International Yearbook 2015 by Observatorio de Riesgos Psicosociales

ANUARIO INTERNACIONAL SOBRE PREVENCIร N DE RIESGOS PSICOSOCIALES Y CALIDAD DE VIDA EN EL TRABAJO

International Yearbook ON PSYCHOSOCIAL RISKS PREVENTION AND QUALITY OF LIFE AT WORK

Con la Financiaciรณn de: DI-0005/2014

Comparative Experiences

New Strategies on Prevention of Psychosocial Risks at Work on psychosocial risks prevention and quality of life at work

international 2015

anua rio 2015

internacional

sobre prevenciรณn de Riesgos Psicosociales y calidad de vida en el trabajo

Nuevas Estrategias en Prevenciรณn de Riesgos Psicosociales en el Trabajo Experiencias comparadas

Con la Financiaciรณn de: DI-0005/2014

Edition Secretary of Labour Health and Environment UGT-CEC designs and prints Blanca impresores, S.L. Legal Deposit: M-39733-2015 ISSN: 2173-0830

2015

yearbook

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International Yearbook ON PSYCHOSOCIAL RISKS PREVENTION AND QUALITY OF LIFE AT WORK

2015 New strategies on prevention of psychosocial risks at work Comparative experiences

UNIÓN GENERAL DE TRABAJADORES COMISIÓN EJECUTIVA CONFEDERAL

New strategies on prevention of psychosocial risks at work Comparative experiences

International Yearbook ON PSYCHOSOCIAL RISKS PREVENTION AND QUALITY OF LIFE AT WORK Direction Marisa Rufino San José Occupational Secretary of Labour Health and Environment UGT-CEC

Coordination José Antonio Fernández Avilés Academic Director Of The Observatory of Psychosocial Risks

Emilio González Vicente Coordinator of Secretary of Labour Health and Environment UGT-CEC

Authors Barón, Gina Magnolia Barroso, Fábio Túlio de Oliveira Carvalho, Catarina Fernández Avilés, José Antonio Franzosi, María Lucila Medeiros Chaves, Nyedja Mugnolo, Juan Pablo

Observatory of Psychosocial Risks. UGT

Ribeiro Costa, Ana Cristina Rufino San José, Marisa Scandella, Fabienne Triclin, Alexis Tullini, Patrizia Urrutia, Marta

Editorial line Presentation: What does the 2015 Yearbook offers?..................................................................................................... 11 Prologue: the prevention of psychosocial risks within the framework of european and spanish strategies (a new “stage” for progress)..................................................................................................... 15 Marisa Rufino San José y José Antonio Fernández Avilés

1. Preventive strategies in psychosocial risks from supranational perspectives................. 29 European strategy facing psychosocial risks at work (Progress and challenges in the European Union)......................................................................................................... 31 Marta Urrutia Europe: vers une nouvelle éclipse des “risques psychosociaux” au travail?.............................................................53 Fabienne Scandella Prevention of psychosocial risks in latin america.......................................................................................................... 65 Gina Magnolia Barón

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2. Some European comparative experiences: France, Italy, Portugal............................................... 95 La prevention des RPS: l’exemple français du harcelement........................................................................................ 97 Alexis Triclin Nuove strategie per la prevenzione dei rischi psico-sociali nel lavoro: il caso italiano.......................................... 119 Patrizia Tullini Status quo and new strategies for prevention of psychosocial risks at work in Portugal..................................... 139 Catarina de Oliveira Carvalho y Ana Cristina Ribeiro Costa

3. Experiences in latin american countries: Argentina, Brazil.......................................................... 169 About the prevention of psychosocial risks at work in Argentina............................................................................. 171 Juan Pablo Mugnolo y María Lucila Franzosi Prevention of psychosocial risk at workplace. The moral harassment and his necessary regulation in Brasil................................................................................... 187 Fábio Túlio Barroso y Nyedja Medeiros Chaves

Presentation WHAT DOES THE 2015 YEARBOOK OFFERS? Marisa Rufino San José José Antonio Fernández Avilés

The preventive -and remedial- treatment of psychosocial risks at works means one of the most important challenges to public - and private - politics that try to The prevention of occupational risks (at a political level) evolves with a strong “multilevel” character both from a territorially point of view and the public authorities involved in the same (of various kinds) standpoint. These strategic frameworks outline the public proceedings - in different areas and levels - for the preventive improvement. This without minimizing the very entrepreneurial action, and the existing preventive system in every company. The objective of this Yearbook was to deal -from a well-founded and critical perspective- with the new strategies which are being developed (particularly at the international level) to address the psychosocial risks themselves. The most traditional tools, designed for the “classic” occupational risks, must be properly adapted and modulated to successfully addressing the psychosocial risks treatment, to which apply the general corporate bond framework, but require differentiated intervention and treatment techniques. The economic and productive transformations, and the organizational and technological change are elements which have a significant impact on the occurrence of new psychosocial risks in the workplace or raise the impact of the existing ones. The redesign of the regulatory framework based on these changes is one of the today’s major challenges of prevention policy.

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Faced with this situation, the Yearbook offers a broad vision of the progress that have been made in different areas, at the political and strategical level. In this regard, it offers both supranational experiences (at EU and Ibero-America level), and national comparative experiences (of Europe and South America). On the first block, the reader will be able to find contributions which provides an overview of the strategies and politics developed in a supranational level. These contributions start with the work conducted by Marta Urrutia (EU-OSHA) “European strategy against psychosocial risks in the workplace (progress and challenges in the European Union)” along with the contribution entitled “Europe: towards a new eclipse of “psychosocial risks” in the workplace?”, conducted byFabienne Scandella (ETUI), and finally, the rich overview offered by Gina Magnolia Barón (AISS) about “Prevention of psychosocial risks in Ibero-America”. The second block includes scientific collaborations concerning the situation in some EU countries, which addresses the most significant political and legal problems in each of them. They are all highly enlightening of the present difficulties to deal with psychosocial risks, and they also offer relevant experiences. Specifically, the collaborations are concerned with the situation in France, Italy and Portugal: “The prevention of psychosocial risks: The French bullying case”, conducted by Alexis Triclin. The “New strategies to prevent psychosocial risks in the workplace: The Italian case”, by Patrizia Tullini. And the collaboration about the situation in Portugal: “Statu quo and new strategies to prevent psychosocial risks in the workplace in Portugal”, by Caratina de Oliveira Carvalho and Ana Cristina Ribeiro Costa. Finally, a third block, which offers two Ibero-American countries’ experiences: Argentina and Brazil, through the assessments: “About the prevention of psychosocial risks in the workplace in Argentina”, carried out by Juan Pablo Mugnolo and María Lucila Franzosi, as well as the “Prevention of psychosocial risk in the workplace. Mobbing and the needed regulation in Brazil” one, by Fábio Túlio Barroso and Nyedja Medeiros Chaves. In order to start developing the objective of this 2015 Yearbook, and as an introduction, we have included a brief contribution (although it has a more general view) about the Framework Strategy of the European Union health and safety at work related between 2014-2020, as well as the innovative Spanish Security and Health at work Strategy 2015-2020, with a particular emphasis in the elements of such strategies, which are related to prevention

of psychosocial risk. We will also account for the predictions included in the III AENC, as a reflection of the important role played by social dialogue and collective bargaining in this area. From the Psychosocial Risks Observatory of UGT, we would like to express our most sincere appreciation to all the authors for their contributions to this Yearbook. Because of their hard work and generosity, weâ&#x20AC;&#x2122;ve been able to perpetuate an activity designed to the dissemination of compared knowledge about this sort of risks, and the way that they must be faced to ensure the workers psychic and physical safety in the developement of their professional activities.

Observatory of Psychosocial Risks. UGT

THE PREVENTION OF PSYCHOSOCIAL RISKS WITHIN THE FRAMEWORK OF EUROPEAN AND SPANISH STRATEGIES (A NEW “STAGE” FOR PROGRESS)

Marisa Rufino San José Secretary of Occupational Health and Environment UGT-CEC José Antonio Fernández Avilés Scientific Director of the Observatory of Psychosocial Risks UGT-CEC

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Summary 1. The EU Strategic Framework for health and safety at work 2014-2020 2. The Spanish Security and Health at work Strategy 2015-2020 3. Interconfederal social dialogue and psychosocial risks

1. The EU Strategic Framework for health and safety at work 2014-2020 The EU Strategic Framework for health and safety at work 2014-2020 can be measured as a document that reflects the importance of security and health of workers at this level; nevertheless, it presents a hard economic approach. The starting point is that risk prevention and promotion of safer and healthier conditions in the workplace are key factors, not only to improve the employment quality and the working conditions, but also to promote competitiveness. It holds that “the worker’s good health has a direct positive and measurable effect on productivity, and it contributes to improve the sustainability of social security systems”. We understand that physical and moral integrity of workers is related to human life and dignity, and it goes far beyond these economic considerations, even though they can be used as a social and political legitimacy criterion for supporting this kind of politics. In any case, the necessary investment cannot be carried out only by corporations, but the obligation is up to the Member States too, ensuring the involvement of workers in decision-making about it. In this regards, it also links the occupational risk prevention to “demographic change” and the extension of working life, since it notes that preventing major injuries and occupational diseases to workers, and ensuring good health throughout their working life, from the first job, it’s “crucial for them to work longer”, and all this helps to combat the long-term effects of population ageing. Following the evaluation of the previous Strategy of 2007-2012, is highlighted the need to address in a more effective way the effects of some specific preventive measures in certain companies (mainly SMEs), the interaction between health and security in the workplace, and the environment and chemicals with the effective prevention of occupational diseases and the work-related diseases. Despite the significant reduction of the number of accidents, ant the improving prevention, the Commission notes that it’s still necessary to improve health and security in the workplace in the EU. But the truth is that the objective of reducing the incidence of occupational diseases has not been yet achieved, and there are still huge gaps in SMEs, which have faced great challenges in the implementation of legal requirements dues to the lack of financial resources and technical and human capacity. As some of the negative aspects can be mentioned: the lack of prevention of occupational diseases and other aliments work-related; the scarcity of

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statistical and monitoring data; the poor interaction between health and security in the workplace, and environment and chemicals; as well as the low participation of social partners. In addition -as CESE notes in its Opinion about this Strategic Framework- the existing knowledge on health and security in the workplace in sectors where there is undeclared and atypical work (specifically in agricultural holdings or in industrial and serve sectors), teleworking, self-employment and domestic work is even scarcer. Based on the diagnosis, a range of challenges for the EU which require further actions are identified. These actions are: 1. Improve the implementation record in the Member States, particularly through strengthening the ability of microenterprises and small enterprises to implement effective and successful measures for risk prevention. 2. Improve the work-related diseases prevention, fighting the existing, news and emerging risks. 3. Fight the demographic change. It’s valuable the intention of the Commission to focus on the simplification of rules -without endangering the existing levels of protection- and its proper fulfilment. To this end, it’s necessary to identify possible simplifications or reductions of unnecessary administrative burdens for enterprises, following the screening of the existing legislation, but this should result from extensive discussions and negotiations with strong participation by social partners at all levels. The Commission notes that well-being at work and working conditions have substantially improved thanks to new technologies and the many innovations in the organization of work, however, “the effective prevention of workrelated diseases requires anticipating to the possible negative effects of those new technologies in health and security of workers”. Specifically, with regard to the changes in the organization of work derived from the evolution of information technologies, especially the ones which enable ongoing connectivity, open up excellent possibilities to flexible and interactive work processes Therefore, it has also produced “an increase in the diversity of the workforce, as the new contractual arrangements and the new patterns of atypical work show. The rotation of stuff is higher due to the shortening of tasks, especially in the case of younger workers. According to a recent Eurobarometer survey, workers find that stress is one of the main professional risks (53%), followed by ergonomic risks (repetitive movements or

exhausting or painful positions) (28%) and the daily lifting, transportation or displacement of charges. The impact on physical and psychic health of “changes in the organization of work” are also worth attention. Women, particularly, can afford specific risks such as musculoskeletal diseases or certain types of cancer, due to the nature of some works were they have more presence. On the other hand, the risks affecting certain age groups, disabled workers and women -according to the Commissionare worth especial attention and require specific measures. Through the pilot project regarding security and health of older workers, ways will be seek to promote physical and psychic health of this category of workers. But this estimation seems weak. It’s truly necessary to improve the health and security conditions of certain categories of workers (youngest, women, older, immigrants, workers with atypical employment contracts and disabled workers) and face the new problems resulting from changes of organization of work (especially stress and psychic diseases in the workplace). There are problems widely recognized by the State Members, social partners and society. They must be faced with resolution, because they don’t stop increasing and they have significant economic and social costs. Moreover, the gender perspective would allow to articulate health politics in the workplace, with progress on the field of equality. The truth is that the Commission should have urged the implementation of stronger politics and measures to respond to the new challenges. One of the main challenges should be the improvement of prevention of work-related diseases, reducing the existing, new and emergent risks. The area of prevention must be related to technological and organizational change, but also with the precarization of labour markets. In this regard, the technological innovations and the new ways of organization of work -particularly the new atypical employment- create new situations and challenges, but also new risks still unknown that must be studied. That is why it’s necessary and urgent to analyze and prevent those risks, and also define the current and “new” occupational diseases. It’s essential and urgent to find solutions updating the existing legislation or adopting a new one, adapted to the identified risks. According to this new Strategic Framework, the evaluation of new emergent risks based on scientific data and the spread of the results will be key elements of the ex post evaluation of current legislation in health and security in the workplace.

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The EU action presents the problem of the unavailability of data to take appropriate measures. The development of European statistic tools is crucial to measure the work-related accidents, the occupational diseases and the exposure to the various occupational risks. More precisely, it’s imperative to develop statistics and indicators that take into account the gender and life cycle of workers. The schedule of occupational diseases, including accidents in working hours, and the standards for reporting and statistical analysis of the data should be regulated and published at EU level. It’s also much-needed to strengthen and publish the work of specialized agencies, and that the dissemination of information and good practices will contribute to reinforce a culture of prevention. It would be very important too to deepen on the study of new risks, and prepare proper measures as a result of the research (legislative or other). The attitude of SLIC (Senior Labour Inspector Committee) should be taken more into account, in so far as the health and security issues must be considered strategic priorities of the EU. In particular, musculoskeletal problems, diseases with long lag times (occupational cancers and chronic diseases, such as occupational lung disease), and the correct implementation of REACH legislation, as well as the “work-related psychosocial risks”. In relation specifically to “new and emergent” risks -as the EESC considers- it’s absolutely necessary to deepen on the scientific knowledge of the new risks, in order to prevent work-related diseases and occupational diseases. To do so, focusing the efforts at EU level is required. To this end, it’s essential to have more interaction and coordination between the different European and national institutions, in order to find the appropriate ways to establish strategies and measures to face the new risks and the emergent risks. The Strategic Framework establish a whole set of measures since 2014, with the protagonism of EU-OSHA and the Commission itself. • The creation of a network of professionals and health and security in the workplace, and the determination of the need to stablish a independent advisory body of experts contributing with its recommendations to the Commission labour. • The support for dissemination of the European Observatory of Risks conclusions between the main actors and the Commission. • The promotion of identification and interchange of good practices about the way to improve the health and security conditions in the workplace for certain categories of workers, e. g. the older

workers, younger workers without experience (including employees with different kinds of temporary contracts), apprenticeship training, disabled workers and women. • The promotion of rehabilitation and reinsertion measures using the implementation of the results of the pilot project of the European Parliament about security and health of older workers and the campaign “Healthy Working” scheduled for 2016-2017. • The identification and spread of good practices to prevent mental health problems in the workplace. But the Commission doesn’t establish any quantified objective at European level for work accidents and occupational diseases. At least, it should be recommended to Member States to integrate that quantification within the framework of their national strategies. 2. The Spanish Security and Health at work Strategy 2015-2020 On 27 April last, all social partners and administrations submitted the Spanish Security and Health at Work Strategy 2015-2020 (EESST). The continuous improvement of working conditions, security and health of Spanish workers, emphasizing on the reduction of occupational accidents and bringing to the surface the work-related diseases it’s a priority for the Unión General de Trabajadores. In this vein, the public politics aimed at the achievement of this objective and the improvement of workers health are fundamental. Hence the need of an instrument, a tool that will set the main areas of action in the next five years, both nationally and by Autonomous Community. In the negotiations conducted for their achievement the starting point was the last EESST, which ended in 2012, and whose evaluation was positive because the main objective was achieved: reducing the claims incurred during the development period 2007/2012.But some proceedings were never developed, and others -essential to UGT- were not addressed, such as the one on work-related diseases or psychosocial risks.

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All this in a context where converge a whole range of factors that we must pay particular attention: • The current and ongoing preventative system in Spain turned 20 on November (approval of the Prevention of Occupational Risks act), and it lacks of a through assessment of all its elements. • There has been a deterioration of the occupational and public health. The economic crisis has had a negative impact on the workers’ health, due mainly to the cutbacks on public politics (health care policies in general, and preventive policies in particular), and to the labour market reforms, which have modified, among other, the organization of work, increasing the different forms of precariousness, temporary employment, producing a high turnover of work, and, also, living side by side with significant rates of unemployment and socio-economic insecurity. In many cases, this translates into a fear of losing their jobs and into the ineffectiveness of labour rights, worsening the working conditions, increasing the job insecurity and the generation and worsening of social inequalities, that also mean an increasing of occupational risks.   • The crisis (with the effects of work overload for employees) attached to the labour reform and the cutbacks on public politics (that reduce the access to the social rights inherent in the welfare state), along with the decrease of public social politics carried out by the administrations, and the underinvestment on enterprises (where there has been a softening on the implementation of preventive measures, since the competitiveness and the productivity are used as an excuse in many enterprises that consider that prevention is expenditure), together with the difficulties of representation and participation of workers in SMEs, which have the higher accident rate (where there’s presence and action of Unions, there’s also prevention of occupational risks). All of this has caused largely the worsening of security and health of workers. • For defining the context, it’s been important too -in May 2014- the approval on the part of the European Commission, as we have already analyzed, of the European Union Strategic Framework for Health and Safety al Work 2014-2020 which, even though it doesn’t provide specific objectives but recommendations to the member countries, it served as a reference with a view to the European challenges, that agrees with the Spanish ones in many cases. The European Trade Union Confederation hasn’t participated in this paper for the aforesaid reasons, and to enhance the reduction of legislation on SMEs (REFIT).

In this context, and after two years of work of the group established on the Spanish Health an Security Commission made up of trade union organizations, employers’ organizations and administrations, and following the commitment of July 2014 between Government and social partners in which is expressed the need to develop as a matter of urgency the Spanish Strategy of Security and Health at Work, comes this new Strategy. This new Strategy is marked by the daily death of 2 workers in Spain as a consequence of its work, 11 major accidents, 1,309 fender-bender and 1,912 non-injury accidents. Every day, 63 workers suffer from a disease related to its work. All of this not forgetting that occupational accidents have been rising in some sectors since 2013, and, in absolute terms and incidence rates, in all sectors during 2014. During 2014 more than a million accidents at work occurred, reaching 1,180,602 of which 565 were fatal, compared to the 558 recorded in 2013. In addition, the amount of occupational accidents with absence from work was 482,578, almost 15,000 more than the ones in 2013. And the worst is that most part of the injuries could be easily avoided implementing simple and predictable preventive measures, since the main cause of occupational accidents with absence from work remains hitting an object in motion, collisions with stationary objects and those caused by physical overstrain, exposure to radiation, noise, light or pressure. Regarding the non-injury accidents, they have increased toward limits never produced since 2009. Another important aspect concerns the “non-existent” occupational diseases, non-declared and referred to National Health System as common disease. Occupational cancers, musculoskeletal disorders, diseases resulting from psychosocial risks are invisible in our country. We need to make a great effort to make them visible, and put an end to the underreporting. What is unknown cannot be prevented. This situation made that nowadays the approval of the Strategy is essential to analyze and taking actions to improve the situation and evaluate the system that we’ve kept for all these years, and, at the same time, to look for new instruments to improve the health and security workers condition in our country.

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One of the main implicit values on this paper is the agreement from which it results. Not contracting part desired this strategy, and, during the negotiation, all of us changed our position, some proposals were left along the way, but this is a consensus document with the commitment of all parts. It’s a base text, general, which must now be developed through different action plans (biannuals), that will summarize the real actions used to develop the major objectives: 1. The continuous improvement of working, health and security conditions of workers cannot wait. The lowering of occupational accidents, and address and explore the problem of occupational diseases, due to the failure to prevent and notify them. 2. To promote a better implementation of law security and health-related in the workplace and its consolidation in Autonomous Communities, particularly on SMEs. In short, to improve the workers quality of life. All the objectives are important, but there are some which develop is essential and urgent: “promoting, with the participation of the social partners and the Autonomous Communities, the improvement of security and health in the workplace, particularly in sectors, activities, collectives and enterprises of higher risk.” Musculoskeletal disorders, psychosocial risks, emergent risks derived from the use of new technologies, in sum, the study, research, detection and communication of occupational diseases. Along with the actions addressed to sectors of higher risk, dangerous activities which affects a higher number of workers, addressed mainly to SMEs -where the accident rate is higher, and there are vulnerable groups, younger workers, women and older workers. The 4th objective is particularly important too: “strengthen the participation of social partners and the involvement of employers and workers to improve the security and health in the workplace”. Enhancing the advisory bodies the inter-agency bodies such as the Spanish Commission for Security and Health in the Workplace and the groups deriving from it, and creating those considered necessaries for the fulfilment of the objectives, or the Prevention of Occupational Risks Foundation (FUNPRL). Developing coordinated JPs such as tripartite commissions in the case of major public works. With the supplementary Collective Bargaining to bring a greater knowledge of the risks. Reaching agreements towards the inclusion of clauses to improve the security and health conditions of workers, and the integration of prevention in the enterprise.

And, of course, the develop of JPs involving business and trade union organizations, in order to bring the preventive area closer to the enterprise and the workplace. For UGT, visiting the workplace, developing information, advice and diffusion programmes together with sector-based employers is one of the greatest commitments of the strategy, and they must be one of the priorities of the first biannual action plan. The 1st and 2nd objectives, although they are specific to public administration development, they aren’t less important: • The coordination between public organisms for prevention: ITSS, National Occupational Medicine Institute, Autonomous Communities organisms, ministries (Education, Health, Employment and Social Security, Industry...); and private organisms: Mutuals, Prevention Services, must be a key aspect. • The provision of enough human and technical resources to develop the assigned functions; together with the development of analysis, research (very necessary in this area), promotion, support and monitoring and checking the compliance with the rules actions. Awareness of the society and inclusion of prevention into the educational and training system. Funding is a key element, required until the last moment by our organization. Since it’s an essential precondition for the approval of the Strategy, we setted a specific and secure line, with a safe-manning of € 36,000,000 from now to 2020, divided into three biannual plans, with a minimum of €12,000,000 each. This funding is independent of the FUNPRL, the ordinary actions for prevention of the administration (INSHT budget), and the entrustment of Social Security to this Institute. In doing so, is urgent, once the Strategy is approved, to call the work group that emanates from it to agree on the actions and approve the first action plan for 2015-2016 in order to start as soon as possible the implementation of the accorded measures to benefit the prevention of occupational risks.

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3. Interconfederal social dialogue and psychosocial risks “Participative” prevention promotes -or is prerequisite- for the success of the psychosocial intervention systems and processes in companies. The ESENER survey results clearly show this fact. But nowadays there’s a lot of “myth” in it and practical experience shows that -apart from good practices and conventional regulations that may be identified- it’s not an effective reality in many productive organizations. The European Economic and Social Committee Opinion about the Commission’s Communication to the European Parliament, to the Council, to the European Economic and Social Committee and to the Committee of the Regions regarding an strategic framework of the EU in the matter of health and safety at work (2014-2020) is decisive about it. CESE exposes “the participation of workers and social partners at every level and in the workplace is essential for an effective application of this strategy”. As a consequence, it invites the Commission to intensify debates and queries with the social partners and set up measures and, additionally, considers that the Member States “must encourage social dialogue and collective agreements”. In a group view on the matter of collective negotiation, we must begin from the consideration of collective negotiation has been also promoted as the most suitable regulatory way for the ordination of work risks prevention matters in a company. This is established in art. 2.2 LPRL: “The labour provisions contained in this Act and its regulations will have in any case the minimum necessary unavailable Law character, which can be improved and developed in collective agreements”. The Spanish Strategy of Security and Health at Work 2015-2020, as it has been shown, in relation with its fourth objective regarding collective negotiation, establish as line of action its strengthening in order to promote the integration of work risk prevention in companies and the implication of workers and entrepreneurs in the compliance of their preventive obligations. An important manifestation of the social partners awareness on the need to prevent psychosocial risks is also seen in the III Collective Work and Bargaining Agreement 2015,2017. In particular, this awareness is expressed in the following sections: • In clause 6 (Chap. II) on gender equality, which clearly raises the need to address the prevention of sexual harassment and harassment based on sex, “through preventive measures such as the

negotiation of protocols that allow the eradication of such actions and attitudes in companies”. • In clause 7 (Chap. II), related specifically to safety and health at work, recognizing the need to “address the problems deriving from the consumption of alcohol, drugs and other substances and to establish instruments to, under the work accidents prevention framework, identify and find solutions to situations and derived risks of such consumption”. • Lastly, clause 7 (Chap. II), also within specific provisions about safety and health at work it is found that workplace stress and violence at work is a growing concern of employers and workers that has been reflected at European level, with the subscription by UNICE, UEAPME, CEEP and ETUC, the European Framework Agreement on work-related stress in 2004 and the European Agreement on violence at work (AMEVA) in 2007, alerting that its contents “should serve as a reference when these issues are addressed in the agreements”. We are aware of the (non-normative) obligational character of Interconfederal Agreements, as to which we are referring to, but that does not prevent to enhance the idea that, on the basis of duty of good faith which governs all processes and administration of formal results of collective bargaining, the signing parties are bound to a faithful execution of it, i.e., to exert all possible influence in order the various bargaining units incorporate the guidelines set by them and thus ensure maximum effectiveness in the conventional dynamic in our country.

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Preventive strategies in psychosocial risks from supranational perspectives

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European strategy facing psychosocial risks at work (Progress and challenges in the European Union)

Marta Urrutia Corporate Promotions Manager European Agency for Safety and Health at Work (EU-OSHA)

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Summary 1. Introduction - Overview 2. Psychosocial risks in the European strategic framework on health and safety at work and the multi-annual program of EU-OSHA (2014-2020) 3. ESENER 2 - European Survey of Enterprises on New and Emerging Risks: 2015 situation on management of psychosocial risks 3.1. Introduction 3.2. Psychosocial risks 3.3. Psychosocial risks management 3.4. Driving factors for the management of safety and health at work 3.5. Obstacles to psychosocial risks management 3.6. Participation and workers’ involvement 3.7. Conclusions 4. Healthy Workplaces Manage Stress Campaign (Campaña Trabajos Saludables: Gestionemos el estrés) 4.1. Introduction and goals 4.2. E-guide for stress and psychosocial risks management 4.3. Costs related to psychosocial risks in Europe 4.4. Psychosocial risks in Europe: Prevalence and strategies for prevention, examples 4.5. Good practices in psychosocial risks management: European awards 4.6. Other resources for psychosocial risks management 5. How to include psychosocial risks in risk assessments, the OiRA example 6. Next steps: integration of psychosocial risks in future projects Bibliography 32

1. Introduction Since the last contribution of the European Agency for Safety and Health at Work (EU-OSHA or “the Agency” from now on) to the International Yearbook 2013 UGT Psychosocial Risk Observatory, many things have changed in the landscape of psychosocial risk prevention and management strategies and policies at the level of the European Union. By 2013, EU-OSHA had already spent many years working in the area of psychosocial risks and work-related stress. In fact it had already developed its first European information campaign in 2002 Working on Stress and published several documents, reports and compilation of best practices, still available today on its website. However, Europe (the EU in particular) has evolved a lot since then, in the same way as the world of work and occupational safety and health. From 2013 until today, there are many novelties from EU-OSHA that we can bring to the yearbook 2015 in the field of psychosocial risks. Most of these developments and innovations are related to the 2014-2015 European Healthy Workplaces Manage Stress Campaign, running until the end of 2015 and which EU-OSHA coordinates with the help of their national focal points and networks in each Member State, the European social partners, the European institutions and a large group of “partners” of the campaign, from multinational corporations, media, etc. There are many resources, new knowledge, approaches and challenges that this campaign is contributing to the community of prevention experts and professionals in occupational health and safety, and also to the European workplaces, that are to be described in the following pages. We shouldn’t forget to mention how important the new strategic framework for occupational safety and health at work of the European Commission or the Agency’s multiannual strategic programme for the period of 2014-2020 is for the panorama of psychosocial risks and mental health. On the other hand, the results of the second European survey about new and emerging risks (ESENER-2), carried out by EU-OSHA, show important aspects about work related psychosocial risks and their evaluation and management in 36 European countries.

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2. Psychosocial risks in the European strategic framework on health and safety at work and the multi-annual programme of EU-OSHA (2014-2020) On the 6th of June of 2014, the European Commission made public the new Strategic Framework for Safety and Health at Work for the period 2014-2020 that would replace the European Safety and Health Strategy 2007-2012. The new framework identifies the main challenges and strategic goals, introduces key actions and identifies the necessary tools to face the challenges. Among the main challenges, the strategic framework includes mental health. For example, it highlights changes in the organization of work arising from the evolution of information technologies, particularly those that allow constant connectivity, opening enormous possibilities for flexible and interactive work processes. It mentions the impact these changes have on the physical and mental health of workers, and how the workers feel that stress is one of the main professional risks they face. On the other hand, it also shows the effectiveness of labor inspections, which depend heavily on the experience of labor inspectors and their ability to carry out inspections. For proper implementation of risk-based inspections it is necessary to train inspectors in safety and health at work, regarding emerging risks (including challenges relating to psychosocial risks) and new technologies in particular. Consistent with the objectives of the strategic framework of the European Union and the European Strategy 2020 to create a smart, sustainable and inclusive European economy, the Agency has developed a multi-annual strategic programme 2014-20. As new risks emerge and new areas of work appear, while varied demographic patterns coexist and Europe tries to respond to the economic crisis, it becomes increasingly urgent and necessary to develop an effective prevention policy in order to ensure the protection of workers and contribute to increase corporate profitability.

Psychosocial risks and work related stress are approached from different perspectives through 6 priority areas of activity covered by the multi-annual programme of the Agency: • • • • • •

Anticipate changes and new and emerging risks; Facts and figures; Tools for the management of safety and health at work; Raising awareness, especially through ‘Healthy Workplaces’ campaigns; Networking knowledge, mainly through the development of the online encyclopedia OSHwiki and Networking and corporate communication, at both strategic and operational level.

But in order to know what strategies, actions, instruments and resources are to be mobilized, we must first know what the situation on psychosocial risks and their management in Europe is.

3. ESENER 2 - European Survey of Enterprises on New and Emerging Risks: 2015 situation on management of psychosocial risks 3.1. Introduction Fieldwork of ESENER’s second edition was held in 2014, covering nearly 50,000 companies, from both public and private sectors, from EU-28, and also Albania, Iceland, Montenegro, the Former Yugoslav Republic of Macedonia, Serbia, Turkey, Norway and Switzerland (a total of 36 countries). In comparison with the first edition of the survey in 2009, agriculture and fisheries are included, as well as microenterprises of 5-10 workers.

For the purpose of this Yearbook and this article, we will highlight only the results related to psychosocial risks and their management and no other risks or issues on safety and health at work in general, which are also included in the survey ESENER- 2.

The questions of the survey where addressed to the most acknowledged person on safety and health at work in the company. Those surveyed identified the main risk factors in their organization and described how they were addressed. They also provided information on the reasons why the risks are managed in their companies, and the main difficulties faced in assessing and managing risks in the workplace. Observatory of Psychosocial Risks. UGT

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3.2. Psychosocial risks Major changes in the workplace are leading to emerging psychosocial risks. Such risks are related to the way work is planned, organized and managed and to the socioeconomic context of work, and its effects are, in general, higher levels of stress and a serious risk of deteriorating physical and mental health. Conflicts related to difficult clients, patients, students, etc. (58%) and time pressure (43 %) are the main two risk factors identified more frequently in companies of the EU-28. Both risk factors have a similar sectorial profile, being more prevalent in the field of education, health and social work and public administration, while the lowest values are agriculture, forestry, fishing and manufacturing industry. Both risk factors rise the bigger the company is, especially time pressure. Relation conflicts with difficult clients, patients, students, etc., are a risk factor observed more frequently in companies from Montenegro (78%), France and Estonia (70%), unlike Turkey (28%), Italy (37%) and Lithuania (39%). As it regards the time pressure countries seem to cluster. This risk factor occurs more frequently in Nordic countries, with a significant difference from the others: Sweden and Finland (74%), closely followed by Denmark (73%), Norway and Iceland (71%). The Netherlands (62%) are the next country in this classification. The lowest figures belong to Turkey (15%), Lithuania (16%) and Italy (21%). 3.3. Psychosocial risks management Psychosocial risk factors are considered more difficult to manage than the rest. Nearly one in five companies that says they have relational conflicts with customers or suffer time pressure, also indicates that they lack information or appropriate instruments to address the risks effectively. By sector, ESENER-2 survey shows that the highest proportions of companies that observe a lack of information or adequate instruments to address the risk effectively are in public administration, followed by finance sector, real estate and other personal scientific or technical services on one hand, and education, health and social work, on the other.

