Implementation of a System for Workning Environment Management
JOHAN HANSSON
Department of Human Work Sciences Division of Engineering Psychology
2003:20 • !SSN: 1402 - 1757 • ISRN: LTU - LIC - - 03/20 - - SE
system for working
environment management
By Johan
HanssonDepartment of Human Work Sciences Division of Engineering Psychology
ABSTRACT
Hansson, J. (2003). Implementation of a System for Working Environment Management.
Licentiate Dissertation. Division of Engineering Psychology, Department of Human Work Sciences, Luleå University of Technology, Sweden.
This thesis addresses the problem of developing and implementing an activity-based system for management of working environment conditions. Through explorative case studies in municipal care of the elderly the prerequisites of motivation, capacity and opportu- nity were examined. Systems objectives were derived from the Provisions enforced by The Swedish Working Environment Authority. The Provisions emphasize that working environ- ment issues shall be integrated with activity-issues like economy and quality and include routines for risk analysis and action planning. An action research program was initiated including organizational interventions. A specific communication structure of meetings was designed. Simulations of workplace team meetings were accomplished including analysis and management of existing risks. The program was evaluated in the field by means of participant observation and structured interviews. The formative design of evaluation assessed the participants' motivation, capacity and opportunity to perform.
The initial evaluation concerned how the participants performed risk analyses accord- ing to the action plan. Results showed that the participants operated according to the given meeting structure. Some risk factors were analyzed on numerous occasions, e.g. physical factors, while other risk factors, e.g. harassments were never considered in meeting contexts.
The result implies the need of complementary work methods for risk assessment, i.e.
professional employee interviews and questionnaires. The subsequent evaluation inquired into the first line managers' mental models using these methods. Results showed that the managers in general acknowledged the characteristics of the methods, i.e. strengths and sources of error.
The concluding evaluation examined the working environment planning of the executive board. Results showed that the representatives in general held indistinct perceptions of the systems characteristics. A majority of the executive boards failed to communicate specific strategies for operative management. Some guiding principles for system implementation were suggested on the basis of the empirical results.
Key words: Implementation, risk management, mental models, evaluation.
during this project:
Bo Strangert, my supervisor at the Work and Organizational Psychology Unit, Umeå University who has made an invaluable input to this thesis.
Eva Mauritzson-Sandberg, my supervisor at the Division of Engineering Psychology, Department of Human Work Sciences, Luleå University of Technology.
My colleagues at the Work and Organizational Psychology Unit, Umeå University and fellow researchers at The Swedish Defense Research Agency and Swedish National Defense College.
My colleagues and staff at the Division of Engineering Psychology, Department of Human Work Sciences, Luleå University of Technology.
Financial support has been provided by the Swedish Agency for Innovation Systems, VINNOVA, through funding to Bo Strangert for implementation of the project: Internal control as a system of risk assessment and risk management at work (2001-03552).
May 2003 Johan Hansson
A Status Report of the Present Organizations 7 Difficulties of Organizational Implementation and Change 11
The Program Theory 14
The Action Program 21
Conclusions 24
References 25
Implementation of Workplace Team Meetings 26
Method 28
Results 32
Conclusions 48
References 49
The First Line Managers' Mental Models Regarding the Work Methods 50
Method 53
Results 57
Conclusions 71
References 72
The Executive Boards' Prerequisites to Manage the Activity-Based System 73
Method 75
Results 79
Conclusions 82
References 83
Appendix A 84
It is a common observation that management systems in municipal organizations face difficulties in providing for the working environment requirements in connection with planning and operation of the activity. On the topic of organizational change, systematic analyses of working environment consequences are seldom or never implemented in a sufficient manner. On the other hand, the management often becomes aware of the consequences from leaving working environment issues and requirements unattended. For example, through staff's discontent about increased work load and negative stress, which often results in increased number of absenteeism, which in turn increases personnel turnover and complicates recruitment of personnel, the management becomes aware of the insufficiencies of the working environment conditions.
The described scenario is a troublesome reality for numerous municipalities today. It is reasonable to assume that no management board deliberately ends up in such a position. At the same time it appears obvious that a fraction of the explanation derives from incomplete analyses of consequences that organizational members have to pay for in some way. A reason can be the absence of adequate information about the working environment condition, and in general, deficient and invalid methods for structured investigation and risk assessments — the specific type of work methods that is being asked for in the requirements of the Provisions on Systematic Work Environment Management (AFS 2001:1). The Provisions concentrate on risk assessment, remedial measures and follow-up routines and emphasize the active parts within the framework of a working environment system. To provide for those requirements the employer is imposed to carry out different activities according to plan. The systematic manifests in continuous work through investigations, risk assessments, preventive measures and routines for follow-ups. As a basis for the continuous management there shall be policies, routines for allocation of tasks and annual action plans. The requirements thus constitute a foundation, though operations in the daily activities are of substantial importance as well.
The Provisions do not imply that the management shall take action and apply measures that involve unreasonable costs in relation to what are being achieved regarding improveme—i—o-n I-working environment conditions. Saving conditions or financial straits are no reason to refrain from investments in the working environment. Financial objections are insufficient in this respect, since one from an inspection and control perspective accounts for financial and other conditions when issuing the Provisions. ,Practical difficulties can however constitute an acceptable reason for temporary delay. For instance, the routines for decision-making can be complicated and uncertain and therefore need to be detained. A critical factor for a functioning working environment system is that the executive management of the organization engages in and operates the system. A basic condition for that is that superior management holds some basic prerequisites. This suggests that the executive management constitute a decisive and principal part in a functioning activity- based organizational system. Parallel to that, it is assumed that executive management performance only forms an insufficient basis for conclusions about the efficiency of the overall system. Additional aspects need to be considered and systematically evaluated.
