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Journal of Cleaner Production 262 (2020) 121346

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Journal of Cleaner Production


journal homepage: www.elsevier.com/locate/jclepro

Integrated management systems as a key facilitator of occupational


health and safety risk management: A case study in a medium sized
waste management firm
Delfina Ramos a, b, *, Paulo Afonso b, Matilde A. Rodrigues c, b
a
Centre for Research & Development in Mechanical Engineering (CIDEM), School of Engineering of Porto (ISEP), Polytechnic of Porto, 4200-072, Porto,
Portugal
b ~es, Portugal
Algoritmi Centre, School of Engineering, University of Minho, Guimara
c
Research Centre on Environment and Health, Department of Environmental Health, School of Health of Polytechnic Institute of Porto, Porto, Portugal

a r t i c l e i n f o a b s t r a c t

Article history: The positive impact of introducing Occupational Health & Safety (OH&S) standards at the organization
Received 5 February 2019 level is recognized by governments, employers and workers. Nevertheless, the knowledge on its effective
Received in revised form use in Small and Medium-Sized Enterprises is still limited. This case study aims to provide a better
15 March 2020
understanding of how the implementation of Integrated Management Systems (IMSs) influences the
Accepted 24 March 2020
Available online 30 March 2020
improvement of OH&S risk management process in medium-sized business. Particular attention was
given to employees’ awareness about risk management effectiveness. The study was conducted in a
Handling editor: Tomas B. Ramos company working in the area of solid waste treatment certified in 2009 with an IMSs for Quality,
Environment, Occupational Health and Safety. The evolution of accidents before and after the imple-
Keywords: mentation of the IMSs was analyzed and a questionnaire was used to capture the perceptions of the
Occupational health and safety technicians on the risk management system. The questionnaire was answered by 16 technicians of the
Risk management company from different departments and in a second phase were conducted interviews with the Chief
Integrated management systems Executive Officer and the Technician responsible for the Management System. Finally, it was proved that
Workers’ perceptions
there was an improvement in the record of occupational accidents and that the IMSs brought a greater
Solid waste treatment
involvement of workers in risk management activities, but their participation has not yet reached the
desired level.
© 2020 Elsevier Ltd. All rights reserved.

1. Introduction implemented independently, but without the advantages related to


IMSs (Domingues et al., 2016; Rebelo et al., 2016). Its fundamental
The implementation of Integrated Management Systems (IMSs) objective is to promote the continuous improvement of OH&S
is a strategic and operational decision for an organization, which performance (ISO 45001: 2018). Additionally, it contributes for
contributes to an efficient functioning in terms of Quality, Envi- strategy and competitiveness, helping organizations to demon-
ronment, and Occupational Health & Safety (OH&S) (Domingues strate to both public and customers that they are fulfilling appli-
et al., 2016; Rebelo et al., 2016). In fact, there has been a tendency cable legal requirements and other guidelines, that they have
to implement IMSs covering the ISO 45001 (or OSHAS, 18001), ISO appropriate work environment conditions, as well as mechanisms
14001 and ISO 9001 standards, where this integration can render to improve OH&S performance and practices, protecting and
the process more efficient and effective, reducing bureaucracy and enhancing brand image, sales, profits, profitability and brand value
saving money (Hamidi et al., 2012; Rebelo et al., 2014; Nunhes et al., (Fernandez-Mun ~ iz et al., 2009; Granerud and Rocha, 2011).
2016). However, an OH&S management system can be According to Fern andez-Mun ~ iz et al. (2007), an effective OH&S
management system requires a safety policy, the employees
participation in OH&S activities, training and development of em-
* Corresponding author. Centre for Research & Development in Mechanical En- ployee’s competencies, mechanisms to communicate and inform
gineering (CIDEM), School of Engineering of Porto (ISEP), Polytechnic of Porto, Rua about the possible risks in the workplace and the respective control
nio Bernardino de Almeida, 431 4249-015, Porto, Portugal.
Dr. Anto measures, planning procedures for safety actions (including
E-mail address: dgr@isep.ipp.pt (D. Ramos).

https://doi.org/10.1016/j.jclepro.2020.121346
0959-6526/© 2020 Elsevier Ltd. All rights reserved.
2 D. Ramos et al. / Journal of Cleaner Production 262 (2020) 121346

