Having discussed the role of management in downward communication, this sub-section will explore the role of employees in upward communication. In general, employees can provide critical inputs into OHSM (Dwyer, 2000). Empirical results in the literature show that when OHS arrangements do not involve employees and their representatives, OHS outcomes are poorer than when they do (Nichols, 1997). This point was further reinforced in ten case studies from the UK construction and chemicals industries conducted by Walters and Nichols (2007). Employees can be supportive by their active involvement in organisational decision making processes by contributing their knowledge and experience.
As discussed in section 2.5.1, employee’s upward communication is mainly for ‘safety reporting’ and ‘being consulted’, which allows them to participate in organisational OHSM activities.
Safety Reporting
The argument in section 2.5.1 noted that it is essential that procedures for employee’s safety reporting should be established so that upward communication can be guaranteed. In general, smooth functioning of an upward communication system is underpinned by an effective communication culture (Havold, 2000; Graham et al., 2002). Also, it is a precondition of successful OHSM and one of the key features of a high reliability organisation (Reason, 1997; HSE, 2000; Kuhn and Youngberg, 2002). This sub-section reviews and discusses the literature on workplace safety reporting that dominates upward
communication process in an OHSMS.
Usually, safety reporting is conducted based on a management system and this has implications for the outcome of OHSM. First, the design of reporting procedures is crucial.
If it was designed improperly, it would present a distorted view of the extent of non-compliance or violation (Nichols, 1997). Second, a reporting system is likely to break down in the absence of feedback. Therefore, feedback mechanisms must be built into it both to promote the morale of a reporter and facilitate problem solving. Third and commonly, a safety report is ‘the key trigger for a thorough-going incident investigation’
(Hopkins, 2000, p.58). The reporting may lead to a root cause analysis so that contributing factors can be identified. Fourth, in order to ensure a reporting system works properly, confidentiality or immunity from responsibilities is needed to prevent detriment to a reporter (ibid). Examples in US aviation industry showed significant influences in terms of whether immunity from prosecution to pilots was given or not (see Hopkins, 2000). The four points identified in the literature are essential for the operationalisation of any reporting systems. They help us to understand and explain the effectiveness and efficiency of reporting system practices.
In the context of shipping, section 2.5.1 mentions that safety reporting mainly includes
‘non-conformities, accidents and hazardous situations’. Non-conformity is defined as ‘an observed situation where objective evidence indicates the non-fulfilment of a specified requirement (IMO, 2002b). An accident is defined as an occurrence involving personal injury or casualty, damage to property, environment, a ship or its cargo (Anderson, 2003);
while a hazardous situation is defined as a sequence of events and/or conditions that could have resulted in loss (ibid). All of these should be reported to shore management by crew onboard ships. Furthermore, they should be ‘investigated and analysed with the objective of improving safety and pollution prevention’ (section 9.1, ISM Code) (IMO, 2002b).
One of the major research findings from many industries showed that ‘under-reporting’ of safety-related events was omnipresent (Oltedal and McArthur, 2011). The analysis of the Piper Alpha accident from the British offshore oil and gas industry showed that the safety reporting system itself was incoherent. A reporter could mean a whistleblower, and failures to follow reporting procedures were endemic and normal (Wright, 1994). To a great extent, the problem of under-reporting is also echoed by the findings in the shipping industry given
the limited literature sources. For example, the ten year study (1997-2007) of maritime casualty/accident databases from the Lloyd’s Register Fair Play (LRFP) and Norwegian Maritime Directorate (NMD) showed that more than sixty percent of the total accidents were under-reported (Psarros et al., 2010). In general the literature suggested that under-reporting is a ‘considerable problem’ in this industry, and ‘a culture of under-reporting’ of safety related occurrences is prevalent (Nielsen and Roberts, 1999; IMO, 2008b; Ellis et al., 2010; Bhattacharya, 2011). The under-reporting undermined normal and effective operations of the established safety management system, as was stated by Oltedal and McArthur (2011):
A fundamental pillar of safety management is that information reported into the system is reliable and reflects the actual situation in working operations. Thus, under-reporting of safety related events constitutes a major threat to the efficiency and utility of a safety management system (ibid, p.331).
Although safety reporting is particularly important for the OHSM, the significant under-reporting problem can undermine the outcome of the OHSM. This study conducted in the Chinese chemical shipping industry provides further evidence of current safety reporting, the factors that influence this reporting and its effects on OHSM practice in the shipping industry.
Employee Consultation
Apart from safety reporting, employee consultation is another important component of an effective OHSMS. Employee Consultation is a key term embracing OHSM-related activities (Walters and Nichols, 2007). In the UK and many other countries, every employer has a duty to consult employees and their health and safety representatives. Employers should provide adequate information, listen to what employees and their representatives have to say on health and safety issues and respond (ibid, p.18). Employees or their representatives should be consulted in advance by management with regard to the arrangements of certain significant health and safety related activities (Walters and Jensen, 2000; Akerlind et al., 2007). Kamp and Blansch (2000, p.419) argue that employees should have opportunities to ‘present their views and experiences, ideas and criticisms, and must receive feedback from management’. It is impossible to imagine a company ‘with adequate safety and health standards but without any real say of the workers in OHSM’ (Zwetsloot, 2000, p.406). In general, employee consultation ensures their ‘right to know’ in relation to OHSM (Walters and Frick, 2000). It is achieved through their communication with management so as to enable participation in the decision making process of OHSM.
Employee consultation is regarded as a bottom-up strategy for organisational change (Shaw and Blewett, 2000). It can also promote co-operation between management and employee to ensure the health and safety at work of the employees (Walters and Nichols, 2007).
Employee consultation can be achieved in many ways. The literature suggests that there are diverse forms of employee consultation in relation to the OHSM (Walters and Frick, 2000).
In many cases, employee consultations are prioritised when there is a recognised trade union. Usually, it is conducted by communication with the representatives of that union.
The role of trade unions in OHSM in upward communication is further examined in the next section. However, in situations where there is no trade union recognised for collective bargaining purposes, employee consultations can be achieved by direct communication with employees or groups of them (Walters, and Nichols, 2007).
Given the positive role of effective employee consultations, the research also shows that sometimes employees are instructed to act rather than consulted and encouraged to participate in any meaningful way’ (Gunningham and Johnstone, 2000, p.145). Bornstein and Hart (2010) identified the ‘ambiguous’ role of employee consultation for enhancing OHSM outcomes in situations of reduced external regulatory oversight. They argued that, given employees’ accredited participatory role, it might only produce an appearance of effectiveness; in reality the ability of employees or their representatives to raise controversial issues was inhibited. In contrast with the land based situation, research and information on employee consultation in the shipping industry is far more limited. This is true globally and especially so in China where the research is very limited on the nature or level of employee consultation in the Chinese shipping industry. This study makes a contribution to the assessment of the level of employee consultation in this industry in the Chinese context.
In section 2.5.2, some common measures used for management control were illustrated.
Meanwhile, the application of those measures can be interwoven with employee reporting and consultation. Through examining employee practices of safety reporting and consultation (in this study it is the ship’s crew), factors influencing upward communication are identified. Also, the influences of upward communication on the consequences of OHSM are also explored.