From an organizational perspective, activities performed at lower organizational levels are dependent on superior management's line of action regarding the issues in question. This suggests several far-reaching dependencies between organizational levels. The superior management's willingness to operate the working environment system is of crucial importance for the commitment of the co-workers, since committed co- workers, from this point of view, is a basic prerequisite for achievement of practical results. By means of more or less defined networks of communication the superior management of a working environment system is connected with other levels of the organization. By means of these networks it is the responsibility of the executive management to establish corresponding networks for communication of the working environment status. Until a functioning _communication sym have been anchored into the organization's structural assignments, like allocation of tasks, in a way that fulfils the requirements of the Provisions, the system are bound to fail. This implies that the occupational role of first line managers is of crucial importance and aims at fulfilling considerable functions in an operative system. The preceding line of reasoning is well grounded in the Provisions (AFS 2001:1), since they state that the employer shall regularly investigate working conditions and assess the risk of any person being affected by ill health or accidents at work. Although the employer holds the overall
responsibility for a functioning working environment system, the employees are ordered to carry out a predorninant part of the practical work. There are different methods for this work, from ordinary attention of everyday problems to systematic methods of risk analysis. A superior section in this eon text is the third section of the Provisions stating that the management of working environment conditions shall be integrated as a natural component in day-to-day activities (3 §). Also, how the employer regularly investigates the conditions (8 §) and carries out measures that are needed for prevention of ill health and accidents at work (10 §) is emphasized in the Provisions. In later sections a detailed examination is given for what the Provisions implicate for the organization and what it takes to meet the objectives.
Until further notice is given, it can be established that the management of working environment conditions shall take place on the basis of a perspective where working environment issues are integrated with other substantial activity issues such as economy and quali . Risk assessment shall take place regarding physical � we]L!s psy�_hosQ_cif!l working environment factors. This leads to a certain complex of problems, primarily to get hold of psychosocial risks in the working environment conditions. What risks subsist then when it comes to psychosocial working environment conditions? From.
research on stress and other work-related problems, it is known that a number of conditions in the working environment can entangle strain on employees. Common psychosocial risks subsist of 'increased work lo�g', 'indistinct occupational role diversion' and 'shor�age of _ time'. Through different investigations and surveys at the work place one can receive precious infom1ation for judgment of risk factors. And simultaneously one can establish a foundation of objectives and measures. By including the systematic working environment management as a natural part of the core activity and by organizing assignments and allocation of tasks some crucial information can be attained.
System Requirements
The Provisions of the Swedish Work Environment Authority (AFS 2001: 1) define the initiatives for systematic working management as " ... the work done by the employer to investigate, carry out and follow-up activities in such a way that ill health and work related accidents are prevented and a satiifactory working environment achieved" (2
§).
This means that the operative management of a systematic working environment encompasses the whole of the activity, regardless if it is carried out in the same place all the time, it is dispersed or itis moveable. Added to that, management needs to be conducted in the course of regular operations and in connection with changes, such as reorganization and initiatives for improvement. In this context it is important that the management of the working environment goes beyond the confines of the conditions of the majority of workers and includes conditions that may affect only one or a few of the employees. To meet those objectives well- defined organizational routines for identification and operation of risks are needed. The third section of the Provisions asserts that "...the working environment shall be included as a natural component in day-to-day activities. It shall comprise all physical, psychological and social conditions of importance for the working environment" (3 SS). This quotation is essential since it suggests that working environment issues need to be handled within the activity with the same sincerity and ambition as production, economy and quality. Since numerous operational decisions are related to the status of the working conditions, analysis of consequences needs to be assessed and considered before decisions are made.
The eight section of the Provisions establishes that "...the employer shall regularly investigate working conditions and assess the risks of any person affected by ill health or accidents at work. When changes in the activity are planned, the employer shall assess whether the changes entail risks of ill health or accidents that may need to be remedied. Assessment of the risks shall be documented in writing. The assessment shall indicate which risks are present and whether or not they are serious" (8 §). This suggests that risks need to be systematically investigated and assessed.
Generally such work can be achieved by means of daily surveys or through inspection tours and similar problem inventories. Most important, the employer needs to be clear about the prevailing risks, so that ill health and accidents can be prevented at an early stage. The frequency by which surveys are carried out depends on the risks that the activity entails. According to the section above, accomplished assessments of risks shall result in proposals of measures for eliminating or reducing them. Accordingly, the assessment of risks requires an undertaking in the light of the general experience presented within the activity and the routines applied. Further, it is essential to obtain knowledge from written summaries of ill health, accidents and incidents and of previous measures for job modification and rehabilitation. Other kinds of information can be derived from research in the field and from general statistics on injuries at work. Taken together, this implies that some kind of coordination of information is necessary. Parallel to that, a system for management of working environment issues shall comprise all questions with bearing on the working environment.
There are many factors at work which affect the employees physically and mentally. They includet organizational conditions 1 like 'w_Q_rkload', 'division of labour', 'working hours', 'leadership' and 'social contacts'.
Together these factors make up the employees' total working situation.
Hence, the employer needs to take into account all factors with potential impact on the employees' work. The conception of 'risk' as defined in the Provisions refers to the likelihood of ill health or accidents and the consequences of such occurrences. Risks at work can lead to injury in both short and long tenns, and the gravity of a risk has to be decided in each particular instance. Parallel to that, risk assessment is an essential conception in the Provisions. From an employer's perspective this highlights the importance of investigating the working conditions, identifying and eliminating inherent risks. A basic issue cancerns the efficiency of formerly applied measures. Unfortunately the Provisions lack the precision for how such an inventory and assessment should be conducted. Difficulties are bound to surface <luring implementation of system for management of the working environment. It follows that recurring problems are left to solve for the respective units of work. A consequence of faulty instruction and poor legitimacy in the suggested procedures is a local inability or loss of initiative to establish sufficient systems for practical operation of the conditions.