On this basis, the ESENER-2 survey examines how companies manage psychosocial risks about: a) the action plans and procedures for dealing with stress, bullying or harassment, and cases of threats, abuse or assault, and b) the specific measures that have been taken in the last three years. About 33% of companies with more than 20 workers in EU-28 claim to have an action plan to prevent workplace stress. This figure increases with the size of the company and is clearly more frequent in the sectors of education, health and social work. Important differences are perceived by countries. Among the companies that report having relational conflicts with clients, students and patients, 55% of those with 20 or more workers claim to have a procedure to address such risks (average of the EU-28). This percentage increases to 72% for companies in education, health and social work sectors. In relation to specific measures, the reorganization of work to reduce work demands and work pressure (38%) and confidential counseling for workers (36%) are the two most common measures in the EU-28. Percentages rise as the size of the company increases. By country, these measures seem to be more frequently observed in Nordic countries, although they donâ&#x20AC;&#x2122;t show a clear trend, while education, health and social work sectors have the highest proportions. Just over half of all companies surveyed in the Europe of twenty-eight (53%) say they have enough information on how to include psychosocial risks in risk assessment. As expected, the values vary more by the size of the company than by sector. 3.4. Driving factors for the management of safety and health at work Although the question is specifically referred to factors driving companies to take over the management of safety and health at work in general, we also include results in this article because we believe it could also be applicable (or relevant) to manage psychosocial risks. Regarding the reasons for companies to manage health and safety, compliance with legal obligations is the main reason for 85% of the companies in the EU-28. There is a slight positive correlation with company size, while no significant differences by sector are given. By country, the values range from 68% of companies in Denmark (between countries outside the EU-28, Montenegro has the lowest value: 57%) and 94% in Portugal. Observatory of Psychosocial Risks. UGT

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The second most important driving factor that motivates action is the fulfillment of the expectations of employees or their representatives (79%), which recorded the highest values in the areas of education, health and social work. No significant differences are seen by company size. In some countries, particularly those that joined the European Union in 2004 and some of the candidate countries, itâ&#x20AC;&#x2122;s stated more frequently than the main driver to deal with safety and health factor it is to maintain the prestige of the organization. 3.5. Obstacles to psychosocial risk management Psychosocial risk factors seem to be more difficult to manage, as evidenced by the lack of information or adequate prevention tools in order to address them effectively. According to the results of the ESENER-2 survey, reluctance to speak openly about these issues seems to be the main difficulty to address psychosocial risks (30% of companies in the EU-28), and this, like all other difficulties it is seen more frequently in larger companies. Findings indicate by sector that the Public Administration says â&#x20AC;&#x153;the reluctance to discuss these issues openlyâ&#x20AC;? more often (38%), while by country, the proportion is highest in Finland (44%), Ireland (40%) and France (36%), compared to the Former Yugoslav Republic of Macedonia, Slovenia (15%) and Hungary (17%). The second most prominent obstacle is the lack of awareness of staff (26%), which is in fact the most reported difficulty in companies from Estonia, Spain, Croatia, Hungary, Malta, the Netherlands, Portugal, Romania, Serbia, Sweden and Turkey. Lack of staff awareness is more common in larger companies and by sector; the highest percentages were recorded in manufacturing (32%). Other difficulties or obstacles for management mentioned ( at a lesser extent) are lack of competence or specialized support; and lack of awareness among managers.

3.6. Participation and workers’ involvement The informal or “direct” participation can occur in all types of businesses, regardless of size or the sector they belong. However, formal or institutional participation requires the creation of formal organizations in line with national legal frameworks and social traditions; obviously this is closely related to the size of the company. The combination of a high participation both formal and informal (within the social dialogue) is indicative of a good quality of work and, therefore, quality management of health and safety at work in general and psychosocial risks in particular. 63% of companies from EU-28 that have implemented some measures in order to prevent psychosocial risks in the three years prior to the survey, states that workers were involved in the development and implementation of such measures. The results vary from one country to another, from 77% of the companies in Denmark and Austria to 43% in Slovakia. Given the nature of psychosocial risks, it is expected that the measures in this field will involve direct participation of workers and a particularly high level of cooperation from all actors in the workplace. 3.7. Conclusions As an input for consideration about all these data and the current situation on the management of psychosocial risks in Europe, we should mention the main conclusion on the contribution of ESENER-2 summarized during the official launch of the results in the European Parliament in June 2015: «The ESENER-2 survey provides a comprehensive picture of how safety and health is actually managed, and particularly psychosocial risks in European workplaces. This results are very important for those responsible for policy at national and EU levels, and they clearly show that there is much room for improvement in the field of safety and health at work and the management of psychosocial risks in particular».

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4. Healthy Workplaces Manage Stress Campaign (Campaña Trabajos Saludables: Gestionemos el estrés) 4.1. Introduction and goals The knowledge of the situation in the field of psychosocial risks in this case, as we discussed in the previous chapter, is one of the priority areas of the Agency (providing facts and figures) as we mentioned. But it is necessary the knowledge becomes action. Another step is to use that knowledge to develop and improve the prevention and management of psychosocial risks, through for example, another priority area of activity of the Agency: raising awareness. In the strategic framework of the European Commission the need to provide tools and resources for the management of occupational safety and health to workplaces , and in particular to small and medium enterprises (SMEs), is also highlighted. According to the results of ESENER-2 we just discussed, companies say that “they lack information or the appropriate tools to address psychosocial risks effectively”. Hence, the desirability and importance of the 2014-15 Healthy Workplaces Manage Stress campaign, whose objectives are precisely one the one hand, to raise awareness of stress and psychosocial risks in the workplace, promoting teamwork of employers, managers, workers and their representatives; and on the other hand, provide and promote the use of simple tools and practices for the management of psychosocial risks and stress at work. All this with the main aim of underlining the positive impact of the management of psychosocial risks and work-related stress, including the business-case. E-guide for stress and psychosocial risks management Among all the resources and instruments that the campaign has made available to companies and workers, it is worth noting the electronic guide for the management of stress and psychosocial risks that EU-OSHA has developed in 34 country-specific versions, each adapted to the laws, the context and the language of the respective country. The e-guide is specially made in order to answer the needs of those employers and workers of small companies that begin to face psychosocial risks at work and are in the need of some initial guidance which include: • simple explanations of work-related stress and psychosocial risks: what they are and what causes stress; • consequences for companies and workers;

• practical examples on how to prevent and deal with psychosocial risks; • references to national law; and • information about tools and other national resources. The guide is not intended to replace psychosocial risk assessment, but to provide information to help take first steps in the effective management of psychosocial risks. Stress is a major source of concern for safety and health at work in a high percentage of European companies, and is a major cause of loss of working days in Europe. However, only one third of European workplaces have procedures to address work-related stress. The electronic guide is a simple and practical tool designed to help companies, especially small companies, to better understand and manage stress and psychosocial risks. The guide explains in simple terms that psychosocial risks and work-related stress can affect workers emotionally and physically; and businesses and the overall economy may also suffer from stress. As in the treatment of other issues related to safety and health, the task of dealing with stress and psychosocial risks is possible and worthwhile, and the electronic guide facilitates this task. The electronic guide also includes a glossary of terms and contributes to dismantle existing misconceptions about stress, distinguishing between reality and myth, with personalized answers differentiated for employers (who are responsible for the management of safety and health) and for workers on some of these false beliefs and ingrained habits that do not help to the effective management of psychosocial risks and work stress in particular. The e-guide is free and 34 national versions are available for viewing online and can also be downloaded for its use offline. 4.3. Costs related to psychosocial risks and work stress Among other resources of the campaign, EU-OSHA has also published a specific report on the costs related to psychosocial risks and work-related stress (Calculating the cost of work-related stress and psychosocial risks), to demonstrate the economic “profitability” that prevention and proper management of these risks can have for business and society at large.

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We do not intend to reproduce here the full report, but to note the importance that this information may have for policy, setting strategic priorities and making business decisions. Employers have a legal responsibility to reduce risks to the safety and health of workers, as provided by the Framework Directive (89/391 / EEC), also including psychosocial risks. However, in many organizations there is a misperception that dealing with psychosocial risks is an additional challenge and forces them to incur additional costs. Evidence suggests that â&#x20AC;&#x153;ignoringâ&#x20AC;? these risks can be even more costly for employers, employees and society in general (Cooper et al 1996;. EU-OSHA, 2004; Bond et al., 2006). The report lists various sources of information and statistics available in the literature on this topic. Work-related stress is more expensive than it may seem. The report examines the costs of work-related stress and shows that, contrary to popular belief, it costs more to ignore the stress than to address it. For instance, an estimation of the UK indicates that stress costs employers 1,220 euros per worker per year. Another estimation, this time from France in 2007, puts the cost of work-related stress between two and three billion euros. In Austria, psychosocial disorders are reported as the cause of more than 40% of early retirement (for workers in management tasks, offices - white collar workers). In Spain, the direct cost to the health of mental and behavioral disorders attributable to work was estimated between 150 and 372 million euros in 2010. This represented between 0.24% and 0.58% of total health expenditure in Spain in that year. The total cost of mental health in Europe, both occupational and non-occupational origin, is estimated at 240 billion euros per year. The figures in the literature are conservative estimates, because of the difficulty of identifying all different types of costs involved (Levi and Lunde-Jensen, 1996; Ramaciotti and Perriard., 2003; Juel et al, 2006).

Psychosocial risks have a different impact, and identifying and quantifying these costs can be difficult (Chandola, 2010). In Europe, the direct monetary costs are paid mainly by society through public health care systems. The main costs relate to individuals with impaired health, mortality and reduced quality of life (Hoel et al., 2001). Although psychosocial risks and stress can clearly affect the individualâ&#x20AC;&#x2122;s income, the data in this area are not available in Europe. The organizations are affected primarily by costs related to absenteeism, presenteeism (coming to work when sick or unfit for work), reduced productivity or high turnover. Those costs ultimately also affect national economies. The sub-costs more commonly examined in estimate studies are health and medical costs, absenteeism and lost production, and, less often, attributable to early retirement or disability or, at the level of the organization costs related to presenteeism. Presenteeism, in fact, has received a lot of attention in the academic field (Cooper and Dewe, 2008), but, being an indirect cost is much harder to quantify. The calculations that consider presenteeism want to highlight the increase in the total estimate, since it seems to be much more costly than absenteeism (Sainsbury Centre for Mental Health, 2007). Information gaps, estimates and contrasted calculations are in need of continuous research and data collection at European level of costs associated with psychosocial risks and stress, as it would be helpful to demonstrate the business case of their prevention and management in the workplace. 4.4. Psychosocial risks in Europe: Prevalence and strategies for prevention, examples Within the campaign, the Agency also published with the European Foundation for the Improvement of Living and Working Conditions (Eurofound) a new report about Psychosocial risks in Europe: Prevalence and strategies for prevention. The report highlights the complexity of the relationship between health and work, comparative information is presented on the prevalence of psychosocial risks among workers, and relations between these risks and health

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and welfare are discussed. It also considers the extent to which workplaces take action to address psychosocial risks and interventions that can be taken are described in the companies. An overview of existing policies is included in six Member States. Well known to the readers of this Yearbook, and already mentioned by the Agency in the 2013 Yearbook, are the Green Paper of the European Commission on mental health in Europe and the Framework Agreements on workrelated stress and harassment and violence at work by the European social partners. It’s also well known by the reader the Framework Directive and other European legislation which protect the prevention of psychosocial risks, work-related stress and promote general health and mental health in particular, that have seen the light long time ago. What the Agency wants to emphasize in this section are some initiatives at the national level, perhaps less known (included in the joint report by Eurofound), which may inspire other strategic plans or policies. A new law in Belgium (Arrêté royal du 10 avril 2014 relatif à la prévention des Risques psychosociaux au travail) explicitly regulates the management of psychosocial risks associated to burnout and work-related stress. The law states that companies and organizations operating in Belgium should take specific measures to prevent psychosocial risks, including risk analysis, measures of collective prevention and counseling for employees who suffer the consequences. The case for Belgium is indisputable. Stress is increasingly recognized as a cause directly related to absenteeism at work, contributing to at least half of all working days lost. At an estimated average cost in Belgium of 900 euros per day and employee, the figure in global terms can quickly reach exorbitant dimensions. A study in 2010 by Securex, a leading company of payroll and human resources management in Belgium, found that the estimated cost of working days lost attributable to stress reached to 10.8 billion euros. The overall economic effects are evident. Belgium’s new law proposes practical solutions, for example, offering the services of a counselor on psychosocial risk prevention and procedures for intervention when employees are suffering violence, harassment, stress and burn-out. The law seeks employers to feel responsible for taking preventive measures to contain psychosocial

risks and to reduce stress in the workplace. The law requires them not only to assess and identify risks, but also to commit to respond to these risks and establish an action plan. If there are psychosocial risk situations, workers can now make a specific request for psychosocial â&#x20AC;&#x153;interventionâ&#x20AC;?, rather than just complain, as it was in the past. Another example in France, the third largest economy in Europe, combines different efforts to address psychosocial risks. Since 2008, following a wave of suicides of skilled workers, health at work, and more specifically, psychosocial risks and stress at work, quickly became a hot topic in the country. Everyone, from managers to occupational doctors, realized action was needed. In response to the uproar that was generated on psychosocial risks in France at that time, 40% of large companies (with 1,000 or more employees) were mobilized to take preventive measures beginning with psychosocial risks assessments associated with stress and providing awareness training for their managers. At the same time, the French government was forced to react and conducted a national consultation with experts led to the identification of the main risks for mental, physical and social health related to work. The six factors identified were: demands of work/task; emotional demands; autonomy; social and labor relations; ethical conflicts; and job insecurity. This information contributed in first place to a national Agreement about violence and harassment in 2010, and after that, to an Agreement about quality of working life in June 2013 which included obligations on risk assessment, prevention and commitment of companies and employees. 4.5. Good practices in psychosocial risks management: European awards One of the most important elements of our Healthy Workplaces campaign is the identification and exchange of best practices. Regardless of the legislative, political or strategic framework at the national level, it is interesting to present what European companies do on a day to day in prevention field, how to face psychosocial risks and job stress in this case. Many examples are fortunately transferable between companies and countries, offering the opportunity to apply similar measures, knowing the obstacles and success factors of their first implementation in advance.

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The awards are in recognition of outstanding and innovative contributions, as well as a strong commitment from management and a participatory approach in the prevention of psychosocial risks. A total of 55 nominations were made for the 2014-15 campaign (best examples were previously selected by Member States), which included 48 national candidates (from 26 countries) and 7 from the official campaign partners (supranational organizations) were received. Organizations of all sizes (including twelve small companies) from a variety of economic sectors were represented. An evaluation committee (including representatives of the four stakeholders of the Governing Board of the EUOSHA and an expert in psychosocial risks and stress) validated and evaluated shortlisted examples and nominated the winning and commended examples. When selecting examples of good practice, the jury sought to include: • • • • • • •

genuine and effective management of psychosocial risks and work-related stress; right consideration to the diversity of workers; participation and involvement of employees and their representatives; successful implementation of interventions in the workplace; demonstrable improvements in health and safety; sustainability of interventions over time; and transferability to other workplaces (including other Member States, small and medium enterprises).

The description of all winning and commended examples are compiled in a publication, also available on the website of the campaign. Each example shows the initial problems, the actions taken and the results achieved. A wide variety of organizations were awarded. We have examples such as Germany, where a post and logistics company conducted a campaign of global stress management; or Denmark where the balance between work and personal life in an area subject to high pressure, such as the financial sector, is presented. A computer company of outsourcing in the Netherlands considers its culture of honesty and transparency is invaluable to achieve its guarantee 100% result in the supply of systems information technology (IT) and stress reduction. A steel manufacturing

company in Slovakia aims to achieve a workplace without accidents or injuries by creating a work environment without stress. Small businesses also carried out successful initiatives. For example, a hotel in Spain is improving the influence and recognition of workers through assessments and participatory meetings; and a prison service in Poland conducts workshops and training sessions on the management of psychosocial risk in a variety of situations. All workplaces have their own specific problems and solutions must be adapted to these problems. However, the ideas and concepts of the examples can be transferred and tailored to meet the needs of organizations of any size and sector in all Member States. Among the winners in the category for European campaign partners, Siemens was recognized for its comprehensive approach to reduce psychosocial risk and to manage resources in its facility in Belgium. Its methodology ÂŤLife balanceÂť is based on five areas declared essential to the successful management of psychosocial risk and resource management: awareness; commitment by the leadership; communication; training and assistance program for employees. 4.6. Other resources for psychosocial risks management The multilingual website of the campaign also includes many other useful resources, making available to businesses, workers and their representatives, effective and manageable practical tools to support effective management of psychosocial risks and stress at work. Many of these tools are especially useful for small businesses, as they enable them to fulfill their legal obligations and improve organizational performance. The tools guide them through the evaluation of psychosocial risks and show them how to act to eliminate or reduce these risks, even when they have limited resources. There are numerous tools developed by European and international organizations as well as numerous national resources and numerous institutions, social partners, research institutes and other organizations have shared with the Agency their resources, including the Observatory for Psychosocial Risk from UGT, which provided numerous links to their sectorial or thematic guides prevention, sheets of prevention of psychosocial risks, etc., etc. Observatory of Psychosocial Risks. UGT

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5. How to include psychosocial risks in risk assessments, the OiRA example Another priority area of the Agency, mentioned earlier in this article, is the development of simple and practical tools to support the management of occupational risks, put at the disposal of small businesses. The first step and essential pillar of OSH management is risk assessment. The need for improved risk assessment and its practical application was already identified in a review of the EU Framework Directive 89/391 and its subsidiary directives. The review identified a general lack of awareness, particularly among SMEs, of the need to assess workplace risks and lack of knowledge on how to conduct such risk assessment. More specifically, risk assessment was often considered an “isolated and unique” action (which didn’t need to be repeated over time) and when it was done, the focus was placed on the identification of “the most obvious and immediate risks” so, for example, long term health effects, such as those caused by chemical exposure, were neglected. And of course, psychosocial risks were seldom considered; as it’s already identified on the ESENER-2 survey we mentioned earlier. With this background frame, the Agency - assigned by the European Commission in its previous strategies as in the current strategic framework on health and safety at work - leads the European OiRA project (online interactive tool for risk assessment). OiRA is a web application that generates interactive online tools for risk assessment in different languages and for different sectors. OiRA goes beyond the traditional approach of mere risk assessment, while offering the user an action plan - tailored to the risks and problems identified; solutions and a comprehensive report which serves to fulfill a legal obligation to support the assessment. This is not to make a comprehensive presentation of the OiRA project, but also emphasize how the assessment and prevention of psychosocial risks have been highlighted in the initiative. Several OIRA tools have been developed by the social partners at European level, for sectors such as office cleaning, hairdressing, leather and tanning, the private security sector or “live performances” professionals. These tools highlight the need to include psychosocial risks as part of the overall risk assessment and precisely, to make it more complete and useful.

Thus, the OiRA tools include questions for companies about whether policies to address psychosocial risks and stress exist or not; questions regarding the organization of work, if the responsibilities of each worker are clear and if there are strategies to avoid overloading or overwork. The OIRA tools not only help identify risks, but also give specific indications on how to make a proper monitoring of the issues identified as risks - for example, with suggestions for controlling workload or how to handle monitoring after a bullying incident. Some of these OIRA tools developed at EU level already exist in its national version. For example, the office cleaning tool has been adapted for use in Slovenia, the private security tool has been adapted for Greek companies, and the tool for the tanning industry is ready to be used in Portugal. There are now many other OIRA tools also developed by different organizations and social partners in the Member States. 6. Next steps: integration of psychosocial risks in future projects The Healthy Workplace Manage Stress campaign has remarkably contributed to the progress of the knowledge and exchange of experiences in psychosocial risks prevention and management in the European Union, not only at company and workplace level, but also at political and strategy level. The unconditional support that the European Commission and the European Parliament, along with social partners, have given to the campaign since its inception is an indicator of the importance and relevance that the management of these risk factors have, not only for the safety and health of workers, but also for the sustainability, productivity and competitiveness of European companies. This official support to the campaign should be interpreted as a serious commitment to move forward and overcome the obstacles that still remain, some of which have already been mentioned throughout this article. The work of the Agency in this area does not end in December 2015 with the closing of the campaign. Psychosocial risks will be addressed again, from another angle, in the 2016-17 campaign â&#x20AC;&#x153;Healthy Workplaces for All Agesâ&#x20AC;?, dedicated to promote a sustainable working life; safe, healthy and productive work for all, and to pursue a fruitful balance between work and personal life.

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Ensure decent working conditions throughout the entire working life is the key to healthy aging and retirement in good health conditions. Undoubtedly, the effective management of psychosocial risks and work-related stress has to significantly contribute to the challenge of a sustainable working life. The Agency dedicates this article to the memory of the Dr. Eusebio Rial González, initial motor of the Healthy Workplace Manage Stress campaign and many other projects in the work-related psychosocial risks and stress prevention field. Eusebio was also coworker in previous editions of the Yearbook of the UGT Psychosocial Risks Observatory. We suffered the terrible pain of losing him last December of 2014 and the gap left in the community of safety and health at work is impossible to fill. But we were lucky to meet him and we inherited his enthusiasm for the prevention of psychosocial risks. And that enthusiasm will drive us undoubtedly to continue to work and to face the new challenges the future brings. Farewell. Bibliography Campaña Trabajos saludables: gestionemos el estrés https://www.healthy-workplaces.eu/es Comisión Europea (2014). Marco estratégico de la UE en materia de salud y seguridad en el trabajo 2014-2020. Bruselas, COM (2014) 332 final EU-OSHA (2015). Resumen - Segunda encuesta europea de empresas sobre riesgos nuevos y emergentes (ESENER-2). Luxemburgo: Oficina de Publicación de la Unión Europea. https://osha.europa.eu/es/tools-andpublications/publications/reports/esener-ii-summary.pdf/view EU-OSHA (2015). Segunda encuesta europea de empresas sobre riesgos nuevos y emergentes (ESENER-2); Cuestionario y resultados en línea. https://osha.europa.eu/es/surveys-and-statistics-osh/esener/2014 EU-OSHA (2014). Trabajos Saludables: gestionemos el estrés; Guía de la campaña para la gestión del estrés y de los riesgos psicosociales en el trabajo. Luxemburgo: Oficina de Publicación de la Unión Europea. https://www.healthyworkplaces.eu/es/campaign-material/introducing-the-campaign-guide/campaign-guide?set_language=es

EU-OSHA (2014). Trabajos Saludables: gestionemos el estrés; Guía electrónica para la gestión del estrés y los riegos psicosociales. https://www.healthy-workplaces.eu/es/tools-and-resources/a-guide-to-psychosocial-risks EU-OSHA (2014). Calculating the cost of work-related stress and psychosocial risks. Luxemburgo: Oficina de Publicación de la Unión Europea. https://osha.europa.eu/en/tools-and-publications/publications/literature_reviews/ calculating-the-cost-of-work-related-stress-and-psychosocial-risks/view EU-OSHA (2014). Healthy Workplaces Manage Stress - Managing stress makes sound business sense. Luxemburgo: Oficina de Publicación de la Unión Europea. https://www.healthy-workplaces.eu/en/campaign-material/business-case EU-OSHA (2015). Trabajos Saludables: Gestionemos el estrés- Galardones a las buenas prácticas. Luxemburgo: Oficina de Publicación de la Unión Europea. https://osha.europa.eu/es/tools-and-publications/publications/reports/healthy-workplaces-good-practiceawards-2014-2015/view Eurofound & EU-OSHA (2014). Psychosocial risks in Europe: Prevalence and strategies for prevention. Luxemburgo: Oficina de Publicación de la Unión Europea. https://osha.europa.eu/en/tools-and-publications/publications/reports/ psychosocial-risks-eu-prevalence-strategies-prevention/view Eurofound & EU-OSHA (2014). Riesgos psicosociales en Europa: prevalencia y estrategias de prevención. Resumen ejecutivo. Luxemburgo: Oficina de Publicación de la Unión Europea. https://osha.europa.eu/es/tools-and-publications/publications/reports/executive-summary-psychosocial-risks-ineurope-prevalence-and-strategies-for-prevention/view 2014. L’Arrêté royal du 10 avril 2014 relatif à la prévention des risques psychosociaux au travail (M.B. 28.04.2014). http:// www.emploi.belgique.be/defaultTab.aspx?id=564 OiRA, Herramienta interactiva (en línea) de evaluación de riesgos. https://osha.europa.eu/es/tools-and-publications/oira

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Europe: vers une nouvelle éclipse des “risques psychosociaux” au travail?

Fabienne Scandella Chargée de recherche ETUI

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Summaire 1. Résumé 2. Risques psychosociaux: progression et désillusions 2.1. Les effets de la crise: less and bad jobs 2.2. L’Europe et la santé au travail: les désillusions de la déréglementation 3. La mobilisation autour de la “santé mentale 3.1. Quand la DG Emploi s’absente... 3.2. ...la DG Santé prend le relai 3.3 La santé mentale s’invite au travail: l’éclipse des risques psychosociaux 4. Conclusion Bibliographie

1. Résumé Cet article aborde dans un premier temps des facteurs économiques et politiques qui permettent de rendre compte de la progression des risques psychosociaux en Europe aujourd’hui. Dans un second temps, cet article met en évidence qu’au moment où plus personne ne conteste l’importance croissante des “risques psychosociaux” et où se stabilise l’usage même de l’expression pour les désigner, dans les cénacles européens s’organise et se confirme un glissement sémantique vers la thématique plus englobante de la santé mentale. Sous les atours d’un élargissement du débat, c’est l’éclipse de l’expression des “risques psychosociaux” qui s’opère, et avec elle, le délitement ou la marginalisation du lien avec les conditions d’emploi et de travail dont ils procèdent. 2. Risques psychosociaux : progression et désillusions Depuis la fin des années 1980 et le début des années 1990 (Hatzfeld 2012: 20), les risques psychosociaux sont apparus, dans de nombreux pays européens, avec une acuité qui réclamait une prise de conscience et des actions de l’ensemble des acteurs investis dans la santé au travail. C’est fort de ce constat et de son urgence, que dans le cadre du dialogue social européen les partenaires sociaux se sont emparés de la problématique pour aboutir à la signature des accords-cadres autonomes de 2004 et de 2007, sur le stress et sur la violence et le harcèlement au travail respectivement. Ces accords ont favorisé une prise de conscience de l’importance de ces risques qualifiés d’”émergents”, c’est-àdire tout à la fois nouveaux et en augmentation (EU-OSHA, 2007: 6). Progressivement, les risques psychosociaux se sont fait une place parmi la liste des autres risques professionnels (i.e. risques physiques, chimiques, biologiques). Une place à part, devrait-on s’empresser de compléter, car cette catégorie de risques se décompose en facteurs qui pointent du doigt l’organisation du travail (e.g. rythme et charge de travail, mode de management, autonomie, soutien, etc.), laquelle s’est fortement transformée au cours de ces dernières décennies suite à la mise en œuvre des modalités de production et de gestion induites par l’avènement du régime productif néolibéral. Aujourd’hui, la situation est plus que jamais préoccupante. L’exposition aux risques psychosociaux est pandémique, elle touche tous les travailleurs, hommes et femmes, dans tous les secteurs d’activités, dans le privé comme dans le public et le nombre de travailleurs exposés ne cesse de croître. Plusieurs facteurs concourent à cette inquiétante progression.

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2.1. Les effets de la crise : less and bad jobs Le premier et le plus évident de tous est sans nul doute le contexte de crise. La crise financière de 2007 qui s’est propagée à la sphère réelle et les mesures d’austérité qui lui ont emboîté le pas, ont plongé la plupart des économies européennes dans la récession, entraînant un effondrement de l’emploi et une hausse du chômage, en particulier chez les jeunes (Blot et al., 2009 : 255 ; Eurofound 2013 : 3-5). Aux restructurations opportunistes qui ponctuent la vie des entreprises contemporaines, se sont ainsi ajouté les restructurations liées à la crise, qui charrient avec elles des effectifs déprimés par un marché du travail apathique. Pour inverser la courbe du chômage, de nombreux gouvernements ont opté pour des réformes susceptibles d’inciter les employeurs à créer des emplois : assouplissement des règles concernant les licenciements, suppression des obstacles à l’emploi temporaire, renforcement de la flexibilité du temps de travail, réduction des indemnités en cas de maladie, etc. (Eurofound 2013: 64). Toutes ces mesures ont conduit à fragiliser les conditions d’emploi d’un nombre considérable de travailleurs européens. Dépouillé des protections qui lui étaient associées, l’emploi ne constitue plus un rempart contre la précarité. Le sentiment d’insécurité de l’emploi a augmenté (Eurofound 2013 : 9) et a gagné ceux-là mêmes qui se percevaient comme les “rescapés” des vagues de licenciements. Dans un contexte où la conjoncture est perçue comme menaçant en permanence des équilibres instables, où l’emploi se fait rare et où ceux qui en possèdent un se demandent pour combien de temps, les conditions de travail sont perçues comme secondaires. Or, cela ne doit plus être démontré, les restructurations s’accompagnent bien souvent d’une dégradation des conditions de travail et, par suite, de la santé des travailleurs (Kieselbach 2009). Sentiment d’insécurité de l’emploi, intensification du travail1, climat de compétition entre collègues, présentéisme… sont les ingrédients d’un cocktail de facteurs de risques psychosociaux qui n’a pas fini de faire des dégâts sur la santé de ceux qui y sont exposés et, faut-il le souligner pour la prospective, de ceux qui y auront été exposés. En fait, la progression des risques psychosociaux à laquelle nous assistons aujourd’hui est pour une bonne part le résultat d’une conjoncture économique à laquelle ont été apporté des solutions politiques inadéquates.

1 On peut faire l’hypothèse que les résultats de la 6e enquête européenne sur les conditions de travail mettront en évidence une intensification du travail par rapport aux résultats de 2010. Une tendance à l’accroissement des contraintes de rythme pesant sur le travail a d’ores et déjà été établie en France en comparant les données de l’enquête Conditions de travail de 2005 avec celles de 2013. Voir Algava et al. 2014 :1. 56

2.2. L’Europe et la santé au travail : les désillusions de la déréglementation Le second facteur majeur qui contribue à la progression des risques psychosociaux au travail en Europe est le désengagement des instances communautaires et en particulier de la Commission, sur les matières relatives à la santé et à la sécurité au travail depuis un peu plus d’une décennie. Ce désengagement, concomitant avec le début du premier mandat de José Manuel Barroso à la Présidence de la Commission en 2004, s’origine dans une remise en cause, essentiellement économique, des fondements de l’harmonisation législative des conditions de travail2. Dans cette perspective, les normes qui garantissent des conditions de travail saines et sécures sont perçues, d’une part, comme des entraves à la libre concurrence sur le marché intérieur et d’autre part, comme des pénalités pour l’industrie européenne sur le marché mondial (Vogel 2015: 11-12, 19-20). La Commission ayant clarifié ses velléités dérégulationistes, cette remise en question s’est concrétisée de deux façons. Toute d’abord, la Commission a institutionnalisé un procédure extrêmement bureaucratique du processus décisionnel qui prévoit l’évaluation préalable (ex ante) —à partir de critères qui manquent de transparence— de toute nouvelle proposition de directive (Vogel 2015: 20-21). Ensuite, à partir de 2012, la Commission a mis en œuvre le programme REFIT (Regulatory Fitness and Performance), qui fait la chasse à la réglementation “inutile”. Toute la législation est passée au crible de l’analyse économique des coûts et des bénéfices, qui juge superfétatoire toute réglementation dès lors qu’elle est susceptible d’entraîner une charge administrative ou financière pour les entreprises, quels qu’en furent les bénéfices pour les travailleurs, les citoyens ou la société dans son ensemble. Evaluations ex ante, évaluations ex post: c’est toute la machine réglementaire qui se trouve grippée, paralysée, empêchée d’œuvrer à l’harmonisation des conditions de travail en Europe par la production législative. Cet état de fait est inquiétant parce que, précisément, il a été établi que l’existence d’une législation (et donc l’obligation de s’y conformer) est le principal facteur qui pousse les entreprises à agir dans le domaine de la prévention des risques professionnels (Gonzalez, Cockburn, Irastorza 2010: 51). Les accords-cadres sur le stress et sur la violence et le harcèlement au travail ne démentent pas ce constat. A propos de l’accord-cadre sur le stress, la Commission européenne observe en effet elle-même dans son rapport d’évaluation que: “There are persistent discrepancies in the level of protection available accross Member States, and that is not possible to conclude that a 2 L’objectif d’harmonisation « dans le progrès » a pourtant été inscrit dans l’article 118A de l’Acte unique européen entré en vigueur en 1987 et a été transposé dans l’article 153 du Traité sur le fonctionnement de l’Union européenne (Vogel 2015 :20). Observatory of Psychosocial Risks. UGT

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minimum level of protection has been established throughout the EU” (European Commission, 2011: 3). Ainsi, alors même que la Commission reconnaît les limites de ces accords-cadres qui ne sont pas mis en œuvre par voie de directive, elle renonce à toute production législative dans ce domaine. En décembre 2014, la Confédération Européenne des Syndicats a adopté une résolution intitulée “the EU has to act now to improve occupational health and safety”. A propos des risques psychosociaux, la Confédération précise ses attentes à l’égard de la Commission: “The problem cannot be controlled by non-legislative instruments. Legislative measures are urgenlty needed to fight a risk with epidemic proportions.” En l’état actuel des choses, tout porte à croire que ces vœux resteront malheureusement lettre morte. Enfin, il faut souligner que la communication intitulée “cadre stratégique sur la santé et la sécurité au travail”, publiée par la DG “Emploi et Affaires sociales” de la Commission en juin 2014, ne contribue pas à entretenir les illusions. Depuis 1978, la Commission adopte une stratégie pluriannuelle dont l’objectif est d’orienter les institutions communautaires en matière de politique de santé au travail. Fin 2012, alors que la précédente stratégie prenait fin, et en dépit des propositions qui lui avaient été faites par le Parlement ainsi que par le Comité de Luxembourg3, la Commission se montre récalcitrante à adopter la nouvelle stratégie pour 2014-2020. Finalement, c’est avec beaucoup de retard et à contre cœur, que la Commission se décide à publier, une communication intitulée “cadre stratégique sur la santé et la sécurité au travail” au contenu très décevant. Aucune action d’envergure n’est programmée pour les années à venir (Vogel 2015: 24-25). Si elle mentionne l’ampleur de la prévalence du stress chez les travailleurs européens, cette communication se limite à confirmer qu’ “il conviendrait de s’y intéresser”, elle demeure muette sur les actions qu’elle envisage d’entreprendre pour améliorer la prévention et enrayer la progression des risques qui y conduisent. En fait, cette communication, pour reprendre l’expression proposée par Laurent Vogel, semble bien n’être qu’un “manifeste de l’inaction” (Vogel 2014: 5).

