Title：Relation between occupational safety management and firm performance
Source：Safety Science 47 (2009) 980–991
Authors：Beatriz Fernández-Muñiz, José Manuel Montes-Peón , Camilo José Vázquez-Ordás（Spain）Abstract
Occupational accidents severely deteriorate human capital, and hence negatively affect the productivity and competitiveness of countries. But despite this, we still observe a scarcity of preventive practices, an unsatisfactory management commitment and an absence of safety culture among Spanish firms. The result is evident in firms’ high accident rates. This situation is a consequence of the general belief among firms that investing in safety is a cost, and hence has negative repercussions for their competitiveness.
The current work aims to identify good practices in safety management, and analyse the effect of these practices on a set of indicators of organisational performance. For this, we first carry out an exhaustive literature review, and then formulate a series of hypotheses. We then test the proposed model on a sample of 455 Spanish firms. Our findings show that safety management has a positive influence on safety performance, competitiveness performance, and economic-financial performance. Hence they provide evidence of the compatibility between worker protection and corporate competitiveness.1. Introduction
問題的重要性與起源說明：
The occupational accident rate has increased considerably in Spain
Economic cycle, Spanish labour market characteristics and organizational safety culture can explain the variations of accident rate.
But creating an authentic safety culture requires not only stronger institutional pressure, but also a change of mentality and an authentic commitment from firms.（安全文化需要企業高層的支持、承諾與投入）
第二段：兩種衝突的觀點與為何需要進行此一研究
Various authors attribute this weak safety culture to the general belief that preventive measures require expenditures that have nothing to do with the firm’s production objectives, and consequently have negative repercussions for its profitability and competitiveness.（一般事業主的觀念：認為工安的投資是成本，拖累企業獲利與競爭力）
Many authors thought that good occupational safety management can have a positive effect not only on accident rates, but also on competitiveness variables and financial performance although the literature has provided scarce empirical evidence for it.（儘管缺少實證證據，許多學者認為：好的安全管理有助減少工安事故並提昇公司財務績效）
第三段：研究目標
This objective of this research breaks down into the following specific goals: (1) to identify appropriate preventive practices as part of an effective health and safety management system and (2) to analyse the effect of such a system on a set of indicators of firms’ safety, competitiveness and economic financial performance.（找出哪些措施是有效安全管理系統的一部分；具備安全管理系統對於公司競爭力與財務績效的影響）
5. Results
5.1. Estimation of measurement model
we conducted principal components exploratory factor analyses with varimax rotation, and confirmatory factor analyses using structural equation modelling, employing the statistics programs SPSS/PC version 14 for Windows and EQS version 5.7a for Windows, respectively.
Carrying out a principal components exploratory factor analysis, it revealed the unidimensional nature of the factors policy, incentives, training, communication, and the bi-dimensional nature of planning (preventive and emergency) and control (internal and benchmarking). （這段有空口說白話＆沒有展示對應數字證據！）On the other hand, the analysis identified three dimensions in the performance construct, which were labeled Safety performance, Competitiveness performance and economic financial performance.
使用EFA探索型因素分析來確認40個問項可找出構成Safety Management System的10個latent constructs；13個performance 可區分成三大績效latent variables
這部份作者的說明有點籠統，猜測可能只是看與policy有關的四個問項，能否找出一共同因素，也未見因素數目的選取是否依據凱莎準則與其factor loading。另外值得注意的是：二階的部份的latent variable有（planig）&（control）不知其依據是否為EFA時的選取個數2. The occupational safety management system
Given the lack of empirical research identifying the specific dimensions of an adequate safety management system, we have obtained a combination of the characteristics of the management systems and models from both national and international regulations and guidelines, created by various bodies and institutions from several countries
Thus, we have identified the following key aspects as critical for a good occupational health and safety management system capable of reducing workplace accidents in a sustained manner:
(1). Safety Policy
(2). Incentives for Employee Participation
(3). Training and development of employee competences
(4). Communication and transfer of information
(5). Planning, distinguishing between preventive planning and emergency planning
(6). Control and review of activities carried out within the organization
備註：
這部份作者有針對以上建構列出許多相關參考文獻，以上內容僅為摘要
3. Economic impact of occupational safety
The direct beneficiaries are the workers themselves, since they are the most affected by accidents, but also the firm, because it avoids losses and improves its profitability. The indirect beneficiaries are the insurers, contractors, consumers, families and society in general (Mossink, 2002).