Regarding remedial measures the Provisions make it clear that " ... the employer shall carry out, immediately or as soon as is practically possible, the measures which are needed for the prevention
cif
ill health and accidents at work. The employer shall also take such other measures as are needed in order to achieve a satiifactory working environment. Measures not carried out immediately shall be entered in a written action plan. The plan shall indicate when the measures shall be effectuated and who is to see to it that they are effectuated. Measures effectuated shall be inspected"(10
§).
This means that when measures are to be taken, the point of departure is the assessed original risks of ill health and accidents that completed investigations have revealed. Frequently, the first line manager needs to prioritize according to the gravity of the risks. Sometimes the risks may be so grave that specific measures have to be implemented immediately.A central aspect is that risks can be eliminated or reduced "at the source".
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Measures not taken into action immediately, i.e. on the same day or within the next few days, shall be noted in a written action plan or entered in a revised plan. None-remedied risks at work can be a sign of inefficiency in the management of working environment conditions. If the measures taken have not been sufficient, they may need to be added. At the same time, new measures may generate risks and therefore need to be checked. Guidance on
the tenth section emphasizes that the employer should carry out annual summaries of the routines for effective management of the working environment conditions. The objective of annual overall follow-up is to investigate whether management is conducted in accordance with the requirements of the Provisions.
Closer analysis of the Provisions show that directed sections of text constitute an underlying structure and model, namely the systems and control model (Scott, 1998). To analyze the Provisions according to a logical structure a control model is applied. The model is of assistance for identifying and analyzing essential components of the Provisions. In this Context the control model depicts a descriptive approach without running the risk of disregarding significant factors. The Provisions constitute a foundation for design of program theory. Since the Provisions cannot be directly reproduced in concrete tasks, additional aspects need to be considered and transformed into organizational activities. After that the activities need to be established as organizational routines. In later sections, a model of a new organization is described and a further developed control model, i.e. an 'ideal model' characterizes a necessary organizational design aimed at covering the requirements in question.
The work environment included as a natural part in the day-to-day activities (3 §)
Risk assessment and preventive planning (9 §)
Remedial measures (10 §) Regular investigations (8 §)
Figure 1. A principal schedule of the control model.
The control model illustrates critical organizational functions that regulate input (I) and transformations (T) as well as output (0) of the activity. Inputs are environmental resources, and transformation refers to tasks and formal organizational activities. Output can be described at an individual, group or organizational level. The problem of implementing change becomes one of arranging the input, transformations, and output so as to maintain organizational congruence. The model provides a preliminary outline of the organizational system encompassing the control components.
The cited requirements of the Provisions help apply the control model for analysis and specific organizational activities become evident. The employer shall regularly investigate working conditions and assess the risks of any person affected by ill health or accidents at work (8 §). This task requires investigations according to a specific cause-effect structure, consistent with the structure suggested by the action program. Added to that, the employer should apply complementary methods of investigation. Further, the employer shall implement measures and apply regular follow-up (10 §) in a remedial way. Last but not least, these activities shall be coordinated and integrated with other substantial control issues of the activity (3 §).
A Status Report of the Present Organizations
A review of the present organizations should serve as a foundation for further reasoning: In spite of taken measures for protection from accidents and ill health, a large number of work-related injuries occur every year in the care of the elderly. An explanation for the complex of problems can be that prior organizations have not considered analyses of consequences in such a way that working environment conditions have been included as an integral part of the core activity. There is the problem of so called marginalization from working life, which conveys that many employees retire early on a pension due to ill health. A lot of absenteeism depends on the mental and social circumstances in the working life. Besides, restrictions in the working conditions and threats of closure contribute to increased insecurity among employees (Szücz, Hemström, & Marldund, 2003). To illustrate the characteristics of the topical organizations, a description is given from a work group within the Swedish Government that has described stress-related ill health in the working life (Ds 2001:28). The report makes it clear that within the health care sector and the school sector, as to a great extent take place in the public sector, an increasing number of absences due to stress and injuries from increased work load has increased recently. Still, the increase is continuing during the current year. According to the authors, an essential
factor behind this increase is that substantial rationalization and efficiency measures have influenced the health care sector. Changes in the policy management and increase of privatization have formed important elements in this transformation. The aim of these interventions has in the first place been to reduce expenses. Due to the fact that the largest cost within these sectors are personnel wages that constitute about 70 percent of the total expenses, shortage of staff have many times been the only way to reduce to the costs and make up for budget limits. In the care of the elderly, the technical possibilities to reduce the staff are distinctively restricted, because of humane and cultural barriers for e.g. electronic supervising or distance care. Limited personnel resources increase the risk of injuries due to workload.
Demographical changes by age structures point further towards an increased need of resources for the care of the elderly. Within areas where the work is about care, women represent an evident majority in the working life.
Changes in the public sector therefore get specific consequences for women's working environment conditions.
Regarding distinctive characters in the care of elderly the report makes clear that there is an essential difference between the work of taking care of elderly and other kinds of work. The difference develops since the personnel establish relations to human suffering and are forced to handle the complex problems that might follow. This phenomenon pertains to all medical staff, although the intensity and the types of relations vary. Meeting with human suffering is an aspect of work that imbues the personnel's workday and total working situation. If these conditions are omitted in the planning of and organization of work there are some psychological working environment risks. The consequences of neglect can in the worst scenario result in chronic states of stress. At the same time the care of elderly can bring a deep feeling of work related satisfaction. The work of helping other is often one of the greatest sources for the personnel's work satisfaction. A certain problem is the strong attachment that regularly comes up between the personnel and the patient. This attachment often results in an increased workload for the personnel. How meetings between the personnel and the patients develop is a central issue with implications for the working environment conditions and a deficient quality. Research has failed to illuminate this relation and as a result, little is known about the consequences that might follow from the organizational changes concerning occupational planning. A critical issue in this context is how the personnel will receive support that will help to prioritize distributions of assignments of work. The character of care of elderly implies that leadership and social
support becomes accentuated. The health care sector has for a long period of time objected to demands of financial savings and organizational changes.