3 Le Comité dit de Luxembourg est le Comité Consultatif pour la santé et la sécurité au travail. Il est composé des représentants gouvernementaux, syndicaux et patronaux des pays de l’Union européenne. 58

3. La mobilisation autour de la “santé mentale Depuis quelques années, dans les cénacles européens, diverses initiatives et manifestations s’articulent autour du concept de “santé mentale”. L’expression des “risques psychosociaux”, entrée dans les usages des partenaires sociaux actifs dans le domaine de la santé au travail semble évacuée. Ce glissement sémantique ne manque pas de soulever quelques questions: Pourquoi et par qui s’opère-t-il? Comment est-il rendu possible? Quelles en sont les ressorts? Ce changement de termes change-t-il quelque chose au fond du problème, i.e. est-il anodin 3.1. Quand la DG Emploi s’absente... L’absence de stratégie pour la période 2014-2020 s’apparente à une désertion de la DG Emploi et Affaires sociales du champ de la santé et sécurité au travail. Dans le domaine des risques psychosociaux, dont elle reconnaît pourtant la prévalence, elle ne programme aucune initiative législative pour les cinq prochaines années. Dans ce domaine, à brève et moyenne échéance à tout le moins, il ne faut en effet rien attendre de la machine réglementaire communautaire dont les rouages sont grippés par les procédures d’évaluation interminables. Rien à signaler donc du côté de la DG Emploi et Affaires sociales. Pourtant, la Commission n’est pas tout à fait inactive sur ce sujet, elle l’aborde simplement sous un autre angle. Pour s’en rendre compte, il faut regarder du côté de la DG Santé et sécurité alimentaire (DG SANTE4. 3.2. ...la DG Santé prend le relai Depuis 2005, la DG SANCO (appellation de l’époque) a adopté un ambitieux programme de promotion de la santé mentale. Cette année-là, elle publie un livre vert intitulé “Improving the mental health of the population: Towards a strategy on mental health for the European Union.” A la suite de celui-ci, qui visait selon ses termes à “ouvrir le débat avec les acteurs concernés”, elle organise en juin 2008, à Bruxelles, une conférence européenne sur la santé mentale. Cette conférence abouti à la rédaction du European Pact for Mental Health and Well-being. Ce document, au demeurant assez bref, épingle cinq domaines d’action prioritaires. Chacun de ces domaines fait ensuite l’objet d’une conférence thématique, organisée entre septembre 2009 et mars 2011. En juin 2011, le Conseil de l’Union Européenne se penche sur les résultats du European Pact for Mental Health and Well-being. Dans ses conclusions, il invite les Etats Membres et la Commission à mettre en place, dans la continuité du précédent projet, la plateforme Joint Action for Mental Health and Well-Being, laquelle voit le jour en 2013, pour une durée de trois ans. 4 L’acronyme de cette Direction Générale a été modifié le 1er janvier 2015. Précédemment, elle était connue sous l’acronyme de DG SANCO. Observatory of Psychosocial Risks. UGT

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A priori, toutes ces initiatives en faveur de la santé mentale et du bien-être sont louables. Pourquoi en effet s’opposerait-on à la promotion de la santé mentale? Voilà un domaine d’initiative qui semble devoir faire l’unanimité. Et pourtant. Ces projets comportent un volet relatif au monde du travail et proposent des orientations d’action dans ce domaine. Lorsqu’on examine ces dernières à partir d’une perspective centrée sur la santé au travail, la nuance s’impose. En effet, la rupture avec les principes qui réglementent la santé et la sécurité au travail, tels qu’ils sont définis par la Directive cadre 89/391/ECC5 apparaît très nette et le propos beaucoup moins convaincant. 3.3. La santé mentale s’invite au travail: l’éclipse des risques psychosociaux Les deux projets menés par la DG SANTE (le Pacte et Joint Action) consacrent le concept de santé mentale. Le terme présente l’avantage d’être simple et clair. Mais, transposé dans le monde du travail, où il contribue à l’éclipse de celui de “(facteurs de) risques psychosociaux”, il n’est pas sans écueil. Tout d’abord, il contribue à déplacer le curseur de l’approche: on ne se concentre plus tant sur les causes (les conditions d’emploi et de travail) que sur l’état de santé mentale —que cet état résulte ou non de l’exposition à des facteurs de risques psychosociaux importe finalement peu dans cette perspective, nous y reviendrons. L’énonciation d’une critique sociale et politique, qui établit un lien entre des conditions d’emploi et de travail et des atteintes à la santé psychique, se trouve par suite neutralisée. En se concentrant ainsi l’état de santé mentale plutôt que sur les causes susceptibles d’y porter atteinte, le concept de santé mentale contribue aussi à individualiser la problématique et il s’en suit que les mesures préconisées ne sont pas collectives mais individuelles (e.g. gestion du stress), elles ne sont pas de nature préventive mais curative. L’approche de la Commission propose en filigrane d’adapter les individus au travail. En fait, tous les principes condensés dans l’article 6 de la directive, relatif aux obligations générales des employeurs (i.e. une approche préventive, combattant en première instance les risques à la source et privilégiant les mesures de protection collective sur les mesures individuelles) se trouvent battus en brèche. Le glissement sémantique ne semble donc pas anodin. Par-delà la seule question du choix des concepts, ce qui interpelle également dans ces projets relatifs à la santé mentale lorsqu’ils s’invitent dans la sphère du travail, c’est la rationalité qui les sous-tend. Dans le Pacte pour la santé mentale au travail, comme d’ailleurs dans le projet qui lui fait suite (Joint Action), la santé mentale sur le lieu de travail fait partie des cinq domaines d’action prioritaires qui ont été identifiés. En guise explication de ce domaine 5 Il s’agit de la Directive cadre concernant la mise en œuvre de mesures visant à promouvoir l’amélioration de la santé et de la sécurité des travailleurs au travail. 60

d’action, on peut lire ceci: “The pace and nature of work is changing, leading to pressures on mental health and wellbeing. Action is needed to tackle the steady increase of work absenteeism and incapacity, and to utilize the unused potential for improving productivity that is linked to stress and mental disorders. The workplace plays a central role in the social inclusion of people with mental health problems” (2008: 5)6. A la lecture de celui-ci, l’objectif principal semble être moins la santé mentale pour elle-même que ce qu’elle permet en terme d’employabilité. En d’autres termes, ce qui compte c’est que les troubles de la santé mentale ne soient plus une entrave au maintien ou à l’entrée sur le marché du travail des actifs qui en souffrent. De ce point de vue, le fait que ces projets ne distinguent que très sommairement les travailleurs qui souffrent de troubles psychiques liés à une exposition à des facteurs de risques psychosociaux au travail et les personnes qui souffrent de pathologies mentales sans lien avec le travail (e.g. troubles bipolaires, schizophrénie, etc.) pose question. Les mesures à mettre en œuvre pour permettre le maintien ou le retour au travail des premiers et les mesures à instaurer pour favoriser l’entrée sur le marché du travail des seconds ne gagneraient-elles pas à être envisagées distinctement? L’absence de la DG Emploi sur la question des risques psychosociaux crée donc un appel d’air dans le champ de la santé au travail. D’autres acteurs —la DG SANTE, mais aussi une kyrielle d’association effectuant un travail de lobbying au niveau européen sur les questions liées à la santé mentale (e.g. European Depression Association (EDA), Mental Health Europe, European Alliance Against Depression (EAAD), etc.)— occupent l’espace laissé vacant pour en redéfinir les contours. C’est ainsi que lors de la 11e Journée Européenne de la Dépression, l’Association Européenne de la Dépression (EDA), dont l’un des sponsors est la société pharmaceutique Lundbeck (laquelle produit des antidépresseurs...), a indiqué souhaiter que la Commission initie rien de moins qu’une “revision of the Directive 89/391/EEC [...] to ensure that targeting the impact of depression becomes a key priority at workplaces” (Euractiv 2014)!

6 Dans le même ordre d’idée, on peut lire sur la page du site que la DG SANTE consacre à son action sur la santé mentale : « Apart from the obvious benefits for individuals, good mental health is increasingly important for economic growth and social development in Europe ». Observatory of Psychosocial Risks. UGT

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4. Conclusion Depuis la fin des années 1980 et le début des années 1990, les risques psychosociaux au travail ne cessent de progresser en Europe et prennent les allures d’une pandémie. Pour infléchir la tendance, il faudrait aller au-delà de la sensibilisation7. La paralysie de la production législative dans le domaine de la santé au travail a ouvert la voie à une approche par la santé mentale qui contribue à l’éclipse des “risques psychosociaux”. Cette éclipse n’est pas seulement une question sémantique, elle entérine également le délitement ou la marginalisation du lien de causalité entre les troubles mentaux et les conditions d’emploi et de travail dont ils procèdent. Il faut y porter attention car cette approche s’invite dans la domaine de la santé au travail avec des principes qui marquent une rupture évidente avec l’”acquis communautaire” dans ce domaine. Bibliographie Algava E. et al., « Conditions de travail : reprise de l’intensification du travail chez les salariés », DARES Analyses, Juillet 2014, n°049, 11 p. Blot C., La Bayon S., Lemoine M., Levasseur S., “De la crise financière à la crise économique: une analyse comparative France-Etats-Unis”, Revue de l’OFCE, n°110, pp. 255-281. Council of the European Union, Council conclusions on ‘The European Pact for Mental Health and Well-being: results and future action’. 3095th Employment, social policy, health and consumer affairs council meeting. Luxembourg, 6 June 2011. Euractiv, “European Depression Day on Euractiv: Launch of MEP Ambassador Programme demands action to tackle depression on European Depression Day”, 30 September 2014. On line: http://pr.euractiv.com/pr/launch-mepambassador-programme-demands-action-tackle-depression-european-depression-day-120048 European Commission, Commission Staff Working Paper. Report on the Implementation of the European social partners’ Framework Agreement on Work-related Stress, 2011, SEC(2011) 241 final, 96 p. Available on line: http:// erc-online.eu/wp-content/uploads/2015/03/COM_SEC20110241_EN.pdf

7 Nous n’en parlons pas dans cet article mais l’Agence de Bilbao a consacré sa campagne de sensibilisation 2014-2015 à la thématique de la gestion du stress. 62

González R., Cockburn W., Irastorza X., European Survey of Enterprises on New and Emerging Risks: Managing safety and health at work, 2010, Bilbao, EU-OSHA, 160 p. Hatzfeld N., “Les risques psychosociaux: quelles correspondances anciennes aux débats récents?”, Travail et Emploi, 2012, n°129, pp.11-22. Health and Consumer Protection Directorate-General, Green Paper: Improving the mental health of the population: Towards a strategy on mental health for the European Union, 2005, Luxembourg, European Communities. COM (2005)484. EU-OSHA, Expert Forecast on emerging psychosocial risks related to occupational safety and health, Luxembourg, 2007, 126 p. Eurofound, Impact of the crisis on working conditions in Europe, Luxembourg, 2013, 70 p. Kieselback T. et al., Health in restructuring: Innovative approaches and Policy recommendations (HIRES), University of Bremen, 2009, 226 p. Vogel L., “Emploi et conditions de travail: les deux faces d’une même médaille », Hesamag 7, 2013, p. 5. Vogel L. “Un erzartz de stratégie”, Hesamag 10, 2014, p. 5. Vogel L., Les rouages de la politique de santé et de sécurité dans l’Union européenne. Histoire, institutions et acteurs, Bruxelles, European Trade Union Institute, 2015.

Observatory of Psychosocial Risks. UGT

Prevention of psychosocial risks in LATIN america

Gina Magnolia Barรณn General Secretary of OISS

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on psychosocial risks prevention and quality of life at work

Summary 1. Introduction 2. The Latin American Social Security Organization (ISSO) 3. The second latin american strategy on security and health at work 4. An approach to psychosocial risks in Latin AmericaMental Load 4.1. Violence at work 4.2. Other aspects related to psychosocial factors 5. Law and rule on psychosocial risks in Latin America 5.1. Generic model 5.2. Specifyc model

6. Prevention of psychosocial risks in ISSO 6.1. Self-assessment for micro enterprises and SMEâ&#x20AC;&#x2122;s 6.2. Basic technical training 6.3. Preventive Disclosure Materials 6.4. Preventive vaccines Annex

1. Introduction Psychosocial risks at work has become today one of the main focuses of attention in the prevention of occupational hazards, hence its growing impact on working conditions and, in many cases, difficulties in their perception and specifically on prevention. In the European context and according to the 2014 report on psychosocial risks at work, prepared by the European Agency for Safety and Health at Work (EU-OSHA) and the European Foundation for the Improvement of Living Conditions and Working Conditions (Eurofound), 25% of workers say they experience stress related to work during all or most of their working time, and a similar percentage say that the work has a negative effect on your health. Psychosocial risks contribute to these negative effects of work. This leads, in turn, to psychosocial risks being a concern for most companies, so that nearly 80% of managers expressed concern about the work-related stress and nearly one in five believes that violence and harassment are major problems. In spite of which less than a third of companies have established procedures to prevent such risks. In Latin America these circumstances are also given, if perhaps aggravated by the high level of informality, around 50% in the whole region, despite the efforts of Latin-American States, it is still a reality, especially in certain countries where coverage of occupational risks is placed even below 20% of the workforce. The context is different between Europe and Latin America, but the problem is the same. In Latin America, as in Europe, the most common psychosocial risks are related to the type of tasks performed by employees - for example, if the tasks are monotonous or complex - and work intensity. High work intensity is associated with a negative impact on health and wellbeing. Violence and harassment are reported less frequently, but have a close negative relationship with welfare. Other conditions of work, as the balance between work and personal life and social support are, however, a positive influence.

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The Latin American Social Security Organization (ISSO), as an international organization of technical and specialized nature, which aims to promote economic and social welfare of Latin American countries through coordination, exchange and use of their experiences, cannot, therefore, be indifferent to this issue and therefore between their programs to this end also pays special attention to the prevention and protection of the risks associated with work, including psychosocial risks. 2. The Latin American Social Security Organization (ISSO) Under this program definition, the ISSO is set (since 1954) as a practical organization whose mission is to promote all actions serve to progressively achieve universal social security, collaborating in the development of their systems, provide advice and assistance technique, acting as a permanent body of information and coordination of experiences and promoting the study and research, bringing together more than 150 social security institutions in Latin American countries. To this end, the Organization has a number of lines of work committed to stable formation of human resources in general and the specialized managerial staff of the institutions of social protection of the region training; the provision of technical assistance to the institutions; the exchange of experiences; the development of study programs and forums, discussion and research; and, all in collaboration with other international agencies operating in the area. Similarly, the Organization has developed several special programs, such as those aimed at achieving a normative substrate of social protection in the context of strong migratory movements are recorded in Latin America, to ensure the protection of migrant workers and their families through conservation rights or entitlements of these workers who develop their careers in various Latin American countries. Such is the objective of the Latin American Multilateral Agreement on Social Security, as well as supporting the activities of the organization in the social area, the various regional integration schemes of its geographical area or as aimed at promoting policies to improve conditions of life of the elderly and people with disabilities. In this context, the strategic guidelines of the ISSO agreed by its governing bodies have, as a priority line of activity, programs for Safety and Health at Work.

2015-2020, que fue avalada en septiembre del 2014 por el VIII Congreso PREVENCIA celebrado en México. 3. La II Estrategia Iberoamericana de Seguridad y Salud en el Trabajo La II Estrategia Iberoamericana de Seguridad y Salud en el Trabajo se ha planteado en línea con los ejes marcados por los Organismos Internacionales que operan en la Región: • La Declaración Universal de Derechos Humanos, que a lo largo de su articulado no solamente perfila como inalienables el derecho a la vida, a la salud, a la seguridad social o al trabajo en condiciones equitativas y dignas -todos ellos estrechamente relacionados con la seguridad y salud en el trabajo-; sino que niega expresamente en su art.these 30 el programs, “derecho de through los estados, grupos personas” paradevelops ejercer actividad Among which theo pulse ISSO policies and commitment to improving working alguna que limite o menoscabe los mismos.

conditions and reducing occupational accidents and occupational diseases, besides the support enroll Decision on Safety and Occupational Health of the Andean • 584 El Pacto Internacional de los Derechos Económicos, SocialesCommunity, y Culturales,the quedevelopment of the Observatory of Labor reafirma y desarrolla precisión los derechos a la salud, of a lathe seguridad social ySystem al Conditions in Latin con America or the implementation Harmonized Indicators workplace accidents, the trabajo, refiriendo en este último el marco esencial de condiciones de trabajo First Latin American health Security Strategy and valid until 2013 and, with encouraging results, led promoting II dignas, en el que expresamente incluye “la seguridad y la higiene en el trabajo”. Strategy for the 2015-2020 five-year period, which was endorsed in September 2014 by the Eighth PREVENCIA heldpactos in Mexico. • Congress Los diversos regionales y subregionales que concretan aún más estos compromisos. •

3. The second Latin American strategy on security and health at work Los numerosos desarrollos de instrumentos que, en este han llevado a cabo la The II Latin American Security Strategy and Health at Work has de been raised in line with the axes set by international Organización Internacional del Trabajo (OIT), la Organización Mundial la Salud organizations operating in the region: (OMS), el Programa de Naciones Unidas para el Desarrollo (PNUD) y otras agencias especializadas de Naciones Unidas.

• The Universal Declaration of Human Rights, which along its provisions not only emerging as the inalienable right to life, health, social security or work in equitable and humane conditions-all of them closely related to security work- and health; but • Los Objetivos Desarrollo del “right Milenio, expressly denied indehis art. 30 the of states, groups or individuals” to exercise que refieren como una de sus metas “el any limiting or prejudicing the same activity. trabajo decente para todos, incluyendo • The mujeres International Covenant Social and Cultural Rights, which y jóvenes”, comoonunEconomic, paso imprescindible para cumplir el primero de reaffirms and develops precisely the rights to health, social security and labor, the sus objetivos: erradicar la pobreza latter extrema referring to the essential framework of decent working conditions, which y el hambre. includes “safety and health at work.” • The number of regional and sub regional agreements that specify further these commitments. • Numerous developments of instruments in this have been carried out by the Igualmente la Estrategia 2015-2020 está basada International Labor Organization (ILO), the World Health Organization (WHO), the en los diagnósticos de situación que se han United Nations Program for Development derivado de la ejecución de la I Estrategia, así(UNDP) and other specialized agencies of Nations You together. como de las reuniones mantenidas en Comisiones Regionales Tripartitas. Establece, así

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The Millennium Development Goals, which referred to as one of its goals “decent work for all, including women and youth,” as an imperative to meet the first step of its objectives: to eradicate extreme poverty and hunger. Also Strategy 2015-2020 is based on the diagnoses of situation that have resulted from the implementation of the Strategy I, as well as meetings in Regional Tripartite Commissions. Sets and priorities for health and safety, identifying problems and establishing lines of action as a basis for the development of national public policies. And just as it happened in the development of the Strategy I, in this case the process has also been developed with the active participation and collaboration of the main preventive institutions in the Region. The Plenary Session of the Seventh Congress of Occupational Risks in Latin America, held in October 2014 in Mexico City DF, as it’s enshrined in the 2014 PREVENCIA Declaration, “expresses its support for the document of the Second Latin American Security Strategy and health at Work, developed by the American Organization of Social Security, which entrust their implementation, promotion and development, as well as regular reports on the status of implementation. Also recommend that governments, business and labor organizations, insurance companies, professional associations, educational sector and society as a whole, its commitment and adherence to the objectives set out in the document, as well as the establishment of concrete implementing measures and instruments effective implementation that bring us to the level of guarantee of human rights related to occupational Health and Safety.” The value of this II Latin American Strategy is not so much its programming principles, but their ability to put on the political agendas concrete implementing measures and instruments for effective implementation, to approach the level of assurance of the innate rights to human dignity the field of working conditions and, therefore, safety and occupational health. Thus EISST I, EISST II is a set of realistic and possible, measurable and specific, adaptable and configurable to each country through their own strategies based on the reality of its labor market objectives of the effective implementation of health and safety and its potential for economic and social development. Similarly, we have tried to have a greater alignment with the most important, especially in the global objectives that these documents establish international strategies.

garantía de los derechos innatos a la dignidad humana en el ámbito de las condiciones de trabajo y, por ende, en la seguridad y salud laborales. De este modo la I EISST, la II EISST trata de establecer un conjunto de objetivos realistas y posibilistas, medibles y específicos, adaptables a cada país y configurables a través de sus propias estrategias en función de la realidad de su mercado de trabajo, de la efectiva implantación de la seguridad y salud y de sus posibilidades de desarrollo económico y social. Del mismo modo, se ha pretendido que tenga un mayor

Under these principles and features, the strategy is structured around 11 main objectives, always with the overall aim of contributing to the continuous and progressive reduction of occupational accidents and diseases in the alineamiento con las Estrategias internacionales más importantes, especialmente en los region, with the progressive development of national structures safety and health that achieve higher levels of objetivos que estosfordocumentos efficiency inglobales this area. Objectives the 2015-2020establecen. period are: Bajo estos • principios y características, la Estrategia se articula en torno a 11 objetivos Reducing informality/Enhancing job creation with social protection. Advance incon the diagnosis of occupational and health at awork. principales,• siempre el propósito generalsafety de contribuir la reducción continua y • Improve recording of occupational accidents and diseases and harmonized indicators have accidents. • Encouraging participation and responsibility of social partners in the process of occupational health 46 and safety.

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• Strengthen regulatory structures, Inspection, Control and Surveillance of occupational safety and health. • Progress in controlling safety and health at work in subcontracting relationships. • Advance in the development of preventive health surveillance of workers as a preventive tool, in order to achieve finalist comprehensive systems of occupational hazard prevention. • Promote education and the development of a preventive culture. • Incorporate strategic planning of gender policies and the protection of minorities at work. • Promote the creation of Health and Safety at work policies and programs. • Advance the development of technical standards and adequate quality standards in the management systems of prevention, both general and specialized. 4. An approach to psychosocial risks in Latin America Obviously it is risky to generalize about psychosocial risks in the 21 countries of the Latin American Community, since the situations of each of them can be very different not only in what concerns the economic aspects of development levels, but also and the matter at hand in terms of labor and social legislation, inspection and supervision organs or self-employment status of formalization in its labor market. So each diagnosis has to be at national level and every strategy must also be particularized according to these conditions. And so one of the fundamental pillars for the construction of Latin American strategies has been conducting surveys on working conditions. Surveys have been conducted in several countries following the initially designed for the ISSO Central America in collaboration with the National Institute for Safety and Health at Work in Spain and SALTRA network of universities in the region and later model has been replicated with the appropriate adjustments by other countries such as Argentina, Colombia, Chile or Uruguay. For this reason, this approach to the situation of psychosocial risks in the region is based on the first survey conducted in six countries of Central America, Costa Rica, El Salvador, Honduras, Guatemala, Nicaragua and Panama, whose full report can be located in the website of the Latin American Organization of Social Security. http://oiss.org/estrategia/encuestas/. In this survey, the results related to psychosocial risks that were obtained were as follows:

4.1. Mental Load The indicators have been included for the study of mental load, refer to the demands of the work done to maintain a high level of care, the pace of work and aspects determining that rate. The following table shows the percentage of workers in each of the items referred report a requirement for “always” or “often” in a typical day of work is reflected 4.1.1. Attention Level: Sample distribution by country performing “always” or “often” indicated activity Maintaining a

Addressing

Perform complex,

high level of

several tasks

complicated and

attention or

simultaneously

difficult tasks

Guatemala

very high 78,8%

53,1%

33,2%

25,7%

33,3%

El Salvador

65,5%

43,6%

29,4%

44,2%

30,5%

Honduras

58,7%

35,1%

23,5%

28,0%

27,6%

Nicaragua

58,6%

46,8%

25,4%

27,1%

32,5%

Costa Rica

51,7%

36,9%

18,1%

19,2%

16,6%

Panamá

65,6%

37,3%

23,4%

35,0%

18,9%

67,6%

45,4%

27,9%

29,5%

29,0%

Country

Total Centroamérica

You need hide his own emotions in the workplace

Considers excessive work

Source: compiled from data from the IETS

Obtained data in the whole of Central America, reflecting high demands since more than half of the surveyed workforce must maintain a high level of attention or very high forever or many times ((67.6%), almost half should address several tasks simultaneously (45.4%) and almost a third to undertake complex tasks (27.9%), you need to hide emotions (29.5%) and considers its overwork (29%).

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4.1.2. Task requirements Data in the table below shows a similarly high demand in most countries, as “always” or “often”, it is necessary to work very fast to over 29% of workers surveyed in Honduras, and 55, 8% in Guatemala, as outliers. And working with very strict and tight deadlines is common for more than 35% of the population surveyed, again with the highest 41.4% in Guatemala value. Task requirements by country Country

You need to work very fast You need to work with tight deadlines and very short

Guatemala

55,8%

41,4%

El Salvador

46,3%

43,8%

Honduras

29,3%

26,9%

Nicaragua

30,2%

24,9%

Costa Rica

31,0%

27,1%

Panamá

54,5%

34,2%

44,9%

35,8%

Total Centroamérica

Source: compiled from data from the IETS

The determinants of pace of work are mainly the direct control of your boss (47.8% compliance deadlines (44.7%), direct demands of clients (41.3%) and goals or number of products (41%). it also reveals a certain lack of autonomy.

Sample distribution by country as determinants of work pace (often “always” or “often”) Speed

Country

The speed

Direct demands

automatic

of work of

of the people that

machines

colleagues relates to their work

The goals

The time

and / or

limits to

direct

quantity

be met

control of

or moving

(customers, users,

of goods

products

etc.)

and / or

The

your boss

The traffic on the street

services to Guatemala

13,3%

15,5%

38,2%

achieve 37,5%

37,5%

44,9%

11,4%

El Salvador

28,9%

32,3%

48,8%

44,1%

49,3%

63,1%

21,9%

Honduras

12,9%

15,1%

34,5%

29,7%

32,4%

47,4%

9,7%

Nicaragua

16,2%

29,6%

41,2%

44,1%

51,9%

50,1%

10,4%

Costa Rica

17,2%

12,4%

30,5%

29,6%

41,0%

32,3%

10,3%

Panamá

27,3%

28,2%

48,6%

54,3%

57,6%

44,1%

21,3%

Total

18,6%

22,2%

41,3%

41,0%

44,7%

47,8%

13,9%

Centroamérica Source: compiled from data from the IETS

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4.1.3. Autonomy at work In relation to the autonomy enjoyed by the worker to decide on labor issues, the following table reflects the percentage of respondents who replied that “rarely” or “never” can decide on this aspect of their work. Thus in most countries the distribution and/or length of breaks is the aspect that can least decide. Sample distribution by country as job autonomy (often never or rarely) The order of

The working

tasks

method

Guatemala

11,8%

12,7%

9,8%

of work breaks 16,5%

El Salvador

13,0%

12,9%

13,1%

20,9%

Honduras

11,5%

11,8%

11,2%

16,0%

Nicaragua

14,3%

15,0%

10,6%

14,1%

Costa Rica

15,7%

15,5%

13,8%

17,6%

Panamá

12,4%

12,0%

10,8%

20,3%

12,8%

13,3%

11,2%

17,4%

Country

Total Centroamérica

The pace of work

Distribution and / or duration

Source: compiled from data from the IETS

4.1.4. Work conditions An important aspect in terms of working conditions, is the formalization of labor (the survey was conducted in homes and not in the workplace to detect these situations). Still as shown in the following table, people without legal cover occupational hazards have worse conditions in their workplace.

Index measuring working conditions Are you registered for your employer as an insured worker with Social Working conditions

frequency

Contents

Security? no

It offers clear and sufficient information to perform properly

Get information and training from the company

The schedules are fixed by the company with no possibility of change

It is free to decide holidays and days off

It has a chance to do what it does best

You can implement your own ideas at work

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Always Many times sometimes A few times Never Always Many times sometimes A few times Never Always Many times sometimes A few times Never Always Many times sometimes A few times Never Always Many times sometimes A few times Never Always Many times sometimes A few times Never

coverage 75,19 11,21 7,92 2,87 2,81 54,25 10,41 14,10 8,36 12,88 64,63 9,45 12,17 4,99 8,77 29,91 6,47 13,44 14,21 35,97 58,36 10,56 14,89 7,60 8,59 51,13 10,89 16,38 8,07 13,53

no coverage 61,75 12,39 12,81 5,20 7,84 24,12 6,82 12,07 11,66 45,33 50,70 10,16 11,51 9,23 18,40 23,59 6,71 11,31 12,40 45,99 45,80 8,97 18,46 12,20 14,58 46,45 9,22 18,98 9,86 15,49

coverage

1,5

1,8

2,2

3,5

1,8

2,3

3,2

3,5

2,0

2,4

2,2

2,4

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You can get help from peers if you ask

You can get help from superiors / chiefs if asked

Personal relationships are positive

Always Many times sometimes A few times Never Always Many times sometimes A few times Never Always Many times sometimes A few times never

61,47 13,49 16,20 4,98 3,86 52,65 13,03 18,58 7,28 8,46 74,77 11,45 10,30 2,24 1,23

54,34 11,42 17,30 7,17 9,77 44,64 10,90 18,22 10,77 15,47 69,58 13,52 11,20 3,17 2,53

1,8

2,1

2,4

1,4

1,6

Total Base and study excluded Not applicable DK / NR. The coefficients are assigned to the various attributes of the indicator are: 1 “Always”, 2 “Many times”, 3 “Sometimes”, 4 “Very few times and” 5 “Never”. Source: compiled from data from the IECCTS From the analysis of the tables mentioned above, an initial analysis should be extracted in terms of mental workload and working conditions likely to cause workplace stress: • In relation to mental load, maintain a high level of attention or very high (57.6%) and attending several tasks simultaneously (45.4%) are the issues that generally are seen more among the population active. • In relation to mental load, maintain a high level of attention or very high (57.6%) and attending several tasks simultaneously (45.4%) are the issues that generally are seen more among the population active. • As for the control over the work, except in Costa Rica, in other countries the percentage of workers who have the ability to decide on days off and holidays as well as the possibility of changing times are quite low. • Just over 50% of the surveyed population can work comfortably (53%), make the necessary movements (58.4%) and changing positions (55.8), at least more than half of the day of work.

• More than 75% of working people indicate that they have enough time to do their job and 81.1% have clear and sufficient to properly perform their job information. • Percentage of workers who believe that personal relationships in the business, peer and / or boss are positive in all countries round 80%. • Workers who are covered under Social Security manifest conditions of safety and health at work better than those who do not have such coverage. 4.2. Violence at work The occupational exposure to violent behavior can be divided into two types: physical violence and psychological violence: 4.2.1. Physical violence To detect the physical violence, the questionnaire workers were asked if they were subjected in the past twelve months behaviors of physical violence committed by people with whom they worked, by people related to the workplace (patients, students, ...) , by criminals or if they have been sexually unwanted claims. In all countries, the most common problems are related to physical violence committed by criminals, especially in Honduras (14%), but in general all of them a high rate of violence related to high levels of crime appears.

