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15 Effect Chains A Method for Analysing
Qualitative Effects in Occupational Health
and Safety at Work
Martin Schmauder, Hanka Hoffmann
1 Introduction
The starting situation for activities related to health and safety at work in compa-
nies is characterised by a great deal of latitude for interpretation as regards the
statutory outline conditions, with which companies respond individually to
changes in the world of work and thus are able to open up potential in differentways. The flexibilisation of the world of work brings with it for example fresh
demands on the skills and resources of employees. The intensification of work and
expansion of responsibility leads to increased psychological stresses on employ-
ees. And not least, KRUEGER (2008) also highlights the significance of demo-graphic change, particularly for SMEs: in the next two decades, we may anticipate
an ageing (working) population across Europe. It is true that each worker agesdifferently, but the generally increasing mental and sensory deficits, above all the
decrease in the capacity to adapt to changing circumstances, have to be compen-
sated if even complex work tasks are to be performed through to pensionable age.
Maintaining the health of employers is thus gaining increasing importance. This isachieved not only by avoiding or reducing absences, but by improving the state of
health through improved conditions in the organisation, the work itself, and thedevelopment of personal qualities (Fig. 15.1).
C.M. Schlick (ed.),Industrial Engineering and Ergonomics,DOI 10.1007/978-3-642-01293-8_15, Springer-Verlag Berlin Heidelberg 2009
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198 Schmauder & Hoffmann
Fig. 15.1: Possible connections between organisation, work conditions, state of health and
work behaviour. Source: based on B. Badura, in: BERTELSMANN STIFTUNG (2000,p. 25)
In the meantime, in accordance with the law on health and safety at work, in
many companies workplace health and safety measures and health promotion
measures are being implemented in order to safeguard human resources in a last-
ing way. These measures also contribute to a positive internal and external corpo-
rate image, as well as to service quality. The following illustration provides an
overview of the problem areas and objectives that are most frequently addressed
within the framework of company health promotion (Fig. 15.2).
Main themes
0 10 20 30 40 50 60 70 80 90 100
Stress management
Organisation development
Management style
Autonomy
Health & Safety topics
Workplace design
Communication
Reducing sickness levels
Company atmosphere
Physical s tresses
N=212 companies
Fig. 15.2: Measures in contemporary health and safety at work and health promotion
(AOK-BUNDESVERBAND 2007)
The spectrum of measures shows the breadth of contemporary health and safety
at work, which includes health protection and health promotion. In addition to the
question How can illness be prevented?, increasingly the question that is also
Physical well-being
Mental well-being
Self-confidence
Irritability
Anxiety
...
State of health
Organisational conditions, incl.:
Corporate culture
Transparency of decisions
Degree of division of labour
Working conditions, incl.:
Time pressure
Leeway for action and creativity
Work interruptions
Person-related conditions, incl.:
Social competence
Identification with work
Personal effectiveness
Readiness to perform
Quality of work
Readiness for innovation
Attendance record
Fluctuation
Willingness to cooperate
...
Work behaviour
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Effect Chains 199
asked is: What needs to be done in order to preserve and improve the health of
the workforce?
If one wishes to record and represent the productivity of workplace health and
safety, it is not enough to limit oneself to looking at just the pursuit of safety andhealth objectives and local optimisation of work systems. With the perspective of
results-oriented health and safety at work, the intention is to see the effects of
workplace health and safety and health promotion services on the business results.The intention is that the overall benefit to the company can be illustrated, and that
the contribution towards achieving diverse corporate goals is clear. We have re-
sults-oriented performance in health and safety at work and health promotionwhen these are shown to have contributed towards lowering overall costs or to-
wards increasing the revenue of a company, and towards the long-term existenceof the company by securing competitive product sales and by securing the neces-
sary resources for adding value.The need for concrete argumentation aids to illustrate the business economic
benefits of preventive workplace health and safety is growing. The central ques-
tion for companies whether health and safety at work is worthwhile for them
can still only be answered unsatisfactorily (FROBSE et al. 2008, LANGHOFF2002, BRAUN et al. 1999). In this respect, the method of effect chains attempts toclose a gap in a practical way: health and safety at work and health promotion
make a contribution towards improving profitability. This contribution cannot
always be measured in monetary terms. However, with the aid of the effect chains
method, the indirect effects can now be described plausibly, and the benefits of
health and safety at work and health protection can thus be made clear.
