Safety and Health at Work 12 (2021) 154e166
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Safety and Health at Work
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Original article A Hierarchical Solution Approach for Occupational Health and Safety Inspectors' Task Assignment Problem
Feyzan Arikan 1,*, Songul K. Sozen 2
1 Faculty of Engineering, Department of Industrial Engineering, Gazi University, 06570 Maltepe, Ankara, Turkey 2 Ministry of Labour and Social Security, Labour Inspection Board, 06520 Ankara, Turkey article info abstract
Article history: Background: Occupational health and safety (OHS) is a significant interest of all governments to prevent Received 6 February 2020 workplace hazards. Although appropriate legislation and regulations are essentials for the protection of Received in revised form workers, they are solely not enough. Application of them in practice should be secured by an efficient 14 August 2020 inspection system. Fundamental components of an inspection system are inspectors and their audit Accepted 14 January 2021 tasks. Maintaining the fair balanced task assignment among inspectors strictly enhances the efficiency of Available online 26 January 2021 the overall system. Methods: This study proposes a two-phased goal programming approach for OHS inspectors' task as- Keywords: Legislation and regulations signments and presents a case study. Mathematical modeling Results: The solution approach gives the balanced assignment of inspectors to the workplaces in Non-technical human skills different cities of the country in the planning period. The obtained schedule takes into account the Organizational aspects distances covered by the work places and the number of the workplaces' employees to be audited and Safety management and policy pays attention to the human factors by considering the preferences of the inspectors. The comparisons between the obtained optimal schedule and the implemented one that is produced manually show that the approach not only maintains the technical requirements of the problem, but also provides social and physical balance to the task assignment. Conclusion: Both the approach and the application study are expected to offer fruitful inspirations in the area of safety management and policy and they provide a good guide for social policy and organizational aspects in the field of OHS inspectors' task assignment. 2021 Occupational Safety and Health Research Institute, Published by Elsevier Korea LLC. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/).
1. Introduction Labor inspectors' roles and responsibilities are determined by regulations. They are mainly entrusted to measure, audit, and Healthy workers and appropriate working conditions not evaluate the effectiveness of hazard controls and hazard control only ensure enhancing the quality of life of individuals and programs, to execute enforcement tools and to write reports. In- society but also contribute to productivity of workplaces and spectors are responsible to respect the principles of honesty, in- socioeconomic development of countries. To reach these bene- dependence, impartiality, reliability, and competence. They should fits, occupational health and safety (OHS) is the key concept for evoke respect and dignity in their behaviors and actions. They are all governments. OHS is a dynamic process and the objectives obliged not to disrupt, stop and complicate the normal course of are long term. Improvements in a long-term objective project work and the operation of the workplace as much as possible can be obtained with a strict control on the implementation depending on the nature of the subject they are studying. phases. Hence, OHS policy should be supported by legislation The fulfillment of inspectors' roles and responsibilities are and regulations, along with an adequate inspection system to directly related with nontechnical human skills constituting situ- ensure that these are enforced. The labor inspectors are the ation awareness, decision making, communication, team working executive agents of inspection systems and carry out the actual leadership, managing stress, coping with fatigue [2], and highly work of enforcement [1]. depends on work engagement [3], which includes a positive,
* Corresponding author. Faculty of Engineering, Department of Industrial Engineering, Gazi University, 06570 Maltepe, Ankara, Turkey. E-mail address: [email protected] (F. Arikan).
