Tendo em vista a crescente disseminação de sistemas de gestão da segurança e saúde no trabalho (SGSST), torna-se cada vez mais relevante a necessidade de instrumentos de avaliação da sua eficiência e eficácia. Nesse contexto, esta tese apresenta a proposta de um método de avaliação de sistemas de gestão de segurança e saúde no trabalho (MASST), o qual apresenta duas características inovadoras: a) a conciliação das abordagens estrutural (sistema prescrito), operacional (o que está acontecendo na prática) e por desempenho (resultados de indicadores); b) a adoção do enfoque da engenharia de resiliência (ER) sobre a segurança e saúde. O MASST foi desenvolvido a partir das contribuições da literatura, na qual foram identificados quatro princípios da ER (comprometimento da alta direção, flexibilidade, aprendizagem e consciência), bem como de um estudo de caso exploratório realizado em uma empresa de implementos agrícolas. Com base nisso, foram propostos vinte e sete itens distribuídos ao longo de sete critérios. Cada item possui um conjunto de requisitos que são avaliados com base em três fontes de evidências básicas: entrevistas, análise de documentos e observação direta. O MASST foi validado em um estudo de caso em uma empresa da cadeia automotiva. Os principais resultados revelaram que, no estudo de caso, em uma escala de pontuação de 0% a 100%, nove dentre quatorze itens relacionados à ER obtiveram pontuação entre 0% e 10%. Além disso, o MASST possibilitou a identificação dos pontos positivos do SGSST, a identificação das causas sistêmicas da falta de segurança e a identificação das prioridades de ação em termos de SST. Dentre as limitações do MASST percebidas durante o estudo de caso, salienta-se a necessidade de experiência do auditor acerca de conceitos e princípios da ER, os quais ainda não são amplamente aplicados de modo sistemático no meio industrial. / Due to the increasing dissemination of health and safety management systems (HSMS), both academics and practitioners have paid more attention to the assessment of their effectiveness and efficacy. This thesis introduces a method for assessing health and safety management systems (MASST) that has two innovative characteristics: a) it takes into account simultaneously the structural approach (prescribed system), the operational approach (what is really happening on the shop floor) and the performance approach (results of performance indicators); b) it adopts the resilience engineering (RE) perspective on health and safety. The MASST was developed based on both the literature review and an exploratory case study in a heavy machinery manufacturer. The literature review pointed out four major resilience engineering (RE) principles: top management commitment, flexibility, learning and awareness. Then, twenty-seven items grouped into seven major criteria were proposed. Each item encompasses a set of requirements that should be assessed based on three major sources of evidence: interviews, analysis of documents and direct observation. The MASST was tested in a case study that was carried out in a supplier of the automotive industry. The results pointed out that, considering a scale from 0% to 100%, nine out of the fourteen items related to the RE obtained a very low degree, ranging from 0% to 10%. Moreover, the MASST pointed out the positive aspects of the HSMS, identified systemic causes of the lack of safety and identified priorities in terms of health and safety management. The case study results also indicated that one of the main limitations of the MASST concerns the necessity of experienced auditors in terms of RE principles and concepts. This drawback is relevant since the RE perspective on health and safety has not yet been adopted by a large extent in the industry.