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Sample distribution by country according to physical violence at work Physical violence

Physical violence

Unwanted sexual claims

committed by people

committed by

(harassment and / or

Guatemala

working with you 3,4%

related to the workplace 3,3%

criminals 7,9%

sexual abuse) 0,7%

El Salvador

1,9%

1,3%

9,3%

2,8%

Honduras

2,0%

4,5%

14,0%

1,4%

Nicaragua

3,0%

4,9%

7,8%

1,1%

Costa Rica

2,8%

4,5%

9,2%

1,9%

PanamĂĄ

0,6%

2,3%

4,4%

1,6%

2,7%

3,4%

8,7%

1,4%

Country

Total CentroamĂŠrica

Source: compiled from data from the IETS

4.2.2. Psychological violence In order to understand the behavior of mobbing workers he was asked if in the last twelve months a person or persons with whom he worked had been to him, any conduct of those included in the survey and could be considered as psychological violence.The frequency of such actions can occur daily, at least once a week, sometimes a month, sometimes a year or never. The results indicate the frequency of exposure of workers who have responded that they were exposed daily or at least once a week. As shown in the following Table, the highest percentage, it is distributed in the difficulty to communicate (3.4%). In Guatemala the percentage of workers who claims to be discredited in their work environment is very high, reaching 6.8% of surveyed workers and this country which has the highest rates in all questions. By contrast the data of the answers given to the question of direct threats are relatively low, except again in Guatemala where 2% rise.

Sample distribution by country as psychological violence at work. They put difficulty

Le discredit /

communicating

devalue personally

threatened that

declined

late or

or professionally

the company

since and /

inconsistent

has to pay

or salary

Country

threats

They have

salaries in the

They pay

with the provisions of

Guatemala

4,5%

6,8%

2,0%

month 2,0%

1,3%

the contract 3,0%

El Salvador

3,5%

1,6%

0,7%

0,3%

0,8%

Honduras

4,4%

1,8%

0,5%

1,5%

0,5%

2,6%

Nicaragua

4,8%

2,8%

1,0%

1,1%

0,3%

1,4%

Costa Rica

3,1%

2,1%

0,6%

0,5%

0,4%

2,6%

PanamĂĄ

2,8%

1,6%

0,4%

0,1%

0,3%

3,4%

3,6%

1,1%

0,6%

2,0%

Total CentroamĂŠrica

Source: compiled from data from the IETS

At the same time, if these data are disaggregated by workers are or not covered by social protection systems, the chart below, shows that in all situations evaluated the percentage of people who have suffered some situations Workplace violence is always higher among those without coverage among those who do have it

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Percentage of workers who during the last year have suffered psychological violence Cobertura

88,30% 86,60%

13,40%

14,10%

Sí

Nunca

Dif icultades para comunicarse

Sí

94,50% 92,60%

87,90% 85,90%

7,50%

12,00%

11,80%

Nunca

Sí

92,80% 87,70%

12,30% 7,10%

5,50%

Le desacreditan

No Cobertura

Nunca

Le amenazan

Sí

95,40%93,50%

16,10% 8,60%

6,40% 4,60% Nunca

Amenazan con no pagarle

Sí

91,40% 83,90%

Nunca

Le han disminuido de puesto/salario

Sí

Nunca

Pagan atrasado o no acorde al contrato

Source: compiled from data from the IECCTS

If the sample by gender is segmented, it is observed that in general there are no significant differences between men and women, except that, in all countries, a higher percentage of sexual claims takes undesirable in women than in men.

Percentage of working people during the past year have experienced physical or psychological violence and sex by country Guatemala Physical violence committed by people working with

Mujer

El Salvador

Hombre Mujer

Honduras

Nicaragua

Hombre Mujer Hombre Mujer

Costa Rica

Hombre Mujer

Panamá

Hombre Mujer

TotalCentroamérica Hombre Mujer

Hombre

2,8%

3,8%

1,3%

2,3%

1,6%

2,2%

2,8%

3,2%

2,9%

2,8%

0,3%

0,7%

2,2%

2,9%

3,1%

3,5%

1,2%

1,3%

5,8%

4,1%

5,9%

4,5%

5,0%

4,4%

2,6%

2,2%

3,5%

3,4%

7,3%

8,4%

7,6%

10,5% 13,7% 14,1%

6,8%

8,3%

5,9%

10,6%

4,0%

4,6%

7,5%

9,3%

1,0%

0,6%

4,1%

1,9%

2,2%

2,4%

0,5%

2,6%

1,6%

4,0%

0,7%

2,3%

1,0%

20,6% 19,7%

6,9%

8,6%

15,0% 12,4% 16,0% 13,0%

8,3%

5,7%

4,7%

3,3%

13,6%

11,7%

18,3% 21,6%

6,9%

8,4%

14,6% 11,9% 13,5%

8,8%

8,4%

7,8%

11,5%

7,1%

13,3%

12,7%

9,6%

13,3%

4,3%

3,5%

2,6%

5,8%

3,5%

4,3%

4,7%

2,3%

1,6%

5,6%

6,7%

18,0% 17,1%

5,5%

5,9%

9,7% 12,0%

6,4%

7,9%

3,4%

3,1%

2,2%

2,1%

9,6%

9,2%

6,0%

11,8%

5,2%

3,0%

2,0%

4,4%

5,7%

5,4%

3,7%

4,0%

0,3%

0,8%

4,4%

5,9%

17,8% 20,2%

5,6%

4,3%

14,0% 16,9%

8,8%

11,4% 10,1%

7,8%

4,2%

3,1%

11,4%

11,9%

you Physical violence committed by people related to the workplace Physical violence committed by criminals Unwanted sexual claims (harassment and / or sexual abuse) They put difficulty communicating Le discredit / devalue personally

1,1%

or professionally Threaths Would threaten not to pay wages They have declined since and / or salary They pay late or inconsistent with the provisions

Source: compiled from data from the IETS

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Data set obtained after analysis of the aspects related to violence at work Sample Survey of the Central I can highlight the following partial conclusions: • Physical violence committed by criminals is the most common in all countries (8.7% for all of Central America) problem. • In all countries and with regard to psychological work-related, the highest percentage is obtained for the difficulties of workers to communicate. In Guatemala the percentage of workers who said they discredited in their work environment is very high, reaching 6.8% of total workforce. • In all aspects valued on psychological harassment, workers who have suffered some situations, is higher among those without social coverage. • In all countries a higher percentage of unwanted sexual desires in women than in men is produced. 4.3. Other aspects related to psychosocial factors Regarding the presence of certain psychological symptoms, the following table shows the percentages of all those workers who answered that in the last 4 weeks, sometime (Nothing) have been able to do these shows Sample distribution by country as psychological symptoms

Country

It has been able

Have you

Have you felt

It has been able

It has been

to concentrate

felt useful

felt capable

able to enjoy

to address their

happy

well in making

to others

of making

everyday life

problems

all things

3,0%

4,6%

considered 4,2%

Guatemala

1,7%

3,7%

decisions 2,8%

El Salvador

1,5%

1,0%

1,1%

1,2%

1,7%

2,4%

Honduras

0,4%

0,9%

1,2%

1,0%

1,8%

2,5%

Nicaragua

0,7%

4,2%

3,1%

4,7%

1,7%

2,7%

Costa Rica

1,7%

2,0%

1,5%

2,9%

2,6%

5,7%

Panamá

0,4%

11,1%

1,4%

1,1%

1,6%

1,1%

1,3%

3,6%

2,2%

2,6%

3,0%

3,4%

Total Centroamérica

Source: compiled from data from the IETS 84

The perception of not being useful the highest percentage for total Central America (3.6%), clearly influenced by the high percentage of workers who so manifest in Panama (11.1%). By country, El Salvador and Honduras have rates not higher than 3% in any respect. Nicaragua reflects percentages above 3% in three of the items evaluated: feeling useful (4.2%) being able to make decisions (3.1%) and being able to enjoy life 4.7%). Finally Costa Rica reached 5.7% of surveyed population indicates not feel happy. Linked with these issues, and as reflected in the table below, 16% of all surveyed workers have lost sleep over major concerns than usual in the last 4 weeks. And a little lower percentage (13.4%), said feeling constantly under stress. Similarly, 11% have depressed. A remarkable fact is the very low percentage of workers who have suffered any of these situations in Panama, compared to other countries. Sample distribution by country as mental state PaĂs

He has lost

It has constantly felt

sleep over worry

Guatemala El Salvador Honduras Nicaragua Costa Rica PanamĂĄ Total CentroamĂŠrica

19,0% 13,4% 17,5% 16,8% 17,2% 1,8% 16,0%

Have you

He has lost

He felt that you

under pressure

felt sad or

confidence in

are worthless

16,3% 11,9% 14,2% 12,1% 14,4% 1,9% 13,4%

depressed 12,7% 12,5% 8,9% 11,5% 12,3% 1,0% 11,0%

itself 5,7% 7,7% 4,8% 2,9% 4,2% 0,3% 4,9%

3,5% 5,9% 2,9% 1,6% 3,4% 0,1% 3,2%

Source: compiled from data from the IETS

Observatory of Psychosocial Risks. UGT

international

on psychosocial risks prevention and quality of life at work

Data set obtained after analysis of the aspects perceived in terms of the psychological aspects of the work, very different rates between countries are presented. Most highlighted percentages are: • In Panama 11% of the working population has not felt useful to others at any time. • Between 13% and 19% of the workforce in all countries (except for Panama) have lost sleep over worries. • Between 13% and 19% of the workforce in all countries (except for Panama) have lost sleep over worries. • Between 9% and 13% have felt sad or depressed (except Panama). 5. Law and rule on psychosocial risks in Latin America As can be seen by this brief review of working conditions, psychosocial risks are also a reality in Latin America and its causes are also common to other geographical areas although in this case, perhaps aggravated by the high levels of informality and lack of social protection in many of the countries. And also the legal regulation in relation to psicosocial-occupational risk is different in the countries of the Latin American region. On the one hand as to whether it is comprehensive legislation, contained in some other Occupational generic or specific risks such risks.And secondly, in terms of this legislation, either generic or specific, is also different in the countries to be some national character and other regional or provincial (in Annex to this article references are collected basic legislation on the prevention of occupational hazards in 17 Latin American countries). So, although it is difficult to structure the kind of regulation on psychosocial risks in the countries, you can make an approach to it, grouping existing regulations in two models: 5.1. Generic model A first model, would be the countries which have opted for a legislative undifferentiated treatment, and therefore non-specific, psychosocial risk of work-related origin, such as Argentina, Mexico, El Salvador... 5.2. Specific model A second model, which provides in its legislation the prevention and treatment of psychosocial risks, or at least

Un segundo modelo, que contempla en su legislación la prevención y el tratamiento de los riesgos psicosociales, o al menos alguno de ellos – en especial el acoso moral en el trabajo como pueden ser Venezuela, Colombia, Chile…Sería erróneo indicar que aquellos países que cuentan con una regulación específica están en condiciones de afrontar más eficazmente el problema y de mitigarlo en todos los planos en que se produce. Nada más fuera de la realidad, seguramente con su combinación de ambos modelos se obtendrían los mejores resultados. Por lo tanto, la ni es una condición necesaria, ni astampoco una Colombia, condición Chile... some of them -regulación especiallyespecífica the moral harassment in the workplace such Venezuela, suficiente, para establecer y aplicar políticas de gestión de riesgos are psicosociales It would be wrong to suggest that those countries with specific regulations in positionentolastackle the problem organizaciones. more effectively and mitigate at all levels at which it occurs. Nothing out of reality, surely with its combination of both En este sentido se abre un interesante reto para la Estrategia Iberoamericana de models to better results. yTherefore, specificcomo regulation is a necessary sufficientde condition Seguridad Salud en elnoTrabajo, un instrumento básico nor paraaestablecer forma to establish and implement policies for psychosocial risk management in organizations condition or. consensuada el marco general en el que se desarrollen las políticas de Seguridad y Salud y, en especial, las políticas hacia los riesgos psicosociales en la Región. In this sense an interesting challenge to the Latin American Security Strategy and Health at Work opens as a basic instrument to establish by consensus the general framework in which health and safety policies are developed and, 6. La prevención de los riegos psicosociales en la OISS in particular, policies to psychosocial risks in Las aportaciones en la mejora dethe las region. condiciones de seguridad y salud en el trabajo que se recogen en la II Estrategia de Seguridad y Salud en el Trabajo para el periodo 2015se concretanrisks en acciones 6. Prevention 2020, of psychosocial in ISSO específicas que la OISS pone a disposición de los agentes preventivos de países de laset Región queStrategy se encuentran la Health web at Work for the Contributions in improving safety and los health at work out inythe II Safetyenand www.oiss.org/estrategia, entre las que los riesgos psicosociales tienen un papel period 2015-2020, are defined in specific actions the ISSO offers agents preventive countries in the region and destacado.

Observatory of Psychosocial Risks. UGT

international

on psychosocial risks prevention and quality of life at work

found on the web www.oiss.org/estrategia, including psychosocial risks have a prominent role. Entre related otras, algunas acciones relacionadas riesgos psicosociales que pueden Among others, some actions to psychosocial risks that cancon be los highlighted are: destacarse son: 6.1.Self-assessment for micro enterprisespara andPYME’s SME’s y microempresas 6.1. Autoevaluación This is an online help with the identification and evaluation of risks and planning measuresdetoriesgos be taken Se trata de una ayuda online para realizar la identificación y evaluación y laby these planificación de las medidas a adoptar por parte de estas empresas que, por companies, by their size, may have a more difficult access to other measures. Employers can with this su tool and in dimensión, pueden tener difícil acceso otroworkplace. tipo de medidas. Loshave empleadores, a very simple way, assessing occupational risksun ofmás greater impact ona the In it, we incorporated the pueden con esta herramienta y de una forma muy sencilla, valorar los riesgos laborales working conditions related to social psychology, such as work organization, mental load, dissatisfaction, monotony, de mayor incidencia en sus centros de trabajo. En ella, se han incorporado las

work rhythms, etc.

condiciones de trabajo relacionadas con la psicosociología, como pueden ser la organización del trabajo, carga mental, insatisfacción, monotonía, ritmos de trabajo, etc. 6.2. Capacitación básica técnica La OISS dispone de una plataforma de capacitación on line en la que se han incluido más de 20 cursos gratuitos en Seguridad y Salud en el Trabajo, dirigidos a empleadores y representantes de los trabajadores. En lo que se refiere a los riesgos psicosociales, en

6.2. Basic technical training The ISSO has an online training platform in which they have included more than 20 free courses on Safety and Health at Work, aimed at employers and workers’ representatives. As regards the psychosocial risks, they are now available specifically, an eight hours course on “Mobbing” teaching andanspecialized 50 hours course on Psychosociology. ISSO also offers a Master Protection and Prevention of Occupational Risks annually, blended, in collaboration with the University of Alcalá (Spain) with a workload of 600 hours. 6.3. Preventive Disclosure Materials Among the preventive disclosure materials that the Organization makes available to the countries, there are several related to the prevention of psychosocial risks, in diptych format, and “preventive manuals.”

6.3. Materiales de Divulgación preventiva Entre los materiales de div la Organización pone a disp encuentran varios relacionad los riesgos psicosociales, e “manuales preventivos”.

6.4. Vacunas preventivas Se trata de infografías, que muestran de una forma sencilla y Observatory of Psychosocial Risks. UGT visual, 89 los riesgos laborales y su prevención (http://www.oiss.org/estrategia/Vacunate-contra-el-estres.html )

Entre los materiales de divulgación preventiva que la Organización pone a disposición de los países, se encuentran varios relacionados con la prevención de los riesgos psicosociales, en formato díptico, y en “manuales preventivos”.

international

on psychosocial risks prevention and quality of life at work

6.4. Preventive vaccines They are computer graphics, showing in a simple and visual way, occupational hazards and their prevention(http:// www.oiss.org/estrategia/Vacunate-contra-el-estres.html )

ran de una forma sencilla y es y su prevención

a-el-estres.html )

ión podría decirse que la ociales en Iberoamérica no o y, en concreto de las de

condiciones del trabajo realizadas en distintos países So, in ordersi to conclude, could say the view of psychosocial risks in Latin America is no different from the tados similares, bien y one según lasthat circunstancias rest of the world and particularly in Europe. esaltar algunas características específicas, como las lictual o, This más comúnmente, con la existencia de is demonstrated by the working conditions surveys carried out in different Latin American countries that show ue conllevan, su vez, faltaand deaccording protección social. similararesults, although to the characteristics of any of these circumstances, it is worth noting some specific features, such as those involving criminal violence or, roamericana de Prevención de Riesgos Laborales, en more commonly, with the existence of high levels of informality that lead, in turn, lack of social protection. one a disposición de las autoridades, empresarios y as para Against la consecución de sus objetivos, han this I and II Iberoamerican Strategy on Prevention of Occupational Hazards, in which the development of anzar en ISSO la available consecución de mayores niveles dedifferent tools to achieve their objectives, have proved to the authorities, employers and employees for progressde in achieving levels of prevention in general and, in particular, prevention of psychosocial cular, de useful prevención riesgoshigher psicosociales. Una risks. A task in which it is necessary to continue insisting permanently and, of course, the ISSO will continue to istiendo permanentemente y a la que, desde luego, la mayores esfuerzos. 90

devote their best efforts. ANNEX Annex policy on prevention of occupational risks and prevention of psychosocial risks in Latin America PERU Decreto 005- 2012- TR Reglamento de la Ley de Seguridad y Salud en el Trabajo, Nº 29783. Perú Decreto Supremo Nº010-2003-MIMDES Reglamento de la Ley Nº27942 Ley de Prevención y Sanción del Hostigamiento Sexual. Resolución Ministerial N° 375-2008-TR, sobre la Organización del Trabajo EL SALVADOR Decreto 89/2012 Reglamento General de Prevención de Riesgos en los Lugares de Trabajo. Ministerio de Trabajo y Previsión Social, Decreto Supremo Nº 109 Reglamento para la Calificación y Evaluación de los Accidentes del Trabajo y Enfermedades Profesionales. MEXICO Ley Federal del Trabajo, texto vigente, última reforma publicada DOF 30-11-2012. Estados Unidos Mexicanos Reglamento Federal de Seguridad, Higiene y Medio Ambiente de Trabajo de 2014 COLOMBIA Ley 1562/2012, Sistema de Riesgos Profesionales Resolución 002646 de 17 de Julio de 2008 del Ministerio de la Protección de Colombia sobre como las empresas deben diagnosticar, monitorerar e intervenir los Factores de Riesgo Psicosociales Laborales. Plan Nacional de Seguridad y Salud Ocupacional HONDURAS Acuerdo Ejecutivo No. STSS-001-02 por el que se aprueba el Reglamento general de medidas preventivas de accidentes de trabajo y enfermedades profesionales publicado el 5 de enero de 2002.

Observatory of Psychosocial Risks. UGT

international

on psychosocial risks prevention and quality of life at work

NICARAGUA LEY GENERAL DE HIGIENE Y SEGURIDAD DEL TRABAJO LEY No. 618, Aprobada el 19 de Abril del 2007 COSTA RICA Ley No. 6727 SOBRE RIESGOS DEL TRABAJO Reglamento General de los Riesgos del Trabajo. Decreto No. 13.466-TSS del 24 de marzo de 1982. Y sus reformas Reglamento General de Seguridad e Higiene de Trabajo, Decreto Ejecutivo No. 1 del 2 de enero de 1967 y sus reformas. ECUADOR REGLAMENTO N. 565 de SEGURIDAD Y SALUD DE LOS TRABAJADORES Y MEJORAMIENTO DEL MEDIO AMBIENTE E TRABAJO. PANAMA RESOLUCIÓN N-45,588-2011REGLAMENTO GENERAL DE PREVENCIÓN DE LOS RIESGOS PROFESIONALES Y SEGURIDAD E HIGIENE EN EL TRABAJO.

CHILE Ley 16.744 de Riesgos del Trabajo Protocolo de vigilancia de riesgos psicosociales en el trabajo del Ministerio de Salud de Chile Metodología SUSESO ISTAS 21: CUESTIONARIO DE EVALUACIÓN DE RIESGOS PSICOSOCIALES EN EL TRABAJO del Instituto de Seguridad Laboral de Chile ARGENTINA Ley N° 24.557 Son objetivos de la Ley sobre Riesgos del Trabajo (LRT): Ley 19.587 de 1972, Higiene y Seguridad en el Trabajo

Resoluciones SRT N° 01/05 y N° 1579/05 de la SRT sobre la LEY DE HIGIENE Y SEGURIDAD EN EL TRABAJO Resolución 523/2007 “Directrices Nacionales para los sistemas de gestión de la Seguridad y la Salud en el Trabajo” Estrategia Argentina de Salud y Seguridad en el trabajo BRASIL Lei n° 2.369, de 2003, sobre assédio moral nas relações de trabalho. Resoluçao MPS/CNPS Nº 1.253, DE 24 de novembro de 2004 PORTARIA INTERMINISTERIAL MPS/MS/MTE Nº 800, DE 3 de maio de 2005 Decreto N º 7602, del 7 de noviembre del 2011 sobre la Política Nacional para la Seguridad y Salud en el Trabajo. Lei nº 3921, de 23 de agosto de 2002 de rio de Janeiro y Lei Nº 12.250, de 9 de fevereiro de 2006 de Sao Paulo PARAGUAY DECRETO Nº 14.390/92, Reglamento General Técnico de Seguridad, Higiene y Medicina del Trabajo URUGUAY Decreto 291 del 13 de agosto de 2007. Seguridad y salud de los trabajadores y medio ambiente de trabajo. VENEZUELA Ley Orgánica de Prevención, Condiciones y Medio Ambiente de Trabajo (Lopcymat) DE LOS SERVICIOS DE SEGURIDAD Y SALUD EN EL TRABAJO Decreto nº 8.938 Ley Orgánica del Trabajo, los Trabajadores y las Trabajadoras PORTUGAL Ley 9/204 Código del Trabajo Decreto 347/93 y Portaria 987/93 REPUBLICA DOMINICANA REGLAMENTO DE SEGURIDAD Y SALUD EN EL TRABAJO Decreto Núm. 522-06, del 17 de octubre de 2006

Observatory of Psychosocial Risks. UGT

Some european comparative experiences: France, Italy, Portugal

LA PREVENTION DES RPS: L’EXEMPLE FRANÇAIS DU HARCELEMENT

Alexis Triclin Maître de Conférences Universidad de Versalles

international

on psychosocial risks prevention and quality of life at work

Summary 1. Introduction 2. La nécessaire procédure de traitement du harcèlement 2.1. La potentielle mise en œuvre des mécanismes d’alerte 2.1.1. Le droit de retrait 2.1.2. Le droit d’alerte 3. L’éventuelle procédure informelle de traitement du harcèlement 4. Le devoir de l’employeur de diligenter une enquête interne 5. L’alternative d’une démarche de médiation 6. La délicate clôture de l’instruction 6.1. Le choix de la sanction disciplinaire à la seule appréciation de l’employeur 6.2. La poursuite du contrat de la victime

1. Introduction En vertu de son obligation de sécurité de résultat, l’employeur doit en France empêcher par tout moyen l’apparition de faits harcelants. La prévention du harcèlement moral est une nécessité car dès lors que de tels agissements sont présents dans l’entreprise, les juges condamnent l’employeur. Ainsi, comme vu précédemment, l’employeur ne peut faire l’impasse sur la prévention de ce risque. La Cour a pu juger que quand bien même un employeur aurait pris immédiatement des mesures pour faire cesser des agissements de harcèlement, il est considéré comme ayant manqué à son obligation de sécurité de résultat du salarié victime1. Les mesures de traitement du harcèlement moral ne suffisent donc pas et ne peuvent à elle seules satisfaire l’obligation de préserver la santé des salariés. Cependant, si des faits de harcèlement se développent l’employeur doit agir et ne pas laisser la situation se détériorer. Malgré toutes les mesures entreprises pour préserver la santé des salariés, malgré une prévention, aussi perfectionnée soit elle, ne peut empêcher que des salariés soient victimes de harcèlement moral. Lorsque des preuves de harcèlement sont apportées par le salarié, il appartient à l’employeur de faire cesser ces agissements au plus vite et d’entamer une procédure permettant de vérifier la matérialité des faits et d’apporter au salarié soutien et écoute. Le déclenchement de certaines mesures peut permettre d’enrayer la situation et d’apporter une solution en dehors de toute saisine du juge. Cette phase est très importante et ne doit pas être négligée par l’employeur en vertu de l’article L.1152-1 du Code du travail qui lui incombe de faire cesser tout agissement de harcèlement moral. L’employeur dispose de divers moyens pour mettre un terme aux situations harcelantes. Ces moyens ont été identifiés lors de l’élaboration de la charte de prévention et de traitement de ces situations. L’employeur doit alors la mettre en œuvre, en respectant les délais et les conditions de procédure définis. Il peut tout d’abord si besoin mettre en place les mesures conservatoires nécessaires à la cessation immédiate de la dégradation de la santé du salarié. Un entretien avec ce dernier est une étape indispensable du processus. Ensuite, l’employeur doit vérifier la matérialité des faits en diligentant une enquête. En fonction de l’analyse des preuves et témoignages, si le harcèlement est avéré, il a le pouvoir de sanctionner l’auteur des faits.

Cass, soc. 11 mars 2015, n° 13-18.603

Observatory of Psychosocial Risks. UGT

international

on psychosocial risks prevention and quality of life at work

La loi de modernisation sociale de 2002 2 a également mis en place une procédure de médiation pour régulariser la situation et essayer de rétablir le dialogue entre les deux protagonistes en vue de trouver une solution. L’ANI de 2010 préconise également cette démarche en son article 4-2. De plus, l’accord astreint, en son article 5, l’employeur à prendre toutes les mesures d’accompagnement des salariés agressés permettant de lui apporter un soutien sur le plan médical mais également psychologique. 2. La nécessaire procédure de traitement du harcèlement 2.1. La potentielle mise en œuvre des mécanismes d’alerte Il existe deux mécanismes d’alerte, à l’initiative du CHSCT, des délégués du personnel et du salarié lui-même, à savoir le droit d’alerte et le droit de retrait. Tous deux sont des mesures immédiates de protection du salarié. 2.1.1. Le droit de retrait Le mécanisme d’alerte prévu par l’article L.4131-1 du Code du travail octroi au salarié le droit de se retirer de toute situation présentant un danger grave et imminent pour sa vie ou sa santé. Son objectif est double. Tout d’abord, il permet au salarié d’informer son employeur des actes harcelants dont il est victime mais également de se retirer de cette situation. Pour être exercé les deux exigences données dans la définition ci-dessus doivent être remplies. Nul ne saurait contester la dangerosité des faits de harcèlement sur la santé de la personne qui est en victime. L’autre condition semble quant à elle plus difficile à démontrer. L’imminence du danger permettant la mise en place de ce mécanisme est en contradiction avec la définition même du harcèlement moral, qui exige pour être caractérisé des agissements répétés et ainsi une certaine pérennité dans le temps. Le 21 décembre 2000 une proposition de loi sénatoriale estimait qu’il n’y avait aucune incompatibilité entre les deux notions puisqu’il « est avéré que dans certains cas les pressions psychologiques exercées sur la 2 Loi n° 2002-73 du 17 janvier 2002, article 171 : « Une procédure de médiation peut être engagée par toute personne de l’entreprise s’estimant victime de harcèlement moral ou sexuel. Le médiateur est choisi en dehors de l’entreprise sur une liste de personnalités désignées en fonction de leur autorité morale et de leur compétence dans la prévention du harcèlement moral ou sexuel. Les fonctions de médiateur sont incompatibles avec celles de conseiller prud’homal en activité. » Repris à l’article L.1152-6 du Code du travail 100

victime sont d’une telle intensité qu’elles mettent en péril l’intégrité psychologique de celle-ci. Ainsi, le salarié pourra dans ce cas légitimement se soustraire aux pressions qu’il subit en exerçant le droit de retrait »3. Cependant cette proposition n’a pas été retenue par le législateur. Certains juges du fond ont pu admettre l’exercice du droit de retrait par les salariés4. La Cour d’appel de Riom a notamment considérée qu’en exerçant son droit de retrait, la salariée harcelée par son supérieur hiérarchique avait pu raisonnablement penser à un danger grave et imminent5. A ce jour, la Cour de Cassation n’a quant à elle pas émit de décision précise en ce sens. Dans un arrêt du 9 octobre 2013, la Haute Juridiction avait la possibilité de s’interroger sur cette question et d’y apporter une réponse, mais n’en a rien fait. Pour autant, elle n’exclut pas formellement l’exercice de ce mécanisme d’alerte au profit du salarié victime de harcèlement6. Pour autant, le droit de retrait présente un intérêt du fait de son caractère provisoire. Il permet à l’employeur, ainsi qu’au salarié, de cesser la situation harcelante, le temps d’y remédier. 2.1.2. Le droit d’alerte Le CHSCT dispose également d’un moyen de prévenir l’employeur des agissements de harcèlement dont fait l’objet un salarié, à savoir le droit d’alerte. Cette faculté est prévue à l’article L.4131-2 du Code du travail7. La principale différence avec le droit de retrait du salarié réside dans le fait que cette procédure ne peut être déclenchée qu’en cas de danger grave et imminent avéré tandis que le droit de retrait peut être mis en œuvre par la simple croyance légitime de ce danger par le salarié.

3 Proposition de loi n°168 du 21 décembre 2000. 4 CA de Versailles, 15e chambre du 28 mars 2012, n°10/01432. CA de Lyon du 21 octobre 2004 n°2001/03100. CA d’Angers du 1e février 2011, n°09/01852. 5 CA Riom, 4e ch soc, 18 juin 2002, n° 01/00919 6 Cass, soc. 9 octobre 2013, n°12-22.288 7 Article L.4131-2 du Code du travail : « Le représentant du personnel au comité d’hygiène, de sécurité et des conditions de travail, qui constate qu’il existe une cause de danger grave et imminent, notamment par l’intermédiaire d’un travailleur, en alerte immédiatement l’employeur selon la procédure prévue au premier alinéa de l’article L. 4132-2. » Observatory of Psychosocial Risks. UGT

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Les délégués du personnel ont eux aussi, depuis la loi du 31 décembre 1992, le droit d’alerter l’employeur de toute atteinte à la santé des salariés qui peuvent survenir. La loi du 17 janvier 2002, et l’article L.2313-2 du Code du travail8, ont étendu ce droit aux atteintes à la santé physique et mentale des salariés. C’est en 20129 que ce droit a été ouvert expressément pour les faits de harcèlement moral. La notion de danger grave et imminent n’étant pas reprise, il est alors plus aisé d’exercer ce droit. L’article précité contraint l’employeur, alerté par les délégués du personnel, de procéder à une enquête sans délai pour remédier à la situation. 3. L’éventuelle procédure informelle de traitement du harcèlement Dès lors que l’employeur est alerté, par les institutions représentatives du personnel ou un salarié, de faits présumés de harcèlement, ce dernier doit diligenter une enquête. Les faits peuvent être portés à la connaissance de l’employeur par écrit ou par oral. Si le salarié informe l’employeur par le biais d’une lettre alors il est plus aisé d’analyser les faits et les circonstances. Pour la Cour, l’employeur qui ne réagit pas alors qu’il a connaissance de l’existence d’éventuels faits de harcèlement moral commet une abstention fautive10. L’accord national de 2010 contraint également l’employeur à traiter les plaintes sans retard et à réaliser une enquête. La plupart du temps cette enquête débute par un entretien entre le responsable ou le directeur des Ressources Humaines et le salarié à l’origine de la plainte. Il a pour objectif d’analyser la situation, d’écouter et de soutenir le salarié. Il permet également de prendre les mesures immédiates et conservatoires nécessaires pour désamorcer la situation conflictuelle. En effet, si au regard des faits rapportés il semble nécessaire de sortir le salarié au plus vite de cette situation alors l’employeur peut, sans attendre la fin de l’enquête, mettre en place des mesures en ce sens. Il peut s’agir d’un changement d’horaire ou d’affectation. Il faut cependant que l’employeur soit prudent car de telles mesures peuvent être assimilées à une sanction disciplinaire. 8 Article L.2313-2 du Code du travail : « Si un délégué du personnel constate, notamment par l’intermédiaire d’un salarié, qu’il existe une atteinte aux droits des personnes, à leur santé physique et mentale ou aux libertés individuelles dans l’entreprise qui ne serait pas justifiée par la nature de la tâche à accomplir, ni proportionnée au but recherché, il en saisit immédiatement l’employeur. Cette atteinte peut notamment résulter de toute mesure discriminatoire en matière d’embauche, de rémunération, de formation, de reclassement, d’affectation, de classification, de qualification, de promotion professionnelle, de mutation, de renouvellement de contrat, de sanction ou de licenciement. » 9 Loi du 6 août 2012, n° 2012-954. 10 Cass, soc. 29 juin 2011, n° 09-70.902 102

Bien des entreprises ont prévues dans leur charte de traitement des harcèlements, une première étape de l’enquête destinée à recevoir le salarié victime lors d’un entretien notamment avec le service des Ressources Humaines et à traiter les situations présumées de harcèlement. Telle a été la démarche suivie par la Société Fujitsu. Tout collaborateur peut déclencher cette procédure visant à mettre un terme à une situation de harcèlement présumé. Cette phase informelle est menée par le Responsable des Ressources Humaines qui reçoit en entretien l’auteur de la procédure. Le RRH dispose alors d’un délai défini pour mener à bien son intervention. Si la situation conflictuelle ne peut se résoudre par cette procédure alors une enquête plus détaillée est ouverte. Dès 2002, La Poste a mis en place des procédures de prévention et de traitement des harcèlements. Lorsqu’un salarié se plaignait, à tort ou à raison, de subir des agissements harcelants, il pouvait mette en œuvre la procédure ad hoc qui consistait pour le médecin du travail et une assistante sociale à mener une enquête en toute confidentialité. Après un mois, ils devaient rendre un rapport au responsable hiérarchique de la personne accusée. Selon Raymond Llanès, Directeur des Relations Sociales du groupe à l’époque, sur les 150 dossiers ouverts, seuls deux ceux sont avérés être des cas de harcèlement moral. En 2009, la procédure a fait l’objet d’une adaptation mais repose toujours sur une démarche pluridisciplinaire. Le groupe a instauré dans son processus de gestion du harcèlement moral une « phase de demande d’aide » soit auprès du DRH soit via sa ligne managériale, un responsable des ressources humaines, le médecin du travail, l’assistant social ou un représentant du personnel. Elle consiste pour un salarié à se tourner vers l’un de ces acteurs pour prévenir de sa situation et trouver avec elle une solution pour y mettre fin. La Société Steelcase a elle aussi décidé de mettre en place une procédure informelle. Son objectif est de résoudre de manière précoce une potentielle situation de harcèlement par la mise en place d’un espace d’écoute et de dialogue. Le salarié en question peut alors prendre contact avec le service médical, l’assistante sociale, son responsable des Ressources Humaines, son manager ou encore un membre du CHSCT. Le responsable des Ressources Humaines a la charge de conseiller le salarié et d’établir les contacts avec les personnes concernées lors d’entretiens afin d’évaluer la situation et favoriser une résolution informelle.