hazards identification, risk assessment and risk control), and finally, was developed in a medium-sized enterprise, where the evolution
the control and review of activities carried out within the organi- of accident rates along the years and perceptions about risk man-
zation. In this framework, the success of an OH&S management agement were analyzed. The studied company develops its activity
system is dependent of commitment and participation from all in the area of solid waste treatment and was certified in 2009 with
levels of the organization, i.e., both managers and employees an IMSs for Quality, Environment, Occupational Health and Safety.
(Ferna ndez-Mun ~ iz et al., 2012; Skład, 2019). These aspects are also
emphasized in ISO 45001: 2018, which adds that enterprises can 2. The role of perceptions on the integration of risk
achieve improvements in their OH&S performance through a sys- management in the occupational health and safety system
tematic process which should start with top management support,
mainly in what regards their leadership and commitment towards The understanding of perceptions about risk management sys-
the OH&S management system, a culture in the organization that tem is very important in order to turn its integration into the OH&S
supports this system and the allocation of the necessary resources system more effective. Misperceptions of workers, managers and
for its sustainability. Additionally, it is important to have the inte- other stakeholders about this matter can create obstacles to this
gration of the OH&S management system into the organization’s process. Additionally, perceptions can also influence risk behaviors,
business processes. which are an important insight to safety management (Zhao et al.,
According to Marhavilas et al. (2018), the positive impact of 2016).
introducing OH&S standards at the organization level is recognized Several factors influencing risk perception in the field of OH&S
by governments, employers and workers. This has an effect on the are well known, such as the characteristics of the situation, its
reduction of occupational hazards and accidents, improving not surroundings and personal factors such as knowledge, beliefs,
only the risk management and compliance with legal obligations, values, experiences, feelings and attitudes (Renn, 1998; Cameron
but also on productivity, leading to more effective usage of re- and Raman, 2005; Lima, 2005; Ji et al., 2011). Accordingly, per-
sources and an increased capability to deliver consistent services ceptions are also influenced by the human and structural capital.
and products and at the same time improving the financial per- According to Nun ~ ez and Villanueva (2011), human capital is the
formance (Marhavilas et al., 2018; Barbosa et al., 2019). stock of knowledge and skills that belong to the firm’s employees
When the OH&S management system is mature and good but are at the firm’s disposal for the duration of their contracts.
practices are applied, not only an improved performance is ex- Experience and training are examples of the elements that
pected, but also the companies’ overall performance. Ferna ndez- constitute human capital. Similarly, OH&S training, the individual
Mun ~ iz et al. (2009) establish that good practices in OH&S capacity to anticipate and recognize hazards, the ability to react in
contribute to reduce the companies’ accident rate and simulta- an emergency, or the worker’s physical strength are some elements
neously improve working conditions. OH&S certification also helps of the safety human capital. Structural capital is defined as the set of
to improve management’s commitment, employee’s participation knowledge, procedures and practices that remain in the firm, even
and contributes to the improvement of the communication chan- when the employees have left it. Work routines, control mechanism
nels (Santos et al., 2011; Ferna ndez-Mun ~ iz et al., 2012; Sampaio and and emergency procedures, for example, all form part of the
Neves, 2012). structural capital. The formalization of hazardous tasks, risk sig-
Despite the benefits of an IMSs when different standards are nalling, and accident investigation and analysis, meanwhile, all
considered, including ISO 45001: 2018, the knowledge about how it form part of safety structural capital.
contributes to improve OH&S risk management in Small and Perceptions of risk is of paramount importance in order to
Medium-Sized Enterprises (SMEs) is still limited. Previous studies develop a proper safety culture. In fact, previous studies showed
pointed out that SMEs are characterized by less effective OH&S that risk perception is a predictor of the organizations’ safety
management systems and perform risk assessments of lower climate (Rodrigues et al., 2015a). The challenge is how to have a
quality than larger firms (Sørensen et al., 2007; Cagno et al., 2011). positive influence on an organisation’s health and safety culture
The limited human, economic and technological resources, the low (IOSH, 2015).
level of knowledge about the enterprise’s risks by the owner/ Despite the importance of risk perception, misperceptions are
manager and deficiencies in organizational processes are often frequently reported. Many studies have shown how people tend to
highlighted as obstacles to the firms’ OH&S performance, which overestimate the risks that have a high severity (e.g. Lin and
may also create constraints to the IMSs (or OH&S management Petersen, 2007; Jørgensen, 2016; Aven, 2016). These are usually
systems when applied independently) (Jensen et al., 2001; Fabiano risks that are seen as technologically complex, scientifically un-
et al., 2004; Sørensen et al., 2007; Barbosa et al., 2019). In fact, in known, where people are involuntarily exposed, where the risk is
these companies, certification may not be an easy and straightfor- controlled by others, where the risk or the consequences are dealt
ward process due to the costs involved, lack of employees’ moti- with irresponsibly, or where the risk is memorable from recently-
vation, difficulties in changing the company’s safety culture and occurring accidents. The risks that are underestimated are nor-
increased bureaucracy (Santos et al., 2014). According to Nunhes mally the low severity risks (Rodrigues et al., 2015b), where
et al. (2017), one of the main difficulties in the implementation of exposure is seen to be voluntary, where the risks are scientifically
a management system is the high amount of human and financial well known, risks that can be controlled or dealt with responsibly,
resources spent. Additionally, the owner and other managers in where the consequences are reversible and the risk is not dramatic
these companies need to deal with several tasks, relegating tasks or memorable. These findings show that awareness is more about
related to risk management activities to second place (Hasle and feelings than about knowledge or objective risk assessments and
Limborg, 2006; Hasle et al., 2012). However, it is also important the prevention efforts and safety activities have to take this into
to note that SMEs are frequently referred as a single group of firms account.
while they may differ mainly in what regards their size and re- Perceptions can be more critical in SMEs. Despite the accident
sources, which may also have implications in their risk manage- rate be higher in smaller-sized firms, because of the reduced
ment system performance. number of workers employed the firms can remain several years
In view of the foregoing, this study aims to contribute to a better without record an accident (Barbosa et al., 2019). This can have a
understanding on how IMSs improve the OH&S risk management critical impact in workers and employers’ perceptions about the
process in medium-sized business. To this purpose, a case study risk of occupational accidents. Additionally, measuring the cost of
D. Ramos et al. / Journal of Cleaner Production 262 (2020) 121346 3