As a result, so-called change related stress has arisen. Distribution of tasks between different personnel groups has resulted in strain and tension between different professional categories and established work groups.
There appears to be a remarkable increase of ill health among employees in health care. Likewise, the increase seems to have strong relations to insufficient routines for management of the activities and scarce personnel resources. The mechanisms that regulate these relations are still relatively uninvestigated, and they probably diverge with local conditions. Still, the working environment conditions influence the quality and economy of the activity in long terms. Consequently, the organizations run the risk of ending up in a vicious circle, where increased costs demand further savings. Savings in turn, influence the quality and working environment conditions negatively with increased costs as a direct or indirect consequence. This line of reasoning suggests a need for a system for management of working environment, including explicit routines for continuous follow-up of the status of the environment. Until such a system is established, the state of working environment conditions falls short to constitute a realistic basis for overall planning and management of the activity. It is a common observation that executive management comes to decisions for costs and savings without satisfactory investigation of consequences related to quality and working environment conditions.
The National Working Environment Inspection. It is the duty of The National Working Environment Inspection to systematically investigate working environment conditions and assess organizational routines for identification and operation of risks. During the years 1993-1999 the authority attained a supervision project within the care of elderly in Västerbotten (Yrkesinspektionen Umeå distrikt, 2000). During the recent period nearly all municipal units of work were inspected (approximately 450 inspections at work unit level and a total number of 52 inspections at administrative level). The inspection tours of day-to-day activities constituted a foundation for the following inspection tours at administrative level. The supervisory project included plural follow-up inspection tours. Regarding aspects of the systematic management of working environment conditions, results showed that 83% of the working units had obvious deficiencies concerning the 'working policy and goal setting'. Regarding 'distribution and introduction of working environment legislation' and 'strategy to
systematically investigate conditions in the working environment', 83%
respective 91% units of work proved to have insufficient routines. The same applied to 'methods of investigation' of working environment conditions and 'routines for establishment of action plans' where 62% units of work received criticism. Regarding 'routines for follow-up of taken measures', 94% of the units received criticism. The inspection report makes clear that a unanimous opinion among the inspectors held that the physical as well as the psychosocial workload had increased over the last years. Savings and reduction in resources were mentioned as the underlying causes for scarce conditions. Further, the inspectors considered that there was an apparent imbalance between organizational demands and available resources. In conclusion, the inspectors emphasized, in an account of the deficiencies, that the units of work and the executive boards consistently had to improve the management of the working environment conditions. Despite the fact that responsible managers in most cases are well aware of the working environment deficiencies, written action plans that report taken measures and a responsible operator were neglected. Another factor that most likely contributed to negative development was difficulties associated with recruitment of experienced personnel.
Although it is debatable whether the way in which working inspection tours are carried out or should be refined to produce more valid data, the cited results point in an ambiguous situation. The results from the report on stress-related ill health in the working life as well as the results from the supervision project makes clear that the topical organizations lack an active organizational system to operate the working environment conditions. To eradicate ill health and enhance management, various signals about working environment conditions must be given extensive attention. One way to attend early warnings in a systematic manner is by means of an activity-based system for management of working environment conditions. To circumvent the observed deficiencies the current organizations need an operative system with clear routines for investigation of risks, remedial measures, follow-up and control. In the light of current results, it was decided that an activity- based system should be implemented in project form. The previously outlined status reports confirmed initial hypotheses about organizational need for development and a structure for the management and integration of working environment conditions.
Difficulties in Organizational Implementation and Change
Reviews of literature in the field of organizational implementation and change present a diversity of images and claims about the nature of change processes that easily confuse any attempt to construct accounts of comprehensive methods and developments. Unquestionably, there exist several obstacles and problems within the frames of an organizational change project - problems that cannot be reduced to simplistic generalization. The following discussion emphasizes that the process of organizational implementation and change is by no means routine. A central aspect concerns the difficulties of identifying relations of cause and effect.
Implementations of action programs in any organizational context usually involve change in a complex of several factors, e.g. methods of work and staff composition. The classical and still standard methodological paradigm for outcome evaluation is experimental design and its various quasi-experimental approximations. The superiority of experimental methods for investigating causal effects of deliberate interventions is widely acknowledged. It is also acknowledged that the experimental paradigm, as it is conventionally applied in evaluation of outcome, has significant limitations. Generally speaking, some independent variables are manipulated and controlled, interventions are conducted and inquires of differences are made with respect to some dependent variables. Even if data indicate, for instance increased commitment, satisfaction or performance of an intervention, it is difficult to demonstrate that conducted interventions caused these outcomes, unless a matched control group is accounted for in the design. In particular, the practice of outcome evaluation is marked by increased recognition of important variables that a "true" experiment fails to control. These method- related difficulties appear in implementation of action programs. They are difficulties that meet a change agent, an evaluator or a researcher in the process of organizational change. Obvious problems surface regarding how to evaluate the effects of an intervention in the daily activities. These method- related difficulties suggest use of explicit and detailed procedures.
Organizational change projects generally claim an ability to critically analyze the point of departure, in the established organization as well as in the implemented programs. Although the evaluation phase is an essential component in a change programs, evaluation is the most poorly performed of all these phases (Dipboye et. al., 1994). A reason is that the change agent often stands in a position dependent on the stakeholders. The dependence often collides with the attitudes of the executive management, since a certain amount of political and administrative prestige is invested in the change
program. Corresponding to that, there is a considerable risk that the outcomes of the evaluator become positively misrepresented. Instead, the applied change theory should cover a detailed description for outcome evaluation, i.e. structured assessments of the effects of interventions upon the populations they are intended to support.
