successful design of equipment for human use requires
consideration of mobility and muscle strength, sensory capabilities, intellectual abilities, training
requirements, body dimensions, and the effects of the working environment on overall
performance. At
first approximation, it is useful to think of the human as another system component, with specific
limits
and capabilities, subject to environmental stress and overload. By designing the human-machine
system
within the limits of this component, we can assure overall system effectiveness. Design takes
place in
three distinct phases:
Study phase: Establishment of system requirements and constraints.
1. Determine job which human-machine system must perform.
2. Determine the overall requirements and restrictions to which the design must conform.
3. Determine the operating conditions of the human-machine system.
4. Establish the relationships between the new design and existing equipments.
5. Specify the functions which must be performed by the human-machine system.
Design phase: Choose an approach to human-machine system design.
6. Allocate functions between human and machine.
7. Establish performance requirements for system operation.
8. Specify required controls and displays for transmitting information between human and
machine.
9. Lay out the operator's work space and working environment.
10.Prepare operating procedures and associated training materials.
Evaluation phase: Compare results of design effort with constraints and requirements.
11.Evaluate operator performance on a prototype of the system and redesign if necessary.
Aids to human-machine system design and evaluation - Accurate and precise information exists
about
human body dimensions, physical strength, sensory capability, intelligence, and other
measurable aspects
of human performance. From this data, handbooks have been prepared describing appropriate
controls,
displays, and environmental conditions necessary to assure best performance under a variety of
conditions. The factors to be considered in equipment design are:
1. The type, speed and accuracy of required operator performance.
2. The frequency and extent of use of each individual display and control.
3. The criticality of each display and control with respect to equipment function.
4. The sequence of control use.
5. The standardization requirements for minimum maintenance costs and maximum flexibility of
use.
6. Allowable system down time for repair and maintenance.
7. Number and type of personnel using the equipment.
8. Physical size, strength, and other characteristics of expected operators.
9. Safety. OSHA requirements.
10. Environmental control.
11. Cost and scheduling.
Ergonomics and human error - Human error has been established as the major cause of system
failure
and/or accidents. Human error is any deviation from a previously established, required, or
expected
standard of human performance that results in an unwanted state of events (time delay, difficulty,
problem, incident, malfunction, accident, or failure). Payne and Altman (1962) proposed that
errors be
characterized in terms of the "behavioral components" that reflect the basic types of human
behavior that
generates them. Input behaviors are errors of sensory or perceptual input. Mediation behaviors
are
decision or information processing errors, including lack of information or training. Output
errors are
errors in making physical responses. The input-mediation-output model of this classification
system
corresponds to a common sequence of psychological functions that are basic to all behavior.
Human error
occurs when any element in this chain of events is broken such as failure to perceive a stimulus,
inability
to discriminate among various stimuli, misinterpretation of the meaning of stimuli, not knowing
what
response to make to a particular stimulus, physical inability to make a required response, and
responding
out of sequence. Identifying the source of errors in terms of the input-mediation-output behaviors
permits
direct access to the literature of human performance.
Situational and individual variables - It is frequently difficult to isolate the real causes of specific
errors
even though the actual behaviors have been observed. It is reasonable to hypothesize that all
errors should
be attributed to either situational variables, individual variables, or a combination of both.
Broadly
speaking, situational variables can be lumped into categories involving task characteristics,
equipment
characteristics, organizational structure and procedures, and environment. They are, to a large
extent,
specific to each situation, but in general they may be related to the assigned duties, equipment
used, time
of the day, work conditions, ambient environment, etc. Individual variables involve age,
perceptual
skills, intelligence, physical skills, health, education, experience, personality, and aptitudes. Both
types of
variables mediate human performance. The situational variables provide a framework within
which the
individual variables operate. In effect both sets of variables influence the probabilities of
successful or
faulty performance.
16. INDUSTRIAL ACCIDENTS
Background of Safety Movement - Industrial safety pre-1900's was almost nonexistent. There
were no
workman's compensation laws, most accidents being handled under "common law". Injured
employees
had to sue for recompense. No compensation was available if the accident had any employee
contribution.
Since the employee knew the hazards before injury, there was no employer negligence. In USA ,
Wisconsin passed first no fault workman's comp. law in 1911. The Canadian Workman's
Compensation
Act (1914) followed. The USSR adopted Labor Protection articles in their Constitution (1921).
Mgt.
decisions to minimize payments by reducing accidents led to the organized industrial safety
movement. The
death rate dropped by 31% from 1912 to 1933 as a result of industry efforts. H.W. Heinrich's
book
"Industrial Accident Prevention" (1931) suggested that the bulk of accidents are human caused.
It changed
the emphasis from engineering to human related solutions. Accidents/million hours dropped
from 15.2 in
1931 to 6.87 in 1980. The rate has been asymptotic since 1960, indicating that present
approaches to
accident resuction have reached the point of diminishing returns.