accidents and occupational diseases is also a challenge for these 3.3. Analysis of the technicians’ perceptions about the IMSs and its
organizations (Haslam et al., 2016). According to Bonafede et al. contribution to OH&S risk management
(2016), enterprises with lower size report higher constraints and
perceive OH&S as an economic burden much more than an op- With the aim of studying the technicians’ knowledge and per-
portunity to grow. ceptions about the effectiveness of the risk management process, in
Public health policies and interventions to improve OH&S in a context where an IMSs is implemented, a questionnaire was
small-sized businesses should be drawn up taking into account developed and applied. In a first stage, an exhaustive literature
their structural, economic and productive characteristics and pro- review was performed in order to identify the variables to include
vide answers to the need of bureaucratic, administrative and leg- in the analysis. As a result, international standards (e.g. OSHAS,
islative simplification on one side and increase public investments 18001:, 2007; ISO 31000:, 2018) and empirical studies (e.g. Fung
and economic incentives on the other (Bonafede et al., 2016; et al., 2010; Badri et al., 2012; Yoon et al., 2013) were taken into
Haslam et al., 2016; Ramos et al., 2016, 2017). Strengthening account in the construction of the questions.
external advisory and intermediary support actions should be Before the application of the questionnaire, a validation pro-
recommended to increase knowledge of and access to public cedure was performed with 3 technicians, to check the clarity of
funding. Actions should be aimed to change the employers’ attitude meaning of the questions and linguistic terms, as well as the
toward OH&S and to improve the safety culture. applicability of questions and scales used. Based on this procedure,
some questions were re-worded in order to increase clarity and
comprehension.
The final version of the questionnaire was divided into four
3. Material and methods sections. The questionnaire starts with an initial section with 7
questions about general information, allowing to analyse results in
3.1. Study population and sample terms of several aspects, namely gender, age, years working in the
organization, department, function/activity in the firm, education
The research has been carried out in a company which is level and number of occupational accidents.
devoted to solid waste recovery and treatment for six municipal- The second section comprised four questions to analyse the
ities Northern Portugal. The activities that are developed include technicians’ perceptions about the evolution of the IMSs and its
the reception of wastes, the selective collection of wastes (waste benefits to risk management in the organization. Respondents were
sorting points) and specific collection in restaurants and similar required to report their degree of satisfaction with the manage-
establishments, including the collection of used oils for production ment system implemented in the company (5-point Likert scale;
of biodiesel. This company has a certified Integrated Management “1 ¼ Not satisfied”; “5 ¼ Very satisfied”). Then, four items assessed
System since 2009, including Quality (ISO 9001: 2008), Environ- their perceptions about the motivation for the management system
ment (ISO 14001: 2004) and Occupational Health and Safety implementation: Legal requirements; Reduction of the occupa-
(OHSAS, 18001:, 2007). tional risks; Reducing costs related to OH&S; Respond and act in
The company is managed by a Board of Directors, which reports accordance with stakeholders (5-point Likert scale;
to the Executive General Director. The company has a total of 136 “1 ¼ Completely disagree” to “5 ¼ Completely agree”). Their per-
employees that are divided into 4 departments: Technical Depart- ceptions about the benefits of the management system in relation
ment; Quality, Environment and Safety Department; to seven indicators were analyzed (5-point Likert scale;
Administrative-Financial Department; and Department of “1 ¼ Completely disagree” to “5 ¼ Completely agree”). The in-
Communication and Image. dicators chosen were related to safety performance, in particular
In this case study, 16 technicians of each department, each one accident and severity rates, compliance with legal requirements,
responsible for a team of operators according to the organizational improved workers’ safety, improved transparency in terms of ac-
chart of the company, were included. Because the sample was cidents, increased employees’ awareness for OH&S. Additionally,
limited to the companies’ employer and employees, different ap- indicators related to the organization’ performance were also
proaches were used in this study, in order to achieve the proposed included, such as the improvement of the profits of the overall
objectives. Questionnaires were applied to all 16 technicians. organization, improved company’s visibility. In the last question,
Additionally, interviews were performed with the CEO and the respondents were asked to classify the evolution of the OH&S
Technician responsible for the Integrated System (Quality, Envi- management system in their company (5-point Likert Scale;
ronment and Safety). “1 ¼ Very low”; “5 ¼ Very high”).
The third section of the questionnaire was designed to analyse
the involvement of both, technicians and management, in the risk
management process. According to ISO 31000: 2018, risk man-
3.2. Accidents analysis agement includes three main steps: risk analysis, risk assessment
and risk control. In a first stage, the technicians’ knowledge about
The occupational accidents that occurred during the period each one of these steps was analyzed. Then, they were asked to
2007 to 2013 were analyzed. All injured workers, i.e. both techni- assess the level of effectiveness of the risk management activities in
cians and operators, were considered. The analysis was done per the company, according to their own perceptions. In the last
workplace in each analyzed year. Data about occupational accidents question of the section, respondents were requested to assess their
was gathered by the OH&S Office of the enterprise and derived own contribution to the following steps: context establishment,
from the accidents reported by workers. risk assessment, risk treatment, risk communication and consul-
In this case study, the accident analysis was particularly rele- tation, and monitoring and review. All items were rated on the
vant, helping in the understanding of the evolution of occupational same 5-point Likert scale (e.g., “Very low” to “Very high”).
accidents over the years in what regards to its number and severity, In the last section of the questionnaire, respondents were asked
relating them to the implementation/maturity of the OH&S man- about the importance of some actions to improve OH&S, such as an
agement system.
4 D. Ramos et al. / Journal of Cleaner Production 262 (2020) 121346