Another inherent complex of problems concerns organizational inertia, which refers to the tendency of organizations to maintain status quo.
Resistance to change can lower organization effectiveness and reduce the effects of changes aiming at development. According to Pierce and Gardner (2002) any attempt to change in organizations generally gets restrained at three levels: first, at organizational level: Control-oriented management practices and mechanistic organizations emphasize stability, consistency and predictability. Research suggests that mechanistic organizations resist change, while organic organizations are significantly more receptive to change and adaptable to dynamic environmental conditions. Second, at group level:
Groups often develop strong norms that specify and govern appropriate roles.
Strong group norms often promote resistance to change, simply because change means that a whole new set of norms and rules need to be developed.
Finally, at individual level, an inherent complex of problems concerns the participants' specific capacity and competence to take an active and forceful part in the change process. Well-known principles of work and organizational psychology argue that employees continuously adjust their thinking and methods of work to the established organization. On the other hand, negative aspects of an organization and the content of work promote hinder employees to satisfy their needs of working pleasure and personal development. The employees often become dissatisfied and passive in their occupational roles, and therefore stimulation and self-esteem are developed in shapes of compensatory activities through informal social fellowship with co-workers. A closely related problem in this context concerns evaluation of organizational change, which usually is limited to pertain to a single level of analysis (Salas & Cannon-Bowers, 2001). Informal processes can result in both positive and negative effects for the intended process of work. To control for these problems a comprehensive theory of planned change constitutes a basic condition.
Recent work on organizational change continues to use ideas akin to Kurt Lewin's theory of planned change (1951). The theory describes change processes at the individual level. However it is debatable how effective the theory is when the ambition is to create practical and overall changes in
organizational structures. The theory describes change in a three-phase model, where the first stage covers how the individual undergoes cognitive restructuring by means of dissolving earlier patterns of behaviour for creating motivation and readiness to change habitual patterns of behaviour. A crucial dimension during this stage is that the individual must experience psychological safety in order to be able to replace established patterns of behaviour. A foundation during the second stage of the process describes cognitive restructuring where the individual internalizes new patterns of behaviour and conceptualizes the situation from a new perspective. In the third phase, integration of new behaviour and perspectives in the individual personality and attitudes take place. Everything must come together in the organizational context in which the individual acts together with others so as to stabilize new patterns of behaviour. In spite of recurring attempts of describing Lewin's change theory (e.g. Schein, 1988) most theoretical remedies seem to fall short to describing how interventions should be designed for sustainable organizational development. Concepts like 'motivation' and 'cognitive structuring' seem primarily to operate at an individual level of analysis thus supporting descriptions of individual mechanisms and conditions. In terms of organizational development, the choice of a single level of analysis can be questioned, since an organizational change program is implied at complementary levels of analysis. In any case, Lewin's change theory makes an important contribution to the field by pointing out that knowledge and understanding of individually mechanisms seem to form one precondition for deciding how interventions should be designed and implemented.
One way of complementing the theory in question is to supply additional levels of analysis to the change theory, i.e. group and organizational levels of analysis. Another way to circumvent the problem of incomplete theoretical foundations is to establish a systems perspective and view organizations as open systems in active exchange with their surrounding environment. To establish such a systems perspective implies that organiza- tions are defined by the characteristics of open and self-regulating social systems. Lewin's theory appears useful because a valuable aspect in the open systems perspective is the opportunity to include influences of environmental factors on organizational structures. By including external factors in the change theory, inquiries into impacts from an additional perspective become accessible. Above all, outcomes can be predicted and controlled in a more reliable way, in contrast to a situation where effects of external factors are unaccounted for. An extensive review of open systems is given by Katz and
Kahn (1966). Several environmental factors operating on an organizational basis influence everyday working conditions in a number of ways. To concentrate on those factors alone would be misleading in an attempt at describing and explaining the necessary prerequisites of change processes.
Account for external factors is however just one implication of an open systems perspective on change processes in organizational settings. To control for the given problems theories of planned change is necessary. Without an explicit program theory, including systematic design of interventions, it becomes practically impossible to relate outcomes and effects to specific causes.
The Program Theory
In the world of program practice within which outcome evaluations are conducted, the changes that an action program is supposed to bring about are often defined in an imprecise manner. A major undertaking of evaluations is to convert program objectives to measurable outcomes. By describing the logic that connects program activities to subobjectives or outcomes, the program theory helps to specify expected outcomes. Consequently, evaluations of intervention effects are theory-driven, i.e. the process begins with a theory about how program actions possibly cause expected effects and subsequently organize inquiries around that theory. Along the same lines of reasoning, the overall change process consists of an orderly, planned sequence of events. That sequence includes central components such as diagnosis, intervention, and evaluation of accomplished intervention (Chen, 1990). As an organizing device for impact analysis there is a need for a program theory that states the programs activities. According to Mohr (1995) impact analysis should focus on an inherently valued outcome and evaluation methodology should help produce such a focus rather than leave conclusions to common sense. One of the foreseeable outcomes is the outcome of interest (Y) which must appear in every impact analysis. Y is an outcome in which there is interest in its own sake rather than for the sake of achieving something further. According to Mohr (1995) a subobjective (S) is an outcome that must be achieved at a point in time before some further outcome may be achieved. Most subobjectives are specialized instruments for the attainment of a particular further outcome within a given action program. Somewhere in the program there must also be activities or interventions (T) designed to achieve either S or Y. Theses activities may affect the Y directly or produce one or more S that in turn leads to the Y. The completed outcome line
represents the program theory stating that certain activities and subobjectives will bring about specified results.