2 The Principle of Effect Chains
On the one hand, the effects of measures in preventive workplace health and safety
cannot always be determined precisely beforehand. On the other hand however,
even in retrospect it is not possible to establish a clear relation between measuresand effects. There is thus no proven causality between a measure and an effect.
So for example in the case of mechanical factors, causality is clear. If a protec-
tive grille is fitted at a feed point, injuries are avoided here. It is also undisputed
that for example back problems are reduced by ergonomic measures, but one can-
not say with certainty to what extent this is so, nor is it clear whether the ergo-
nomic measures were the cause of this, or whether other effects played a role, too.
The only thing that is undisputed is that the ergonomic measures have made a
contribution towards reducing back problems.
It is precisely here where the method of effect chains comes into play. It is not a
matter of identifying causal relations; rather, the diverse and interlinked effects of
the workplace health and safety and health promotion measures are illustrated.Effect chains are consequently complex constructions of causes and effects, as
described for example by GOMEZ and PROBST (1995). In this sense, what is meant
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200 Schmauder & Hoffmann
fering and encouraging) external influences. In such complex webs, effects them-selves become causes, one cause can have many effects, just as one effect can
have many causes. We describe these characteristics of the cause/effects web as
multifinal and multicausal.Workplace health and safety measures, too, have various effects. These effects
in turn have other effects, which ultimately in a positive case are noticeable as
effects that increase revenue or reduce costs (Fig. 15.3). Both have a positive
influence on company profits (PIEPER & VORATH 2005).
Effect chains are accordingly intended to describe the contribution made by
workplace health and safety and health promotion to the business result, and this
can be differentiated via several sub-levels into partial indicators on both the reve-
nue and costs sides.
Effect/Cause
Effect/Cause
Effect
Effect/
Cause
Effect/
Cause
Effect / Cause
Effect/ Cause
Effect/ Cause
Effect/ CauseEffect/
Cause
Effect
Reduction of costs Increased revenue
Measure/ Cause
Effect/ Cause
Fig. 15.3: Connections between causes and effects
3 Possible Uses of and Limits to the Effect ChainsMethod
As we have already explained, the effect chains method can be used to illustrate
the effects of measures. It is therefore suitable for the following applications:
Prospective application to work out goals and indicators prior to implementinga measure: Here, possible consequences can be estimated in the planning
phase. Objectives can be established (That is what we want to achieve in con-
crete terms!). It is also possible to identify potential unwanted effects through
prospective application of the method. Through the representation of the effect
structure, aspects can be identified to which particular attention must be paid.
is webs of causes and effects, which take account of mutual influences and (inter-
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Effect Chains 201
In general, it is possible at the start of the project to exchange views within the
group about the objectives, to plan the measures, and to set priorities.
Retrospective application to represent the observed effects: After workplacehealth and safety and health promotion measures have been implemented, a
network of effects can be developed by means of the effect chains method. It
is possible to show which positive (and also negative) effects a measure had,
and how they are related. A contribution towards illustrating the benefits of
the measure can be made here. However, no effects that are measurable di-
rectly in monetary terms are calculated here; rather, they are shown qualita-
tively. Since in general it is hardly possible to evaluate the success of work-
place health and safety measures in monetary terms, it is precisely here that
the strength of the method lies: It can be shown which benefits could be ob-
served in the case of a concrete measure. When working out the effect
chains, care must be taken to ensure that the effects that are actually ob-served are recorded. There is a risk that speculative effects, i.e. ones that are
desired but did not actually occur, may be listed.
The method provides stimuli for a structured exchange of opinions, and as anargumentation aid it can also form the basis for discussions about the effectsof measures.
Well-illustrated effect mechanisms enable the company to select the mostsuitable measures for achieving objectives, to optimise company procedures
thereby, and to reduce the corporate risks in this connection.