安全措施與公司財務績效的因果關聯
Occupational accidents interrupt the production process, generating, on the one hand, both financial and opportunity costs, and on the other, decreases in the quantity and quality of production achieved, with a consequent decline in the firm’s productivity.（意外事故造成生產中斷、機會成本與生產質量的損失=減損公司生產力）
Unsafe working conditions worsen the industrial climate and undermine workers’ morale and motivation, as well as their identification with the owners and managers. This can ultimately lead them to leave the firm, and the firm can have difficulty in finding qualified workers to replace them.（不安全的生產環境影養員工工作動機，最終導致有經驗的員工離職）
Moreover, accidents can adversely affect the firm’s image and reputation (Smallman and John, 2001), provoking a severe deterioration in its public relations. This has occasionally led consumers to boycott certain brands or firms accused of anti-social behaviour.（工安事故對於企業而言是負面的社會形象，最終衝擊產品品牌價值）
邏輯推論與效度的問題
前半部的文獻支持：不安全的組織文化與意外事故將會減損企業績效
但好的安全文化與管理可以”提昇”企業績效嗎？
以下為作者的說法（沒看到對應的佐證文獻）
Investing in safety can also lead to changes in the nature of the process and production technology, which can offer benefits in terms of savings in materials or energy, hence cutting the real costs of such investment.
Safety management system is able to reduce not only personal injuries and harm to workers’ health, but also material damage. Consequently, it reduces down time and labour absenteeism and improves workers’ satisfaction and motivation. Similarly, by reducing the number of interruptions in the productive process, this management system can improve productivity, the quality of the products and the firm’s degree of innovation, thereby affecting customers’ satisfaction and the firm’s reputation. Finally, we would expect that safety management would also have a positive effect on the firm’s position in the market, increasing its market share.
安全管理可以同時減少員工傷害與物料損失，進而降低斷線與員工缺勤，所以能提升生產力、產品品質與公司的創新，進而影提昇客戶滿意度與公司形象。
作者對於三大構念construct的區分indicators can be grouped into three dimensions.
First, the direct consequences of accidents, which are personal injuries, material damage, absenteeism and workers’ reduced motivation, have been grouped under a single dimension labelled safety performance.
Second, the indicators of quality, productivity, innovation, customer satisfaction and company reputation are grouped in the dimension competitiveness performance, as they are considered key variables in the firm’s competitive position.
Finally, the firm’s position in the market, measured through the firm’s market share, profit margin and profitability, are grouped under the dimension economic-financial performance.
The above reasoning leads to the following hypotheses:
Hypothesis 1. The Safety Management System has a positive influence on safety performance.
Hypothesis 2. The Safety Management System has a positive influence on competitiveness performance.
Hypothesis 3. The Safety Management System has a positive influence on economic-financial performance.
作者這個理論架構與邏輯推論，不知是否會被質疑，文獻張冠李戴/貍貓換太子的嫌疑！
安全管理系統=安全措施？
不佳的安全管理措施造成生產力下降，但好的安全管理一定會提升生產力？
Subsequently, structural equation modeling (SEM) was used to perform a confirmatory factor analysis on the proposed model. The goodness-of-fit measures of the initial safety management system model showed that the model fits the data poorly.
接著用理論架構套入SEM（一階CFA）當中，結果GFI不理想
40個問項刪掉11之後，29的問項對應構成的8個latent constructs，結果如表二
5.1.2 . Reliability analysis
5.1.3 . Validity analysis
As Table 2 shows, all the unidimensional subscales present Cronbach ά coefficients greater than 0.7, considered to be an adequate level of reliability to test causal relations (Nunnally, 1978). Also, the Composite Reliability Index in all cases exceeds the minimum level of 0.6 recommended by Bagozzi and Yi (1988).