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De même, Air France dispose d’une procédure informelle comprenant un temps d’écoute et une phase de résolution. Le salarié qui s’estime victime d’un agissement ayant pour effet un harcèlement peut prendre contact avec le RRH, le médecin du travail ou encore une assistante sociale. « Leur rôle n’est pas de qualifier la situation mais consiste avant tout à écouter le salarié en difficulté, à le conseiller afin de l’aider à rechercher des solutions avant de passer si nécessaire par une phase de résolution informelle». L’Entreprise PSA Peugeot Citroën dispose également d’une voie de recours complémentaire à la démarche formelle. Les salariés peuvent alerter un responsable identifié en charge des questions de harcèlement. La Société SFR dispose également d’une procédure d’alerte. La société RATP a également mis en place une procédure dédiée. Les salariés peuvent envoyer une « demande d’attention » sur une boite email dédiée, qui sera étudiée le service des Ressources Humaines. Les entreprises ont compris l’importance de traiter au plus vite, et de manière pluridisciplinaire toute plainte de harcèlement pour résoudre la situation avant que les conséquences ne deviennent irréversibles. L’entretien avec le responsable des Ressources Humaines peut permettre de comprendre la situation dans laquelle se trouve le salarié et parfois de désamorcer le conflit rapidement. Il s’agit souvent d’un manque de dialogue entre le manager et le salarié ou d’une incompréhension. Le RRH agit alors comme un médiateur et peut permettre de dénouer le problème relationnel existant. Dans tous les cas son rôle est d’écouter activement, de conseiller et de soutenir le salarié. Chacune des chartes présentent les moyens ainsi que les délais prévus pour cette procédure. Cette phase, présentant l’avantage d’être rapide et informelle, peut cependant être vaine et un travail d’analyse plus approfondi par le biais d’une procédure formelle peut être nécessaire à mener. 4. Le devoir de l’employeur de diligenter une enquête interne Lorsque la première phase d’écoute et de résolution informelle de la procédure n’a pas abouti à un règlement des conflits alors il est nécessaire de diligenter une enquête de manière formelle. L’employeur connaissant le conflit existant se doit d’empêcher sa poursuite. L’enquête se définie comme l’ensemble de recherche destinées à faire la lumière sur quelque chose11. Elle a pour objectif de vérifier la véracité les faits allégués par le salarié et d’apprécier

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si la situation est constitutive d’un harcèlement moral. Le cas échéant, elle permet de faire cesser la situation dommageable et de concrétiser le respect de l’employeur de son obligation de sécurité de résultat. Cette obligation de mener l’enquête est de jurisprudence constante12. Les juges du fond comme la Haute juridiction consacrent ce principe en estimant fautif l’employeur qui n’aurait pas respecté cette obligation. La Cour d’appel de Versailles a reproché à un employeur de pas avoir « déclencher en urgence une procédure d’enquête interne de vérification des faits allégués sous l’égide du CHSCT pour entendre les parties impliquées dans cette situation et procéder à l’audition de salariés de l’entreprise »13. L’ANI confirme cette obligation et exige des employeurs que les plaintes reçues soient suivies d’une enquête. Elle peut être amorcée par les délégués du personnel s’ils saisissent l’employeur, par les faits rapportés par le salarié, le CHSCT ou le médecin du travail, ou encore s’il détecte lui-même des signaux alertant. L’employeur peut décider de mener une enquête seul, avec un représentant du personnel ou en constituant une commission spécifique. Néanmoins, lorsque les délégués du personnel ou le CHSCT alertent l’employeur dans le cadre des articles L. 2313-2 ou L.4132-2 du Code du travail, alors l’enquête doit obligatoirement se faire conjointement entre l’employeur et les représentants du personnel. Il en est de même lorsque la situation donne lieu à un arrêt de travail14. C’est au responsable ou au directeur des Ressources Humaines que revient la tâche d’investiguer. En effet, sa connaissance des contraintes juridiques et de l’environnement de travail lui permettent de mener au mieux la procédure. Dans ce cas, même si rien ne lui oblige, la consultation du CHSCT est opportune de fait de son rôle important dans la prévention des risques professionnels. Selon l’article L.4612-3 du Code du travail cette instance peut proposer notamment des actions de prévention du harcèlement moral et du harcèlement sexuel. C’est la démarche qu’a souhaité emprunter la société Fujitsu. Lorsqu’un cas de possible harcèlement moral a été dénoncé, le Directeur des Ressources Humaines a été à l’initiative des entretiens. Une commission composée du CHSCT a alors été réunie. Le DRH a souhaité que le secrétaire du CHSCT participe aux auditions également. La société PSA n’a quant à elle pas choisi une démarche pluridisciplinaire puisque seul le responsable des ressources 12 Cass, soc. 10 janvier 2006, n° 04-42.719 : « la cour d’appel, a recherché si le salarié avait commis les faits d’autoritarisme et de harcèlement moral qui lui étaient reprochés et dont l’employeur devait vérifier la véracité avant de prendre sa décision » 13 CA de Versailles, 6 juin 2013, n°1203716. 14 Article L.4612-5 du Code du travail : Le comité d’hygiène, de sécurité et des conditions de travail réalise des enquêtes en matière d’accidents du travail ou de maladies professionnelles ou à caractère professionnel. Observatory of Psychosocial Risks. UGT

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humaines mène les entretiens et l’ensemble de la procédure. Une boite e-mail a été spécialement créée pour accueillir les plaintes des salariés. Bien qu’aucun texte n’impose la création d’une Commission, il semble opportun d’en créer une afin d’avoir divers regards sur les faits rapportés et les témoignages. Elle peut se composer du service des Ressources Humaines, du CHSCT, des délégués du personnel, voire de salariés. Néanmoins il faut être certain qu’aucun d’eux n’est lié au conflit afin de garantir l’impartialité de la Commission. Le salarié plaignant, le « harceleur », ainsi que leur responsable hiérarchique ne peuvent alors être inclus dans cette commission. Les membres de la Commission doivent se réunir une première fois afin de définir le processus d’enquête, les personnes interrogées, le planning et le lieu des auditions, les modalités de recueil des témoignages ainsi que le nombre de membres de cette commission qui y assisteront. Par l’intermédiaire d’entretiens, la Commission d’enquête récolte auprès du salarié victime, des témoins et de la personne accusée tous les éléments nécessaires à la compréhension de la situation à l’origine de la plainte. Tout au long de l’enquête les principes de confidentialité, d’impartialité et de dignité doivent être respectés. La Cour de Cassation a aussi pu se positionner sur le principe du contradictoire, principe au terme duquel chaque partie doit pouvoir connaitre et discuter les observations ou preuves produits qui vont servir à la solution du litige15. En l’espèce, un salarié accusé de harcèlement avait reproché à la cour d’appel de s’être appuyée sur « le rapport d’enquête de l’employeur pour obtenir des faits de harcèlement à son encontre sans avoir recherché si l’enquête avait été diligentée dans le respect du principe du contradictoire qui suppose qu’il ait été régulièrement entendu et confronté à ses accusateurs, que l’identité des témoins lui ait été communiquée et qu’il ait été régulièrement informé des avancées de l’enquête. » La Cour de Cassation réfute ce moyen en retenant que « l’article L.1232-3 du Code du travail fait obligation à l’employeur d’indiquer, au cours de l’entretien préalable, le motif de la sanction envisagée, il ne lui impose pas de communiquer à ce dernier les pièces susceptibles de justifier la sanction »16. L’article 4 de l’ANI de 2010 expose également divers principes devant régir l’enquête ; à savoir que toutes les parties impliquées doivent bénéficier d’une écoute impartiale et d’un traitement équitable. L’employeur doit également 15 16 106

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faire preuve de la discrétion nécessaire pour protéger la dignité et la vie privée de chacun. Il ajoute que les plaintes doivent être étayées par des informations détaillées, mais qu’aucune information, autre qu’anonymisée, ne doit être divulguée aux parties non impliquées dans l’affaire en cause. Il est donc opportun de demander au salarié toutes les informations nécessaires et utiles à l’analyse des faits par écrit avant de débuter les entretiens. Ces éléments vont permettre de déterminer les personnes à auditionner ainsi que les questions utiles à poser. Sandrine Durieu, avocate, insiste sur le fait que « l’employeur s’imposera de rester objectif par le choix des questions posées et prendra garde à ne pas orienter, par la formulation de ses questions, les réponses des témoins : la crédibilité de son enquête en dépend »17. La Commission d’enquête commence par recevoir le salarié pour approfondir les données récoltées. Ce dernier ne devra pas se contenter d’allégations partielles mais appuyer sa demande sur des faits précis. Il doit fournir l’ensemble des pièces justifiant sa plainte telles que des emails, des lettres, des notes de services, des messages téléphoniques (SMS) ou encore des certificats médicaux. Une fois que tous les éléments sont portés à la connaissance de la Commission, elle doit élaborer un « questionnairetype », permettant d’avoir une trame des questions à poser à chacune des personnes auditionnées. Ce dernier ne sera pas restrictif mais permettra une meilleure vue d’ensemble des réponses apportées. Les questions doivent être précises, mais pas orientées. Selon Sandrine Damon, Responsable des affaires sociales à la RATP, il est important de commencer les entretiens en demandant au collaborateur comment il se sent. Selon elle cela permet d’établir un climat serein et de connaitre l’état d’esprit du témoin. Ensuite, les questions doivent être tournées sur la relation qu’il entretient avec le salarié victime. Il est nécessaire de lui demander s’il a été témoin de d’agressivité ou de difficultés entre les protagonistes et si lui-même ne fait pas l’objet de ces agissements.

Sandrine Durieu, « Risques psychosociaux et enquête dans l’entreprise », Jurisprudence Sociale Lamy de 2015, n°389

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L’employeur peut également entendre les témoins et collègues du salarié en question individuellement afin de faire la lumière sur les faits. Les témoignages jouent souvent un rôle déterminant. Ils apportent un éclairage supplémentaire sur l’affaire et permettent d’enrichir l’analyse des faits. Pour être pertinents ils doivent faire état de faits objectifs, circonstanciés et impartiaux. L’auteur du témoignage doit également être personnellement témoin des agissements qu’il rapporte18, mais il peut s’agir de salarié ayant déjà quitté l’entreprise comme le précise la Cour d’appel de Toulouse19. Néanmoins, seront écartés les témoignages des proches de la victime ou des personnes externes à l’entreprise puisqu’ils rapportent ses dires, sans objectivité et sans avoir été présents lors des faits20. L’ensemble des témoignages doit être croisé et examiné afin de s’assurer de leur objectivité et de leur concordance avec les faits dénoncés. La personne accusée doit également être rencontrée afin qu’elle apporte son éclairage sur les accusations dont elle fait l’objet. Des entretiens contradictoires peuvent également être réalisés. Les auditions doivent se dérouler dans un lieu fermé, à l’abri des regards mais garantissant également une insonorisation parfaite. Tous les entretiens doivent faire l’objet d’un compte rendu retranscrivant à la lettre les dires des personnes interrogées et être signés. Eventuellement, si la Commission a obtenu l’accord de personnes auditionnées, les entretiens peuvent être enregistrés. Le verbatim des entretiens constitue une pièce importante à remettre au dossier. Même si la procédure interne d’enquête n’est réglementée par aucune loi ou jurisprudence et que l’employeur a libre choix dans sa façon de mener l’enquête, les comptes rendus et enregistrements ainsi que toutes les informations recueillies sont autant de preuves qui peuvent être transmises au juge en cas de contentieux. La société Randstad a opté pour une procédure en ligne. Tout salarié se sentant harcelé peut alerter directement son responsable des Ressources Humaines. Mais le groupe a souhaité élargir les recours possibles en mettant 18 Cass, soc, 21 juin 2011, n° 09-72.466 19 Cour d’appel de Toulouse, 17 février 2005, n° 03/12650 20 CA Paris, 7 décembre 2004, RG N° 03/34551 : « les attestations que la salariée produit sont celles d’amis, qui ont certes constaté et regretté son état dépressif, mais qui n’ont pu être témoin des faits allégués de harcèlement. 108

en place un dispositif spécifique en ligne dédié au recueil des signalements, à la prise en charge et au suivi de ces problématiques. Un comité anti harcèlement a été créé, composés du Directeur du siège, du Directeur RSE, d’experts et des acteurs RH et prévention. Le salarié saisit alors sa déclaration de harcèlement ressenti en ligne. Un psychologue expert du harcèlement et extérieur au groupe prend contact avec le salarié. En fonction du rapport du psychologue, le Comité engagera toutes les actions de traitement de la situation. Beaucoup d’entreprise, à l’instar de Randstad, ont fait du harcèlement l’une de leurs préoccupations majeures et se sont dotées de commission spécifique pour traiter ces questions. Après avoir auditionnés l’ensemble des personnes intéressées, un rapport d’enquête doit être réalisé. Si seul l’employeur a investigué alors il lui revient la charge de l’établir et de le signer. Le rapport doit reprendre les faits ayant conduit au déclenchement de l’enquête, l’ensemble des informations récoltées utiles à la prise de décision et leur chronologie, les preuves retenues, la date et l’heure de chaque entretien ainsi que la qualification de ces faits amenant la conclusion de l’enquête. Le CHSCT, s’il ne fait pas parti de la Commission doit être informé des résultats et être consultés sur les mesures à prendre. Une synthèse de ces conclusions devra être transmise aux parties concernées pour leur notifier la décision de l’employeur. A l’issu de l’enquête deux solutions sont envisageables. Si l’analyse des faits révèle une situation effective de harcèlement moral alors une procédure disciplinaire doit être ouverte à l’encontre de l’auteur des faits. Ce sont les conclusions de l’enquête qui fondent la mesure disciplinaire prise à l’encontre du salarié fautif. L’examen de la situation peut également aboutir à la conclusion que les faits subi ne s’apparentent pas à du harcèlement moral. Selon les statistiques données par les entreprises, assez peu d’enquête aboutissent à l’effectivité d’un harcèlement. Selon le Rapport Sociétal et Environnemental de PSA, sur 61% des réclamations soldées, seules 21% se sont vues soldées par la conclusion de l’existence réelle de harcèlement. L’enquête a pu révéler cependant un conflit relationnel entre les protagonistes et une situation de souffrance à laquelle l’employeur doit également

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remédier. L’absence de harcèlement moral de fait obstacle à la mise en œuvre d’actions réparatrices. Pour rétablir des conditions de travail saines la médiation peut être une démarche appropriée. 5. L’alternative d’une démarche de médiation Le Code du travail et l’ANI21 favorisent la mise en place d’une procédure de médiation dans le but de mettre fin aux conflits existants entre les salariés. Ils reconnaissent le droit à toute personne de l’entreprise s’estimant victime de harcèlement le droit de mettre en œuvre une procédure de médiation. La médiation peut être définie comme un « processus de communication éthique reposant sur la responsabilité et l’autonomie des participants dans lequel un tiers impartial, indépendant et neutre [...] favorise par des entretiens confidentiels, un établissement ou un rétablissement du lien social, la prévention ou le règlement de la situation en cause»22. Pour reprendre les termes du professeur Antoine Mazeaud23, « elle consiste à extérioriser le conflit à l’initiative de toute personne qui se prétend victime tout en tentant de prévenir par la conciliation le risque contentieux ». Son but est d’apaiser les tensions et de réduire la charge émotionnelle du conflit qui a conduit à une impasse. Selon Guy-Patrice Quétant, la médiation en matière de harcèlement moral est une révolution. En effet, il existe déjà une procédure de conciliation entre les parties qui est menée par le conseil des prud’hommes24. C’est ce dernier qui avait pour rôle d’être tiers au conflit et de tenter d’y mettre fin. « La loi de modernisation sociale instaure pour la première fois dans le Code du travail le recours à la médiation pour un conflit d’ordre individuel ». 21 Article L.1152-6 du Code du travail et Article 4.2 de l’ANI : « une procédure de médiation peut être mise en œuvre par toute personne de l’entreprise s’estimant victime de harcèlement ou par la personne mise en cause. Le choix du médiateur fait l’objet d’un accord entre les parties. Le médiateur s’informe de l’état des relations entre les parties. Il tente de les concilier et leur soumet des propositions qu’il consigne par écrit en vue de mettre fin au conflit. » 22 Guillaume Hofnung, « La médiation », Que sais-je ?, PUF, 2012. 23 Antoine Mazeaud, « Harcèlement entre salariés : apport de la loi de modernisation », Droit social 2002. Page 321 — 10 mars 2002 24 Article L. 1411-1 du Code du travail : « Le conseil de prud’hommes règle par voie de conciliation les différends qui peuvent s’élever à l’occasion de tout contrat de travail soumis aux dispositions du présent Code entre les employeurs, ou leurs représentants, et les salariés qu’ils emploient ». 110

De plus en plus d’entreprises font appels à des médiateurs pour résoudre les conflits internes entre les salariés, telles que SFR, EDF, Danone, Canon. Depuis 2010 la SNCF a mis en place un réseau d’une vingtaine de médiateurs. Selon la responsable nationale médiation à la SNCF « lorsque les DRH ou les managers se sentent démunis, la médiation peut être pertinente. Nous avons voulu leur proposer un nouvel outil pour gérer ces difficultés relationnels ». Le Groupe a donc décidé de faire appel à des médiateurs externes professionnels. Sur l’ensemble des dossiers, un quart concerne des allégations de harcèlement. Cette démarche permet de désengorger les tribunaux et de faciliter la vie en entreprise. A la SNCF, 70% des médiations aboutissent à un accord. La Société SFR, elle aussi dotée d’une procédure de médiation, a opté pour un médiateur interne, à savoir la Directrice formation. Elle doit recevoir le collaborateur dans le mois suivant sa plainte. Elle rend ensuite une décision écrite en conformité avec le principe d’équité. Le Code du travail précise la mission du médiateur, à savoir s’informer de l’état des relations entre les parties, qu’il tente de concilier, et soumettre des propositions qu’il consigne par écrit, en vue de mettre fin au harcèlement25. L’objectif est d’ouvrir un cadre de partage et de dialogue aux salariés. Plus la procédure interviendra en amont plus les chances de succès sont accrues. La médiation n’a pas pour objet de protéger la victime contre les faits de harcèlement, mais seulement apaiser les conflits entre les protagonistes. En ce sens, est fautif l’employeur qui, averti d’agissements de harcèlement moral n’a pris aucune mesure concrète à titre conservatoire et alors que la médiation mise en place n’était pas destinée à protéger les intéressés des agissements de son responsable26. Dans ce type de situations, il est recommandé de faire appel à un médiateur externe afin de garantir une parfaite indépendance et objectivité vis-à-vis des protagonistes. L’entreprise peut également faire appel à un médiateur interne mais ce dernier devra être obligatoirement extérieur au conflit et à l’enquête. L’entreprise doit alors choisir le nombre de médiateur, leur profil ainsi que le mode de saisine du processus. Interne ou externe, aucune condition 25 Article L. 1152-6 du Code du travail 26 CA Douai, 20 février 2009, n° 07-3114 Observatory of Psychosocial Risks. UGT

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de compétences, de qualités ou d’expérience n’est légalement requise. Il est opportun tout de même de former certains salariés à la médiation afin qu’ils aient les cartes en main pour mener les entretiens. L’intérêt de faire appel à un collaborateur interne est sa connaissance de l’entreprise et sa proximité avec les protagonistes. Cependant il peut justement manquer de recul et d’objectivité. Qu’il soit interne ou externe, il est important que le médiateur soit formé à la technique de la médiation, à la gestion des conflits et qu’il maitrise les techniques d’écoute, d’animation des échanges et d’accompagnement dans la recherche de solutions. Il doit savoir créer un climat de confiance et de communication. La démarche de médiation doit être volontaire et acceptée par les deux parties au conflit puisque sa finalité est de trouver un consensus. Dans ce cadre, la procédure peut être stoppée à tout moment par l’une ou l’autre des parties. Il n’existe aucun mode de saisine défini par le Code du travail. La seule précision concerne l’auteur de la saisine ; il peut s’agir de la personne se sentant victime de faits de harcèlement comme du salarié mis en cause. Il convient alors à l’employeur, par le biais de sa politique de traitement des harcèlements par exemple, d’envisager sa mise en œuvre. Le médiateur est un tiers impartial au conflit, neutre et objectif. Il n’est ni arbitre ni juge. Il convoque les parties dans un lieu neutre et isolé. D’abord séparément pour tenter d’établir un climat de confiance avec chacun et obtenir les raisons des difficultés relationnelles rencontrées ainsi que toutes les informations nécessaires à la compréhension de la situation. Le médiateur doit respecter le principe de confidentialité et de discrétion tout au long de la procédure mais aussi après celle-ci. Les informations recueillies, sauf accord des parties, ne doivent pas être divulguées. La médiation passe ensuite par une phase dite de reconstruction, pendant laquelle les médiés, s’écoutent mutuellement et essaient de trouver un moyen de régler le conflit. Elle permet de construire l’échange réparateur basé sur l’intercompréhension. Le médiateur ne doit pas intervenir dans les échanges, mais seulement les faciliter. Il n’a aucun pouvoir pour trancher le différend ou imposer une décision. Il revient aux parties de trouver une solution par elle-même. L’un des principes fondamental de la médiation est que l’intervenant doit laisser faire en s’assurant que les débats ont lieu d’égal à égal et que la solution retenue soit consensuelle. En cas d’échec de la conciliation, le médiateur informe des sanctions encourues ainsi que des garanties procédurales prévues en faveur de la victime. A ce stade, la seule alternative est la voie contentieuse.

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L’avantage de cette procédure est d’apaiser les différends, renouer le dialogue entre les parties sans avoir à passer par la case contentieux. Le but des salariés à l’initiative de la médiation est de rester dans l’entreprise. C’est une démarche de responsabilisation qui permet de sortir de la victimisation. C’est donc une démarche volontaire, plus propice à l’arrêt de la situation litigieuse. De plus la rapidité du processus, son impartialité et sa souplesse sont autant d’atout en faveur de cette démarche de résolution alternative des conflits. Lorsqu’un salarié est victime d’agissements dégradant ses conditions de travail et sa santé, il lui est difficile de s’exprimer et d’avoir confiance dans son environnement professionnel. L’intervention d’une tierce personne peut alors permettre de renouer le dialogue. Pour maitre Jean-Marie Léger, « c’est un processus confidentiel qui est moins traumatisant qu’une procédure judiciaire. Le gain de temps peut être important face à la lenteur de la justice. » Il ajoute que « l’éventail des solutions est aussi plus large puisque l’accord trouvé n’est pas forcément l’application d’un règle de droit. » Le médiateur n’a pas le pouvoir d’imposer une solution aux salariés ; c’est à eux que revient cette tâche. C’est une démarche gagnant-gagnant. La solution étant partagée par les deux protagonistes, la saisine d’un tribunal devient inutile. Les coûts en sont alors réduits puisque l’intervention d’un médiateur représente environ 5 000€ HT. Néanmoins, toutes les entreprises n’ont pas le budget pour faire appel à un médiateur professionnel. Cette démarche peut alors être mise en œuvre uniquement par les grandes entreprises fortunées. L’alternative est alors de former des salariés en interne. Cependant cette démarche est également onéreuse. D’une part, il faut former au moins deux salariés, voire trois, afin de s’assurer qu’au moins l’un ne sera pas affecté par le conflit. D’autre part, si les salariés quittent l’entreprise alors ce sont autant de formations à donner. De plus, pour citer Guy-Patrice Quétant, « juridiquement le conseil de prud’hommes n’est pas lié par les éventuelles conclusions du médiateur. Du moins, aucun texte n’incline en ce sens. Expressément, l’écrit est réservé aux parties sous la forme d’un procès-verbal d’accord, rien de plus. »

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6. La délicate clôture de l’instruction 6.1. Le choix de la sanction disciplinaire à la seule appréciation de l’employeur Lorsque l’enquête menée en interne pour vérifier la matérialité des faits conclue à l’effectivité du harcèlement moral alors l’employeur doit sanctionner l’auteur des faits. Sans avoir à attendre une quelconque décision des juges, l’employeur a le pouvoir de réagir face à des agissements de harcèlement avéré en vertu de son pouvoir disciplinaire. La rédaction de l’article L.1152-5 du Code du travail27 amène à penser que la répression des faits de harcèlement n’est pas obligatoire et que l’auteur est seulement « passible » d’une sanction. Cependant, l’article L.1153-528 met fin à cette ambigüité et la faculté de l’employeur de sanctionner se transforme en véritable obligation. Celle-ci se justifie tout d’abord par le fait que l’employeur est garant du respect du droit à la dignité des salariés mais également par son obligation de prévention. En effet, l’employeur ayant organisé une politique de prévention du harcèlement moral ne saurait s’abstenir de sanctionner lorsque de tels agissements se développent. Selon Patrice Adam « La sanction a une fonction prophylactique ; ne pas sanctionner le harceleur, c’est envoyer un message catastrophique à la collectivité de travail ». L’employeur doit alors nécessairement sanctionner un salarié ayant effectivement commis des actes de harcèlement moral. Le choix de la sanction revient néanmoins à sa seule appréciation. L’article précité ne mentionne aucun degré de sanction à appliquer. Selon Laurianne ENJOLRAS, « l’employeur voit l’exercice de son pouvoir disciplinaire protégé par la Cour de cassation, en ce qu’il demeure seul juge de la gravité de la faute commise par le salarié. Cette solution apparaît pleinement conforme aux prescriptions de l’article L. 1152-5 du Code du travail qui n’impose pas à l’employeur de licencier immédiatement un salarié qu’il considère comme auteur d’agissements constitutifs de harcèlement moral »29. En ce sens, le licenciement pour faute grave de l’auteur des faits n’est pas nécessairement la seule sanction pouvant être mise en œuvre. Cependant, Patrice Adam met une réserve quant à la portée d’une 27 Article L. 1152-5 du Code du travail : « Tout salarié ayant procédé à des agissements de harcèlement moral est passible d’une sanction disciplinaire. » 28 Article L.1153-5 du Code du travail : « L’employeur prend toutes dispositions nécessaires en vue de prévenir les faits de harcèlement sexuel, d’y mettre un terme et de les sanctionner. » 29 Laurianne Enjolras, « Suspicion de harcèlement managérial : attention au choix de la sanction ! », Revue Lamy Droit des affaires, février 2015 n° 101 114

sanction autre que le licenciement. Il affirme que « l’objectif de prévention ne sera atteint que si la sanction est de nature à dissuader d’autres salariés de se livrer à des agissements de harcèlement moral. Un simple avertissement, un blâme, ou une mise à pied de quelques jours n’auront guère de vertus prophylactiques. » La Cour de Cassation dans un arrêt de 2011 confirme cette position en estimant que le harcèlement moral constitue une faute grave30. Antérieurement la Haute Cour avait déjà mis à la charge de l’employeur l’obligation de licencier immédiatement pour faute grave l’auteur des faits31. Même si le licenciement pour faute grave est préconisé, l’importance de la faute dépend des circonstances et du comportement de l’auteur des faits. Il a ainsi été jugé qu’un salarié auteur de harcèlement moral qui subissait ces mêmes agissements ne devait pas faire l’objet d’un licenciement pour faute grave mais pour faute simple32. Si l’employeur se prononce pour un licenciement alors la procédure disciplinaire et toutes les modalités de licenciement devront être mises en œuvre. Le conseil des prud’hommes, en cas de contentieux, est lui aussi habilité à sanctionner l’auteur des faits de harcèlement moral et à statuer sur la demande de dommages et intérêt du salarié victime. Cette sanction pécuniaire prend son origine dans l’obligation faite aux salariés de prendre soin de sa santé et de sa sécurité ainsi que de celles des autres personnes concernées par ses actes ou ses omissions au travail33. La Haute juridiction s’appuie sur cette obligation pour décider que le salarié engage nécessairement sa responsabilité personnelle à l’égard de ses subordonnés s’il leur fait subir intentionnellement des agissements répétés de harcèlement moral34. En sus d’une sanction disciplinaire, l’auteur des faits est passible, en vertu du Code pénal, d’une condamnation de deux ans d’emprisonnement et de 30 000 euros d’amende35. 30 Cas.soc, 7 juin 2011, n° 09-43.113 31 Cass.soc, 5 mars 2002, n°00-40.717 32 Cass.soc, 29 janvier 2013, n° 11-23.944 33 Article L. 4122-1 du Code du travail 34 Cass.soc, 21 juin 2006, n° 05-43.914 35 Article 222-33-2 du Code pénal : « Le fait de harceler autrui par des propos ou comportements répétés ayant pour objet ou pour effet une dégradation des conditions de travail susceptible de porter atteinte à ses droits et à sa dignité, d’altérer sa santé physique ou mentale ou de compromettre son avenir professionnel, est puni de deux ans d’emprisonnement et de 30 000 € d’amende » Observatory of Psychosocial Risks. UGT

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6.2. La poursuite du contrat de la victime Quel que soit le verdict adopté par l’employeur au terme de l’enquête il est impératif de prendre des mesures pour remettre le salarié victime dans des conditions de travail saines. L’absence de harcèlement ne fait pas obstacle à la mise en œuvre de mesures protectrices et amélioratrices. Si les faits de harcèlements sont vérifiés, la victime doit être protégée et l’employeur doit avant tout éloigner les deux protagonistes en licenciant, en aménageant les horaires ou les affectations ou en proposant une mutation au salarié fautif ou au salarié victime à sa demande. De plus, un accompagnement psychologique peut être nécessaire. L’ANI prévoit en son article 5 que la victime bénéficie d’un soutien et si nécessaire d’une aide à son maintien, à son retour dans l’emploi ou à sa réinsertion. L’accord ajoute que des mesures d’accompagnement prises en charge par l’entreprise sont mises en œuvre en cas de harcèlement avéré. Celles-ci sont avant tout destinées à apporter un soutien à la victime, notamment au plan médical et psychologique. Les entreprises bénéficiant d’un « numéro vert » peuvent alors le proposer au salarié. Des psychologues seront à son écoute et pourront l’accompagner. Lorsque le harcèlement n’est pas avéré, l’employeur doit alors régler la situation conflictuelle existante. L’analyse de la situation, malgré l’absence des éléments constitutifs du harcèlement, a pu dévoiler l’existence d’une souffrance et d’une dégradation des conditions de travail. Les deux salariés vont alors continuer à se côtoyer au sein de l’entreprise et il est alors nécessaire de rendre cette cohabitation sereine et faire en sorte que le conflit ne se reproduise pas. Dans ce cas, une procédure de médiation peut être envisagée pour mettre fin aux difficultés relationnelles. Le médecin du travail peut également être un bon interlocuteur, en conseillant et en aidant le salarié à retrouver une sérénité et une meilleure santé mentale et physique. L’employeur peut également aménager les conditions de travail des parties. Un entretien avec chacune d’elle pour envisager les éventuelles solutions semble indispensable. Bien que les faits de harcèlement ne se soient pas confirmés, le salarié à l’origine de la procédure ne peut se voir sanctionner. Le Code du travail en son article L. 1152-2, pose le principe qu’aucun salarié ne peut être sanctionné, licencié ou faire l’objet d’une mesure discriminatoire pour avoir subi ou refusé de subir des agissements répétés de harcèlement moral ou pour avoir témoigné de tels agissements ou les avoir relatés. Ainsi, même si les actes dénoncés ne caractérisent pas un harcèlement moral, le salarié à l’origine de la dénonciation ne peut se voir sanctionner.