The limits of the method lie in the fact that effect chains can also go nowhere orend up in dead ends. Furthermore, it is not possible to demonstrate the achieve-
ment of concrete goals in an evaluation process.
4 Participative Effect Chain Processing
Having explained the principle of effect chains, in the course of a brief look at the
principles of facilitation we shall explain how effect chains in health and safety at
work can be identified.It is advantageous to work out effect chains in a facilitated team workshop. In
practice, one finds typical discussion types which can be distinguished according
to their objectives: In information discussions, the participants are to be instructed
about something, given an overview, or receive instructions. In problem and deci-
sion discussions, solutions are worked out together, and measures are also co-
ordinated. More interactions take place here, and also more emotion is shown. Bycontrast, the method of effect chains is more a form of brainstorming, in which
ideas are found and above all experience can be gathered.
It is precisely in this quite open form of discussion that the role of the facilitatoris of decisive importance. The facilitator leads a discussion and should simultane-
ously be a specialist in the methods of communication. The facilitators task lies in
leading the group to a result by using appropriate methods, during the course of
which he directs the process methodically but remains neutral as regards content.
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202 Schmauder & Hoffmann
Besides the actual content of the individual contributions, he must also take ac-
count of the relationships between participants, which can have an enormous
influence on the result of a discussion (WATZLAWICK et al. 1974). It is thereforeadvantageous if the facilitator assumes an independent position in relation to the
participants in the case of analysis of the effect chain, he acts as an externalparty in the company. He should know about the 4 aspects of a message (factual
information, appeal, reference and self-disclosure) (SCHULZ VON THUN 1981)and also must not underestimate group dynamic processes.
In its discussion, a group brings to light more than the sum of its individual
members. DAMMER and SZYMKOWIAK (2008) go so far as to say that the wholeis more than and different from the sum of its parts (p. 30). This more than and
different from results from the group dynamic, from that which the group con-
veys non-verbally or scenically in terms of content, and ultimately from the
greater breadth and unity of the work on the topic, simply through mutual stimula-tion and reflection in the group.
The starting point for the effect chains workshop is a workplace health and
safety or health promotion measure that has actually been implemented or
planned. It is important to include representatives of all the protagonists involvedin the measure in the group discussion, in order to depict the cause/effects web
from different perspectives and thus as completely as possible. The various per-
spectives of the participants give rise to various expectations and aims. All havean entitlement and are part of the system to be dealt with. Gomez and Probst there-
fore suggest, in the spirit of a holistic procedure, putting together an interdiscipli-
nary group of people with expertise, in order jointly to describe connectionsand/or to derive suitable possibilities for action. They also refer to the ethical
aspect of such a procedure including all legitimate interests in so-called claimgroup teams right at the start of a holistic problem-solving process (GOMEZ &PROBST 1995).
The formulation of the problem is important for the success of an effect chains
workshop. What we mean by this is the initial question with which the participants
are confronted. This should be considered carefully as a preliminary step a good
question is decisive for a good result. The question serves to prompt the partici-
pants to express everything that they would like to express in other words, to setthe process of finding the effect chains in motion. Each contribution is important
here, and can stimulate the other participants to discussions or other contributions.
In order for a complete network of effects to be depicted, all contributions need to
be visualised.
Three steps follow on from the initial question:
1. Requesting anonymous cards, with pin-board techniqueIn the most favourable case, the participants in an effect chains workshops are
very heterogeneous, including as regards the position of individual people within
the hierarchy (see above). Although this is important for producing a complete
representation of all effects, it is precisely because of this that difficulties can arise
at the start of a brainstorming session. For this reason, the written form of brain-
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Effect Chains 203
storming so-called brainwriting, or requesting cards is more appropriate in this
phase. The advantage here is that a great deal of information can be assembled
within a short space of time, and possible inhibitions on the level of relationships
or losses through production blocks (DIEHL & STROEBE 1991) are excluded. Forexample, the contributions made by a shy colleague are collected in the same wayas those of an eloquent superior, something which cannot necessarily be achieved
when such a procedure is carried out verbally. All the participants write down inparallel their experiences and opinions concerning the problem defined at the
outset on cards (one aspect per card). It must be specified beforehand whether the
number of cards is to be limited, which on the one hand restricts creativity, but onthe other hand ensures a manageable quantity of cards.