備註：
作者是套理論架構，做了12組單獨的EFA，而非用全部52個問項，找出12個構面（Cronbach ά是指各12構面單獨的信度值，而非整體問卷的信度）
The validity of the scales was verified by considering the content validity, convergent validity and discriminant validity.
The content validity, as mentioned above, is confirmed bearing in mind that the proposed scales were designed following an exhaustive review of the literature and subjected to a process of revision involving in-depth interviews with safety experts.藉文獻回顧與專家審查確認問卷的內容效度
收斂效度The convergent validity of a concept evaluates the extent to which two measurements of the concept may be correlated (Hair et al., 1998). Convergent validity can be analysed by means of standardised lambda parameters. A strong condition of convergent validity is that those coefficients are over 0.5 and significant at a confidence level of 95%, which requires t-values greater than 1.96
從表2的結果顯示：滿足以上條件（standardised lambda parameter＞0.5；t-values ＞1.96）
區別效度
The discriminant validity indicates the extent to which two conceptually similar concepts differ, and was verified by Anderson and Gerbing’s (1988) methodology, which involves estimating the confidence interval around the parameters that indicate the correlation between the eight unidimensional factors of safety management system on the one hand, and the three unidimensional factors of performance on the other, bearing in mind the value of these parameters and the corresponding standardised errors, to check that no interval includes 1.
In order to confirm the bidimensional nature of planning and control, we ran a second-order confirmatory factor analysis, and noted that in all cases the existence of two factors or dimensions improves the model fit. （沒看到這部份的結果？！）
In addition, the resulting standardized lambda parameters were evaluated, and also the confidence intervals of the correlations between the factors, in order to re-check the convergent and discriminant validity. （結果也似乎OK，所以沒放上來）
Finally, we ran a third order confirmatory factor analysis to confirm that the six dimensions of policy, incentives, training, communication, planning and control converge on a single latent variable termed safety management system. Fig. 2
5.2. Estimation of proposed structural model
Results show that the safety management system has a stronger effect on competitiveness performance than on the other two types of performance, given its higher structural coefficient
(b = 0.55, p < 0.05). Thus, implementing this system affects first and foremost the firm’s image and reputation, its productivity and its capacity to innovate. These are all key factors for the firm’s survival in the market.
We also find that the safety management system has an important effect on safety performance (b = 0.47, p < 0.05). This means that the more developed the system, the fewer and less serious the injuries and the more motivated the employees.
Finally, the effect of the safety management system on economic-financial performance is positive and significant, but weaker than for the other two types of performance (b = 0.35, p < 0.05). Thus, the safety management system appears to have a positive influence on the firm’s sales, profits and financial profitability, but the effect is less evident than for the other two performance indicators. This finding may be because a longer time period is needed for these benefits to become apparent.
6. Discussion
Many studies have recognised the important role played by the firm’s management in reducing accidents (Zohar, 1980; Hofmann and Stetzer, 1996; Rundmo, 1996; Dedobbeleer and Béland, 1998; Flin et al., 2000; Rundmo and Hale, 2003; DeJoy et al., 2004; Fernández-Muñiz et al., 2007).
Despite this, we seem to observe a weak commitment on the part of the management, which is reflected in the low level of implementation of safety management systems in firms, in the allocation of only limited resources to preventive actions, and in a formal compliance with obligations that only seeks to avoid legal responsibilities. （對於樣本公司，觀察到對於安衛的僅投注有限的資源，主要關注為避免法律責任）
Firms prioritise production criteria, regarding resources dedicated to occupational safety as expenditures that have nothing to do with the firm’s production aims, in other words, as costs rather than an investment.（由於安全的投資與生產力提升間的關連性不顯著，故往往將工安費用視為成本而非投資）
而此一研究可以打破此一迷思（也是本研究最大的賣點）
The results obtained allow us to say that the safety management system reduces both personal harm and material damage. Thus, it reduces workers’ absenteeism, improves their motivation, and consequently makes them less likely to leave the company, which means the company retains workers with specific knowledge who are difficult to replace.
