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14 Improving Safety-Related Rules Compliance in the Public Transportation Industry equipment during safety-critical tasks may not be as effective as when these policies are combined with a training program that educates individuals on the dangers of operating a vehicle while talking or texting on a cell phone. The following is a list of the information contained within the distraction mitigation training modules, which successfully deterred individuals operat- ing electronic devices while driving: Distraction facts and information Video demonstrations of distraction involving others Interactive demonstrations of distraction Training how to deal with distraction Video demonstrations using commentary drives Simulation Simulation is another useful training tool; however, high-fidelity training simulators involv- ing motion and tactile feedback are costly and not widely available. Some studies examined the use of low-cost, low-fidelity simulators and found positive training effects (Chase and Donohoe 2008). The positive effects of low-fidelity simulators are for improving awareness of safety-critical situations not vehicle handling. Simulation provides the opportunity to conduct safety error management training (EMT). This type of training specifically encourages opera- tors to make mistakes so that they learn how to recover from them. Generating one's own solu- tion to a problem is much more effective than reading or hearing about potential solutions from someone else. This is based on the generation effect in cognitive psychology (Crutcher and Healy 1989). EMT is particularly suited for training novel tasks when compared with error- avoidant methods. Summary Points Effective training, at a minimum, includes preparing the learner prior to training, providing the optimal training experience based on the science of training, nonevaluative feedback, and encouraging the trainee to reflect on the learning process. Promote self-efficacy during training by pairing a more experienced partner with one who is less sure of him- or herself. Follow the recommendations regarding OJT. CBT and simulator training provide opportunities to train employees about human informa- tion processing limitations and go beyond traditional classroom training to promote effective error recovery strategies. Incentive and Discipline Programs Incentive and discipline programs draw from behavioral management theory, which predicts specific behavioral outcomes based on the effects of reinforcement (increases target behavior) and punishment (decreases target behavior) (Lieberman 1990; Lefranois 1995). An incentive is a reward, which may be monetary or in some other form, to recognize a specific accomplishment by an employee or a group of employees. The incentive differs from other forms of compensa- tion, because it must be earned during each incentive cycle; whereas salary is generally a constant and guaranteed base compensation. An incentive can be something tangible or intangible. Incentive Best Practices Cash payment is one of the most commonly used incentives (Hartman, Kurtz, and Moser 1994). The amount is small, usually less than $200. Hartman, Kurtz, and Moser reported the following examples of incentives offered by public transit agencies:

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Understanding Rules Noncompliance 15 Up to $500 bond based on safety points accumulation $50 cash for safe driving $75 to $250 plus 8 hours of extra pay for rewarding attendance, safe driving, and customer service Rewards can also be in the form of special benefits, such as extra days off, a designated parking space, or prizes. For example, safe employees may be offered free restaurant meals, watches, and retail gift cards. Another common form of incentives is recognition rewards. Recognition rewards are "low cost/high impact." Recognition also can be in the form of an event, like a banquet, or in the form of something tangible, such as shirt patches, certificates, and special nameplates. Employees can be recognized in newsletters, personalized letters of gratitude from management, or even in a press release to the local media. A survey found that respondents viewed recognition rewards more highly than cash payments (Hinze 2002). Common elements of successful incentive programs include the following: Management support must be visible. Achievement criteria must be clear and precise with objective metrics. Incentive cycle or monitoring period must be defined. Process must be transparent to the employees. Eligibility to participate must be defined. Incentive programs can be tiered but the tiers and performance expectations must be well defined. Smaller, frequent, non-monetary rewards that highlight the employee's achievement seem to be the most effective. While an effective incentive program may create positive behavior changes in employees, there is contention in the literature about the use of incentives. Some advocate their use while others claim that incentives do more harm than good (Geller 1996). Common criticisms of incentive programs include the following: Motivation can decline over time and after the incentive is reduced/removed. Programs may encourage the employees to hide injuries and under report incidents. In some cases, it can be difficult to define employee vs. group contributions to safety. The projected budget for these programs may not be enough to cover 100% compliance. Programs may not take into account factors not under the control of the employee (e.g., other people's unsafe behavior). Critique of Incentive Programs Traditional behavior theory predicts that the effects of reinforcement, or reward, will dissipate over time if the reinforcement is discontinued. While this criticism is well founded in behavioral theory, cognitive psychologists note that human motivation exists beyond external environmen- tal consequences. Sometimes, motivation is internal and linked to the values of a person. Changing a person's behavior through reinforcement and their attitudes through education may enhance rules compliance more than either would alone. Many employers view their compensation programs as sufficient motivators for the job roles they define and are not inclined to adopt incentive programs. Some employers believe regular monetary compensation is sufficient to expect that their employees will perform their jobs adequately. However, this view is problematic when compensation programs are not strictly performance-based and linked to safe behavior. For example, an employee initially may be com- pliant with safety-related rules 100% of the time. Over time, the compliance rate may drop due to complacency or poor supervision. If the supervisor does not address the performance

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16 Improving Safety-Related Rules Compliance in the Public Transportation Industry decline immediately, or through a performance-based compensation program, the employee learns that he or she can be less compliant and still reap the same rewards. In this example, the employer is no longer requiring the behavior it would like its employees to exhibit. An incentive program is one option to use as a bridge to improve rules compliance in the short term until a performance-based compensation program can be implemented and supervisor deficiency can be corrected. It is imperative that incentive programs geared toward improving safety link the reward to safe behavior. Many incentive programs exist that reward being incident or accident free. The latter only discourages employees to report accidents or the factors that led to them. Ideally, safe behaviors that lead to rewards or incentives should be linked to the leading indicators that the agency uses to measure the effectiveness of its safety-related rules compliance pro- gram. (See the Measuring Compliance with Leading and Lagging Indicators section.) Linking a point system to the following safety-promoting behaviors is reportedly effective: Attending safety meetings Leading a safety meeting Writing, reviewing, and revising a job safety analysis Conducting periodic safety audits Certain safe work habits Using Discipline Effectively Discipline, in the form of punishment, is often used by managers to quell noncompliance. Punishment is most often used as a last resort when other interventions do not prove effec- tive. While punishment is effective for reducing, or eliminating, unwanted behavior, it does not teach the correct behavior. Punishment may be in two forms, positive and negative pun- ishment. Positive punishment occurs when the addition of an aversive stimulus is used to curb a behavior (e.g., adding to the workload of an individual; additional workload must be viewed negatively for this to qualify as punishment). Negative punishment occurs when a val- ued, or pleasant, stimulus is taken away. An example of this is demotion (removal of status), or termination in the extreme. Punishment has its place in the workplace for shaping employee behavior. However, it must be delivered in a specific manner to achieve the desired effect and avoid negative con- sequences. Behavior theory predicts that reward works best when delivered intermittently. Punishment, in contrast, is optimal when it occurs after each instance of the undesirable behavior. Consequently, employees learn they will only be punished when they are caught in the act. They may fail to develop internal monitoring during situations when they are not being directly supervised. Punishment also arouses a strong emotional response. This is particularly true when punish- ment is viewed as unfair or overly harsh. Under these circumstances, employees may harbor resentment or seek retribution. The following are best practices for including punishment as part of the disciplinary process: It must be administered immediately. It should be consistently applied across employees. Negative punishment is a better option than positive punishment. It should have sufficient intensity, but not perceived as overly harsh. A rational explanation must accompany delivery, which should be privately conveyed. Punishment should be used in conjunction with reinforcement, or incentives, to encourage positive safety behavior.