effective communication of risks to the workers, effective safety identified as an indicator of OH&S performance in SMEs (Barbosa
instructions, involvement of all workers in safety training and et al., 2019). It was expected that when an OH&S management
promotion of employees’ OH&S participation (5-point Likert scale; system is implemented, accident rates decrease (Ferna ndez-Mun ~ iz
“1 ¼ Completely disagree” to “5 ¼ Completely agree”). et al., 2009). Thus, accident rates for frequency and severity were
computed. Fig. 1 represents the evolution of the accident rates
3.4. Interviews during the period under analysis.
Data denote that severity rates decreased in most of the years,
To better understand the employees’ involvement and percep- except for the years 2010, 2012 and 2014. The severity rate in 2013
tion about IMSs and risk management activities, 60-min semi- has been only about 1/3 of the severity rate in 2007, but with some
structured interviews were performed with the Executive General fluctuations in intermediate years. Nevertheless, in 2014 the
Director and the Technician responsible for the IMSs. In addition, severity rate increased again. These fluctuations were found also in
interviews served to validate and supplement the survey and safety the injury frequency rates.
observations data. The interviews were conducted individually, in In 2009, the organization decided to request the audit of
the presence of two researchers, one acting as the interviewer and concession of OH&S management system for the first time and
the other being responsible to record the session and take notes. then, practices were developed to improve the system, including
The interview phase followed a predefined protocol. The inter- several awareness actions in terms of OH&S and the implementa-
viewer made the following questions: tion of improvements in the company (signaling, protection of
machinery, provision of personal protective equipment - PPE,
Question 1 (Q1): How do you feature the participation of com- implementation of consultation with employees in terms of OH&S,
pany employees in the risk management process? What kind of more detailed reviews of risk). These initiatives were designed to
participation, which are the employees participating in the lead to a greater awareness on safety by all employees and improve
process, how does such participation occur? How has this their level of risk perception. In a company with an OH&S man-
participation evolved? agement system, activities related to the risk management devel-
Question 2 (Q2): How do you rate the degree of perception of oped by the organization are optimized, such as workplace
risk on the part of the employees of the company? Are there any inspections, risk assessment, risk control, risk communication and
differences between different employees to report? How has consultation, accident recording and analysis, as well as safety
this perception evolved? training (Aksorn and Hadikusumo, 2010; Vinodkumar and Bhasi,
Question 3 (Q3): What is the contribution of the Integrated 2009; Abad et al., 2013). Consequently, the work conditions are
Management System for Quality, Environment, Occupational improved and the risk perception levels increase, influencing em-
Health and Safety for an increased or better employee partici- ployees’ safety behaviors, and consequently, the accident rates
pation in the risk management process and their perception of (Arezes and Miguel, 2008; Ferna ndez-Mun ~ iz et al., 2009; Ji et al.,
risk? 2011; Barbosa et al., 2019). However, when an OH&S manage-
ment system is implemented is not strange to observe in the first
The interviews were recorded and transcribed verbatim. years some indicators worsened, such as injury frequency rates.
When an OH&S management system is mature and good practices
3.5. Data analysis are applied, workers tend to report more minor accidents than in
the past, increasing this indicator.
Accident rates were calculated according to the Portuguese Most of the accidents recorded during the analyzed years
Legislation (Ordinance nº 55/2010, 21st January) and as described resulted in temporary disability, in most of the cases with a leave
below. The Injury Frequency Rate (IFR) represents the number of from 4 to 30 days (40.9%) and a significant value with a leave higher
occupational accidents per million hours effectively worked: than 30 days (21.9%). According to these results, several recorded
accidents presented a moderate severity (Rodrigues et al., 2015c),
Rf ¼ number of work accidents  106 / number of hours effectively which is a result of the risks that workers are exposed to. In fact, in
worked waste management companies, workers are exposed to several risk
factors, that can result in occupational accidents and diseases
The Injury Severity Rate (ISR) represents the number of work (Poulsen et al., 1995; Marth et al., 1997; Lavoie and Guertin, 2001;
days lost per million hours effectively worked: Engkvist, 2010; Neitzel et al., 2013; Reinhold et al., 2015).
Fig. 2 describes the evolution of the accident risk in the com-
Rs ¼ number of work days lost  106 / number of hours effectively pany, represented as IFR x ISR. Results denoted a decrease in the
worked risk of accident from 2009 until 2011. In 2012 there was an increase
in these values and in 2014 results were very close from the ones
Data was described in terms of relative frequency. Bivariate obtained in 2007. The increase previously observed in the IFR can
correlation analysis was performed for relevant variables using the explain these results.
statistical software package IBM SPSS® version 21. The distribution of the IFR by gender is described in Fig. 3. In all
the analyzed years (2007e2014), the injured workers were more
4. Results and discussion men than women. These results are related to the tasks developed.
Most of the women perform functions at the screening station or
4.1. Accidents analysis administrative, while the men are distributed for the remaining
activities such as waste handling, storage and transportation, which
Occupational accidents have a key impact on human probity, are physically demanding tasks (Engkvist, 2010).
create high expenses for the social health/insurance system of any Data also showed that, with the exception of the years 2009 and
country and deteriorate the sustainability of societies (Marhavilas 2012, accidents occurring within the facilities were greater (56.0%)
et al., 2018). In this case study, the analysis of the accidents was than accidents outside the facilities (44.0%). This can be explained
particularly relevant to contextualize the evolution of the safety by the fact that outside the premises only occur the activities of
performance in the organization, since it has been previously selective collection and maintenance of selective disposal sites; all
D. Ramos et al. / Journal of Cleaner Production 262 (2020) 121346 5

Fig. 1. Evolution of injury frequency rate (IFR) and injury severity rate (ISR).

Fig. 2. Evolution of Injury Frequency Rate (IFR) x Injury Severity Rate (ISR).

Fig. 3. Injury Frequency Rate (IFR) distribution by gender.