The cards are collected in by the facilitator and pinned to the display board.
Cards whose contents are similar are grouped together (thematic clusters) with the
aid of the participants. Writers of cards can remain anonymous. Cards can besupplemented during the discussion, too. In the discussion, generic terms are
sought for thematic groups, which can be used for further work.
2. Guiding questionsIn the second step, with the aid of the generic terms the web of effects is
worked out. For this, we use a system of co-ordinates (Fig. 15.4). The use of this
procedure is intended to achieve comparability of different group discussions. In
the system of co-ordinates, those factors are shown which according to our un-
derstanding, based on DAMMER and SZYMKOWIAK (2008) ensure functionalrepresentativeness of the results of the survey.
Based on the system of co-ordinates, and starting from the generic terms found
in the first step, by means of guiding questions additional observed or suspected
effects are determined and placed in relation to one another. Here, visualisation inthe form of a mind map can be helpful (main branches with offshoots and secon-
dary offshoots).
Particular importance is accorded to the questions about the effects on the par-ticipant. In the sense of the theory of planned behaviour (AJZEN & FISHBEIN
1980), behaviour can change only if as a preliminary step, the intention and itspredictors attitude to a particular behaviour (the sum of expectation and evalua-tion), subjective norms (corresponding to the social pressure that people close to
the person exert in relation to the performance or non-performance of the particu-
lar behaviour), and perceived behaviour control (a persons conviction about
how easy or difficult a behaviour is for him to carry out). For workplace health
and safety measures, this means that they have to act on precisely those predictors,
in order ultimately to achieve a change in peoples behaviour. According to Ajzen,
action that takes account of workplace health and safety must be assessed positively
by the person himself and must be assessed as easy to implement. Furthermore, the
person has to believe that other people who are important to him likewise assessthe performance of this behaviour positively. Depending on how far-reaching the
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204 Schmauder & Hoffmann
effects of workplace health and safety measures are, they will also result in long-
term changes in behaviour.
Fig. 15.4: System of co-ordinates for producing functional representativeness
The following example guiding questions originate from a workshop carried
out by the trade association for health provision and welfare (BGW). With repre-
sentatives from hospitals and clinics that took part in the competition BGW
health prize 2005, effect chains to represent the benefit of workplace health and
safety and health promotion measures in hospitals and clinics were worked out.
The facilitator names the measure under consideration, and asks for example:
What was different afterwards?
What happened then? What effect did that have
o externally (society, customers)?o internally (colleagues, other departments, administration)?o on the private sphere/family?
Do outsiders notice any of this?
Have there been any effects on other areas?
Have there been any effects on the company as a whole?
What has changed in:
o work tasks, workplaces/premises, work tools, work procedures, workingenvironment (physical, social)
o ecology
Measure / Event
What effects did the measurehave...?
internallyexternallyon the private sphere
To what extent did themeasure have an effecton colleagues in respectof...?
skillsbehavior
performance
Economy :
desired effects
unwanted effects
What significance do the individual
effects have?
Time horizon:
When did the effects occur?How long did the effects last?
Participants and those affected :
Who triggered it?Whom did the effect affect?
increased turnover/reduction of costs
increased costs/decline in turnover
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Effect Chains 205
o safetyo behaviour?
The respective answers are visualised in turn. The following illustration shows an
example of this (Fig. 15.5).
Fig. 15.5: Example of visualisation when working out effect chains
When an effect has been identified, then additional effects are requested, so that
a network of effects is produced. When identifying additional effects, the same
questions can be used, but one can also ask for example:
What can be deduced from that?
What else resulted (additional effects)?The individual effects are placed in relation to one another and linked with ar-
rows, which at the end will ideally lead to the field Reduction of costs and/or
Increased revenue.