是否西班牙跟台灣一樣，有類似的勞方弱勢的結構因素？而這些因素又有哪些？
Results show that the safety management system has a positive effect on competitiveness performance. The more developed the system is: (1) the higher the quality of the firm’s products and services (since the safety management system requires the formulation of working procedures, instructions, and planning and control of the work), (2) the higher the productivity as a consequence of the improvement in quality and reduction in financial costs and opportunity costs derived from losses of production and of business caused by the accidents; (3) the higher the customer satisfaction and the better the firm’s reputation and image, since occupational safety is particularly important to society; and (4) the higher the firm’s degree of innovation, due to the technological and organisational innovations derived from the improvements in safety. Innovation, a good reputation, specialist knowledge and motivated employees are all assets that can provide firms with a sustainable competitive advantage over relatively long periods of time.
作者又再講一次關於”投資”安全管理對於提昇企業營運績效的個人詮釋
（何不直接探討整個企業組織管理的因素對於工安與財務績效的影響？不過這部份的文獻整理起來會是大工程…..）
6.1. Limitations of study
The measures developed should be understood as an approximation to latent phenomena, which cannot be measured in full.（廢話）
It should be borne in mind that the relations have been evaluated from the viewpoint of the firm’s safety officer only, and the sample is based on the safety officers’ willingness to respond.（ 工安人員認知的偏誤與回應的偏誤）
But this is a common problem in studies that use this methodology based on questionnaires.
Finally, the study was carried out at a specific moment in time, and therefore it is cross-sectional survey. Thus, conclusions of a causal type may be debatable.（用橫斷面的研究來推論因果關聯具有爭議）
But the methodology（SEM） used does allow us to reject causal models that do not conform to the patterns of association detected in the data, and accept models that do conform to them (Meliá, 2004).
作者對於此一研究的未來發展建議：
The time lag between efforts to improve working conditions and obtaining superior performance makes it advisable to obtain a data panel that would allow a time-series analysis. Researchers could then study the influence of the safety management system on the firm’s competitive situation
in the market more fully, as in Grimaldi (1970), Kjellén et al. (1997).
In addition, other aspects could be studied further, such as the organisational variables that favour or limit the implementation of such a management system, and the integration of the system into the management of the firm. The sector of activity and firm size conceivably condition the development of this management system.（說出了個人的想法：應該考量公司規模、產業別差異乃至於其他組織因素）
備註：
感覺這個領域的學者應該都知道這些實證上的問題，然而文獻尚未看到有做出來與挑戰成功的，或許難度太高亦或混入的組織與公司治理的變數後，安全管理的影響變得不顯著（所以無法發表出來！？）
Finally, it would be interesting to study in more detail the process of technological and organisational innovation unleashed as a consequence of the improvement in the working conditions, as well as the economic valuation and quantification of the effects of the safety management system. This would provide firms with a useful tool for undertaking the fullest possible cost-benefit analysis.（這種研究最後的聖杯與目標方向）
7. Conclusions
This work has aimed to analyse the effect of implementing an occupational safety management system on firms’ performance.