Any problem can be defined as a deviation from an established standard and the discrepancy shall in turn constitute the starting point in the theory of planned change. As noted in Mohr (1995) there is little reason to have a program unless there is a perceived problem. Unfortunately, many training programs fail to reach their objectives because of organizational constraints and conflicts, which could have been identified and improved before training was implemented (Goldstein, 1993). The concept of 'change' intends that a new state of things is altered from its old insufficient state. Hence, change implies alteration from one state to another. In this context the concept of change is all about planned interventions related to (1) the organizational structure, and (2) towards employees that operate in them. From a systems perspective it follows that changing one single element in the system requires changes in other systems elements such as structures, processes and functions.
Planned change refers to a set of activities and processes designed to change organization structure and processes. The word 'planned' is essential, since it indicates a priori theory and methods brought to bear on a specific target in order to reach a specific outcome. The program theory forecasts how to optimize the organizational system by ensuring the presence of compatible system components. It also includes a description of the overall change process as well as the concluding evaluation phase.
Comparative methods of analysis. The defining characteristic of a program theory is to explain and predict a pre-defined phenomenon by specifying relations among variables. The explanation of intervention effects or the lack thereof, requires some theory about the way that interventions are presumed to bring out those intended outcomes. To meet that objective, the program theory serves as a framework for organizing and interpreting information. In program theory, a comparative structure presupposes replications of the same study and comparisons of descriptions of the same cases (Yin, 1994). To be able to conduct systematic comparisons of cases, design of normative models constitutes one method at hand. Other variants of the comparative approach are possible, but in this case the comparisons are based on normative models. After establishing a normative model, the replications enable for inquiries into the degree to which the observations fit each normative model. This also implies that deviations from the models can be described and analyzed from different points of view and with different descriptive models. Explicit organizational analyses constituted the first step
of the change program. The interventions composed of structured activities aimed at identifying insufficient conditions. By means of the discrepancy analysis the complex of problems was defined. At the same time the overall objective for the change program was set. The process was initiated by examination of discrepancies between what the present organizations may realize and what the organizations de facto accomplish. Identification of discrepancies between the organizations present working environment systems and the requirements as defined by the Provisions (AFS 2001:1) outlined the point of departure. The purpose of the diagnosis was to inquire into the system-wide components of the organization that may affect the action program. The foci were on the congruence between the program objectives and factors such as organizational goals, available resources, constraints and organizational support for transfer.
The next phase in the change process concerns representation of the organizations in terms of a model. Describing the characteristics of the organization properties is of great guidance for identifying relations among systems components and its functions. Of crucial interest is how the organizations investigate the working environment conditions. According to the program theory, complementary work methods of investigation are necessary. In connection with that, the methods may well, in the light of their inherent characteristics, be coordinated in specific arrangement. What coordination implies, and how to manage this coordination from an organizational perspective is also taken into consideration in the ideal organizational model discussed below.
Organizational prerequisites. Structured channels for communica- tion in the organization constitute a basic precondition for standing operations. Figure 2 illustrates how the working environment principally could be coordinated from an organizational perspective.
Risk analysis and planning of
measures
STAFF PARTICIPATION
-> CAUSES I=>
RISK FACTORS IN THE ACTIVITY AND IN THE WORKING ENVIRONMENT
RISK OF PHYSICAL
1=>
AND PSYCHICAL ILL HEALTH\N,
DAY-TO-DAY PLANNING OFACTIVITIES
17
THE EXECUTIVE BOARD
Activity report for the unit of elderly care
Planning by the manager of elderly care
Consequences and measure plan
WORKPLACE TEAM MEETING AT THE UNIT OF WORK
I
( ACTIVITY
PLAN Preventive measures
in the workplace
Inventory of risks in the working environment
Figure 2. Management of working environment conditions from an organizational perspective.
The organizational schedule illustrates an expanded control model.
Closer examination reveals that Figure 2 is constructed from several stacked control loops. Compared to a single control model, essential differences are found in this developed model. For example, the ideal model illustrates supplementary leadership levels for mutual organizational activities. The filled arrows illustrate formal information channels for communication. An underlying idea is that bottom-up information is fed back to the original
source, i.e. the core activity. Conversely, the core activity supplies the executive board with detailed pictures of the working environment conditions. Hence, it is assumed that actual opportunities for foundations of analysis and decision-making are realized. Subsequently, the filled arrows illustrate feedback channels utilized by superior management to confirm accounted information. An underlying assumption in the ideal model is that it presumably will circumvent the widespread problem of working environment operations coming to a full stop, as soon as the required documentation is completed. It is an indisputable fact that the quality of a working environment system is solely decided by efforts that the organization manages to apply in specific action.
An inherent characteristic of the system is that there are complementary work methods of investigation. Explicit analyses of risk factors at workplace team meetings constitute the central method. Additional work methods are professional employee interviews and questionnaires. Whether the participants have the motivation, capacity and opportunity to carry out risk analyses according to the given structure is a central issue. Whether the overall organizations hold necessary prerequisites to adapt the system is another question at issue. The outlined arrangement provides for the requirements of the Provisions and supervising authorities, simultaneously as the system enables for a number of additional spin-off effects. It is assumed that the operations strengthen the occupational role and responsibility of the first line managers, since it is an important role in upholding democratic principles in group communication and decision-making. Chairing a meeting on working environment issues may well enhance the manager's self- confidence and strengthen the management role. If the structure of meetings and monitoring of organizational activities becomes accepted by superior management, i.e. the executive board, the main reason for role conflict may well be eliminated. How the staffs participate in risk assessments can enable for involvement and commitment in the core activities, which is one apparent example of positive spin-off effects.