3. Weighting by means of pointsFor the purpose of structuring, finally the main effects of a workplace health
and safety measure are identified, in that the workshop participants apply adhesive
spots (e.g. 3, a maximum of 2 on one effect) to the effect which in their opinion isthe strongest. This last work step, which creates transparency, makes sense, since
it is only in this way that a measure can be evaluated in terms of its content, and
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206 Schmauder & Hoffmann
the results that have been achieved can be compared with the actual goals of
workplace health and safety at the company.
5 Application of the Method Experience so Far
In our experience, effect chains workshops are successful where the event that isto be discussed lies no more than 2 years in the past.
The discussion takes place within the framework of a 90-minute facilitated
workshop.Allowing for complete representation of the protagonists, group size should be
between 8 and 12 people. Smaller groups do not provide sufficient anonymous
protective space, and larger ones are no longer suitable for getting the groupmembers to talk to one another and discuss a common topic.
The event is facilitated by two facilitators, ideally male and female. Co-facilitation is necessary in order to be able to fulfill all the requirements with re-
gard to visualising the discussion during the workshop, and to provide adequate
documentation of the contextual facts of the discussion in the facilitator logs,
whilst simultaneously guiding the discussion in a satisfactory manner. The co-
facilitators switch between the roles of guiding the discussion and taking minutes
at least once in the course of the discussion.
6 Examples of Effect Chains
Two examples of effect chains are shown below. These effect chains were worked
out, amongst many others, in the BGW workshop mentioned above, and in the
framework of the PAGSmonitor project. The first effect chain shows the diverse
effects in connection with back training (Fig. 15.6).
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Effect Chains 207
Fig. 15.6: Back training effect chain
The second effect chain documents the interlinked effects that can be estab-
lished as the result of carrying out a health day (Fig. 15.7).
Bonus stampreceived from healthinsurance scheme
Back training
Reduction of costs Increased revenue
Financial bonusat year end
Image boostfor the company
Pleasant balancein relation to
seated workplace
Ideas to use at home
Fewer daysoff work for
back problems
Faster communication
BUT: no new participants
Demonstration ofsome exercises
Bonus stampfrom company-training record
Loosening andfirming of
musculature
CORRECT performanceof exercises / movements
More movement / sportin private life too
Asking othercolleagues
Information,providing knowledge
Health awarenesshas increased
Getting to knowcolleagues from
different departments
Fun, motivationthrough the group
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Fig. 15.7: Health day effect chain
7 Conclusion
With the effect chains method, a method is presented for representing the bene-fits of corresponding measures that is new in health and safety at work and health
promotion. What is new is that the previous approach of assessing the workplace
health and safety and health promotion measures in purely monetary terms isreplaced by a qualitative illustration of the effects. This is associated with goal-
oriented company management. Using the method, it can be shown that health and
safety at work and health promotion make an active contribution to the achieve-
ment of corporate goals. The method is also suitable for the planning and optimi-
sation of workplace health and safety and health promotion measures. It can be
used in small groups, and creates transparency in discussions about the effects of
measures within the company.The method is currently being used and developed in the project PAGSmonitor:
Economic health and safety at work through benchmarking. Thus for example the
relations between the individual effects, based on GOMEZ and PROBST (1995),should be described in greater detail in three respects:
According to their time horizon: do they act over the short term, mediumterm or long term (lines of different thicknesses or colour of arrows)?
According to their intensity: is the influence weak (1), moderate (2), or strong(3)?
According to their effect: reinforcing (+) or damping or stabilising (). It ispossible to indicate the strength of influence by means of arrows of different
thicknesses.
Reduction of costs Increased revenue
Health dayImage
Revaluation of
the theme of health
and safety at work
Movement
Dialogue between
the individualwork groups
Understanding for
one another /communication
Increased
work satisfaction
Health benefits
in the holistic sense
Creation of new jobs
Transfer to
behaviour at the
work place
Public attention
Rise in demand
Information
about possibilities
Contributionfor employees
(reward)
Qualification
of health promotion
Fixed component
of training plan
Staff development
Change in behavior
Business sectorsare created
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Effect Chains 209
The research project PAGSmonitor: Economic health and safety at work through
benchmarking runs until September 2009 and is supported by the Federal Ministry
of Education and Research.
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