這部份掠過
本篇文章的創新與賣點
1. 以安全管理（投資）為因，驗證越重視安全，則公司績效（多考慮了財務績效與競爭力的構面）越好的假設；或許作者想藉此一文章教化事業單位老闆，重視與投資工安。一般安全績效的研究多以所謂安全文化/氣候為因，安全績效作果（內部效度佳，但是對於實務界與企業主而言，沒有太大意義）
2. 樣本上，以整個國家各產業的所有公司為樣本與進行抽樣，其所得到結果的推論外部效度佳
3. 堪稱完整的文獻回顧與問卷信效度分析流程。
對於此一文章的批判
1. 邏輯推論與效度的問題=>前半部的文獻支持：不安全的組織文化與意外事故將會減損企業績效；但好的安全文化與管理可以”提昇”企業績效嗎？
2. 安全管理系統的操作型定義與構念效度：是反映型亦或合成型指標（個人認為就構念上應定義為合成型指標，至於是否有學者如此定義，還要再找文獻），換言之，研究架構應修改
3. 問卷是請這些公司的工安人員填寫，對於公司的財務績效與競爭力表現，或許存在著認知偏誤measuring error
4. 結果的代表性與外部效度=>問卷回覆上的偏誤（服務業與中小企業的答覆率和其所佔的全產業的比例，有些落差）sampling bias
關於SEM結果呈現的瑕疵
1. 有做EFA，但是沒看到結果（factor loading、是否使用凱莎準則來選取因素個數、模式合適性判斷依據）有些可惜與感覺和研究主題沒有關聯性
2. 沒有列出所有問項的原始相關矩陣
3. 問卷項目整合比較沒有文獻依據（但作者defense有商學院學生與工安經驗的專家review）
4. 使用的構面與問項太多，結果造成部分構面萃取效度與區別效度不佳，作者可能知悉此一結果缺陷，囿於理論架構，只好避重就輕/單方面陳述對有利的結果（作者的EFA也顯得可惜或多餘）
如何改善與修正
1. 如同本文作者建議：對產業別、人數規模差異進行研究（產業別與人數規模=調節變數；但後遺症是樣本數變少；）；但缺點與罩門在於，在同樣的研究架構與因素個數下，需要更多的樣本數
2. 加入公司與組織的變數，觀察組織因素、安全管理與公司績效三者的關連性（安全管理變成中介變數）
3. 縮減此一研究架構-安全管理系統的構念constructs，問項與構面縮小，有助於提升信效度，與在樣本數不變的前提下，進行以上兩點的實證
4. Method
4.1. Sample
A population size of 62,146 firms, assuming a maximum error of 5% for a confidence level of 95%, 382 respondents were necessary.
抽樣回饋差異所造成的代表性的問題（服務業偏低）
由公司的安全人員答覆
We devised a questionnaire to compile the information. As sample unit we chose the safety officer, since this individual can be expected to have the most information about the specific practices and procedures that are being carried out within the firm, and be familiar with the difficulties involved in implementing the system.
These officers occupy an intermediate position between the management and the employees, so we consider that their information will be less biased and more accurate. （工安人員回答有關公司的競爭績效&財務績效是否具有代表性？）
Finally, we received a total of 474 questionnaires. Some of these had been incorrectly completed in some respect, so we were obliged to contact the firms concerned again requesting data that was either missing or erroneous. But 19 of these questionnaires still had serious internal inconsistencies or more than 80% of their values lost, so we decided to eliminate them, following the complete case approach described in Hair et al. (1998). In this way, we obtained a total of 455 valid responses.
備註：
作者是從抽樣代表性的角度來認定所需的樣本數（大約只需要382個樣本）
然而從SEM的角度，這個研究構面太多（53題問項對14個因素構面），參考Hair書中page742的看法，455個樣本似乎還不足，建議樣本數應擴大到500個以上或考量模式整體的communality（另外有學者建議：樣本數應為問項的10倍：53*10=530；而作者稍後的CFA研究中，刪除了11個問項，樣本數可縮為420）
整體而言，455個樣本上可接受
4.2. Measurement scales
In safety management, all the items were measured on a 5-point Likert-type scale, the respondents being asked to indicate their perceptions of their company on each item ranging from ‘‘1 = strongly disagree” to ‘‘5 = strongly agree”.
The performance indicators (personal injuries, material damage, employees’ motivation, absenteeism, product quality, productivity, customer satisfaction, reputation, innovation, financial profitability, growth in market share, growth in profits and profit/sales) were measured subjectively. The respondents were required to report their degree of satisfaction with these indicators on a 5-point Likert scale ranging from ‘‘1 = extremely dissatisfied” to ‘‘5 = extremely satisfied”.
問卷的預先測量與問項的修正
Having obtained an initial structure of items, a first draft of the questionnaire to be used to collect the information was elaborated. In a second phase, the draft questionnaire was submitted to a refinement process in order to eliminate items that were highly redundant because of analogous meanings. For this, the opinion of various PhDs in business management was considered, followed by four in-depth interviews with experts on occupational safety from the Institute for the Prevention of Occupational Risks of the region of Asturias (Spain
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