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Ce principe s’efface dès lors que le salarié a intentionnellement et de mauvaise foi proféré des accusations mensongères. La Cour de cassation a en effet jugé justifié le licenciement pour faute grave d’une salariée ayant dénoncé de mauvaise foi des actes de harcèlement moral dont elle se prétendait victime36. En l’espèce, la salariée a dénoncé des comportements inexistants dans le but de déstabiliser l’entreprise et de se débarrasser de son supérieur hiérarchique. Tel est le cas également lorsque le salarié accuse faussement son supérieur de harcèlement pour échapper aux remontrances de ce dernier37. L’employeur peut alors sanctionner le salarié à l’origine de la plainte s’il démontre que ce dernier a dénoncé des faits qu’il savait pertinemment faux. Il n’est donc pas démuni face à des accusations non fondées et malveillantes. La preuve de cette mauvaise foi semble néanmoins bien difficile à démontrer.

36 Cass.soc, 6 juin 2012, n° 10-28.345 Cass.soc, 28 janvier 2015, n° 13-22.378 37 Cass.soc 13 février 2013, n° 11-27.856 Observatory of Psychosocial Risks. UGT

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Nuove strategie per la prevenzione dei rischi psico-sociali nel lavoro: il caso italiano

Patrizia Tullini Professore Ordinario di Diritto del lavoro UniversitĂ di Bologna

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Sommario 1. La nozione di rischio psico-sociale nell’ordinamento italiano. Le difficoltà della dottrina giuslavorista e le reticenze del legislatore 2. L’intervento in via suppletiva della giurisprudenza del lavoro e la responsabilità risarcitoria del datore di lavoro per i danni alla persona del lavoratore 3. La tutela assicurativa e sociale contro i rischi psico-sociali nell’ambiente di lavoro. Il tentativo d’introdurre la nozione generale di rischio da “costrittività organizzativa” 4. Il testo unico in materia di salute e sicurezza sul lavoro (d. lgs. n. 81/2008) e la valutazione dei rischi psicosociali nell’ambiente di lavoro. In particolare, le proposte metodologiche per la prevenzione del rischio stress lavoro-correlato 5. Il trend legislativo recente: standardizzazione e semplificazione in materia di salute e sicurezza sul lavoro. Bibliografía

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1. La nozione di rischio psico-sociale è tutt’altro che chiara e univoca nell’ordinamento giuridico italiano. Non esiste, infatti, una definizione legislativa né uno specifico quadro normativo di riferimento, per l’ovvia ragione che un approccio concettuale in materia richiederebbe un contributo multidisciplinare e l’ausilio delle discipline medico-scientifiche (Calafà, 2012: 257, Peruzzi, 2012: 201). La complessità del problema definitorio ha sconsigliato un intervento prescrittivo da parte del legislatore nazionale, il quale ha preferito rinunciare ad una precisa individuazione della fenomenologia dei rischi psico-sociali e si è limitato a richiamare il rischio da stress lavoro-correlato, rinviando alla normativa europea e, in particolare, ai contenuti dell’accordo quadro del 8 ottobre 2004, recepito in Italia dall’accordo interconfederale del 9 giugno 2008 (cfr. art. 28, c. 1, d. lgs. n. 81/2008). La mancata trasposizione nel linguaggio giuridico della nozione di rischio psico-sociale viene considerata una delle principali cause dei ritardi e delle inefficienze del sistema italiano di prevenzione dei rischi lavorativi. Ciò peraltro non ha scoraggiato il dibattitto scientifico e una buona parte della dottrina giuslavorista italiana si trova da tempo coinvolta in una complessa querelle sulla classificazione dei rischi psico-sociali e sulla relativa nozione giuridica. Un primo orientamento dottrinale distingue nettamente, da un lato, il fenomeno dello stress lavoro-correlato e, dall’altro, i comportamenti illeciti che sono imputabili al datore di lavoro: come, ad es., mobbing, burn-out, stalking e molestie psicologiche nei luoghi di lavoro. L’obiettivo è soprattutto quello di attribuire alle condotte illecite del datore di lavoro una specifica finalità intenzionale (a titolo di dolo o colpa grave), riconoscendo una responsabilità giuridica sul piano personale e individuale (quale reato doloso o colposo). La conseguenza di tale impostazione interpretativa, accolta specialmente dalla dottrina penalista, è duplice: anzitutto, si finisce per escludere dall’obbligo generale di prevenzione dei rischi lavorativi ogni forma di violenza e di vessazione personale nei confronti della persona del lavoratore, in quanto si tratterebbe di fatti o comportamenti addebitabili solo alla responsabilità individuale del datore di lavoro (Curi, 2013: 66). In secondo luogo, si ritiene che le molestie e le vessazioni psicologiche non siano suscettibili di una strategia di prevenzione a livello aziendale, e si nega – specie a proposito del mobbing – che si possa parlare di un vero e proprio “rischio da lavoro”.

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Un opposto indirizzo dottrinale adotta, invece, una nozione più ampia ed estensiva della fattispecie di stress lavorocorrelato, istituendo un rapporto di “genere a specie” rispetto all’intera fenomenologia dei rischi psico-sociali. Il termine “stress-lavoro correlato” avrebbe un carattere esplicitamente inclusivo rispetto alla fenomenologia ampia dei rischi psico-sociali. In questa prospettiva, il riferimento normativo esplicito alla prevenzione del fattore stress contenuto nell’art. 28, c. 1, d. lgs. n. 81/2008 sarebbe in grado di esercitare una <<forza attrattiva>> nei confronti di tutti i tipi di rischi nuovi ed emergenti, specialmente connessi alle relazioni sociali nell’ambiente di lavoro (Calafà 2012: 265; Nunin 2012: 47; Angelini, 2014: 77). In realtà, il dibattito dottrinale in materia e lo sforzo di classificazione dei rischi psico-sociali rivelano una certa auto-referenzialità, considerato che deve ritenersi ormai consolidato il carattere onnicomprensivo dell’obbligo di prevenzione del datore di lavoro, in relazione a tutti i rischi per la salute e sicurezza dei lavoratori. In tal senso s’è pronunciata da tempo la giurisprudenza europea, con la nota sentenza che ha condannato l’Italia per l’errata trasposizione dell’art. 5, dir. 89/391/Ce (sent. 15.11.2001, C-49/2000, Commissione europea contro Repubblica italiana), precisando che l’attività di prevenzione deve includere ogni tipologia di rischio presente nei luoghi di lavoro. Nel medesimo senso è orientata anche la giurisprudenza italiana - assolutamente consolidata sul punto - che ha riconosciuto il carattere generale ed aperto dell’obbligo di sicurezza del datore di lavoro previsto dall’art. 2087 Cod. civ., oltre che dalla specifica disciplina normativa della prevenzione nell’ambiente di lavoro: tale disposizione, infatti, introduce una <<clausola di chiusura>> dell’intero sistema giuridico di salute e sicurezza, che obbliga il datore di lavoro ad adottare <<non solo le misure tassativamente prescritte dalla legge in relazione al tipo di attività produttiva, che rappresentano lo standard minimale, fissato ex lege per la tutela del lavoratore, ma anche le altre misure richieste in concreto dalla specificità dei rischi connessi all’ambiente di lavoro>> (Cass. lav. n. 14468/2013). Di conseguenza, non v’è dubbio che l’elenco dei rischi professionali, che il datore di lavoro è tenuto a valutare in base all’art. 28, d. lgs. n. 81/2008, assuma un carattere solo esemplificativo: la norma richiama - <<in particolare>> - lo stress lavoro-correlato e altri tipi di rischi lavorativi connessi alle caratteristiche personali e soggettive delle persone (età, genere, provenienza territoriale), senza alcuna finalità selettiva o restrittiva. Conferme dirette e indirette del carattere onnicomprensivo della tutela prevenzionistica nei confronti dei rischi psico-sociali derivano da una pluralità di indicazioni normative. Basta considerare l’ampia nozione di “salute”

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prevista dalla normativa italiana, da intendersi come <<stato di completo benessere fisico, mentale e sociale, non consistente solo in un’assenza di malattia o d’infermità>> (cfr. art. 2, co. 1, lett. o), d. lgs. n. 81/2008). Inoltre, anche la definizione giuridica dell’attività di <<prevenzione>> nell’ambiente di lavoro rivela un ampio spettro di tutela di tutti i rischi professionali (art. 2, c. 1, lett. n), d. lgs. n. 81/2008). Le <<misure generali di tutela>> applicabili nell’ambiente di lavoro sono state individuate dal legislatore italiano in modo coerente con gli indirizzi vincolanti della legislazione europea: tali <<misure>> comprendono il rispetto dei principi ergonomici nell’organizzazione del lavoro e nella concezione delle postazioni di lavoro, un’attenzione particolare alla <<influenza dei fattori dell’ambiente e dell’organizzazione del lavoro>> (art. 15, d. lgs. n. 81/2008) (Tullini, 2008: 1257). In definitiva, la mancanza di una precisa definizione legislativa dei rischi psico-sociali non può impedire né limitare l’adempimento dell’obbligo di sicurezza e prevenzione da parte del datore di lavoro, che deve intendersi riferito alla salute e all’integrità psico-sociale della persona del lavoratore. <<Il d. lgs. n. 81/2008 ha introdotto la regola secondo la quale la disciplina legale non può lasciare scoperta e senza tutela tutte le ipotesi di rischio, non importa se potenziale o reale>> (Montuschi, 2011: 6). 2. L’intervento in via suppletiva della giurisprudenza del lavoro e la responsabilità risarcitoria del datore di lavoro per i danni alla persona del lavoratore. Mentre il legislatore italiano ha dimostrato una certa timidezza e quasi una reticenza nei confronti della individuazione e definizione dei rischi psico-sociali, la giurisprudenza del lavoro, da oltre un decennio, ha riconosciuto la responsabilità risarcitoria a carico del datore di lavoro per i danni causati da aggressioni alla sfera sociale e relazionale della persona del lavoratore. Risalgono ai primi anni Duemila le sentenze che hanno ammesso l’obbligo di risarcire i danni di natura non patrimoniale arrecati al lavoratore in caso di usura psico-fisica e di “superlavoro”. I giudici del lavoro hanno rilevato, infatti, che <<le attività lavorative che comportano disagi psico-fisici - perché svolte in giorni festivi oppure oltre i limiti dell’orario normale - possono essere risarcite a titolo di danno alla salute o biologico>>, purché tuttavia il lavoratore sia in grado di dimostrare in giudizio l’esistenza del danno alla salute e il nesso causale rispetto allo svolgimento della prestazione lavorativa (1). 1

Cass., sez. lav., n. 2455/2000.

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In seguito, oltre al danno alla salute psico-fisica, la giurisprudenza del lavoro ha ammesso anche la possibilità di risarcire il danno c.d. esistenziale, cioè il pregiudizio socio-relazionale sopportato dal lavoratore. Si può qualificare come “esistenziale” il danno che <<compromette delle attività realizzatrici della persona umana>>, in quanto il comportamento illecito del datore di lavoro non lede solo diritti economici, ma anche diritti fondamentali della persona che lavora (2). In altre parole, <<ogni comportamento illecito che si traduca in una limitazione della personalità dell’individuo in ambito familiare, lavorativo, ricreativo dà diritto al risarcimento del danno non patrimoniale>>, e il fondamento giuridico del risarcimento del “danno esistenziale” va individuato nell’art. 2 Cost. che garantisce i diritti inviolabili della persona umana (3). Si tratta di un orientamento giurisprudenziale ormai consolidato, che oggi non è più in discussione. La tutela risarcitoria per i danni non patrimoniali della persona del lavoratore è stata riconosciuta soprattutto nei casi di “mobbing” (4), “stalking”, “straining” e, in generale, in relazione alle condotte vessatorie o persecutorie, alle discriminazioni dirette o indirette. In base ai decreti legislativi nn. 215-216 del 2003 (che attuano le Dir. 2000/78/CE e 2000/43/CE contro le discriminazioni per religione, convinzioni personali, handicap, età, orientamento sessuale, razza, origine etnica), la responsabilità risarcitoria è stata estesa anche alle molestie morali poste in essere dal datore di lavoro (<<comportamenti indesiderati … aventi lo scopo o l’effetto di violare la dignità della persona e creare un clima intimidatorio, ostile, degradante, umiliante, offensivo>>) e agli ordini impartiti ai dirigenti di attuare comportamenti discriminatori nei confronti dei lavoratori. Alla tutela civile finalizzata al risarcimento dei danni non patrimoniali, si può aggiungere inoltre la responsabilità penale qualora i comportamenti illeciti e le aggressioni alla sfera personale del lavoratore siano suscettibili di integrare specifiche fattispecie di reato.

2 Cass., sez. lav., n. 9009/2001. 3 Tribunale di Milano, sez. civ., 15 marzo 2001. 4 Secondo Cass, sez. lav., n. 4774/2006, il mobbing consiste in una <<condotta sistematica e protratta nel tempo che realizza, per le sue caratteristiche vessatorie, una lesione dell’integrità psico-fisica e della personalità morale del lavoratore garantite dall’art. 2087 c.c. La lesione del bene protetto deve essere verificata dal giudice considerando l’idoneità offensiva della condotta del datore di lavoro, che può essere dimostrata … dalle sue caratteristiche oggettive di persecuzione e discriminazione, risultanti specialmente da una connotazione pretestuosa>>. 124

L’intervento della giurisprudenza del lavoro, tuttavia, riguarda esclusivamente la fase sanzionatoria contro le violazioni di legge e i rimedi risarcitori rispetto ai danni sopportati dal lavoratore, mentre rimane molto limitata la possibilità d’incidere sulla fase preventiva e sulle strategie organizzative di prevenzione dei rischi psico-sociali. Nell’ordinamento italiano permane, in sostanza, una forte dicotomia tra la fase di prevenzione e quella della tutela giudiziaria (civile e penale). E infatti, a livello prevenzionale prevale l’idea che, in mancanza di una tipizzazione giuridica dei rischi psico-sociali, non sussista un preciso obbligo di prevenzione del datore di lavoro; mentre il livello della tutela giudiziaria (in sede civile) risulta calibrato sulla clausola aperta dell’art. 2087 c.c. Pertanto, quando il lavoratore riesca a provare in giudizio l’esistenza di un danno alla salute e l’origine lavorativa della lesione alla sua sfera psico-sociale, la giurisprudenza è disposta a riconoscere la tutela risarcitoria. Resta uno scarso interesse da parte del datore di lavoro ad impegnarsi sul fronte della prevenzione dei rischi psicosociali o relazionali: le azioni e le strategie preventive sono quasi esclusivamente di carattere “difensivo”, cioè finalizzate ad ottenere l’esonero dalla responsabilità civile (e penale). D’altro lato, le imprese adottano generalmente un atteggiamento ostile e di contrasto nei confronti dell’elaborazione scientifica in questa materia, per il timore di una progressiva estensione o un ampliamento della nozione giuridica di rischio psico-sociale. Non a caso, hanno provocato forti malumori nel mondo imprenditoriale le oscillazioni degli orientamenti della giurisprudenza e la tendenza dei giudici del lavoro ad ampliare la tutela risarcitoria nei confronti dei danni non patrimoniali per le aggressioni alla sfera personale e relazionale del lavoratore. In genere, preoccupa il potere discrezionale del giudice del lavoro nella liquidazione del concreto ammontare del risarcimento a favore del prestatore. Il notevole contenzioso giudiziario relativo alla responsabilità civile e risarcitoria del datore di lavoro ha suggerito la possibilità di “spostare” la tutela del lavoratore nell’ambito del sistema assicurativo-sociale, ponendo a carico dell’INAIL (Istituto Nazionale per l’Assicurazione contro gli Infortuni sul lavoro e le malattie professionali) una prestazione indennitaria da erogare in caso di lesione della salute derivante dai rischi psico-sociali (cfr. infra § 3).

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3. La tutela assicurativa e sociale contro i rischi psico-sociali nell’ambiente di lavoro. Il tentativo d’introdurre la nozione generale di rischio da “costrittività organizzativa”. Va subito premesso che il tentativo dell’INAIL di recepire nell’ambito dell’assicurazione sociale contro gli infortuni e le malattie professionali la tutela indennitaria contro i rischi psico-sociali nell’ambiente di lavoro non ha avuto un esito fortunato. Con una Circolare amministrativa (n. 71/2003), l’INAIL ha previsto la possibilità di indennizzare le patologie di origine professionale che risultino causate o con-causate, in modo prevalente, dai rischi psico-sociali nei luoghi di lavoro. L’INAIL ha rilevato, infatti, che la “causa lavorativa” della malattia fisica o psichica del lavoratore può dipendere, non solo da fattori di rischio collegati al ciclo produttivo, ma anche dalla <<nocività riconducibile all’organizzazione aziendale>>. Di conseguenza, viene riconosciuta al lavoratore ammalato la possibilità di dimostrare la natura professionale della sua patologia e il collegamento con le specifiche condizioni dell’attività o dell’organizzazione del lavoro. La Circolare INAIL ha tentato, altresì, di fornire una definizione – sempre in via amministrativa – dei rischi psico-sociali nell’ambiente di lavoro, qualificandoli come <<situazioni di incongruenza delle scelte in ambito organizzativo>> compiute dal datore di lavoro. In particolare, l’attenzione è stata rivolta alle <<costrittività organizzative>>, che determinano condizioni lavorative penose, ostili o umilianti per la persona e la dignità del lavoratore. Naturalmente deve trattarsi di situazioni di <<costrittività organizzativa>> di carattere <<strutturale, duraturo ed oggettivo>>, oltre che verificabili mediante riscontri concreti. Sono pertanto esclusi i fattori organizzativo-gestionali relativi al normale e fisiologico svolgimento del rapporto di lavoro (ad es., l’attribuzione di nuove mansioni, il trasferimento, il licenziamento), anche se possono arrecare un notevole turbamento all’equilibrio psico-fisico del lavoratore. Sono parimenti escluse dalla nozione elaborata dalla Circolare INAIL anche le dinamiche psicologicorelazionali comuni all’ambiente di lavoro e di vita (ad es., le conflittualità inter-personali, le difficoltà relazionali con i colleghi). Tuttavia, ai sensi della Circolare n. 71/2003, il fenomeno del mobbing può costituire un rischio di tipo psico-sociale ed essere riconosciuto come causa di malattia professionale (indennizzabile dall’INAIL), quando le azioni illecite e dirette ad allontanare o emarginare il lavoratore siano in grado di determinare una situazione di “costrittività” (c.d. mobbing organizzativo). 126

La Circolare INAIL contempla, infine, un elenco - a titolo esemplificativo - dei comportamenti del datore di lavoro che possono costituire un fattore di rischio psico-sociale: marginalizzazione dell’attività lavorativa; svuotamento delle mansioni; prolungata dequalificazione; mancata attribuzione di compiti o inattività forzata; ripetuti trasferimenti ingiustificati; prolungata attribuzione di compiti esorbitanti o eccessivi anche in relazione ad eventuali handicap psico-fisici; impedimento sistematico dell’accesso a notizie; inadeguatezza strutturale delle informazioni inerenti l’attività di lavoro; esclusione reiterata dalle iniziative formative o di riqualificazione o di aggiornamento professionale; esercizio eccessivo di forme di controllo sul lavoratore. L’immediata opposizione da parte delle associazioni sindacali delle imprese ha condotto all’impugnazione della Circolare INAIL davanti al Giudice Amministrativo. Una prima sentenza (TAR Lazio n. 5454/2005) ha annullato il provvedimento amministrativo sotto il profilo dell’illegittimità della procedura introdotta dall’INAIL per l’accertamento e la certificazione della patologia professionale derivante dai rischi psico-sociali. La Circolare amministrativa prevede, infatti, che il lavoratore presenti solo la documentazione idonea a dimostrare la malattia psichica o psicologica, mentre all’INAIL spetta l’indagine ispettiva sul luogo di lavoro diretta ad <<acquisire riscontri oggettivi>> ed eventualmente <<integrare gli elementi probatori>> (ad es., tramite la testimonianza dei colleghi del lavoratore ammalato). Secondo il Giudice amministrativo, tale procedura ispettiva risulta illegittima perché, in sostanza, esonera il lavoratore dall’onere di fornire la prova del nesso di causalità, cioè la <<derivazione causale>> della malattia psichica dall’attività lavorativa o dall’ambiente di lavoro. Ma il vero punto in discussione era, ed è tuttora, la nozione giuridica di rischio psico-sociale. Infatti, una successiva sentenza del Giudice Amministrativo in sede di appello (Consiglio di Stato, sez. IV, n. 1576/2009) ha confermato l’illegittimità della Circolare n. 71/2003 ed ha rilevato che <<la possibilità di estendere l’ambito del rischio assicurato dall’INAIL e l’elenco delle malattie professionali richiede l’intervento del legislatore>>. Le patologie che non sono provocate dalle modalità di esecuzione della prestazione o dalle attrezzature di lavoro, ma risultano determinate da fattori ambientali e organizzativi non possono essere incluse, allo stato della normativa italiana, nella copertura assicurativo-sociale pubblica.

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In altre parole, l’introduzione di una nozione di rischio psico-sociale, rilevante sul piano giuridico e nel sistema assicurativo sociale, non può avvenire con un provvedimento amministrativo e mediante l’iniziativa dell’INAIL, ma richiede un preciso e specifico intervento legislativo (Ludovico, 2009: 1042). Una soluzione analoga è stata adottata anche dalla Corte costituzionale nei confronti delle diverse leggi regionali che hanno tentato di fornire una definizione giuridica del fenomeno del “mobbing” e di introdurre un’adeguata strategia di prevenzione nell’ambiente di lavoro. Alcune pronunce dei giudici costituzionali (C.cost. n. 359/3003; n. 22/2006; n. 238/2006) hanno dichiarato l’illegittimità - per difetto di competenza legislativa - della disciplina regionale che intenda definire in termini giuridici il “mobbing” e dettare un elenco di comportamenti illeciti del datore di lavoro. Sussiste infatti la potestà esclusiva del legislatore nazionale in questa materia, mentre le Regioni possono intervenire, con propri atti normativi o regolamentari, solo per introdurre misure di sostegno, di osservazione e monitoraggio del fenomeno. Peraltro, nei diversi interventi della Corte costituzionale non si nega affatto la rilevanza sul piano sociologico del fenomeno del “mobbing” e degli altri rischi psico-sociali, anzi si riconosce esplicitamente che la condotta del datore di lavoro può provocare un danno alla salute psichica del lavoratore e consistere <<sia in atti giuridici veri e propri sia in semplici comportamenti materiali …. anche leciti, legittimi o irrilevanti dal punto di vista giuridico, e tuttavia … caratterizzati dall’effetto e talvolta dallo scopo della persecuzione e di emarginazione>> dal luogo di lavoro (Tullini, 2006: 502). 4. Il testo unico in materia di salute e sicurezza sul lavoro (d. lgs. n. 81/2008) e la valutazione dei rischi psicosociali nell’ambiente di lavoro. In particolare, le proposte metodologiche per la prevenzione del rischio stress lavoro-correlato. Nonostante il fallimento dell’iniziativa assunta dall’INAIL, il legislatore italiano ha dovuto includere (quanto meno) il rischio da stress-lavoro correlato nel testo unico della prevenzione dei rischi lavorativi, imponendo al datore di lavoro di adeguarsi ai contenuti dell’accordo europeo del 2004 (art. 28, c. 1, d. lgs. n. 81/2008). Non è stata accolta, invece, la proposta delle organizzazioni sindacali (cfr. Osservazioni di CGIL-CISL-UIL allo schema di disegno di legge delega del 21 dicembre 2006) di inserire nel testo unico del 2008 un riferimento esplicito alla prevenzione dei rischi di natura <<psico-sociale e organizzativa>> (Monda, 2010: 402).

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Per la verità, il primo decreto correttivo del testo unico (d. lgs. n. 106/2009) ha tempestivamente attenuato l’impatto dell’obbligo di valutazione dello stress lavoro-correlato, introducendo un periodo transitorio: infatti, la decorrenza dell’obbligo a carico del datore di lavoro è stata posticipata alla data 1° agosto 2010; inoltre, è stato precisato che la valutazione del rischio da stress <<è effettuata nel rispetto delle indicazioni>> elaborate dalla “Commissione consultiva permanente per la salute e sicurezza sul lavoro” istituita presso il Ministero del lavoro ai sensi dell’art. 6, d. lgs. n. 81/2008. Pertanto, in attesa dell’emanazione dei necessari atti integrativi da parte della Commissione, molte imprese hanno ritenuto insussistente il dovere di prevenzione rispetto alla “nuova” tipologia dei rischi professionali. Peraltro, come s’è già rilevato – anche a prescindere dello specifico riferimento al rischio da stress lavoro correlato - il testo unico della salute e sicurezza sul lavoro contiene diversi riferimenti, anche espliciti, ai fattori di rischio connessi alle condizioni lavorative, ai fattori dell’ambiente e dell’organizzazione di lavoro. Il legislatore ha sottolineato l’esigenza di rispettare i principi ergonomici, anche per attenuare le attività monotone e ripetitive; ha previsto l’obbligo di programmare misure opportune per migliorare il benessere nell’ambiente lavorativo, sviluppando codici di condotta e buone prassi (cfr. art. 15, c. 1, lett. d), t) d. lgs. n. 81/2008). Altre norme richiamano espressamente il dovere di valutare i rischi <<nella sistemazione dei luoghi di lavoro>> e di aggiornare le misure di prevenzione <<in relazione ai mutamenti organizzativi … che hanno rilevanza ai fini della salute>> dei lavoratori (art. 18, c.1, lett. z), d. lgs. n. 81/2008). Non si può dire, dunque, che vi fosse un vuoto o una lacuna normativa tali da impedire al datore di lavoro di prendere in considerazione i rischi emergenti nell’organizzazione produttiva in relazione alla salute psico-fisica e relazionale del lavoratore. Le “Indicazioni della Commissione consultiva per la valutazione dello stress lavoro-correlato” sono state emanate il 18 novembre 2010 e, con lettera circolare, il Ministero del lavoro ha avviato una politica di comunicazione e diffusione dei criteri operativi. La metodologia individuata dalla Commissione ha carattere sperimentale ed è suscettibile di modifiche in conseguenza del monitoraggio periodico sullo stato di applicazione. Attualmente l’attività di verifica e controllo sul concreto utilizzo della metodologia di valutazione dello stress lavorativo è stata svolta, oltre che dalla Commissione consultiva, anche da altri soggetti pubblici (INAIL) e dalle organizzazioni sindacali (Frascheri 2014: 67; Frascheri 2011).

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Per quanto riguarda i contenuti, le linee d’indirizzo elaborate dalla Commissione consultiva in attuazione dell’art. 28, c.1, d. lgs. n. 81/2008 si sono limitate a recepire le definizioni contenute nell’accordo quadro europeo del 2004, senza tentare un autonomo approccio definitorio del rischio da stress lavoro-correlato. Il documento adottato dalla Commissione, infatti, dichiara espressamente l’intento di <<stabilire un percorso metodologico che rappresenta il livello minimo di attuazione dell’obbligo di valutazione del rischio da stress lavoro-correlato per tutti i datori di lavoro pubblici e privati>>. Nel merito fornisce un modello procedurale, distinto in fasi successive, e descrive gli indicatori <<oggettivi e verificabili>> che il datore di lavoro potrà utilizzare per l’analisi di tale tipo di rischio (Nunin 2012: 57). Le indicazioni <<minime>> fornite dalla Commissione consultiva, pur essendo vincolanti per i datori di lavoro, lasciano spazio all’adozione di ulteriori modelli operativi e di diverse metodologie di valutazione dello stress lavorocorrelato, purché siano rispettose delle condizioni di base individuate nel documento. Non a caso, le “proposte metodologiche” e i “manuali d’uso” sono proliferati in grande quantità, anche sulla scorta degli studi e delle ricerche condotte a livello europeo. In particolare, il “Network Nazionale per la prevenzione del disagio psico-sociale nei luoghi di lavoro” dell’ISPESL (oggi, confluito in INAIL) ha elaborato una prima proposta metodologica per la valutazione dello stress lavorativo (aprile 2010). In seguito, l’INAIL ha recepito il modello Management Standards approvato dall’HSE e sviluppato una check-list (o lista di controllo) che è il risultato della revisione critica della prima proposta formulata dal Network Nazionale (2011). Per agevolare l’adozione e la concreta applicazione di tale metodologia da parte dei datori di lavoro, è stata predisposta una piattaforma online sul sito istituzionale dell’INAIL, al quale è possibile accedere liberamente (5). Il modello di valutazione elaborato dall’INAIL non è l’unico strumento operativo a disposizione delle imprese, sebbene la sua adozione in Italia sia molto diffusa. Ad esso si contrappone, ad esempio, il metodo V.I.S. (Valutazione per Indicatori di Stress), che è stato sviluppato seguendo un approccio integrato di tipo psicologico, ergonomico e della medicina del lavoro (Consiglio Nazionale Ordine degli Psicologi, 2014; Sarto, De Carlo, Bartolucci, Magosso, Falco, Vianello, Marcuzzo, 2011). 5 Cfr. ISPESL, La valutazione dello stress lavoro correlato. Proposta metodologica, Roma, 2010; INAIL, Valutazione e gestione del rischio da stress lavoro correlato, Roma, 2011; Coordinamento tecnico interregionale della prevenzione nei luoghi di lavoro, Stress lavoro correlato. Indicazioni per la corretta gestione del rischio e per l’attività di vigilanza alla luce della lettera circolare 18 novembre 2010 del Ministero del lavoro, gennaio 2012; 130

Non mancano poi altri modelli di valutazione del rischio da stress lavorativo specificamente destinati alle PMI e altre “linee d’indirizzo” dedicate alla prevenzione del fenomeno in alcuni particolari settori (ad es., la scuola e gli istituti di istruzione) introdotte da alcune Regioni e promosse da organismi territoriali del Servizio Sanitario Nazionale (Aziende Sanitarie locali). Dunque, un quadro metodologico ed operativo sin troppo affollato e, probabilmente, difficile da decifrare da parte dei datori di lavoro. Inoltre, la pluralità delle metodologie e dei modelli offerti riguardano in modo specifico – ed esclusivo - la valutazione del rischio stress lavoro-correlato, senza alcuna particolare considerazione per il panorama più ampio dei rischi psico-sociali. Dunque, l’angolo di osservazione risulta parziale e riduttivo. Di più: l’attenzione da parte delle imprese si è concentrata solo sulle procedure di valutazione del rischio da stress lavorativo in un’ottica tipicamente “difensiva” e finalizzata ad ottenere l’esonero dalla responsabilità del datore di lavoro. Ciò spiega perché l’utilizzo delle metodologie sia limitato alla gestione dello stress lavoro-correlato, per il quale il legislatore ha previsto un obbligo esplicito di prevenzione; viceversa, un minore impegno è stato dedicato all’individuazione delle misure preventive e correttive – di carattere organizzativo, ergonomico, procedurale e tecnologico – idonee ad eliminare alla fonte ogni tipo di rischio psico-sociale. In sintesi, l’attenzione esclusivamente dedicata alla fase di valutazione e alle diverse metodologie disponibili per il rischio stress lavoro-correlato ha indotto a sottovalutare o trascurare la fase successiva: quella relativa alla definizione degli interventi organizzativi e delle misure appropriate alla prevenzione del rischio. Come se, l’obbligo di tutela della salute e sicurezza a carico del datore di lavoro si esaurisse nella valutazione e nel monitoraggio del fenomeno. Del resto, anche il focus sulla fase della valutazione dello stress lavoro-correlato, ha prodotto esiti complessivamente modesti. Basta considerare che l’attività di valutazione dei rischi descritta dall’art. 28, d. lgs. n. 81/2008 riguarda soprattutto il panorama delle imprese medio-grandi, mentre le PMI, che in assoluta prevalenza costituiscono il tessuto produttivo dell’economia italiana, possono beneficiare di una maggiore flessibilità nell’adempimento dell’obbligo di tutela dei lavoratori. Infatti, per le imprese che occupano sino a 10 dipendenti e sino a 50 dipendenti, l’art. 29, c. 5-6, d. lgs. n. 81/2008 ha previsto la possibilità di effettuare la valutazione dei rischi lavorativi sulla base di <<procedure standardizzate>>,

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elaborate e definite dalla Commissione consultiva permanente (art. 6, c.8, lett. f), d. lgs. n. 81/2008). In effetti, tali procedure sono state adottate con decreto interministeriale del 30 novembre 2012 (“Recepimento delle procedure standardizzate di effettuazione della valutazione die rischi”) e vanno a colmare un vero e proprio vuoto normativo, in quanto – in precedenza – le PMI erano semplicemente tenute ad autocertificare di aver effettuato un monitoraggio dei rischi aziendali. I modelli standardizzati introducono una rilevante semplificazione normativa a beneficio delle PMI, offrendo, in sostanza, una “guida” procedurale ed una chek-list degli eventuali rischi per la salute e sicurezza presenti nei luoghi di lavoro. Un successivo intervento legislativo nel segno della semplificazione a favore delle PMI è stato introdotto con l. n. 98/2013 che, in aggiunta alle <<procedure standardizzate>>, ha autorizzato il Ministro del Lavoro ad individuare, con proprio decreto, i settori economico-produttivi con un basso indice statistico di infortuni e malattie professionali. Tale decreto ministeriale reca in allegato un <<modello>> semplificato con il quale i datori di lavoro possono dimostrare di aver effettuato la valutazione dei rischi lavorativi (art. 29, co. 6-ter, d. lgs. n. 81/2008). In sintesi, la semplificazione (e la riduzione) dell’obbligo normativo è connessa al livello occupazionale dell’impresa oppure al basso andamento infortunistico nello specifico settore produttivo: le PMI hanno la possibilità di utilizzare - in alternativa – le <<procedure standardizzate>> o il <<modello>> semplificato. Si tratta, peraltro, di soluzioni legislative che risultano poco compatibili e coerenti con l’esigenza di valutare la fenomenologia dei rischi psico-sociali. In altre parole, la prevenzione dello stress lavoro-correlato, e in generale dei rischi psico-sociali, richiede una metodologia di valutazione e d’intervento prevenzionistico che tenga conto delle specifiche caratteristiche dell’organizzazione e dell’ambiente di lavoro, e quindi poco adatta all’utilizzo di modelli semplificati e di procedure standardizzate. 5. Il trend legislativo recente: standardizzazione e semplificazione in materia di salute e sicurezza sul lavoro. Di recente, il trend legislativo verso la maggiore flessibilità e semplificazione degli obblighi di prevenzione e sicurezza sul lavoro si è ulteriormente affermata e rafforzata.