6 D. Ramos et al. / Journal of Cleaner Production 262 (2020) 121346

other activities are performed in the premises of the company. SMEs to comply with legislation and to promote employees’
Human errors, including intended and unintended actions, are training, improving their knowledge and awareness level about
frequently pointed as one of the most important causes of occu- occupational risks. As a result, lower accident rates are expected
pational accidents in different settings (Jacinto et al., 2009; Silva (Burke et al., 2011; Aluko et al., 2016; Stemn et al., 2018).
and Jacinto, 2015). In the analyzed company this was also When management systems are implemented, benefits related
observed. Data denoted “Imprudence/distraction” as the most to the visibility of the company with customers and suppliers are
frequent cause of accidents, representing 52.48% of the overall ac- expected (Santos et al., 2011; Nunhes et al., 2017). In our study, the
cidents occurred during the analyzed period, followed by “not technicians’ opinions about this benefit were split (50% agree and
compliance with the rules” which was associated to 33.66% of the 50% disagree). However, considering the “business” characteristics
accidents recorded. Few accidents occurred due to “lack of use of of the company, it provides an essential service to society, having
PPE” (8.91%). already high visibility among stakeholders, a fact that is common
In general terms, in this case, there was an improvement in the knowledge among technicians.
recording of accidents, not necessarily linked to a decrease in the Results also show, that technicians do not recognize the
real number of accidents but to a reduction in the injury severity contribution of the management system for the company’s profit.
rate. Indeed, the indirect nature of such contribution adds to this
The accidents were also analyzed considering among other as- perspective, which may compromise the engagement of workers in
pects, its distribution by age group, considering seniority and work OH&S and their contribution for the effectiveness of integrated
experience, period of the day accidents occur, causes and effects of management systems. Accountants and financial responsibility
accidents, etc. Considering the age group and seniority in the may be important to translate the economic benefits of such sys-
company, a normal distribution is observed, with younger and tems into a better understood language and figures for operational
older employees being associated with fewer situations. However, workers.
more than 75% of accidents occur with employees with more than 2 It was expected that reduced costs with accidents would result
years of experience in the company. The distribution of accidents of an IMSs, leading to higher perceptions about cost reduction and
throughout the day also follows a normal distribution, with fewer profit maximization (Robson et al., 2007; Choudhry et al., 2008).
accidents occurring at the beginning and the end of the day. These However, because accidents recording before the implementation
results indicate that accidents tend to occur in situations where of the management system was inefficient and the company had a
workers may be acting in a more passive and eventually more subnotification problem, the employees did not have a real
inattentive way. Considering the causes of accidents, we must perception of the accident risk. This is frequent observed in SMEs
highlight falls, impacts caused by objects and excessive efforts, of (Antonsson et al., 2002; Sørensen et al., 2007). With the imple-
which 2/3 result in sprains, injuries and wounds and also approx- mentation of the management system, the total recordable acci-
imately 2/3 affect the trunk, hands, upper limbs, head and eyes. dents increased (Fig. 1) due to an optimized accident management
Almost half of the accidents are associated with material handling, system and the benefits related to the reduction of accident costs,
with machines and tools accounting for only 15% of the causes of including reduced insurance premiums, were not recognized.
accidents recorded in the period under analysis. Moreover, most workers were unaware of the costs of the man-
agement system, because the costs before and after implementa-
tion of the system had never been analyzed, in particular in what
4.2. Technicians’ perceptions about the IMSs and its contribution to regards health and safety. According to Bianchini et al. (2017), in
OH&S risk management these cases, where accidents reduction and cost reduction are not
evident, investments in the management system can be perceived
The IMSs system has been implemented in 2009 and is as unprofitable. Perceptions and not only facts are, indeed,
considered as still in progress. Seven years after the company extremely important for the recognition of the importance of
started its implementation, the technicians’ perceptions about the management systems supporting effective processes of institu-
evolution and effectiveness of the system were analyzed. Data tionalization of good practices. Table 2 describes the technicians’
showed that they were satisfied with the evolution of the system perceptions about the motivations that led the company to
along the years (56.3%) and classified its evolution as high in the implement the management systems, in particular in what regards
company (50%). The main benefits of the IMSs in what regards OH&S.
OH&S which have been highlighted by respondents are presented Compliance with legal requirements was pointed as one of the
in Table 1. key motives (Agree ¼ 81.75”; Completely agree ¼ 6.30). For several
A significant positive correlation was found between the SMEs, the management of OH&S consists essentially of compliance
reduction of the number/severity of accidents and both, the with regulations (Masi and Cagno, 2015). However, legal re-
worker’s safety awareness (r ¼ 0.599; p < 0.05) and legal compli- quirements are frequently considered excessive by these com-
ance (r ¼ 0.655; p < 0.01). In fact, an OH&S management system panies and the process of risk management is complex and
was previously found by Santos et al. (2011) to make it easier for

Table 1
Benefits of the management system for OH&S perceived by technicians.

Items CD (%) D (%) NAD (%) A (%) CA (%)

Promote worker’s safety 0.00 12.50 0.00 62.50 25.00


Increase profits 25.00 31.25 12.50 18.75 12.50
Increase legal compliance 0.00 18.80 12.50 43.80 25.00
Increase market visibility 12.50 37.50 6.25 37.50 6.25
Improve transparency in terms of accidents 0.00 7.14 0.00 64.29 28.57
Promote employee’s safety awareness 0.00 0.00 0.00 71.43 28.57
Reduce accidents and severity rates 0.00 7.14 0.00 78.57 14.29

Legend: CD e Completely disagree; D e Disagree; NAD - Neither agree nor disagree; A e Agree; CA - Completely agree.
D. Ramos et al. / Journal of Cleaner Production 262 (2020) 121346 7

Table 2
Motivation for the implementation of the management system for OH&S.