Tendo em vista a crescente disseminação de sistemas de gestão da segurança e saúde no trabalho (SGSST), torna-se cada vez mais relevante a necessidade de instrumentos de avaliação da sua eficiência e eficácia. Nesse contexto, esta tese apresenta a proposta de um método de avaliação de sistemas de gestão de segurança e saúde no trabalho (MASST), o qual apresenta duas características inovadoras: a) a conciliação das abordagens estrutural (sistema prescrito), operacional (o que está acontecendo na prática) e por desempenho (resultados de indicadores); b) a adoção do enfoque da engenharia de resiliência (ER) sobre a segurança e saúde. O MASST foi desenvolvido a partir das contribuições da literatura, na qual foram identificados quatro princípios da ER (comprometimento da alta direção, flexibilidade, aprendizagem e consciência), bem como de um estudo de caso exploratório realizado em uma empresa de implementos agrícolas. Com base nisso, foram propostos vinte e sete itens distribuídos ao longo de sete critérios. Cada item possui um conjunto de requisitos que são avaliados com base em três fontes de evidências básicas: entrevistas, análise de documentos e observação direta. O MASST foi validado em um estudo de caso em uma empresa da cadeia automotiva. Os principais resultados revelaram que, no estudo de caso, em uma escala de pontuação de 0% a 100%, nove dentre quatorze itens relacionados à ER obtiveram pontuação entre 0% e 10%. Além disso, o MASST possibilitou a identificação dos pontos positivos do SGSST, a identificação das causas sistêmicas da falta de segurança e a identificação das prioridades de ação em termos de SST. Dentre as limitações do MASST percebidas durante o estudo de caso, salienta-se a necessidade de experiência do auditor acerca de conceitos e princípios da ER, os quais ainda não são amplamente aplicados de modo sistemático no meio industrial. / Due to the increasing dissemination of health and safety management systems (HSMS), both academics and practitioners have paid more attention to the assessment of their effectiveness and efficacy. This thesis introduces a method for assessing health and safety management systems (MASST) that has two innovative characteristics: a) it takes into account simultaneously the structural approach (prescribed system), the operational approach (what is really happening on the shop floor) and the performance approach (results of performance indicators); b) it adopts the resilience engineering (RE) perspective on health and safety. The MASST was developed based on both the literature review and an exploratory case study in a heavy machinery manufacturer. The literature review pointed out four major resilience engineering (RE) principles: top management commitment, flexibility, learning and awareness. Then, twenty-seven items grouped into seven major criteria were proposed. Each item encompasses a set of requirements that should be assessed based on three major sources of evidence: interviews, analysis of documents and direct observation. The MASST was tested in a case study that was carried out in a supplier of the automotive industry. The results pointed out that, considering a scale from 0% to 100%, nine out of the fourteen items related to the RE obtained a very low degree, ranging from 0% to 10%. Moreover, the MASST pointed out the positive aspects of the HSMS, identified systemic causes of the lack of safety and identified priorities in terms of health and safety management. The case study results also indicated that one of the main limitations of the MASST concerns the necessity of experienced auditors in terms of RE principles and concepts. This drawback is relevant since the RE perspective on health and safety has not yet been adopted by a large extent in the industry.

Tendo em vista a crescente disseminação de sistemas de gestão da segurança e saúde no trabalho (SGSST), torna-se cada vez mais relevante a necessidade de instrumentos de avaliação da sua eficiência e eficácia. Nesse contexto, esta tese apresenta a proposta de um método de avaliação de sistemas de gestão de segurança e saúde no trabalho (MASST), o qual apresenta duas características inovadoras: a) a conciliação das abordagens estrutural (sistema prescrito), operacional (o que está acontecendo na prática) e por desempenho (resultados de indicadores); b) a adoção do enfoque da engenharia de resiliência (ER) sobre a segurança e saúde. O MASST foi desenvolvido a partir das contribuições da literatura, na qual foram identificados quatro princípios da ER (comprometimento da alta direção, flexibilidade, aprendizagem e consciência), bem como de um estudo de caso exploratório realizado em uma empresa de implementos agrícolas. Com base nisso, foram propostos vinte e sete itens distribuídos ao longo de sete critérios. Cada item possui um conjunto de requisitos que são avaliados com base em três fontes de evidências básicas: entrevistas, análise de documentos e observação direta. O MASST foi validado em um estudo de caso em uma empresa da cadeia automotiva. Os principais resultados revelaram que, no estudo de caso, em uma escala de pontuação de 0% a 100%, nove dentre quatorze itens relacionados à ER obtiveram pontuação entre 0% e 10%. Além disso, o MASST possibilitou a identificação dos pontos positivos do SGSST, a identificação das causas sistêmicas da falta de segurança e a identificação das prioridades de ação em termos de SST. Dentre as limitações do MASST percebidas durante o estudo de caso, salienta-se a necessidade de experiência do auditor acerca de conceitos e princípios da ER, os quais ainda não são amplamente aplicados de modo sistemático no meio industrial. / Due to the increasing dissemination of health and safety management systems (HSMS), both academics and practitioners have paid more attention to the assessment of their effectiveness and efficacy. This thesis introduces a method for assessing health and safety management systems (MASST) that has two innovative characteristics: a) it takes into account simultaneously the structural approach (prescribed system), the operational approach (what is really happening on the shop floor) and the performance approach (results of performance indicators); b) it adopts the resilience engineering (RE) perspective on health and safety. The MASST was developed based on both the literature review and an exploratory case study in a heavy machinery manufacturer. The literature review pointed out four major resilience engineering (RE) principles: top management commitment, flexibility, learning and awareness. Then, twenty-seven items grouped into seven major criteria were proposed. Each item encompasses a set of requirements that should be assessed based on three major sources of evidence: interviews, analysis of documents and direct observation. The MASST was tested in a case study that was carried out in a supplier of the automotive industry. The results pointed out that, considering a scale from 0% to 100%, nine out of the fourteen items related to the RE obtained a very low degree, ranging from 0% to 10%. Moreover, the MASST pointed out the positive aspects of the HSMS, identified systemic causes of the lack of safety and identified priorities in terms of health and safety management. The case study results also indicated that one of the main limitations of the MASST concerns the necessity of experienced auditors in terms of RE principles and concepts. This drawback is relevant since the RE perspective on health and safety has not yet been adopted by a large extent in the industry.