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Gli interventi di semplificazione degli obblighi posti a carico del datore di lavoro, con particolare riguardo all’attività di valutazione dei rischi aziendali, non riguardano solo le PMI ma interessano l’intero panorama delle imprese italiane, a prescindere dallo stock occupazionale e dagli indici infortunistici dei diversi settori produttivi. Nell’ambito della vasta riforma del diritto del lavoro (c.d. Jobs Act), il legislatore italiano ha previsto una serie di interventi di ausilio e di supporto a beneficio delle imprese. Anzitutto, ha affidato all’INAIL – anche in collaborazione con le Aziende Sanitarie Locali e con il Coordinamento Tecnico delle Regioni – il compito di <<rendere disponibili al datore di lavoro strumenti tecnici e specialistici per la riduzione dei livelli di rischio>> (art. 28, c. 3-ter, d. lgs. n. 81/2008, introdotto dal d. lgs. n. 151/2015). Gli <<strumenti tecnici>> offerti alle imprese sono destinati soprattutto <<ai fini della valutazione>> dei rischi nei luoghi di lavoro: dunque, è probabile che si tratti, ancora una volta, di modelli e di procedure standardizzate dirette a facilitare il compito di monitoraggio, mappatura dei rischi e di programmazione delle misure di prevenzione. Al contempo, il Ministro del lavoro è stato delegato (ancora una volta) ad elaborare ed approvare con decreto – previo parere della Commissione Consultiva permanente – (altri) <<strumenti di supporto per la valutazione dei rischi … tra i quali gli strumenti informatizzati secondo il prototipo europeo OIRA (Online Interactive Risk Assessment)>> (art. 29, c. 6-quater, introdotto dal d. lgs. n. 151/2015). Il riferimento, in quest’ultimo caso, è allo strumento interattivo online sviluppato dall’Agenzia EU-OSHA per il sostegno delle piccole imprese nell’adempimento degli obblighi di tutela della salute e sicurezza sul lavoro. La diffusione della piattaforma web è stata sollecitata dalla Comunicazione della Commissione Ue del 6 giungo 2014, relativa ad un quadro strategico dell’Unione in materia di salute e sicurezza sul lavoro nel periodo 2014-2020 (COM (2014) 332 final), con l’obiettivo di <<migliorare l’attuazione delle disposizioni di legge da parte degli Stati membri, in particolare rafforzando la capacità delle micro-imprese e delle piccole imprese di mettere in atto misure di prevenzione dei rischi efficaci ed efficienti>> (punto 3 della Comunicazione). Il legislatore italiano è andato ben oltre la raccomandazione della Commissione Ue, prevedendo l’utilizzo di strumenti informatici per la valutazione dei rischi (tra i quali, il prototipo OIRA), non solo a beneficio delle micro-imprese e delle PMI, ma per tutte le organizzazioni produttive, a prescindere dalla dimensione e dal numero di lavoratori occupati. In definitiva, il menu delle opzioni disponibili per l’attività di prevenzione in azienda risulta piuttosto ampio: dai

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modelli semplificati per i settori produttivi con un basso indice infortunistico, alle <<procedure standardizzate>> per le imprese sino a 10 e 50 dipendenti, agli <<strumenti tecnici e specialistici>> elaborati dall’INAIL, agli <<strumenti informatizzati>> adottati con decreto del Ministro del Lavoro. La caratteristica di base di tutti gli strumenti previsti dal legislatore italiano è quello della semplificazione degli adempimenti normativi a carico dei datori di lavoro. A questo nuovo trend della legislazione italiana occorre senza dubbio guardare senza pregiudizi. A patto, tuttavia, che si riesca a combinare - in modo virtuoso - la semplificazione e l’agevolazione degli adempimenti normativi con l’efficacia dell’attività di prevenzione e protezione nei luoghi di lavoro. In questa prospettiva, infatti, si colloca l’invito della Commissione Ue alla semplificazione della normativa in materia di salute e sicurezza sul lavoro, quando sia necessario <<per garantire una protezione efficace>> dei lavoratori, ricorrendo a <<soluzioni più semplici e più efficienti>> (COM (2014) 332 final). Ciò significa che sostituire l’attività di valutazione dei rischi (con caratteristiche e contenuti stabiliti dal testo unico del 2008) con modelli semplificati e procedure standardizzate o informatizzate non appare, di per sé, una buona prova di semplificazione normativa, se non è accompagnata da una maggiore efficacia della prevenzione in azienda. Com’è stato osservato in dottrina, <<è senz’altro una burocrazia mite ed accattivante, ma anche insidiosa, che utilizza la via procedurale per favorire un adempimento semplificato del dovere di sicurezza, senza tener conto che il diritto alla salute è poco compatibile con l’adozione di modelli standard ogni volte che possa soffrirne l’effettività, la congruità e la completezza della valutazione dei rischi>> (Montuschi, 2011: 4). Risulta abbastanza dubbia anche la coerenza di questo trend legislativo con le indicazioni fornite dalla Comunicazione della Commissione europea, che si riferiscono all’introduzione di strumenti pratico-operativi finalizzati ad agevolare le imprese di minori dimensioni, tenuto conto che <<gli obblighi derivanti dalla legislazione in materia di SSL non possono essere ottemperati allo stesso modo dalle grandi imprese e dalle piccole imprese e non hanno per esse, in proporzione, lo stesso costo>> (COM (2014) 332 final). Il discorso appare complesso e delicato, specie se riferito al monitoraggio e alla prevenzione dei rischi psicosociali, che non si può ricondurre facilmente a tecniche standardizzate o all’utilizzo di chek-list. Non a caso, la Comunicazione della Commissione Ue ha richiamato l’attenzione dei legislatori degli Stati membri sulla prevenzione dei rischi <<nuovi ed emergenti>>, derivanti dalla flessibilità del lavoro e dai rapidi cambiamenti nell’organizzazione

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produttiva, con conseguenze rilevanti per i lavoratori <<sotto gli aspetti fisici e psichici>>. Secondo le stime dell’Eurobarometro, i lavoratori considerano lo stress uno dei principali rischi nell’ambiente di lavoro (53%), ma si aggiungono anche i rischi di tipo ergonomico determinati da movimenti ripetitivi o posizioni stancanti e dolorose (28%). Inoltre, si segnalano – in rapida ascesa – i rischi provocati dalla diffusione della ICT che impongono una connessione continua alla rete internet. Va sottolineata, infatti, la specificità della valutazione dei rischi-psico-sociali, che richiedono metodologie appropriate, anche per tener conto delle forti interrelazioni esistenti con altri fattori di rischio per i lavoratori, connessi, ad esempio, al genere, all’appartenenza a particolari gruppi sociali (età, provenienza territoriale, ecc.) o alla tipologia contrattuale attraverso cui viene svolta la prestazione lavorativa (spec. contratti di lavoro flessibile) (Bonardi 2012: 291). Se si considera l’attuale quadro normativo italiano, è ancora da studiare l’impatto degli interventi di “semplificazione” normativa sul sistema giuridico della responsabilità (civile e penale) del datore di lavoro, nella sua qualità di titolare della principale posizione di garanzia della salute e sicurezza nei luoghi di lavoro. La definizione di modelli “standardizzati” o “semplificati” da parte di soggetti pubblici (INAIL) o mediante decreto ministeriale – nonché con il contributo di organismi amministrativi qualificati (Commissione consultiva) - comporta inevitabilmente un legittimo affidamento da parte dei datori di lavoro e suscita il convincimento che l’osservanza degli stessi modelli sia sufficiente ai fini dell’adempimento corretto degli obblighi di legge, con il conseguente esonero da ogni responsabilità giuridica. Così, l’adozione di metodologie di valutazione dei rischi validate da soggetti pubblici qualificati potrebbe servire ad introdurre una presunzione di liceità a favore del datore di lavoro, con la conseguenza di scaricare sul lavoratore infortunato o ammalto l’onere di provare in giudizio le mancanze o le inefficienze dell’impresa in materia prevenzionistica. In verità, il legislatore italiano non si spinge sino a riconoscere un’efficacia giuridica in termini di esonero dalla responsabilità del datore di lavoro, ma si limita a prevedere una serie di strumenti tecnici, standardizzati o semplificati secondo una logica di supporto e di ausilio alle imprese. Eppure, la questione tecnico-giuridica rimane irrisolta. Non resta che augurarsi (con qualche dose di ottimismo) che la recente linea d’indirizzo legislativa possa consentire davvero il raggiungimento degli obiettivi previsti: cioè, che le forme e le modalità di “semplificazione” della normativa

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prevenzionistica siano in grado di attivare i processi produttivi e di assecondare il rilancio economico del Paese, senza regressione degli standard di tutela dei lavoratori sinora acquisiti nell’ordinamento giuridico. In fondo, però, resta la sensazione un po’ malinconica d’un qualche regresso almeno sul piano culturale: se ancora oggi si ritiene che gli obblighi di protezione della salute e sicurezza dei lavoratori costituiscano un ostacolo o un intralcio allo sviluppo economico-produttivo e alla competitività delle imprese, significa che la strada da fare è ancora lunga. Bibliografía Angelini L. (2014), “Dalle species al genus (o viceversa). Note sull’obbligo di valutazione dello stress lavoro-correlato e dei rischi psico-sociali”. WP Olympus, 31/2014: 77-88. Bonardi O. (2012), “Oltre lo stress: i nuovi rischi e la loro valutazione globale”. Lavoro e diritto, 2, 291-317. Calafà L. (2012), “Il diritto del lavoro e il rischio psico-sociale (e organizzativo) in Italia”. Lavoro e diritto, 2, 257290. Consiglio Nazionale Ordine Psicologi, Amore F., Baratucci M., Barnaba L., Sarchielli G., Tomay I. (2014), Rischio stress lavoro-correlato. Le competenze dello psicologo nella valutazione e gestione, Milano: Liguori Editore. Curi F. (2013), Profili penali dello stress lavoro-correlato, Bologna: BUP Bononia University Press. Frascheri C. (2014), “Lo stato di applicazione delle Indicazioni della Commissione consultiva permanente in tema di valutazione dello stress lavoro-correlato”. WP Olympus, 31/2014: 67-76. Frascheri C. (2011), Il rischio da stress lavoro-correlato. Normativa, procedure di valutazione e organizzazione del lavoro, Roma: Edizioni Lavoro. Ludovico G. (2009), “L’INAIL e il mobbing: per il Consiglio di Stato la parola passa al legislatore. Rivista italiana di diritto del lavoro, Milano: Giuffré Editore, 4, 1042-1050.

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Monda G.M. (2010), “Le nuove regole per la salute e la sicurezza dei lavoratori”, a cura si Zoppoli L.-Pascucci P.Natullo G., La valutazione dei rischi per la sicurezza e la salute dei lavoratori, Milano: IPSOA, 393-408. Montuschi L. (2011), “La nuova sicurezza sul lavoro”, a cura di L. Montuschi, Dai principi al sistema della sicurezza sul lavoro, Bologna: Zanichelli, t. I, 1-18. Nunin R. (2012), La prevenzione dello stress lavoro-correlato. Profili normativi e responsabilità del datore di lavoro, Trieste: EUT Edizioni Università di Trieste. Peruzzi M. (2012), “La prevenzione dei rischi psico-sociali nel diritto dell’Unione europea”. Lavoro e diritto, 2, 201232. Sarto F., De Carlo N.A., Bartolucci G.B., Magosso D., Falco A., Vianello L., Marcuzzo G., (2011), Il metodo VIS. Guida operativa e schede di indicatori, Milano: F. Angeli. Tullini P. (2008), “Scritti in onore di E. Ghera”. Sicurezza sul lavoro e modello sociale europeo: un’ipotesi di sviluppo, Bari: Cacucci, t. II, 1257-1275. Tullini P. (2006), “Nuovi interventi della Corte costituzionale sulla legislazione regionale in materia di mobbing”. Rivista italiana di diritto del lavoro, Milano: Giuffré, 3, 502-510.

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Status quo and new strategies for prevention of psychosocial risks at work in Portugal

Catarina de Oliveira Carvalho Assistant professor at the Catholic University of Portugal - Porto Law School. Researcher and integral member of the Catholic Research Centre for the Future of Law - Center of Studies and Research in Law Ana Cristina Ribeiro Costa PhD student and lecturer invited from the Faculty of Law of the Catholic University of Oporto, and a lawyer in society Gama Lobo Xavier, Luis Teixeira e Melo e Associados

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Summary 1. Introduction 2. The legal framework in Portugal 3. Repairing workerâ&#x20AC;&#x2122;s damage 4. The worker protection mechanisms 5. Collective bargaining and not legislative instruments: status quo 6. New strategies for the prevention of psychosocial risks References

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1. Introduction In Portugal, Act No. 102/2009 of 10-09 which regulates the legal framework for promotion and prevention of safety and health at work, states that “prevention of occupational risks must (...) be developed according to principles (...) which are designed to (...) increase technical and scientific research applied to the domain of safety and health at work, particularly regarding the emergence of new factors risk (...)”. Indeed, the legislature recognizes the need to support research in the area of safety and health at work, in particular regarding risk factors and emerging occupational hazards, and psychosocial hazards, subject of this study. The truth is that, although this phenomenon is already addressed by other social sciences, the study is still in its childhood with regard to its legal framework. In fact, in the field of labour law1, the law bouquet of safety and health at work has been neglected in this case, so there is little legal literature on the matter at the national level2. Regarding specifically the study of psychosocial risks at work in Portugal, there are various studies regarding mobbing3, but there is almost no legal scientific production that includes other psychosocial risks at work. Thus, despite the absence at the national level of studies on other psychosocial risks at work and their legal framework, discussing this matter is crucial, because not only of its novelty but also of the recent worsening of these risk factors, as a result of structural changes in national economies and of organizational modifications in enterprises and other institutions. In fact, the main findings of the second European survey of enterprises on new and emerging risks - ESENER 24 have recently been published. In Portugal, the most striking statistics in the field of psychosocial risk factors in the workplace refer to the relationship with “clients, patients or difficult students”. In this regard, an average of 66.3% 1 Or, say, the branch of the “Law of Labour Protection”, which, according to Gomes (2007: 8), includes the matter of safety, hygiene and health at work, labour accidents, occupational diseases and even the administrative and criminal liability of the employer. 2 Studies highlighted in the national legal literature: PIMPÃO (2011), ROUXINOL (2008), ROXO (2009) and (2011). 3 See, among others, AMADO (2009: 117-119) and (2014: 21-42); COSTA (2010: 103-158); GOMES (2007: 425-442) and (2011: 71-91); PACHECO (2007); PARREIRA (2003: 209-247); PEREIRA (2009); PINHEIRO (2014: 409-435). 4 Available at https://osha.europa.eu/pt/surveys-and-statistics-osh/esener/2014, accessed on 10-08-2015. Observatory of Psychosocial Risks. UGT

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of workers note the presence of this factor, the percentage reaching 73.7% in companies with 250 or more workers. Note that the average rate in the European Union (EU) is 58%, being this factor, in any case, the most prevalent risk factor across the EU. Indeed, on the one hand, we handle the existence of a new and important problem, with serious consequences in social terms, which affects a significant number of workers and enterprises, but on the other hand it already exists some collective awareness about the need to regulate this reality, since it is considered socially unacceptable. 2. The legal framework in Portugal In our case it is necessary to examine, at first, whether there is legislation concerning and safeguarding most especially psychosocial risks at work. Among us, Act No. 102/2009 was the first text explicitly referring to the term “psychosocial risks” in the national legal system. To begin with, it will be important to find out the concept of “risk factors”. In fact, the risk factors consist on more or less predictable hazards, resulting from aspects of design, organization and work management, as well as their social and environmental context, which has the potential to cause physical, social or psychological harm to workers (IBÁÑEZ GONZÁLEZ, LEZAUN BARRERAS, SERRANO ARGÜESO, TOMÁS MARTÍNEZ, 2007: 98). In addition, some authors recognize that, in the field of mental illness at work, outside work factors, such as family, financial or legal problems, may concur (BARREIRA MENDEZ, 2012: 291-299), matter that should be evaluated. As such, these factors can be differentiated into several categories, namely: the factors derived from the conditions and organization of work (including the intensification of work, flexible working arrangements, remuneration, new forms of employment and precarious contracting); social factors (such as the aging population, the existence or absence of social support and economic conditions); factors related to environmental or geographical conditions of work; personal factors (such as the reconciliation of professional life with family life and biological factors); and finally, the gender related factors5.

5 It should be noted that in the literature there are different categorizations. Among them, see ALASTRUEY ANZA, GÓMEZ ETXEBARRÍA (2012: 172 – 177); COLLANTES IBÁÑEZ (2012: 28-42); FERNÁNDEZ ARIAS, MAZAS GONZÁLEZ, MORENO VILLENA (2012: 307-336) and VALDÉS ALONSO (2013: 284). 142

Act No. 102/2009 does not define this concept, although it refers to psychosocial risk factors at the time of the listing of the employer’s obligations (article 15 (2) parag. f) – “The employer shall ensure, in a continuing and permanent way, the workers’ safety and health while performing their activity, taking into account the following general principles of prevention: (...) ensure that exposures to chemical, physical and biological agents and psychosocial risk factors at the workplace do not constitute a risk to the safety and health of workers”) and also regarding conditional or prohibited activities (article 48 - “activities involving exposure to chemical, physical and biological agents or other factors of a psychosocial nature which may cause heritable genetic effects, non-heritable adverse effects on offspring or undermine the functions and male or female reproductive capabilities likely to involve risks to the genetic heritage are prohibited or conditioned to workers (…)”). In a second stage, it is necessary to analyse the concept of “occupational hazards”, trying to achieve a legal definition, with the help of other sciences which study these subjects, such as medicine, psychology and sociology. In parag. h) of article 4 of Act No. 102/2009, you can read that risk is “the probability of realization of the damage depending on the conditions of use, exposure or interaction of the material component of the work that carries danger”. Basing on the concept of a “material component of work”, the provision is limited to the elements described in paragraph f) of the same article, i.e., the characteristics of “the workplace, the work environment, tools, the machinery, equipment and materials, the substances and chemical, physical and biological agents and the work processes”. However, this definition seems conservative, since it does not comprehend psychosocial occupational hazards, as by limiting the risk to the likelihood of completion of a damage resulting from those factors, it is excluding all damages resulting from factors other than those, including the factors that would be called as “immaterial”. Note that ROXO (2011: 28 and 107) states that there is no responsibility for prevention of occupational risk beyond that which the law concretely defines. However, lecturing on the employer’s prevention obligation, ROXO stresses that its purpose is broad, covering all aspects of the work, all hazardous events that work activity may bring to employees and third parties, and not only those which the law may characterize. Thus, one may argue that this provision is inconsistent with the Framework Directive No. 89/391, even though, in our opinion, it is possible to sustain an interpretation consistent with EU law; however, it is not unanimous.

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It is true that in parag. g) of article 15 (2) it is determined that the employer must ensure the conduct of business in conditions of safety and health for the workers, attending, among others, the following precautionary principle: adapting the work to the worker, especially in matters concerning the workplace design and choice of work equipment, methods of work and production with a view to alleviating monotonous and repetitive work and reducing psychosocial risks. However, although the nature of this rule seems to be of mere guidance to the employer, the fact is that it materializes his duty derived from parag. h) of article 127 (1) of the Labour Code, which provides that the employer must adopt, with regard to safety and health at work, measures arising from the law or from collective labour regulation instruments6. As such, it seems that, similarly, it may be considered that the concept of “professional risks” derived from parag. h) of article 4 also covers psychosocial risks, which are directly addressed by the legislature in other rules of the legal diploma. Therefore, we understand that the national legal system already allows us to frame the concepts of psychosocial risk factors and psychosocial risks, although it does not define these concepts in particular. It is thus necessary to identify the specific “psychosocial risks” at work, describing them, differentiating its causes and listing its consequences on the workers’ health, in his work performance, in the company and in society. These include, in our view, violence, stress, burnout and mobbing, differing from other nearby hazards, legal or illegal, as the labour dispute, the abuse of privileges of hierarchy and the discrimination phenomena. In this regard, we refer to the scope and limits of the employer’s management power7. As state some Italian courts8, it seems that

6 In addition article 127 (2) approaches to article 15 (2) parag. g) of Act No. 102/2009. 7 About the authority power of the employer, see ASSIS (2005). Stating the relationship between the personality rights of the worker and the employer’s management power, see PENIDO (2013: 661-675). See also LUQUE PARRA (1999: 113-117), pointing to the protection of workers’ health and safety as an intrinsic organizational limit to the exercise of corporate power. 8 «Mobbing e Malattie Professionali non tabellari. Tribunale di Grosseto 10 ottobre 2006», Il Lavoro nella Giurisprudenza (2007: 739). 144

the employee may only claim a pattern of good faith from all those involved in the employment relationship9, not allowing him to require a cordial, friendly and unpolluted working atmosphere10. However, this is not a peaceful understanding, as it relates to the position taken with respect to the nature of the obligation of safety and health at work, as an obligation of means or of result11/12. Regarding the consequences of psychosocial risks in the first place, job dissatisfaction reflects itself not only in health but also in the worker’s productivity. Secondly, costs arise from those risks for employing units, such as problems relating to absenteeism13, reduced productivity, early retirements14, staff turnover, disciplinary problems, increased stress in the workplace, risky behaviours for safety and health at work and increased workplace accidents. Finally, effects of those risks can be identified in society in general, stating same legal literature that the it is a public health issue (VALLECILLO GÁMEZ, 2012: 79). Besides this, it is clear that the public treasury is harmed by the corresponding increase in the social benefits either through common or occupational diseases, or through disability pensions. 9 According to PEREIRA (2009: 183), the Spanish courts have already held that the prohibition of harassment is based on good faith, among other duties of the parties to the employment relationship. In this regard, see, in our case, the judgment of the Court of Appeal of Porto (Tribunal da Relação do Porto) of 02-11-2009 (Rapporteur: Paula Carvalho, Coletânea de Jurisprudência (2009), V, XXXIV, 206-214), which states that the horizontal harassment, even when exercised over the worker after hours and outside the workplace, violates the principle of good faith in contract execution and the duty to cooperate, affecting the employer’s interests in the company’s productivity and to fulfil the obligation to provide safety and healthy conditions at the workplace. 10 We retake an idea that we had already noted before (COSTA, 2010: 146). 11 Conversely, see MOLINA NAVARRETE (2007: 54), who states that there is a fundamental social right to a workplace free of harassment. 12 Also in Portugal the legal nature the employer’s safety and health duty as an obligation of means or of result is debated, subject which has been studied in great depth by ROUXINOL (2008). 13 It should be noted that, according to the authority responsible for working conditions, psychosocial risk factors will be, from 2014, the leading cause of absenteeism in Portugal. As news available at http://www.ionline.pt/portugal/stress-violencia-assedio-serao-principais-fatoresabsentismo-laboral-partir-2014?quicktabs_sidebar_tabs=1, accessed on 12-03-2012. 14 A Portuguese study from 2004, regarding the banking sector, found that individual victims of harassment identified as repercussions of this situation, among others, the following: prolonged illness (11.8% of respondents), early retirement (17.6%), disability retirement (5.9%), change of employer (23.5%) and job stress (5.9%) (ALMEIDA, 2007: 45). Observatory of Psychosocial Risks. UGT

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Once explained these introductory concepts, and not disregarding the influence of the Conventions of the International Labour Organization, the International Covenant on Economic, Social and Cultural Rights, the European Social Charter and, at the EU law level, the Treaties, the Charter of Fundamental Rights, Regulations, Directives, Recommendations and other EU initiatives, including the Court of Justice’ case law in this matter, we will focus our analysis on the legal framework of occupational health and safety, in general, and on psychosocial risks, in particular, in the Portuguese legal system. It happens that, in our case, as well as at the EU level, there isn’t a political will to adopt binding legal instruments to impose specific obligations on States themselves or companies yet15. Even so, it’s important to check the conformity of national legislation to European provisions, as well as to other international legal instruments binding Portugal, regarding the protection of the safety and health of workers, in particular, to psychosocial risks. Considering the constitutional context, psychosocial risks are protected through the rights to dignity of the human person, to physical and moral integrity, to the intimacy of private and family life, to protection against any forms of discrimination, to health and, in particular, taking into account the specific fundamental rights of workers, including the rights to the organization of work in socially decent conditions, the provision of work in hygienic, safe and healthy conditions, the right to rest and leisure. In regard to the right to health, considering that this includes both the protection of physical and mental health of the worker, it is important to create subsequent ordinary legislation that develops the positive character of this right16.

15 What may be due to the stagnation of the legislative policy of the EU in social matters, since the emergence of the economic and financial crisis in Europe. 16 On the constitutional dimension of this right, see, in particular, MEDEIROS and MIRANDA (2005: 651 ff.). 146

This theme also fits into the Labour Code, identified in the employer’s duties enshrined in the articles 127 and 129 of that text: provide good physical and moral working conditions, prevent accidents and occupational diseases and inform workers about the prevention measures legally established in the field of safety and health. The employer is forbidden to unjustifiably oppose to the actual work (right to effective occupation), to put pressure on the employee adversely affecting working conditions, to move the worker to a lower category or to reassign him to another workplace, except when legally permitted. Besides this and not less important are the right to safety and health of workers and the duties enshrined in article 128 of the Labour Code, especially the duties of respect, politeness and honesty towards superiors and peers, cooperation to improve safety and health at work and compliance with the requirements in this area. There are also several manifestations along the Labour Code of rights related to particular circumstances of the work, especially hard working conditions, including night or shift work, or to particularly vulnerable workers, such as pregnant women or children. Within this legislation, the topic of protection of personal data of employees regarding their state of mental health and mental fitness for the job, namely in the case of the job candidate, is quite relevant17. Getting back to the aforementioned Act No. 102/2009, which establishes the legal framework for safety and health at work, it is important to refer that the employer’s obligations laid down therein, namely the obligation to evaluate risks, to implement plans for prevention, means of protection, information, consultation, participation and training of workers, among others, in our opinion, comprehend in its content the prevention of psychosocial risks. Even in this area, we find the obligation of businesses’ coordination and cooperation between companies developing simultaneously activities in the same workplaces, assessing the consequences of this obligation18.

17 Remains under discussion whether or not it is required to declare mental illness, if that obligation must exist in all or only in some professional activities, and analysing the contours of confidentiality and boundaries of medical confidentiality. On these issues, see BARREIRA MENDEZ, MARCOS GONZALEZ (2012: 425-436). VALDÉS ALONSO (2013: 285) points out the reasons for the difficulty of integrating the mentally ill in the world of work. 18 It should be noted that this matter relates to a point which will be discussed below with respect to a possible extension of civil liability to third entities which are not employers. Observatory of Psychosocial Risks. UGT

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At the same time, we find in that text the obligations of workers, among which are the duty to ensure the health of others who may be affected by their acts or omissions at work, to communicate malfunctions and defects detected that can cause serious and imminent danger to the superiors and to contact them in case they find such dangers (parags. b), e) and f) of article 17). Specifications on this matter can still be found within the scope of rules applicable to workers in the public administration, where specific problems arise19. Among them is the fact that these workers have an obligation to denounce the crimes of which they are aware in the exercise of their functions and by reason thereof (article 242 (1) parag. b) of the Criminal Procedural Code and article 386 of the Criminal Code), which may collide with the duty of secrecy or confidentiality of some of these workers (such as judicial officers – article 66 (2) parag. a) of the Staff Regulations of Justice, published attached to the Decree-Law No. 343/99 of 26-08)20. It should be added that workers who operate disciplinary against a colleague or superior, denouncing a situation they believe is wrongful, cannot judicially challenge the decision of not opening disciplinary proceedings or not applying a sanction21. In addition, the powers of cognition of administrative tribunals are limited, since, with regard to the application of a disciplinary sanction on a worker, those courts simply determine the annulment of a particular punishment in very limited cases, only when a serious mistake in fixing the penalty was committed22.

19 On the subject of safety and health at work in the field of Public Administration, see COSTA, (2014: 285-308). 20 Problem regarded, in relation to French law, by PRINGAULT (2012: 202-207). It should be noted that, in our case, that duty is no longer included in the current disciplinary system of public service workers, supporting PIMENTEL (2011: 159) that this is now a special duty, characteristic of only a few public services. 21 In this sense, see the judgment of the Supreme Administrative Court (Supremo Tribunal Administrativo) of 15-01-1997 (Rapporteur: Dimas de Lacerda), summary available at www.dgsi.pt, and the judgment of the same court dated 14-05-2003 (Rapporteur: Edmund Moscoso). As such, the worker may present an administrative appeal, but not a judicial petition, so he will have to resort to civil and criminal ways to be compensated for the damage. Conversely, see the judgments of the Supreme Administrative Court of 06-01-1994 (Rapporteur: Nuno Salgado) and 06.08.1995 (Rapporteur: Mario Torres), both available in summary at www.dgsi.pt, which have considered to have legitimacy the participant that is offended. 22 See, among many others, the judgments of the Supreme Administrative Court of 07-02-2002 (Rapporteur: Macedo de Almeida) and 02-122009 (Rapporteur: Costa Reis). In this venue, such as in the field of private law, the Court cannot replace the employer, applying a penalty. 148

Furthermore, it is necessary to refer that although the injured Public Administration’ employee may terminate his employment contract on the grounds of wrongful failure by the employing entity of legal or contractual guarantees, conditions of safety, hygiene and health at work or even offenses under physical or moral integrity, freedom, honour and dignity of workers, carried out by the public employer or his legal representatives (article 307 (2) parags. b), d) and f) of the General Labour Act on Public Employment (Lei Geral do Trabalho em Funções Públicas – LGTFP – approved by Act No. 35/2014 of 20-06), the fact is that, if he intends to continue working in public administration, there are no mechanisms to change his working conditions, such as the adjustment of his functions or work schedule, based on the psychosocial risk that he is being subject to. Moreover, it is important to appreciate the role and powers of the Autoridade para as Condições de Trabalho – Authority for Working Conditions (Labour Inspectorate) – in this area. In fact, this entity’s “mission is to promote the improvement of working conditions” through the “enforcement of legislation on safety and health at work” and the “promotion of policies to prevent the professional risks whether in the field of private labour relations, whether in the field of public administration”23. However, with the publication of the LGTFP and its entry into force on 01-08-2014, the applicable regime was altered regarding this issue. In fact, article 4 (1) of the Act that approved the LGTFP states that it “applies to public employment, subject to the provisions of this law and with the necessary adaptations, the provisions of the Labour Code and the respective additional legislation with exceptions provided by law specifically with regard to: (...) i) Promotion of safety and health at work, including prevention; j) Workers representative commissions, trade unions and workers’ representatives for safety and health at work (...)”. Surprisingly, the same provision, in its no. 2, provided that “Where the application of the Labour Code and additional legislation referred to in the previous number result the allocation of powers to the inspection service under the Ministry responsible for the labour area, these must be understood as attributed to service inspection under the Ministry that directs or is superior to the public employer at stake and, jointly, to the General Inspectorate of Finance”, meaning that these powers ceased to correspond to the Authority for Working Conditions. Thus, the inspecting competences of the Authority for the Working Conditions are not coincident on private employment entities and public employment institutions.