2093-7911/$ e see front matter 2021 Occupational Safety and Health Research Institute, Published by Elsevier Korea LLC. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). https://doi.org/10.1016/j.shaw.2021.01.004 F. Arikan and S.K. Sozen / OHS Inspectors’ task assignment problem 155 affective-motivational state of work-related well-being that is inspectors need organizational support to develop inspection characterized by vigor, dedication, and absorption [4]. The key models and enforcement styles tailored to microenterprises, as this concept to ensuring work engagement is fairness or “justice” based could ease their work and contribute to better inspection out- on the social psychology literature [5]. comes. However, none of these studies is interested in OHS in- In organizational psychology, theories of fairness or “justice” spectors' task assignment. have been classified under four headings [6]: The fairness in dis- OHS inspectors' task assignment is one of the significant levels tribution of resources is called Distributive Justice [7]. The fairness of “personnel scheduling” problem that has been a focus area in in decision making process is termed as Procedural Justice [8]. The manufacturing systems since its first introduced 1950s as labor/ fairness in interpersonal treatment is known as Relational (or workforce scheduling. Today, effective personnel scheduling has Interactional) Justice [9]. Collectively, Distributive Justice, Proce- great importance for organizations not only in manufacturing but dural Justice, and Relational Justice compose Organizational Justice also in the service industry. Activity/task assignment that consists [10]. The term Organizational Justice was first coined by Greenberg in assigning to each period of each shift the activity or task to be [11]. It refers to people's perception about organization's fairness performed by the employees is one of the significant levels of and its reactions toward such perception. Unfair treatment not only personnel scheduling [26]. Fairness, or equity, has also been decreases job performance but also reduces quality of work and incorporated in staff scheduling [27e29] to maintain the job degree of cooperation among workers [12]. satisfaction, which results in labor productivity. They attempt to The relationship between organizational justice [13] and worker distribute the workload fairly and evenly among personnel [30]. productivity [14] has all been the widest and longest research Equity is incorporated in mathematical models in either the tradition [6]. The organizational justice has also direct effects on objective function, for example, minimizing the variation in work- work engagement [15] turnover and job satisfaction [16]. load, or through the use of constraints, which provide lower and Incorporation of fairness in inspectors' task assignment results upper bounds on the workload [31]. job satisfaction and well-being at work that improve the overall A few studies have examined the relationship between work utility of the OHS management. schedule and task quality from the behavioral science perspective. Labor inspections are coordinated and directed by the Labor Dai et al. [32] found that healthcare workers become less compliant Inspection Boards that direct generally two kinds of inspections as with handwashing rules over the course of their shift. Danziger occasional and planned. Occasional inspections occur in case of et al. [33] examined the decision of eight judges and concluded that sudden needs. Planned inspections of workplaces should be repeated decisions might have caused mental depletion. Ibanez and scheduled at the beginning of the planning period based on the Toffel [34] examined how inspector schedules could introduce bias legal provisions. According to the schedule, inspectors are in a that erodes inspection quality by altering inspector stringency in position to visit workplaces under their supervision without undue food-safety inspections. loss of time. “Visiting a workplace to monitor workplace hazards Ernst et al. [30] and Causmaecker et al.’s[35] classified and to ensure compliance with regulation and legislation and personnel scheduling studies based on application areas. Van den writing a report concerning the visit” is defined as the audit task of Berghe et al. [36] discussed the classification methods in former inspectors. OHS inspectors' task assignment problem is compli- review papers. cated because of the technical and physical requirements of each Nevertheless, none of these classifications indicated OHS in- task and inspectors' nonconflicting preferences with the both legal spectors' scheduling and/or OHS inspectorates. Only Ernst et al.’s and ethical requirements of the problem. [30] classification includes personnel scheduling studies in finan- In the World, there is comparatively extensive research on OHS cial services, which is frequently called the audit staff scheduling. legislation and regulation enforcement. Tompa et al. [17] and Although its technical requirements and the objective function(s)’ MacEachen et al. [18] presented a systematic