Items CD (%) D (%) NAD (%) A (%) CA (%)

Legal requirements 0.00 0.00 12.50 81.75 6.30


Reduce the occupational risks 0.00 12.50 6.35 68.75 12.50
Reduce costs related to OH&S 0.00 31.25 31.25 31.25 6.25
Respond and act in accordance with stakeholders 0.00 31.25 12.50 56.26 0.00

Legend: CD e Completely disagree; D e Disagree; NAD - Neither agree nor disagree; A e Agree; CA - Completely agree.

bureaucratic (Micheli and Cagno, 2010; Cagno et al., 2013). In view


of this, SMEs can have more difficulties to implement legal re-
quirements. An OH&S management system can assist an organi-
zation to adhere to regulations (ISO 45001 : 2018). Processes to
determine legal requirements and how they should be managed
inside the company are defined. They can result in risks and op-
portunities for the organizations (ISO 45001 : 2018). As a result of
an effective OH&S management, occupational risks are expected to
be reduced. This is in accordance with the technicians’ perceptions
(“Agree” ¼ 68.75”; “Completely agree”¼12.50).
Companies operate in a networked organizational structure,
where it is essential to secure good relationships with stakeholders
(customers, financers, etc.). Their image can benefit from an
effective OSH management system, which results in reduced acci-
dent rates and improved working conditions, ensuring stake-
holder’s expectations and requirements. More than half of the
inquired technicians agreed that to respond and act in accordance
with stakeholders was a motivation of the company to implement
an OH&S management system.
One of the direct benefits of an OH&S management system re-
ported in the literature is the reduced level of accident costs as Fig. 4. Technicians’ contributions to the risk management process.
previously noticed (Robson et al., 2007; Choudhry et al., 2008), Note: 1 ¼ Very low; 5 ¼ Very high.
mainly in what regards insurance costs, workers’ absence and
turnover. Additionally, resources management can be also
improved, such as the need of PPE, etc., which is also related to effective. However, the ones that tend to consider the risk control
reduced costs with OH&S. However, in this work, results showed effective are the same that realize the contribution of the system to
that reducing costs related to OH&S was not the most relevant reduce accident rates (r ¼ 0.545; p < 0.05). These results may be
reason pointed out for the system implementation. According to related to the fact that the related risk assessment is made by an
these results, to improve working conditions was the key goal of external OH&S practitioner and later monitoring is performed by
the implementation of the management system according to an internal worker with less knowledge. Because OH&S manage-
technicians’ perceptions. Managers may regard an effective OH&S ment activities are not the primary function of the in-house
prevention, creating working conditions that ensure the workers’ responsible person, the risk management process could not be
health and safety, as part of the company’s management strategy sufficient and the remaining technicians can have this perception.
independently of the costs related to this process. Technicians were requested to assess their own contribution to
Table 3 describes the technicians’ knowledge on the risk man- the risk management process. Results of the 95% confidence in-
agement process, as well as their perceptions about the effective- terval are presented in Fig. 4.
ness of each step. Technicians considered their participation as “intermediate”.
Most of the answers show a high knowledge of the steps that are However, workers’ participation in all steps of the OH&S manage-
included in the risk appreciation, which suggests their involvement ment system is an essential feedback mechanism in a top-down
in the overall process. However, the process was not considered so management process, crucial to effectively reduce risks at work
effective as expected. Almost 44% of the technicians did not (ISO 31000 : 2018). This may explain the limited effectiveness of the
consider the risk analysis and risk assessment processes in the risk management process previously noticed, mainly in what
company to be effective. Additionally, only about a third of the regards the risk control step. In fact, a significant positive correla-
technicians considered that the risk control in the company is tion was found between the technicians’ “contribution to risk

Table 3
Technicians’ knowledge and perception of effectiveness about the risk management process.

Knowledge level Perception of effectiveness

Risk analysis Risk assessment Risk control Risk analysis Risk assessment Risk control

Very low 0.00 0.00 0.00 0.00 0.00 6.25


Low 0.00 0.00 0.00 18.75 18.75 37.50
Intermediate 6.25 0.00 0.00 25.00 25.00 25.00
High 43.75 56.25 50.00 50.00 50.00 25.00
Very high 50.00 43.75 50.00 6.25 6.25 6.25
8 D. Ramos et al. / Journal of Cleaner Production 262 (2020) 121346

Table 4
Perceptions about the importance of some risk management related activities to improve OSH.

Actions CD (%) D (%) NAD (%) A (%) CA (%)

Risk communication 0.00 0.00 0.00 6.25 93.75


OH&S instructions 0.00 0.00 0.00 31.25 67.75
OH&S training 0.00 0.00 0.00 6.25 93.75
Employees’ participation in OH&S management 0.00 7.14 35.71 50.00 7.14

Legend: CD e Completely disagree; D e Disagree; NAD - Neither agree nor disagree; A e Agree; CA - Completely agree.