Research emphasis on "objective" aspects of accident - Research on physical hazard
minimization,
injury attenuation, proper work procedures, etc. has been the response to legislative prompting,
e.g. U.S.
Occupational Safety and Health Act, 1970; USSR Basic Principles of Labor Law, 1921; British
Industrial
Health Act, 1933; Indian Factories Act, 1948. Declining payoff of objective component research
shifted
emphasis from situational (workplace) to individual (worker) characteristics, subjective and
attitudinal
areas (personality, risk tolerant behavior, perceived reward policy), personal history factors.
Studies of
Mgt. safety policy and its implementation are increasing.
Accident Statistics and Costs - Accidents have been called the "twentieth century disease". They
are the
leading cause of death in developed countries between ages of 1 and 30. They are also the
leading cause of
military casualty (i.e. more accident casualties than combat casualties). Most accident statistics
define a
ratio (injuries per period of exposure), but the definition of injury is imprecise. Injuries have
been defined
as any injury, any lost time injury, an injury with > 24 hr. lost time, an indury with > 72 hour lost
time,
hospitalization, or death. Periods of exposure are similarly loosely defined. They may be man-
hours
worked, 1,000,000 man-hours worked, man-years worked, 100,000 man-years worked, etc.
Transportation accidents utilize hours of exposure, distance travelled, etc. Often used statistics
are:
Frequency rate = disabling injuries x 1,000,000 / employee hours worked.
Severity rate = days lost x 1,000,000 / employee hours worked.
Average lost time = Severity rate / Frequency rate.
Definition of Accidents - The dictionary definition is an "event without apparent cause,
unexpected event,
unintentional act, chance mishap". Most definitions contain elements of unpredictability or
undesirability.
Operational definition - "An accident may be defined as that class of events which involves low
level of
expectedness, avoidability, and intention. Accidents possess high unexpectedness, low
avoidability, low
intention." Suchman (1961) Generally we define as accidents only events of above class which
result in
physical injury to persons or property. Common usage lumps situations in which intentional or
negligent
acts cause harm in the class of accidents (although courts may find differently).
Concept of "cause" - Cause is a legal rather than scientific concept, essential for attributing
blame or
damages. Hume (1739) stated "We are never able, in a single instance, to discover any power or
necessary
connection, any quality to bind the effect to the cause and render one an infallible consequence
of the other.
We only find that one does actually, in fact, follow the other." Causation implies high probability
of events
occurring in specific sequence, i.e. "smoking gun" theory. Typical concept of accident (Heinrich
axiom)
"The occurrence of an injury invariably results from a sequence of factors, the last being the
accident itself.
The accident is in turn invariably caused or permitted directly by the unsafe act of a person
and/or a
mechanical or physical hazard." Accident investigators and boards of inquiry search for
"proximate"
causes, the last identifiable event before the accident, in order to establish culpability.
Common Accident Measures - Data is required for accounting of accidents, investigating
accident
antecedents, accident prevention programs, cost allocation, research. Typical measures are: (in
declining
order of reliability)
Official statistics - Fatalities, disability, medical care, clinic visits, lost time (all post accident
measures).
Unofficial statistics - Mishaps, unsafe acts, unsafe conditions, errors, critical incidents (all
"accident like"
events)
Accident Research Techniques: -
Statistical approach: data analysis of official records. Examples: OSHA reports, BLS Accident
reports,
Nat. Safety Council, ILO reports, Norske Veritas safety reports, etc.
Epidemiological approach: Research team makes detailed medical and psychological
investigation of
each incident. Associated variables in subject and environment studied for relation to accidents.
Examples:
FAA accident investigations, Marine accident investigations.
Laboratory-field experiment: precise study of accident related hypotheses under controlled
conditions.
Practical limit restricts studies. i.e. no injury or excessive costs. Examples: Crash testing of
automobiles,
overload testing of industrial equipment. Inappropriate experimentation can lead to disaster (e.g.
Chernobyl).
Occupational simulation: "model" developed of industrial system with specific pre-accident
conditions
applied to predict future consequences. Simulation can be mathematical, a laboratory mockup, or
a
combination. Example: Driving simulation, Grenoble tanker simulation, aviation and space flight
simulation.
Conceptual Models and Theories of the Accident Process
Descriptive Models -
Chain of events: temporal sequence of events which culminate in injury or accident. Heinrich
(1931),
Ramsey (1978), Thorndike (1951). Each accident has a different causal chain, the only common
element
being the undesirable injury or damage. Antecedent events are usually common and ordinarily do
not lead
to accident, however some particular combination turns a safe act into an unsafe act. Inherent
assumption
of many factors influencing accidents. No single key or "cause" other than common human
factor.