review of qualitative definition(s) are different from that of OHS inspectors' scheduling, research articles, which considers how OHS legislation and regu- managerial decisions regarding the both problems can be grouped latory enforcement are planned and implemented. They mentioned into similar categories in terms of the length of the planning ho- that research studies on OHS legislation and enforcement have rizon and the planning periods, degree of aggregation of the audit mainly drawn on quantitative methods and addressed the effec- tasks and degree of detail of the required information. Because the tiveness and cost of various enforcement strategies. Geminiani auditing firms are interested in the least cost schedule, the et al.’s[19] and Niskanen's [20] studies are samples for the litera- considered objectives in studies [37e39] constructed mainly on ture on OHS legislation and regulation enforcement, which was cost criterion. Mohamed [40] presents a state of art survey of the OR conducted with the aim of investigating the effectiveness and models developed for audit staff scheduling in financial services. performance of the Department of Labor OHS Inspectorate. Limited The aforementioned studies indicate two important results: one studies about the role of OHS inspectors regarding the legislation of which is that the existing research on OHS legislation and related with psychosocial risk factors in workplaces mentioned in regulation enforcement mainly intensify on the effectiveness and Johnstone et al.’s[21]. Wu [22] investigated the roles and functions cost of enforcement strategies, and performance evaluation of the of safety professionals. Chang et al. [23] developed a competency Inspectorate Departments. The second result is that, the research model of safety professionals. Recently, Wojtacka et al. [24] inves- on audit staff scheduling mainly restricted with financial services tigated the factors influencing veterinary food inspectors in Poland. and accounting. Their aims make the objectives and the modeling Based on the survey consisting of 15 questionnaires conducted on requirement different from the OHS inspectorates' task assignment 119 active veterinarians, the indicated problems are insufficient problem. In other words, OHS inspectors' task assignment problem training, lack of preparation in coping with crisis situations danger is overlooked in the literature. The current study aims to solve the while fulfilling professional duties because of different sources of OHS inspectors' task assignment problem to maintain the appli- hazards. Hagqvist et al. [25] interviewed 11 Swedish OHS inspectors cation of OHS legislation and regulations efficiently by obtaining and investigated their reflections on their bureaucratic role when the most effective balanced task assignment among the labor supervising microenterprises. The results showed that OSH inspectors. 156 Saf Health Work 2021;12:154e166
System Analysis and Problem Definition (Inspectors’ Task Assignment)
Step 1. Identification of commities and the numbers of periodic tasks Step 2. Determination of workplaces and located cities to be inspected Step 3. Determination of task numbers for each city Step 4. Determination of the required numbers of the commities in each period L1-Data Step 5. Determination of Inspectors’ city preferences Collection Step 6. The workplaces and their subscontructers are identified.
Step 7. Goal Programming Model 1 is constructed. Step 8. Model is solved by using GAMS Programming package and optimal solution is obtained. The solution gives the committee-city-period assignments. The obtained assignments maximize the inspector’s city preferences and balance the total distance L2- travelled by each committee subject to the technical requirements of the problem. Phase 1 Step 9. The evaluation of the obtained solution is presented.
Step 10. Goal Programming Model 2 is constructed to match workplaces to the committee-city-period assignments obtained in the first phase. Step 11. The result of the Goal Programming Model1 is utilized as the data for Model2. The optimal solution of the model is obtained by GAMS programming package. The L3- model balances the workloads of committees regarding the employee number in Phase 2 workplaces they inspected. Step12. The comparison between the obtained task assignment and the implemented schedule based on the objectives of the problem is presented.
Results satisfy the Decision Maker?
Stop
Fig. 1. Flow chart of the steps of the proposed hierarchical solution approach. L1. Data collection constitutes the six steps. The data obtained by the first five steps are used in the Phase 1. The collected data in Step 6 is kept for Phase 2. L2. The phase 1. Goal Programming Model 1 is constructed to obtain optimal committee-city-period assignments. L3. The phase 2. Goal Programming Model 2 is constructed to match workplaces to the committee-city-period assignments obtained in the first phase. The last step (Step 12) is valid for the current study. In the future, it is performed as “the presentation of the obtain solution to the decision maker.”