communication” and “effectiveness of risk control in the firm” “(…) the participation of workers in the risk management process is
(r ¼ 0.571; p < 0.05). relatively small. Participation is based on the contribution made by
Furthermore, perceptions about the importance of some actions some workers to the assessment of OH&S risk made by the Senior
to improve OH&S are presented in Table 4. Occupational Safety and Health Practitioner. There may also be
The expressed opinion was almost unanimous to consider that some contribution in the investigation of accidents suffered by the
communicating risks to all workers and providing appropriate workers, this is because a revision is made to the said evaluation. In
training are particularly important to improve safety and health in either case, any worker may intervene. Middle/senior managers
the organization. In fact, workers need to be aware of the risks that participate more actively given that they provide much of the in-
they are exposed to and the control measures applied. To this end, formation related to work environment features, to the Senior
they should be informed about the risk, as well as attend a proper Occupational Safety and Health Practitioner. Participation has
OH&S training. These are essential actions to improve OH&S con- evolved reasonably in the first years of implementation of the
ditions and avoid unsafe behaviours, reducing the accident rates system, having stagnated with the systematization of the process”.
(Stave and To€rner, 2007; Jacinto et al., 2009; Burke et al., 2011). The (person responsible for the Integrated Management System)
majority of the inquired technicians also considered the OH&S in-
structions relevant. However, in what regards the employees’
These findings seem to go in line with the results of previous
participation in OH&S management they tended to be more indif-
studies (Fern andez-Mun ~ iz et al., 2012; Skład, 2019). Indeed, pre-
ferent (“Neither agree nor disagree” ¼ 35.71%). For effective and
vious research confirm that the success of an OH&S management
efficient learning to occur from safety incidents, certain factors and
system depends on the commitment and participation of all levels
conditions related to the organization, the actors or agents of
of organization but also emphasizes the low level of involvement of
learning, the learning process and the incidents themselves must
workers in this process. The literature identifies some causes and
be considered (Stemn et al., 2018).
consequences of this behavior. In this research project it was
highlighted that the routinization of the process does not include
the workers i.e., these practices are systematized and later included
as routines in the day-to-day of the company and, eventually,
4.3. Discussion institutionalized, excluding the workers. They participate more or
less actively in the beginning of the risk management process and
The first part of the study emphasized the limited participation also in the initial phases of the analysis of each accident but, the
of the technicians in the risk management process. This is partic- habits and routines that characterize these systems in practice
ularly critical when they are the people responsible for the different ignore them later. Further research work on the institutionalization
working teams. Interviews with the CEO and with the Quality, of risk management is required to understand better this phe-
Environment and Safety director supported these results, extend- nomenon and to help in the design of strategies that mitigate these
ing the problem to the remaining workers. Despite both consid- problems turning risk management more effective and efficient.
ering that IMSs has brought a higher involvement of workers in the Both the CEO and the person responsible for the Quality, Envi-
risk management activities, their participation has not yet reached ronment and Safety Integrated Management System agree that the
the desired level and it is a standstill. Because the OH&S practi- management system contributed to promote worker’s safety
tioner is the person responsible to assess the risks and decide about awareness. However, they also recognize differences when the
control measures, other stakeholders can be left out of the process. technicians are compared with the remaining workers. According
In fact, workers’ participation is in most cases still limited to acci- to his own words, the CEO considers:
dent reporting and, eventually, if requested, they may have some
intervention in the risk assessment process. According to the words “(…) the degree of risk perception is different among the employees.
of the CEO: The specialized technicians have a higher perception of risk than
unskilled workers, and there are different perceptions among these
“(…) the risk management process in the company is mostly carried workers. I believe that the perception of risk has increased over
out by an external occupational health and safety practitioner. He/ time, however, the risk is still not fully recognized by all employees.”
she interacts with the two employees involved in the quality (CEO)
management system in order to gather some relevant information.
In addition, upon the occurrence of accidents, the practitioner
analyzes the situation occurred with the injured employee in order The results of the research conducted by Rodrigues et al. (2015a)
to detect the existence of “new” risks. Worker participation in the and Zhao et al. (2016) confirm that perceptions can influence risk
risk management process has improved, however, it still needs to be behaviors and vary from individual to individual. According to Zhao
improved.” (CEO) et al. (2016), there are discordance of risk perceptions among
stakeholders, which can jeopardize the risk management process.
Thus, if is important to include workers in the risk management
This is corroborated by the technician responsible for the process, we might argue that if they have a limited or inaccurate
Quality, Environment and Safety integrated management system of perception of risk that may cause problems or result in additional
the company:
D. Ramos et al. / Journal of Cleaner Production 262 (2020) 121346 9

risks. Rodrigues et al. (2015a) state that, when faced with a risk
situation, workers with lower risk perceptions are more willing to This finding seems to go in line with the guidelines of ISO 45001
work unsafely, not complying with company procedures and pol- : 2018, i.e., implementing an OH&S management system enables an
icies, displaying unsafe behaviors and not participating in risk organization to manage its OH&S risks and improve its perfor-
management. This is an argument to justify the status quo where mance as well as assists an organization to fulfil legal and other
workers have a limited role in the risk management process. requirements. Thus, and finally, non-human actors (e.g., software
Maybe, we may have here a trade-off that should be managed and a and management systems) can play an important role in the
balanced contribution of workers in the risk management process organizational network that supports the risk management pro-
can be more effective than a more extensive one. The sensitiveness cess. These non-human actors may be important to mitigate the
for such level of contribution and the understanding of the condi- problems, obstacles and resistance explained before and they may
tions and contingencies that determine is a cornerstone of this play a relevant role in the institutionalization of effective risk
problem. Indeed, the problem is far more complex than it is management in organizations.
generally considered in both the academy and the industry. These The management system has implemented control measures
differences were also noticed by the person responsible for the that did not exist, making workers aware of OH&S issues and,
Quality, Environment and Safety Integrated Management System. consequently, increasing their perception of risks. The main bene-
She stated that fits are related to the improvement of workers’ safety and health,
namely the reduction of accident rates, as well as compliance with
“(…) the degree of perception of risks by workers depends on
legal requirements (Boustras et al., 2015; Bonafede et al., 2016;
worker to worker and the type of activity performed. (…) Risk
Gopang et al., 2017). In such processes, a high involvement of the
perception has increased as the management system has evolved,
workers is essential, but also the active participation of the CEO is
since OH&S actions are frequently carried out and incidents/acci-
fundamental. This is a particular important issue for SMEs that
dents are more often reported by workers, which in part means
frequently deal with several problems into fulfil with legal re-
that they are more aware [of these situations].” (person responsible
quirements. For some of these enterprises the number of legal
for the Integrated Management System)
obligations is excessive, very strict, the overall process considered
too bureaucratic by the management and both the management
Nevertheless, this analysis should consider also the character- and workers do not realize the real benefits of an OH&S manage-
istics of each collaborator and his/her personal perception of risk ment system (Ozmec et al., 2015; Masi and Cagno, 2015). The
who may result in a biased idea of the real risks. For example, the management involvement has been broadly emphasized. The re-
research of Lin and Petersen (2007), Jørgensen (2016), and Aven sults of the investigation conducted by Skład (2019) clearly confirm
(2016) have shown how people tend to overestimate the risks that the impact of OH&S management system on safety perfor-
that have a high severity. mance depends to the greatest extent on how the OSH leadership
The limited risk perception observed was related to some process is implemented in the company.
resistance to change evidenced by some workers. According to the The company’s trend in 2019 is towards the continuous
person responsible for Quality, Environment and Safety improvement of the integrated management system. It should be
noted that in 2018 the company completed the process of migration
“(…) the more recent employees in the company are more cautious
to the new versions of the management standards, namely ISO
while the older ones facilitate the observance of OH&S procedures
9001: 2015, ISO 14001: 2015 and OHSAS 18001 : 2007. The three
and rules when they are performing the same tasks.” (person
systems were certified by the AENOR entity with certificates valid
responsible for the Integrated Management System)
until 2021. Migration to ISO 45001: 2018 will then take place.