Behaviour prerequisites. The design of organizational interventions is grounded upon a basic assumption about a practical potential for the participants to acquire elementary and necessary knowledge and skills - and later apply that knowledge in day-to-day activities. For this to be possible the participants have to provide energy to see both the need and the program ideas applied to meet that need. Acquirement of a new model of behaviour and changes of patterns of behaviour is a complex process that in most cases
presupposes certain motivation to change. Motivation is generally conceptualized as the direction, effort, intensity, and persistence that participants apply to learning-oriented activities before, during, and after training (Tannenbaum & Yukl, 1992). To specify the meaning of the conception, motivation involves psychological processes that cause direction and persistence of behaviour. Persistence focuses on the time and effort that individuals invest, and direction refers to behaviour in which the investment of time and effort are made. In this sense, motivation is reflected both in the choice of behaviours that individuals decide to engage into and the amount of effort devoted to those behaviours. In this context motivation is examined as one subobjective that needs to be attained. Motivation alone is however an insufficient component. An additional subobjective considered in the change process is the participants' capacity to perform. According to Jewell and Siegall (1990) capacity includes relevant physical, psychological, knowledge and skill variables such as education, energy and ability. Whether the participants hold those characteristics are seen as a second prerequisite that by necessity needs to be attained. The third behaviour prerequisite, 'opportunities', refers to contextual and organizational conditions for the participants to operate and contribute in the project activities. As an example, opportunities pertain to the environmental conditions to which the participant shall transfer and apply the acquired skills. Blumberg and Pringle (1982) propose a model that attempts to combine the subobjectives of motivation (M), capacity (C), and opportunity (0) to produce individual performance (P) by means of the equation:
P = f (M x C x 0)
The equation indicates that the variables are assumed to interact multi- plicatively. That in turn implies that each component must be attained for performance to occur at all. It is a basic assumption that the variables must be attained to produce performance, regardless of what specific task being analyzed. Although the model is simple, it still captures the essence of necessary behaviour prerequisites that need to be attained in the imple- mentation process. The model constitutes the frame of reference for the requirement analysis, which basically is an examination of the details that must be made clear before the implementation can function. The subobjectives of motivation, capacity and opportunity apply to three levels of analysis - individual level through the first line manager, group level through the staff and organizational level of analysis through the representatives of the
executive board. The relations between complementary levels of analysis and necessary prerequisites are illustrated the 3x3 matrix shown in Figure 3.
Necessary prerequisites
Motivation Capacity x Opportunity
Individual
Levels of analysis x Group
x Organizational
eP
>P
P P P
Figure 3. Complementary levels of analysis.
The construct of motivation bears obvious references to an individual level of analysis, since it is necessary for the first line managers to maintain relevant knowledge and skills for operation at workplace team meetings.
Besides that, the first line manager needs to provide knowledge regarding the inherent characteristics of the complementary methods of investigation, i.e.
professional employee interviews and questionnaires. The construct of motivation as well applies to a group level of analysis, where foci are on the staffs performance. The staffs need to experience a certain degree of motivation to participate in the tasks that inhere in the project activities. At a specific workplace team meeting, motivation and commitment of the participants has decisive bearing for the characteristics of the meeting. At an organizational level the construct of motivation applies to the executive boards' willingness to apply the gathered information about the working environment. As the ideal model suggests, the board should apply the information as a basis for working environment analysis and overall decision- making. The construct of capacity applies to the individual level of analysis as well as on the group and organizational levels of analysis. At an individual level it is of critical importance that the first line manager holds the capacity to perform a number of tasks, for example how to implement and supervise risk assessments. The construct of capacity applies to group level of analysis, where it is of crucial importance for the staff to have capacity to complete various types of tasks in the action program. At an organizational level the
construct of capacity refers to the representatives of the executive boards' capabilities to apply the gathered information in sufficient practice, e.g. as a basis for planning and decision-making. The construct of opportunity applies to an organizational level through the representatives of the executive boards' possibilities to contrive propitious settings for a rational working environment system and operate on the basis of the information that lower organizational levels provide. At the group level of analysis the construct of opportunity applies first and foremost to the participants' possibilities to gather and carry out the project activities. For the first line manager it is essential to have the opportunity to investigate the working environment conditions by means of complementary methods. There are several far- reaching dependencies between organizational levels of analysis - analogously as relations between the constructs of motivation, capacity and opportunities are assumed to subsist. In the same way as the subobjectives are seen as accumulative, the levels of analysis are seen as interrelated in various combinations. For evaluation of intervention effects and inquiries into the organizations' prerequisites to operate the activity-based system the theoretical framework constitutes a foundation.
The Action Program
The action program was implemented within the framework of an in- service training program for organizations of municipal care of elderly. A series of training sessions initiated the program. Staff from the Communication Research Unit at Umeå University guided the participants during the training sessions. The objective of the training sessions was to develop routines for risk assessments, follow-up and remedial measures of working environment conditions. Applied interventions emphasized that the first line managers together with the staff should take an active part in the development of the activity-based system for management of working environment conditions. The process of organizational application was initiated by the executive board informing the first line manager via the manager of elderly care. The overall application is shown in Figure 4.
Project assignment
The l
ma
!
nager of elderly care
The first line manager —
Project report
Prepares -- Informs the staff Supervises the — Compiles -- the task about the project staff during identified
and the task the inventory risk factors
Management of risk factors at the workplace team meeting Additional
inventory
Horizontal and vertical analysis
Judgment of risks, i.e.
probability of outcomes
Planning of measures, i.e. stipulation and of risks of risks and consequences
of occurence
subjection to means test
Establishment of an activity plan for the
unit of work
Figure 4. Model of implementation of the action program.