2. Materials and methods Method [41,42], in which decision maker ranks the objective func- tions according to some subjective priority so that a marginal 2.1. Preliminaries improvement for any objective preempts arbitrarily large im- provements in objectives of subsequent ranks. The Method of OHS inspectors' task assignment problem is a multiple objective Sequential Optimization leads to nondominated solutions [43]. decision-making problem having the following objectives: to bal- The mixed integer models of both stages (called Model 1 and ance the total traveling distance of inspectors, to maximize the Model 2) are also very close to the generalized assignment model inspectors' preference score in total, and balancing the inspector's formulation [44] when the number of inspections and workloads in workloads in terms of the employee numbers in workplaces. terms of employee numbers are considered as resource capacities. Work motivation and well-being of each inspector highly de- The formulation of the generalized assignment problem is as pends on the total traveling distance in a planning period and his/ follows: her satisfaction level related with his/her preferences on geographical location; moreover, these two criteria are prior to the workload defined in terms of the employee numbers in workplaces. XX Therefore, it is determined to be used a hierarchical solution Minimize c x (2.1) approach, in which inspectors' preferences are considered. Inspi- ij ij i˛I j˛J ration comes from one of the multiobjective programming approach called The Method of Sequential Optimization or Lexicographic Subject to F. Arikan and S.K. Sozen / OHS Inspectors’ task assignment problem 157
X of hard constraints (2.7) are placed, by convention, in the first ; ˛ ; bijxij Kj j J (2.2) priority level. i˛I X 2.2. The steps of the proposed hierarchical solution approach ; ˛ ; xij ¼ 1 i I (2.3) j˛J The steps of the approach for solving the inspectors' task assignment problem are summarized in Fig. 1 as a flow chart in three levels, L1, L2, and L3. ˛ ; ; ˛ ; ˛ : xij f0 1g i I j J (2.4) 3. Application Assigning item i˛I to resource j˛J consumes bij units of resource j capacity and results in a cost of cij.Kj is the available capacity of 3.1. System analysis resource j. Decision variables xij are binary assignment variables. The objective function (2.1) minimizes the total assignment cost, (2.2) indicates the capacity restriction, and (2.3) guarantees that Based on the regulations, the Labor Inspection Board of the each item assigns to exactly to one resource. The special case in Ministry of The Republic of Turkey executes the planning and implementation phases of inspections by the coordination and which bij¼1 ci; j; and the inequality in (2.2) is replaced with an cooperation of five working-group-presidencies that are called equation sign is the appropriate formulation for the currently _ fi with the big cities' names: Ankara, Adana, Izmir, Bursa, and de ned OHS inspectors' task assignment problem. _ In the first stage, two objectives of Model 1 are balancing the Istanbul. Ankara is the largest group presidency in terms of both the total traveling distance of inspectors and maximizing the in- number of provinces served and the total number of annual in- spectors' preference scores in total respectively. Both objectives spections. The Ankara Group serves 47 of 81 provinces. The other have equal weights. Balancing needs to minimize the total de- groups serve 15, 9, 6, and 4 provinces, respectively [54]. The viations from average traveling distance of committees. In the number of OHS inspectors in each group presidency is different second stage, the objective of Model 2 is balancing the workloads in from each other. Currently, 1,005 inspectors were working at the terms of the employee numbers in workplaces. Balancing objec- Labor Inspection Board. Ankara Group Presidency carries out the tives in two stages lead the analysts to use Goal Programming audit task planning and assignment for whole inspectors. The Approach [45,46]. Goal programming is one of the most powerful board associates inspections with a certain number of projects that multiple objective decision making (MODM) approaches [47] are mainly in the manufacturing or service industry. A committee because it has the functional representation of obtaining a non- usually consists of two OHS inspectors. Committees are assigned to dominated solution [48]. This functional representation is directly a number of audit tasks in the planning period. The physical pres- related to the minimization of unwanted deviations from corre- ence of the inspectors in the workplace is a legal requirement. Each sponding goals for each objective. In balancing objectives, decision committee monitors the assigned workplace based on the national maker wishes to alienate both positive and negative deviations, not legislation and prepares a report concerning the visit. Inspectors fi the only one. In maximizing objectives, decision maker wishes to signi cantly contribute to the improvement in working conditions minimize the negative deviation between the achievements of the and the working environment. Hence, their employment procedure goal. and in-service training are paid attention in the system. The The details and versions of goal programming can be found in employment procedure of inspectors starts with that the ministry fi Refs. [49e52]. The method has several variants. In the lexicographic conducts an examination to select the suf cient applicants as as- goal programming approach, the decision maker (DM) must specify sistant inspectors. After a 30-year job-training period in that po- fi a lexicographic order for the goals in addition to the aspiration sition, only the passers of the pro ciency examination qualify to be fi levels [53]. After the lexicographic ordering, the problem with the a full inspector. After a 10-year work on the eld, an inspector deviations as objective functions is solved lexicographically subject becomes a head inspector. Inspectors participate in continuing to the constraints. The algebraic formulation of lexicographic goal learning programs and national and international conferences on programming is as follows [51]: occupational safety and health during the work. They legally cannot work in any other profession and work on a full-time basis. In- Find x[(x1,x2, .,xn)soasto spectors' nonconflicting preferences with the both legal and ethical þ þ requirements of the problem are taken into consideration on the Lexicographically minimize a ¼ðg ðd ; d Þ; &::; g ðd ; d ÞÞ 1 K contrary to the traditional approach. (2.5) Subject to 3.2. Problem statement