The influence of workers’ age and experience in risk manage- 5. Conclusions


ment has been discussed widely in previous studies. While some
studies identified high accident rates among young and less The implementation of integrated management systems allows
experienced workers mostly due to a low knowledge and percep- organizations to achieve efficient results in reducing risks and
tion about occupational risks (Suarez-Cebador et al., 2015; Carrillo- increasing productivity, providing a better understanding of how
Castrillo et al., 2016), older workers are the ones that suffer the management systems influence the OH&S risk management in
seriousness accidents (Camino Lo  pez et al., 2011; Arquillos et al., organizations, particularly in SMEs. The success of the integration
2012). Older workers have more knowledge and experience, but of risk management in OH&S depends on both technical and hu-
at the same time have greater self-esteem and confidence man aspects.
(Choudhry and Fang, 2008; Shuang et al., 2019), being more pre- In the present study, the analysis of the accident was particu-
disposed to ignore the dangers and, consequently, the rules larly relevant, helping in the understanding the evolution of
(Koustellis et al., 2013; Shuang et al., 2019). occupational accidents over the years in what regards to its number
The first part of the study also pointed out benefits of the system and severity, relating them to the implementation/maturity of the
related to the accident rates, compliance with legal requirements, OH&S management system. Results of this research show that,
and improvements in workers’ safety. This was because although the frequency of accidents has increased since 2009, the
severity has been reduced. The analysis of the accidents has proved
“(…) the management system implemented processes that imply a
that “Imprudence/distraction” was most frequent cause of accident,
higher control and more rigor in compliance with OH&S legislation,
representing 52% of the overall accidents, followed by “non
hence there was a greater participation of employees in risk
compliance with the rules” which was associated to 34% of the
management.” (CEO)
accidents recorded. According to the technicians’ perceptions of the
“(…) this system was able to implement OH&S procedures that did IMSs and its contribution for OH&S risk management, they were
not exist, making workers aware of OH&S issues and, consequently, satisfied with the evolution of the system over the years (56%) and
increasing their perception of risks.” (person responsible for the classified its evolution as high in the company (50%). Perceptions
Integrated Management System) about the importance of some risk management related activities to
improve OH&S. The majority of the inquired technicians considered
10 D. Ramos et al. / Journal of Cleaner Production 262 (2020) 121346

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Author contribution statement Choudhry, M.R., Fang, D., Ahmed, M.S., 2008. Safety management in construction:
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Domingues, P., Sampaio, P., Arezes, P., 2016. Integrated management systems
All the authors have contributed to the paper and agreed with
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the revised version. Engkvist, I.-L., 2010. Working conditions at recycling centres in Sweden e physical
The corresponding author is responsible for ensuring that the and psychosocial work environment. Appl. Ergon. 41 (3), 347e354.
Fabiano, B., Curro , F., Pastorino, R., 2004. A study of the relationship between
descriptions are accurate and agreed by all authors.
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Declaration of competing interest Fern andez-Mun ~ iz, B., Montes-Peo n, J.M., Vazquez-Ordas, C.J., 2007. Safety man-
agement system: development and validation of a multidimensional scale.
J. Loss Prev. Process. Ind. 20, 52e68.
The authors declare that they have no known competing Fern andez-Mun ~ iz, B., Montes-Peo  n, J.M., V
azquez-Ordas, C.J., 2009. Relation be-
financial interests or personal relationships that could have tween occupational safety management and firm performance. Saf. Sci. 47,
980e991.
appeared to influence the work reported in this paper.
Fern andez-Mun ~ iz, B., Montes-Peo n, J.M., Va
zquez-Ordas, C.J., 2012. Safety climate in
OHSAS 18001-certified organisations: antecedents and consequences of safety
Acknowledgements behaviour. Accid. Anal. Prev. 45, 745e758.
Fung, I.W.H., Tam, V.W.Y., Lo, T.Y., Lu, L.L.H., 2010. Developing a risk assessment
model for construction safety. Int. J. Proj. Manag. 28, 593e600.
We acknowledge the financial support of CIDEM and ALGO- Gopang, M.A., Nebhwani, M., Khatri, A., Marri, H.B., 2017. An assessment of occu-
RITMI Research Center, R&D units funded by the FCT e Portuguese pational health and safety measures and performance of SMEs: an empirical
investigation. Saf. Sci. 93, 127e133.
Foundation for the Development of Science and Technology, Min-
Granerud, R.L., Rocha, R.S., 2011. Organisational learning and continuous improve-
istry of Science, Technology and Higher Education, under the ment of health and safety in certified manufacturers. Saf. Sci. 49 (7), 1030e1039.
Project UID/EMS/0615/2019 and UIDB/00319/2020, respectively. Hamidi, N., Omidvari, M., Meftahi, M., 2012. The effect of integrated management
system on safety and productivity indices: case study; Iranian cement in-
dustries. Saf. Sci. 50 (5), 1180e1189.
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