According to given instructions, the first line manager was informed to initiate the process by giving the staff an account of the objectives of the action program. For instance, the first line managers where given posters designed in accordance with the ideal model shown in Figure 2. The posters aimed at illustrating the overall activity system. The first line manager was instructed to give general descriptions of the structure for risk assessment at workplace team meetings. Next the staffs were given the task to make an inventory of risk factors at the unit of work. As a guiding principle the staffs were instructed to inquire into the working environment for deficiencies and incongruities. As an aid in the inventory phase the first line manager was advised to supply a crib with illustrating examples of established stipulations of risk factors and consequences. The crib was applied to engender a homogenous terminology in the process. After that the first line manager was informed to categorize identified risk factors according to categories such as 'psychosocial', 'organizational', 'physical' and 'ergonomic' factors. The staff had the possibility to carry out the inventory of risk factors in private or collectively as well as the alternative to report the identified risk factors in writing or verbally. The first line managers were instructed to guide the staff throughout in the inventory process. The first line managers were given instructions to either summarize identified risk factors in advance or during the workplace team meeting. At workplace team meetings the first line manager were informed to engage in the role of chairman and to act through addressing the word and written annotations. At workplace team meetings
the participants were given the opportunity to conduct additional inventories of risk factors. After that, the participants had to complete risk analyses in two phases, (1) through a horizontal analysis of common consequences from single risk factors, and (2) to complete vertical analyses for each professional category. In connection with the vertical analysis, inquiries into the entire professional category could be conducted by taking the total working situation into consideration. The structure for risk assessment is a modified application of a structured analysis of factors in terms of cause and effect. The starting point for analysis of risks was left non-specified. The participants were given the opportunity to collectively decide at which level to start the analysis. An example of a cause and effect reasoning could be problems due to shortage of staff (cause) resulting in increased workload (effect).
Throughout the meeting the first line manager was given instructions to raise follow-up questions in connection with identified risk factors. On occasions when a participant disregarded or for some reason omitted a phase in the analysis, the first line manager was told to repeat the question and request further consideration. Figure 5 illustrates the applied structure for risk analyses at workplace team meetings.
Summary of risk factors
Professional categories
A B C
Judgment of risks *
P/C Measures Time/resp. Resources
, ),
, i , i
,- ,
, 1.-
Judgment of risks *
Probability/Consequence .,4.
Measures
Resources
judgment of risks * Probability (P) Consequence (C) I. Low 1. Le z serious 2. Fairly high 2. Serious 3. 1-ligh 3.Very serious
Figure 5. The applied form of risk analysis at workplace team meetings.
In the next phase the participants were instructed to accomplish structured judgments of risks. Identified and analyzed risk factors constituted a foundation for that activity. The judgment of risk factors was arranged in congruence with numeric estimation (e.g. Dunn-Rankin, 1983) of the 'probability' of a certain outcome and the 'consequence' of an eventual occurrence. The estimations were conducted on three-grade scales.
Estimations regarding probability were accomplished on a scale ranging from 'low probability' to 'high probability'. Estimation regarding consequences was accomplished on a scale ranging from 'less serious' to 'very serious'. Following that, the participants were instructed to conduct 'planning of measures'. The planning was divided in binary categories - measures completed by means of the unit's resources and/or by means of measures presupposing additional resources. Contrary to former classifications the dividing is not mutually exclusive, since the defined measures, under certain circumstances, can require both own and additional resources. In connection with the planning of measures the participants were informed to appoint an agent responsible for the realization of established measures. A deadline was established for each incorporated measure. The planning of measures concluded with, (1) an action plan for the unit of work, and (2) a project report back to the executive board via the manager of elderly care.
CONCLUSIONS
The Provisions of the Swedish Work Environment Authority (AFS 2001:1) point out essential elements that need to be attained for handling of working environment conditions. Transformed into explicit tasks the activities require an operative system with established routines for investigation of risk factors, remedial measures, follow-up and control. On the basis of these stipulations organizational interventions have been applied.
For optimum implementation of an activity system for management of work environment conditions a set of predefined requisites needs to be attained at complementary organizational levels. The subobjectives refer to motivation, capacity and opportunity applied at individual level, group level, and organizational level of analysis. In subsequent evaluations the constituents recur as criterions in evaluation of accomplished implementations.
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Sammanfattande rapport.
Implementation of Workplace Team Meetings
Within the framework of an in-service training program, employees in the care of elderly were trained to carry out workplace team meetings according to a special communication structure. The workplace meeting constituted the centre in the activity-based system for management of working environment conditions. The activity system contained routines for risk assessment, follow-up of processes and results, linked to remedial measures for improved working environment conditions. Evaluation of accomplished workplace team meetings showed that the participants operated according to the given structure. Evaluation of content showed that some risk factors appeared frequently, while other factors rarely or never were examined in the context of meetings. The results imply a need for coordination of complementary work methods of investigation.
This study evaluates implementation of an activity-based system for management of working environment conditions. The implemented activity system was built from complementary work methods of investigation, including routines for investigation of risk factors, remedial measures, follow- up and control. The study addresses the prerequisites for the participants' behaviour to perform e.g. risk assessments at workplace team meetings. The overall outcome of interest, according to the program theory, is established routines for management of the working environment conditions. A basic condition for implementation is that the participants operate according to the given communication structure at workplace team meetings. A characteristic of many approaches to evaluation of program implementation is that the nature of basic underlying mechanisms is unobservable, i.e. relations between cause and effect remain unknown, consistent with traditional stimulus- response models. In this case the underlying mechanisms were inquired into by means of a basic structure for interventions (T), subobjectives (S) and outcomes of interest (Y). According to Luce (1995), little can be done to verify the underlying dynamics of behaviour, e.g. cognitive structures, in a direct manner. Consequently, inferences about internal states gained from observable patterns of behaviour and verbal expressions constitute the methods at hand. 'T' refers to activities undertaken within the framework of