Accident = f(X1, X2, X3 . . .Xn).
Epidemiological model: Attempt to systemize chain of events model using epidemiological
techniques of
looking for common elements of "host" (accident victim), "agent" (injury source), and
"environment" (workplace and procedures). Gordon (1949), McFarland (1965) Statistical
analysis and
interview techniques to determine attributes of factors. Quite useful for study and classification
of
transportation accidents and industrial accidents; but, not too helpful in analysing "why"
accidents happen.
Behavioral models - Behavioral models focus attention on particular aspects of the human, and
as such are
useful, but to achieve a full understanding of the accident process, they must be used in
conjunction with a
more global approach. Some behavioral models proposed are:
Human error model: Theory proposes that most accidents can be traced to an erroneous human
act.
Peters (1962) operationally defines human error as any deviation from a required standard of
human
performance that results in an unwanted state of events (delay, malfunction, difficulty, accident,
etc.).
Several workers classify human behaviors in terms of input components, mediation components,
and
output components and suggest that the omission, insertion, sequencing, and quality of
performance of
these behaviors are accident antecedent factors. Rook (1962), Payne and Altman (1962). The
model is
useful primarily because psychological literature is organized in the way proposed. Accident
investigations
rarely present information which can be analysed in terms of specific and discrete human acts.
Decision models: Model proposes that most accidents result from faulty decisions rather than
failures in
perception or action. In every sequence of events leading to an accident, the individual must
make a series
of decisions about perceptions, actions, and the consequences of those actions. Whenever a
decision must
be made in the presence of danger a degree of risk enters. Factors affecting risk are the amount
of
uncertainty of outcome and the absolute danger of the situation. The theory suggests that
different persons
at different times will take higher risks and be more liable to accidents. Risk taking has been
shown to be a
significant factor in industrial accidents. By appropriate personnel selection, training, and
behavior
modification techniques, accidents may be reduced. Fell (1976), Zeitlin (1976), Christensen
(1980)
Accident Proneness model: proposes a group of persons possess a personal idiosyncrasy of
relativeness
permanence predisposing the individual to a greater rate of accidents. Some statistical evidence
to support.
Weak explanatory concept which cannot account for majority of accidents. Farmer and
Chambers (1926),
McCormick and Tiffen (1974)
"Systems" models- Systems models treat the human element, equipment, environment, and
sometimes
even management policy as interrelated elements of a man-machine system. Accidents are
viewed as
"extreme value" outputs. Each part of the system affects the performance of the other, the human
in the
system being treated as a complex and poorly understood part. System theory's great advantage
is that it
permits powerful mathematical tools to be used in predicting system state from given sets of
inputs.
Concepts of feedback from system output to input to change system response parameters are
incorporated.
Systems components can be overloaded by excessive response demands. Concepts of human
information
processing overload, response lag, distribution of errors, etc. are easily handled in a systems
theory. The
theory recognizes the interaction and feedback involved in the complex accident process and also
recognizes the probabilistic nature of the chain of events resulting in an accident. The liability of
this
approach is that it requires physical definition of all parts of the system and their interactions,
definitions
which are not, and may never be possible, in the life sciences. Since humans are the least
understood
component, systems theories rarely consider human behavior in all of its complexity. Attractive
theory for
engineers, whose response to above problem is to design humans out of the system, whether
appropriate
or not.
17. WORKPLACE SAFETY
Nature of workplace safety - Workplace safety can be defined as the probability that a workplace
is free
from unexpected agents that can cause harm to a trained worker carrying out the proper functions
of his/
her job. Few workplace accidents are really "accidents" in the sense of being chance events.
They consist
of that large class of events with low predictability and controllability and having undesirable
consequences. Increasing workplace safety requires the reduction of uncertainty and the
prediction and
control of all phases of activity. Precautions can be taken to minimize the dangers of undesirable
situations
that can be predicted. Experience points to three areas in which common remediable factors may
be found.
These are: hazardous work activities or equipment, the physical environment, and worker
characteristics.
Reduction of equipment hazards - The sequence of priorities in reducing equipment hazards is:
Elimination of injury producing agents: When possible the equipment should be reengineered to
eliminate the portion that can cause injury. Sharp edges should be rounded, protruding parts
depressed,
external rotating machinery eliminated. The ultimate goal is to design workplace equipment that
can cause
no harm to workers of minimal training.
Guard injury producing agents: All injury producing agents that cannot be eliminated should be
equipped with guards that prevent users from inadvertent contact. Saw blades should be shielded,
moving
belts covered, etc. The equipment should be designed that it will not work if the guards are
removed or the
operator is using it improperly.
Warning of danger: Operators should be warned of hazards that cannot be eliminated or guarded
against.