Countries seek to control exposure to hazardous substances and environments by the enactment of legislation. In the past thirty years, two major different approaches to occupational health and safety legislation have been devleoped by countries around the world. The performance-based legislative approach has been linked with the emergence of occupational health and safety management systems but no research has previously been done to determine whether or not the legislative approach taken by government influences the introduction or form of occupational health and safety management systems used by organisations. Similarly, although the reasons why Australia and other countries have moved to performance-based legislation have been explained in terms of social, political and economic factors that influenced the change, little research has been done on the effectiveness of this approach compared with the prescriptive approach of countries such as Korea. -I- The overall aim of this research is to develop a conprehensive understanding of the management of expusre to heavy metals in selected industries in Korea and Australia. The specific objectives of the study are to determine: The effectiveness of heavy metal exposure management in the fluorescent lamp manufacturing industry in Korea, and an Oral Health Service, and lead-risk workplaces in Queensland, Australia; The management of the legislative arrangements for health surveillance in Korea and Queensland, Australia; The characteristics of the occupational health and safety management systems that are in use in the heavy metal industries in Korea in Australia; and The effectiveness of prescriptive and performance based legislative systems in protecting the health and safety of workers in heavy metal based industries. Secondary analysis of biological monitoring data from 6 fluorescent lamp manufacturing companies (8 workplaces) in Korea was used to examine the extent of mercury exposure and the effectiveness of the health surveillance system in that country. A survey of dental workers in an oral health service in Queensland provided data on the extent of mercury exposure to the workforce and workers' attitudes to the management of occupational risks. The efficiency of the lead health surveillance in Queensland was examined by way of a questionnaire survey of lead designated doctors in the state. A survey of registered lead-risk companies and the oral health servies in Queensland, and 5 of the fluorescent lamp manufacturing companies in Korea provided data on the occupational health and safety management systems in place in these organisations. The health surveillance system for mercury exposed workers in Korea was found to have reduced the incidence of workers with biological levels of mercury above the Baseline Level from 14% in 1994 to 7% in 1999. Bilogical testing of dental workers in Queensland discovered no workers with biological levels of mercury approaching the Baseline Level and air monitoring failed to locate any areas where workers were likely to be exposed to levels approaching the Workplace Exposure Standard. The staff of the Oral Health Service were generally aware of the occupational health and safety management systems in place but only 43% felt that mercury management in the workplace effectively prevented exposure. The lead surveillance system in Queensland was found to be inadequately managed with approximately 37% of registered doctors no longer practicing in the field and their being no way for the government to collect reliable data on the extent of lead exposure in workplaces. The occupational health and safety management systems in the companies surveyed in Queensland and Korea were found to be influenced by the legislative arrangements in place in each of the locations. The Korean systems were more geared to meeting the regulatory requirements whereas the Queensland systems were geared more towards a risk management approach. However substantial differences were also noted depending on the size of the organisation in each case. Legislative arrangements in Korea and Queensland were found to provide reasonable protection from heavy metal exposure to workers however improvements in both systems are needed. The legislation was also found to influence the occupational health and safety management systems in place with performance-based legislation producing systems having a wide risk management focus while a narrower regulatory based focus was noted in Korea where more prescriptive legislation is in force. A confounding factor in the nature of the occupational health and safety management system in place is the size of the organisation and particular attention needs to be paid to this when legislative approaches are considered.