Warning of injury or life threatening dangers should be prominently displayed on the equipment.
Directions for safe use should be similarly displayed and included in operating instructions.
Warning
levels are danger, implying high probability of death or injury; warning, implying significant
probability
of injury or damage; and caution, implying some hazard in use.
Environmental hazards - A high percentage of industrial injuries arise from work in hazardous
environments. Indeed, the most frequent injury on many jobs is falls from high places. Human
performance decreases as conditions deviate from the ideal "shirtsleeve" environment, although
it is
possible for an individual to gain some degree of acclimatization to extremes after several weeks
of
exposure. Cold is easier to deal with since protective clothing can permit activity to -40° F. The
main effect
of cold is to decrease manual sensitivity and dexterity. The performance decrement at -30° F is
20%, at
-40° F is 80%. High temperature is more troublesome. The maximum temperature at which
heavy physical
work is unimpaired is 80° F. Efficiency approaches 0% when the temperature exceeds 110° F.
Both
strength and precision essential to safety are likely to be decreased when temperature extremes
deviate
from normal. Fatigue increased quickly. Where it is not possible to modify extreme
environmental
conditions, it may be possible to manage the work force to achieve a reasonable degree of
effectiveness by:
Selection of personnel who have a high tolerance for the specific working conditions;
Acclimatization before requiring full effort;
Work schedule modification to minimize the effect of physical stress;
Procedure modification to minimize requirements for continuous high level human performance;
Assessment of worker physical well being on a regular basis to identify hazard likely conditions.
Worker characteristics - Worker physical characteristics, training, experience, and attitudinal
factors
interact with the stresses of the environment to result in less than optimum performance of
assigned tasks.
When sufficient deterioration occurs in the presence of a potentially dangerous situation, an
accident
occurs.
Physical characteristics: Worker physical capabilities which influence safety are job specific.
They
include sensory capability, strength, dexterity, size and weight, intelligence, etc. By and large, if
a worker
is capable of doing the job in the first place, he/she is capable of doing it safely. If physical
performance
deteriorates through age, illness or substance use, response to an unexpected hazardous situation
may be
ineffective in preventing accidents. Regular assessment is needed.
Training: Training which emphasizes workplace safety has been shown effective in minimizing
accidents
as long as safe work procedures are reinforced by supervisors. Generally worker safety training
is
introduced following a serious accident.
Experience: Studies have shown that nearly three quarters of all injuries have occurred to
workers with
less than one year on the job and over half during the first six months. Turnover is generally
highest
among this group. Special attention should be paid to the safety orientation of new workers until
their skill
level is sufficient to cope with the hazards of the workplace. A parallel finding shows that most
automobile
accidents occur to drivers within the first few years of licensing.
Attitude: There are wide variations in personal acceptance of risk. Significant difference occur
between
young and old, men and women. A recent study showed the men are twice as likely to assume a
high risk
level, enjoying the sensation of danger, as are women. Folklore has often defined people in terms
of
"courage" placing a high premium on deliberate acceptance of danger. These theme are often
instilled in
children through stories and TV and manifest themselves in adult behavior. Tolerance of risk
acceptance
differs by industry, some defining themselves as particularly suitable for "heroic" individuals
(i.e. aviation,
construction). Risk tolerance can be estimated by psychological tests or by examination of
biodata. Caution
should be used in placing high risk tolerant persons in situations where accidents will be
catastrophic.
Motivational approaches to accident reduction - Motivational approaches suggest that the worker
must
be motivated to behave safely and must perceive the rationale behind risk avoidant behavior in
the
workplace. The approach tries to get workers to identify unsafe behaviors and to suggest safer
solutions.
Safety is put on a competitive basis and rewards, immediate and direct are offered for accident
free periods.
Feedback and reinforcement are provided whenever possible to encourage safety. The technique
is
effective and positive but very fragile. It requires almost constant attention from supervisors. The
accident
rate rises almost to former levels if the attention lapses. Further, maximization of safety often
conflicts with
maximization of productivity and company enthusiasm for safety programs is likely to be mixed.
Screening and selection of personnel - The concept of accident proneness has lost favor in recent
years,
but it is a fact that some workers simply have more accidents than others. While plain bad luck
may be a
factor for some, for many of the others there exists a combination of physical characteristics,
personality,
attitude, etc. which makes accidents more likely. Identification of these workers can reduce
workplace
accidents by excluding them from potentially hazardous job situations or retraining them to
exhibit safer
patterns of behavior in dangerous situations. The practical difficulty in screening and selection of
personnel
is the maintenance of safety records across industry. Without such records, individuals cannot be
identified
nor can a new employer be apprised of their accident likely behavior. However the technique has
proven
cost effective where common insurance carriers maintain such records for specific industries
(maritime
industry, oil exploration) and are willing to share their experience with employers.