23 Article 2 (1) of the Organic Law of the Authority for Working Conditions approved by Regulatory Decree No. 47/2012 of 31-07. Observatory of Psychosocial Risks. UGT

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It should be added that there is no legal framework for the possibility of sanctioning public employers for the practice of illegal acts or inertia towards such conducts, as no sanction in the field of public legislation is provided, nor the private ones are applicable24. 3. Repairing worker’s damage Now it is necessary to appreciate the possibilities of repairing the damage caused to the worker, which may occur through the Social Security system, through the different professional contingencies25, through actions against private insurers or through civil liability by the responsible agents, if they exist. In this chapter, it is important to consider the practical relevance of the inclusion of psychosocial risks in the area of occupational contingencies’ schemes, given the nature of these regimes, their repair characteristics and respective advantages, comparing to other systems of liability, concerning whether the worker, the employer or the insurers (cfr. COSTA, 2010). Furthermore, we consider the professional contingencies’ system beneficial when compared to the common repairing schemes in the field of Social Security (COSTA, 2010). In this area, and also in our case, the relevance of the qualification of the damages arising from psychosocial risks as professional contingencies is debated, qualifying them as accidents, occupational diseases in the strict sense or

24 In fact, there is no definition of the penalties applicable to Public Administration in this matter. On identical problems in Spanish law, see Vv.Aa. (2008: 225). According to VELAZQUEZ LIVIA (2002), this application of sanctions by the competent inspection authority would set a “self-punishment”, as both entities are part of the same legal entity, the State. Besides this, such as in private employment entities, here too there is no possibility of exercising disciplinary powers by the Authority for Working Conditions in place of the public employment agency. As a consequence, the Authority for Working Conditions only draws the attention of the responsible public entity for the need to comply with the legislation (CARBONELL VAYÁ, GIMENO NAVARRO, MEJÍAS GARCÍA, 2008: 213). Moreover, in the context of the inspection conducted in health establishments with the aim to identify psychosocial risks during 2012, José Luis Forte, the Portuguese General Labour Inspector at the time, recognized that the Authority for Working Conditions develops a merely “pedagogical role”. Cf. http://www.dn.pt/inicio/portugal/ interior.aspx?content_id=2553013&page=-1, consulted in 29-05-2012. 25 The term “professional contingencies” in used in order to include both concepts of work related accident and occupational diseases. Nonetheless, it must be stated that, in the Portuguese case, only PEREIRA (2009: 206) uses a similar expression (“labour contingencies”). 150

occupational diseases in the widest sense26, and addressing the particular case of suicide and attempted suicide (COSTA, 2012: 203-251). In this respect, the nature of the causal relationship between psychosocial risks and work is discussed by analysing its eventual exclusivity or the concurrence of multiple causes27 and what is the highlight of it for the consideration of psychosocial risk damage arising as a consequence of professional contingencies. Finally, it is important to bring up the jurisprudential situations on which certain events that cause diseases and psychological damage have been qualified as accidents. In fact, in the judgment of the Court of Appeal of Porto (Tribunal da Relação do Porto) of 18-11-2002 (Rapporteur: Pinto dos Santos)28, it was considered that the defenestration of the employee at the hospital where he had been admitted as result of bodily injury under a work accident was a “remote consequence of the accident”, determining the existence of a causal link between the accident and the defenestration. However, in other cases, the chosen path is the occupational disease, so the entity responsible for restoring its consequences will be the Social Security and not the insurer. In this regard, see the decision of the Court of Appeal of Lisbon (Tribunal da Relação de Lisboa) of 10-10-2007 (Rapporteur: Ferreira Marques), which argues that although “the beneficiaries of the victim may be able to demonstrate such as they claimed, that work in the company and the conditions under which the activity was performed caused the victim occupational stress and this was crucial to the emergence and development of coronary atherosclerosis that caused the heart attack, this could never conclude to the existence of a work accident, but to the existence of an occupational disease for which damages the CNPRP29 would be responsible and not the appellants”. It should be noted that, although the courts have been reluctant to accept the compensation for damage resulting from situations of moral harassment under the schemes of occupational contingencies, they have been more receptive when it comes to compensation for injuries resulting from violence exercised by thirds (co-worker, employer or third party to the employment relationship), regardless of whether or not they have grounds related to labour activity. 26 Outstanding distinction in our case, because in Portugal the accidents at work must be mandatorily covered by private insurance, while the Social Security covers occupational diseases. 27 Pondering even the problem of eventual multiactivity of the worker. 28 Coletânea de Jurisprudência (2002), V, XXVII, 221-223. 29 The CNPRP is the National Centre for Protection against Occupational Risks, which integrates the national social security system. Observatory of Psychosocial Risks. UGT

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This is what is stated in the Supreme Court’s decision (Supremo Tribunal de Justiça) of 02-08-1995 (Rapporteur: Chichorro Rodrigues) 30 in relation to the death of a worker due to two shots fired in the sequence of an assault that took place when the worker left the restaurant he governed and was heading to his motor vehicle. This is also the understanding that arises from the judgment of the Court of Appeal of Lisbon of 02-06-2005 (rapporteur: Paula Sá Fernandes) in an accident while traveling, concluding that the fact that the cause of the accident was the wilful aggression caused by third does not remove the right to compensation for the accident. In relation to a criminal act, the decision of the Court of Appeal of Porto of 19-12-2005 (Rapporteur: Ferreira da Costa) found that “the theft pull” that had caused the death of a worker does not undermine the qualification of the event as an in itinere accident, a conclusion that was confirmed by the Supreme Court, in the decision of 28-03-2007 (Rapporteur: Pinto Hespanhol). This judgment would be quoted in the decision of the Court of Appeal of Coimbra (Tribunal da Relação de Coimbra) of 31-05-2007 (Rapporteur: Azevedo Mendes), in which it was considered that an attack by a co-worker, committed when the worker moved from his workplace towards the place where we would sleep over, is an in itinere accident. More recently, in the Judgment of the Supreme Court of 30-05-2012 (Rapporteur: Gonçalves Rocha), it was decided that an episode of violence by a passenger on a commercial flight, which caused a flight attendant disruption of adaptation that inflicted her temporary and permanent incapacity for work, should be classified as a work related accident. In connection with an act of a co-worker, the judgment of the Court of Appeal of Porto, dated 08-07-2004 (Rapporteur: Domingos Morais), classified as a work related accident the hypothesis that, in place and working hours, a fellow “joking, placed in the injured worker’s anus a compressed air hose, causing him injuries”. Also in national jurisprudence, an hypothesis in which a worker was “kicked and/or pushed by a colleague when they were performing their functions” was considered a work related accident in the judgment of the Court of Appeal of Évora (Tribunal da Relação de Évora) of 15-03-2011 (Rapporteur: Correia Pinto)31. Thereby, it is clear that national courts have accepted, almost unanimously, that the damage from violent acts by third parties, occurring in place and working hours, or occurring while traveling (in itinere), regardless of any causal link between the event and the work, are compensated in the terms of Act No. 98/2009 of 04-09, which regulates the compensation for occupational accidents and diseases. 30 Boletim do Ministério da Justiça (1995), n.º 444, 308. 31 Coletânea de Jurisprudência (2012), II, XX, 261-264. 152

In all Europe there is a visible trend towards the progressive inclusion of mental health within the safety and health at work legislation, and the respective weighting by the courts, which has come to be increasingly recognized by the national legal system, though still timidly reflected in our case law. As such, the weighting of the possible liability of the State for failure to regulation guaranteeing access by citizens to the means necessary for the protection of their rights may be justified in some cases. Still in this regard, we recognize that it seems relevant to analyse the civil liability regimes in this field. Firstly, in Portugal, the employer can be responsible, either in the subjective side (fault liability, including fault in vigilando), either in the objective perspective (liability for acts of third parties, namely, acts of dependents). Secondly, we can also mention the possible liability of the worker. Finally, the extension of the responsibility to other entities who are not the employer may be weighted, especially the company’s responsability for the protection of the safety and health of a worker from another company, on situations such as temporary work, subcontracting, occasional assignment, or sharing of facilities by several companies32. We should also refer, briefly, to the discussion about the nature of the liability, as contractual or tort liability. It should be noted that, with regard to liability for harassment, national case law is still not unanimous on this matter. The Court of Appeal of Lisbon, on a decision of 15-02-2012, by the rapporteur Filomena Carvalho, stated that “the qualification as moral harassment is a contractual wrongful act, since it corresponds to the violation of the duty to respect the physical and moral integrity of the worker”, while the same Court, in the ruling of 21-03-2012 (Rapporteur: Pinto Ramalho), assumed “passive legitimacy of hierarchical superiors and fellow workers in a judicial proceeding also filed against the employer for moral harassment by superiors and peers when the compensation order is based on civil liability for violation of personality rights”. The consequences of this choice at the level of burden of proof, statute of limitation and relation with criminal proceedings, among others, are not exclusive to national law33. There are also, in our case, other forms of liability of agents, such as administrative responsibility and criminal liability (offense to physical integrity, libel, defamation, abuse or violation of security rules). In this regard, it is necessary to evaluate the existence of any grounds for exclusion of unlawfulness or fault, as may happen if, for example, the 32 Aspect which, as referred to above, is related to the obligation of coordination and cooperation between enterprises derived specifically from article 16 of Act No. 102/2009. 33 On the subject, see PINHEIRO (2014). Observatory of Psychosocial Risks. UGT

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perpetrator violated safety rules in compliance with unlawful orders of the employer (article 36 (2) of the Criminal Code). In this regard, also at national level, we may refer to the disciplinary liability regime. We must determine whether or not there is a real duty of the employer to initiate a disciplinary procedure against an employee who violates the rights of another worker, or who does not act towards a psychosocial risk. Moreover, according to some national case law, this procedure may even result in dismissal with just cause34. Nevertheless, social responsibility of enterprises35 on psychosocial risks at work may be invoked36. Still, in our case, the practice of drawing up codes of conduct or best practices37 is not common, as we shall see, being certain that some Spanish legal literature notes that these codes are not always truly effective38. 4. Worker protection mechanisms Among the extrajudicial mechanisms for workers’ protection are the hierarchical claim (by indicating their health status and identifying the respective causes), the possibility of changes related to working conditions (such as functional mobility, geographical mobility, suspension of the employment contract39, altering working schedule,

34 In this sense, the judgment of the Court of Appeal of Lisbon of 01-08-1997 (rapporteur: Guilherme Pires), Coletânea de Jurisprudência (1997), I, XXII, 173-174, regarding a case in which an employee performs sexual harassment on a worker. 35 See the communication from the European Commission on 25-10-2011, entitled “A renewed EU strategy 2011-14 for Corporate Social Responsibility” where the Commission reveals the intention of triggering a process in enterprises and other stakeholders, encouraging the process of co-regulation and self-regulation. 36 VALDÉS ALONSO (2013: 287) argues that a socially responsible company should assist workers affected by psychosocial risks, improving working conditions and implementing development policies of integration into the labour market and elimination of stigma. 37 On the relevance of these instruments for industrial relations, vide VALDÉS ALONSO (2012). Exemplifying some measures that can be undertaken by companies in this area, LUELMO MILLÁN (2012: 152). 38 This is what concerns OJEDA AVILÉS (2013: 360), referring to the case of the Chinese company Foxconn, a supplier of Apple and manufacturer of iPhone and iPad, where the existence of codes of conduct did not prevent a high number of suicides between 2010 and July 2011. 39 The need for configuration of a right to transfer and a right of suspension of the employment contract by the worker subject to psychosocial risks may be discussed, such as it exists for the victims of domestic violence, in articles 195 and 296 (2) of the Labour Code and also article 42 of Act No. 112/2009 of 16-09. About this potestative right, vide VASCONCELOS (2010: 119-131). 154

etc.40), the complaint to the employees’ collective representation structures (such as workers’ committees or trade union representatives) or to file a complaint with the Authority for Working Conditions, the workers’ representatives for safety and health at work or the occupational health services. Besides this, the worker may inform the court if a work related accident occurs or submit a request for the recognition of an occupational disease in the Social Security. In our case, it is even possible that the employee ends his employment contract invoking just cause, claiming negligent breach of legal guarantees, lack of safety and health at work or offense to physical and moral integrity, freedom, honour or dignity. Regarding judicial mechanisms which the worker may operate, they might be the common labour precautionary procedure, the special action for the protection of the employee’ personality (articles 186-D ff. of the Labour Procedural Code – CPT), or the special action for the protection of equality and non-discrimination based on sex (article 186-G of the CPT). From another perspective, the employee can also judicially challenge a disciplinary action including dismissal, whenever he/she understands these disciplinary sanctions as illegal. In addition, the employee may seek an action for work related accidents, if its requirements are met. In our opinion, it could even be argued the need to extend the scope of the interim order specified under articles 44 ff. of the CPT also to these hypotheses, since this procedure is, for now, limited to the danger of facilities, workplaces, working processes and dangerous work that lends itself, restricting thus to the material and physical conditions of work. Furthermore, the possibility that the worker blames the employer for the failure of measures aimed at preventing psychosocial risks and, in particular, with a view to reducing the likelihood of damage verification is presented. Finally, in civil matters, the employee may use the special procedure for the protection of personality in order to ask the court to order the measures it deems appropriate to prevent any unlawful consumed and direct threat to his physical or moral person, or mitigate, or terminate the effects of the already committed offense (articles 878 ff. of the Civil Procedural Code). 40 Initiatives that are distinguished from preventive measures, as they are taken only after the verification of a risk, but can sometimes coincide with these, especially with regard to altering the conditions of work performance, as functional mobility, geographical mobility or altered work schedule. Distinguishing between prevention, primary (which go directly to the organization of work) and secondary (incumbent upon particularly sensitive individuals to these risks, to be trained and learn appropriate ways to respond to them), see VELAZQUEZ (2012: 201-225). Observatory of Psychosocial Risks. UGT

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5. Collective bargaining and non-legislative instruments: status quo In addition to legislation, other initiatives of the EU exist in order to express concern for psychosocial risks and their consequences on the mental health of workers41. Among them is the European framework agreement on work related stress, defining this phenomenon and its consequences, determining that the legal obligation to protect the safety and health at work arising from the Framework Directive No. 89/391 comprehends the protection of the problems derived from job stress42. The European framework agreement on harassment and violence at work was also concluded in 26-04-200743, urging companies to stipulate the procedures to follow if one of such hypothesis is verified, and determining the principles that should settle those procedures. Later, the EU strategy 2007-2012 on health and safety at work determined that the “causes underlying the development of mental illnesses and to mental health, addiction and psychological hazards at the workplace, such as stress, harassment and mobbing, as well as violence and further calls for greater emphasis to be placed on employer policies for the promotion of good physical and mental health (...)”44. The European Pact for mental health and well-being of 13-06-2008, adopted at a high-level conference of the EU, requested the undertaking of actions in five areas, including the prevention of depression and suicide and mental health in the workplace45. 41 Conversely, NAVARRO NIETO (2007: 218) states that mental illnesses are forgotten in legal instruments of the EU as important as the Commission Recommendation Nr. 2003/670/EC of 19-09. Nevertheless, it should be noted that the above mentioned book is previous to some of the referred instruments of the EU. 42 Concluded in 08-10-2004, between the European Trade Union Confederation and European business organizations. Available at http:// www.cgtp.pt/internacional/solidariedade-e-paz/81-2012/leis-e-direitos/propost-e-parec-juridicos/493-acordo-quadro-sobre-stress-no-trabalho, accessed on 10/11/2013. 43 Between the European Trade Union Confederation, BusinessEurope, the European Association of Craft, Small and Medium Enterprises and the European Centre of Public Enterprises. Available at http://www.cite.gov.pt/imgs/instrumcomunit/Acordo_quadro_europeu_assedio_ violencia_trabalho.pdf, accessed on 18-03-2010. 44 Approved by the Resolution of the European Parliament of 15-01-2008, published in the Official Journal of the EU C 41E/03, of 19-022009, 22, No. 48. 45 Available at http://ec.europa.eu/health/mental_health/policy/index_pt.htm, accessed on 11-11-2013. 156

Finally, the European Parliament Resolution on mental health, of 19-02-2009, directed several recommendations, requests and invitations to the European Commission, the Member States and employers with regard to health46, and the Opinion of the European Economic and Social Committee, of 12-07-201247, suggested the European Year of Mental Health, under the subject “Better jobs, better quality of life”. It should also be noted that the Strategic Framework of the EU for safety and health at work 2014-2020, published in June 2014, seems to devote a setback in this matter, since it does not recognize psychosocial risks as a priority, although it has identified stress as one of the major occupational risks48. In Portugal, so far, the National Strategy 2015-2020, which is currently being prepared by the Authority for Working Conditions, after being evaluated by the social partners, has not been publicly presented. As such we are not yet aware of the importance that will be attributed to this subject. Nevertheless, it should be emphasized that, in our case, most of those instruments were not implemented or concretized through national instruments, whatever their nature. In particular, and contrary to what was supposed, the framework agreements referred to above were not transposed into national legislation by collective bargaining. Now, first of all, we cannot fail to mention that, in our case, the adoption of collective labour regulation instruments has suffered a marked decline in recent years. Besides this, analysing the content of the collective labour regulation instruments concluded in Portugal, we assess that, in our case, the collective bargaining rarely regulates the safety and health at work (ALVES and GONÇALVES, 2013: 5), although it appears to result from parag. c) of article 492 (2) of the Labour Code, the imposition of such regulation, even though not foreseeing any impact on its breach. In fact, as a rule, we find mere reproductions of legal concepts and of the content of legislation, rarely finding really innovative provisions.

46 Published in the Official Journal of the EU C 76 E/23, of 25-03-2010, 23-30. 47 Published in the Official Journal of the EU C 44/36, of 15-02-2013, 36-43. 48 Another aspect on which rests the attention of this Strategic Framework is the adaptation of the field of safety and health at work to the size of the company. On this subject see CARVALHO (2011: 164 -168, 286-320) and (2012: 927-952). Observatory of Psychosocial Risks. UGT

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What happens is that one of the areas where there is a potential for collective bargaining intervention is precisely the regulation of emerging occupational hazards, including psychosocial risks, even if it is a matter in which the negotiation collective has yet to accompany the evolution of reality. In fact, in the analysis of the trade union UGT (União Geral de Trabalhadores) relating to clauses on safety and health at work in collective bargaining in 201149, it is concluded that “with regard to psychosocial risks, it appears that none of the collective agreements published in 2011 refers to this matter”. However, specifically addressing the subject of psychosocial risks, we have the collective agreement concluded between the Associação Têxtil e Vestuário de Portugal (ATP) and the Federação dos Sindicatos dos Trabalhadores têxteis, lanifícios, vestuário, calçado e peles de Portugal (FESETE), published in the Labour and Employment Bulletin (Boletim do Trabalho e do Emprego – BTE) No. 3 of 22/01/2011, which provides, in clause 59 (2) parags. d) and e), that “The employer must ensure, on an ongoing and permanent basis, the exercise of the workers’ activity in safe and health conditions, taking into account the following general principles of prevention (...) d) Ensure, in the workplace, that exposures to chemical, physical and biological agents and psychosocial risk factors do not constitute a risk to the safety and health of workers; e) Adaptation of work to man, especially as regards the design of workplaces, the choice of work equipment and methods of work and production, specifically for the purpose of alleviating monotonous and repetitive work and reducing psychosocial risks”. Still in 2011, the collective agreement concluded between the Associação dos Industriais de Cordoaria e Redes (AICR) and the Federação dos Sindicatos dos Trabalhadores têxteis, lanifícios, vestuário, calçado e peles de Portugal (FESETE), published in the BTE No. 8 of 28-02-2011, in clause 56 (2) parags. d) and e), referred that: “the employer must ensure, on an ongoing and permanent basis, the exercise of the workers’ activity in safe and health conditions, taking into account the following general principles of prevention (...) d) Ensure, in the workplace, that exposures to chemical, physical and biological agents and psychosocial risk factors do not constitute a risk to the safety and health of workers; e) Adaptation of work to man, especially as regards the design of workplaces, the choice of work equipment and methods of work and production, specifically for the purpose of alleviating monotonous and repetitive work and reducing psychosocial risks”. Thus, collective bargaining stands psychosocial risks as hazards to consider in prevention, but does not define or delimit the concept. 49 Available at http://www.ugt.pt/SST_12_06_2012.pdf, accessed on 01-02-2015. 158

In addition, specific provisions concerning moral or sexual harassment can be found in some collective agreements. For instance: clause 23 of the collective agreement concluded between the EMSUAS — Empresa Municipal de Serviços Urbanos de Alcácer do Sal, E. M., and the STAL — Sindicato Nacional dos Trabalhadores da Administração Local, published in BTE No. 4 of 29-01-2008; clause 13-F of the collective bargaining agreement concluded between the Liga Portuguesa de Futebol Profissional and FEPCES — Federação Portuguesa dos Sindicatos do Comércio, Escritórios e Serviços e outros, published in BTE No. 37 of 08-10-2009; clause 22 of the collective agreement concluded between the SERVIRAIL — Serviços Restauração, Catering e Hotelaria, L.da, and the FESAHT — Federação dos Sindicatos da Agricultura, Alimentação, Bebidas, Hotelaria e Turismo de Portugal, published in BTE No. 4 of 29-01-2010; clause 16 of the collective agreement concluded between the Sociedade de Panificação Sul do Tejo, L.da, e outras and the FESAHT — Federação dos Sindicatos de Agricultura, Alimentação, Bebidas, Hotelaria e Turismo de Portugal, published in BTE No. 7 of 22-02-2010; clause 13th-F of the collective agreement concluded between the Liga Portuguesa de Futebol Profissional and the FESAHT — Federação dos Sindicatos da Agricultura, Alimentação, Bebidas, Hotelaria e Turismo de Portugal, published in BTE No. 46 of 15-12-2010; clause 10 of the collective agreement concluded between the APHORT — Associação Portuguesa de Hotelaria, Restauração e Turismo and the FETESE — Federação dos Sindicatos da Indústria e Serviços, published in BTE No. 40 of 29-102011; clause 5 (1) parag. j) and No. 2-3 of the collective agreement concluded between the PT Comunicações, S. A. e outras and the SINDETELCO — Sindicato Democrático das Comunicações e dos Média e outros, published in the BTE No. 47 of 22-12-2011; article 19 (2) parags. c) and d) of the collective agreement concluded between the HPEM – Higiene Pública, E. E. M. and the STAL – Sindicato Nacional dos Trabalhadores da Administração Local e Regional, published in the BTE No. 35 of 22-09-2012; clause 19 of the collective agreement concluded between the Santa Casa da Misericórdia de Lisboa and the STFPSSRA - Sindicato dos Trabalhadores em Funções Públicas e Sociais do Sul e Regiões Autónomas e outro, published in the BTE No. 6 of 15-02-2013. More recently, the article 19 of the collective agreement concluded between the EMARP - Empresa Municipal de Águas e Resíduos de Portimão, EM, SA and the STAL - Sindicato Nacional dos Trabalhadores da Administração Local e Regional, published in the BTE No. 17 05/08/2015, states that “1 – Occupational health and safety services should take the necessary measures to prevent occupational risks and promote safety and health of workers. 2 - For the purposes of the previous number, Occupational health and safety services must ensure the realization of the following activities (...) m) Without prejudice to other topics, with regard to programs referred to in the preceding paragraph, prevention of psychosocial risks in general and stress, harassment and violence at work in particular,

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as well as the prevention of work-related musculoskeletal injuries and alcohol and other psychoactive substances consumption in work context shall be addressed”. In general, the above mentioned provisions merely define the concepts of coercion and moral or sexual harassment, not describing anything with regard to possible ways of dealing with complaints or other innovations in relation to the respective legal framework. 6. New strategies for the prevention of psychosocial risks In Portugal, the National Mental Health Plan (2007-2016) evidences the need for intersectorial coordination in prevention and promotion activities, highlighting the domains of “employment policies and the promotion of mental health in the workplace, reduction and management of stressors related to work and unemployment, reduction of absenteeism by mental illness” and also the “awareness and information in various sectors, such as (...) workplaces” 50. However, in the aforementioned survey ESENER 2, when Portuguese workers were asked “Does your establishment have an action plan to prevent work-related stress?”, 79.9% of workers respondents said no, and to the question “ Is there a procedure in place to deal with possible cases of bullying or harassment?” 81.3% of workers responded negatively. Regarding the question “is there a procedure to deal with possible cases of threats, abuse or assaults by clients, patients, pupils or members of the public?” only 63.5% responded negatively. Under “measures taken in the last 3 years to prevent psychosocial risks”, it is important to mention that the most significant numbers concerns absence of confidential advice to workers, reported by 76.2% of the workers surveyed51. Therefore, the absence of domestic instruments of control and processing of claims arising from psychosocial risks, even if informal, is confirmed, although these are recognized as particularly dominant risks within Portuguese companies. Admittedly, within the field of safety and health at work, the open methods of coordination, characteristic of soft law, have been used as a way to achieve the desired goals. In fact, the EU has used, on the one hand, non-legislative and non-binding instruments and, secondly, the encouragement of collective bargaining. 50 Cabinet Resolution No. 49/2008 of 06-03. 51 All data can be consulted in https://osha.europa.eu/pt/surveys-and-statistics-osh/esener/2014. 160

The European Framework Agreement on work-related stress and the European Framework Agreement on Harassment and Violence at Work, which we referred to earlier, are an expression of this trend. However, most countries in the EU, within which Portugal is included, have not proceeded to the transposition of these agreements to their respective national laws, either through legislation or in the form of collective labour regulation instruments, so its practical implementation has not been done52. Now, if it is true that collective bargaining is a very important form of regulation of labour relations, it is also true that, as stated above, the subject of safety and health at work has never had special treatment in these instruments. Still, it remains important to debate the role of collective bargaining, discussing the relevance of the move towards a system of codes of conduct and best practices53, or for the provision of general duties of care, although mitigated by the definition of standards and minimum limits enshrined nationally. Besides this, it is important to understand, as advances GOMES (2014: 190), that the protection of these phenomena can be achieved indirectly through the regulation and promotion of rights and practices with “psychological impact”, as the “working time, the salaries, the job description, the social environment, the compensation mechanisms, the reconciliation of work and private life”. In fact, according to ROXO (2011: p. 135), collective bargaining seems to be an ideal mechanism to adapt the general conditions of safety and health at work to the characteristics of each sector of activity, even allowing major updating and adaptation of the prevention measures to changes in the production system, technological innovations and the emergence of new occupational hazards. Thus, collective bargaining may arise, also in this area, as an additional mechanism for national legislation, developing and implementing international and national law. We also find in our case a great dynamism in the Authority for Working Conditions that, despite the economic constraints and obstacles in terms of human and media resources, implements campaigns and policies to prevent 52 OJEDA AVILÉS (2013: 213) argues that the effort that these companies would have to do to implement these agreements may have compromised its support from the European institutions. 53 On the relevance of these instruments for industrial relations, cfr. VALDÉS ALONSO (2012). Indicating some steps that companies can take within this matter, see LUELMO MILLAN (2012: 152). Still, some doctrine doubts the effectiveness of these mechanisms. It is the opinion of OJEDA AVILÉS (2013: 360), referring to the case of the Chinese company Foxconn, mentioned above. Observatory of Psychosocial Risks. UGT

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the occupational risks in enterprises. In 2012, the Authority for Working Conditions participated in the Psychosocial Risks Assessment Campaign energized by the Senior Labour Inspectors Committee (Comité dos Altos Responsáveis da Inspeção do Trabalho), having focused its analysis in the health sector (public and private institutions, cooperatives, private institutions of social solidarity, inpatient rehabilitation centres and continuing care units). In 2013, the Authority for Working Conditions envisaged in its activities planning a program called “Inspector intervention on psychosocial risk assessment” in order to “promote the assessment of psychosocial risks in the workplace, aiming to improve working conditions of health professionals (accompanying results and continued development of the intervention promoted by the European campaign) and education professionals” and addressed the public and private sectors “Health / education / social action (..) and other sectors that demonstrate this problem in the National Level” 54. Already in 2014, the plan of activities of the Authority for Working Conditions55 included a project named “European Campaign 2014-2015: Healthy workplaces contribute to stress management” which had as its goals “Promoting a good psychosocial risks governance. Promote safety and health in SMEs” and as its program “Self-regulation by the companies: to ensure the production and dissemination of technical information specialised in labour matters, including health and safety at work”. More recently, the Business Plan for 201556 once again provides the project “Promotion of Safety and Health at Work - European Campaign 2014-2015: Healthy workplaces contribute to stress management”. Also in the field of the project “Monitoring the safety and health at work (current activity and accompanying protocols)” is included among the planned activities the “Action information / inspection in the service sector (banking, insurance, accounting firms, consulting, “call centres”, etc.) with a view to fulfilling the obligations of organization of health services and safety at work and, specifically, evaluation of psychosocial risks”. 54 Available at http://www.act.gov.pt/(pt-PT)/SobreACT/DocumentosOrientadores/PlanoActividades/Documents/Plano%20 de%20Atividades%202013.pdf, accessed on 10-08-2015. 55 Available at http://www.act.gov.pt/(pt-PT)/SobreACT/DocumentosOrientadores/PlanoActividades/Documents/Plano%20 de%20Atividades%20ACT%202014.pdf, accessed on 10-08-2015. 56 Available at http://www.act.gov.pt/(pt-PT)/SobreACT/DocumentosOrientadores/PlanoActividades/Documents/Plano%20 de%20Atividades%202015.pdf, accessed on 10-08-2015. 162

Finally, it is necessary to appeal to the companies’ social responsibility in this area, which must meet the purposes of the legislation, not only because these are mandatory, but also as recognition that the good practices in this field are favourable to their development. It is, therefore, necessary to define strategies for psychosocial risks, considering the creation of new ways to combat them, as well as other emerging risks, and achieving, at the national level, the goals of the legislative and nonlegislative instruments published internationally and, especially, within the EU.

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Costa, A. C. R. (2014). “Segurança e saúde no trabalho – Particularidades e problemas no âmbito da Administração Pública”. Para Jorge Leite. Estudos Jurídico-laborais, I. Coimbra: Coimbra Editora, 285-308. Fernández Arias, J. C., Mazas González, N., Moreno Villena, A. (2012). “FASyS, fábrica absolutamente segura y saludable. Servicios integrales de intervención en salud laboral”. La salud mental de los trabajadores. Madrid: La Ley, 301-341. Gomes, F. (2014). “Confederación General de Trabajadores Portugueses (CGTP-IN). Aproximación a los riesgos psicosociales”. Anuario Internacional sobre prevención de riesgos psicosociales y calidad de vida en el trabajo, disponible en http://portal.ugt.org/saludlaboral/observatorio/catalogo2014/publicaciones/revistas/022es/ descargas/Anuario2014ESP.pdf, consultado el 10-08-2015. Gomes, J. M. V. (2007). Direito do Trabalho. Relações individuais de trabalho, I, Coimbra: Coimbra Editora. Gomes, J. M. V. (2011). “Algumas reflexões sobre a evolução recente do conceito jurídico de assédio moral (laboral)”. Prontuário de Direito do Trabalho, 90, 71-91. Ibáñez González, M., Lezaun Barreras, Z., Serrano Argüeso, M., Tomás Martínez, G. (2007). Acoso sexual en el ámbito laboral – Su alcance en la C. A. de Euskadi. Bilbao: Universidad de Deusto. Luelmo Millán, M. A. (2012). La responsabilidad social corporativa en el âmbito del Derecho Laboral. Un instrumento económico-jurídico para un humanismo del siglo XXI. Oleiros: Netbiblo. Luque Parra, M. (1999). Los limites jurídicos de los poderes empresariales en la relación laboral. Barcelona: Bosch. Medeiros, R.; Miranda, J., (2005). Constituição Portuguesa Anotada, I, Coimbra: Coimbra Editora. Molina Navarrete, C. (2007). La tutela judicial frente al acoso moral en el trabajo: de las normas a las prácticas forenses. Albacete: Editorial Bomarzo.

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Navarro Nieto, F. (2007). La tutela jurídica frente al acoso moral laboral, Pamplona: Thomson Aranzadi. Ojeda Avilés, A. (2013). Derecho Transnacional del Trabajo. Valencia: Tirant lo Blanch. Pacheco, M. G. de R. (2007). O assédio moral em Portugal. “O elo mais fraco”. Coimbra: Almedina. Parreira, I. R. (2003). “O assédio moral no trabalho”. V Congresso Nacional do Direito do Trabalho. Memórias. Coimbra: Almedina, 209-247. Penido, L. de O. (2013). “Os factores psicossociais e a caracterização do tratamento desumano e degradante”. Saúde mental no trabalho: coletânea do fórum de saúde e segurança no trabalho do Estado de Goiás. Goiânia: Cir Gráfica, 661-675. Pereira, R. G. (2009). Mobbing ou assédio moral no trabalho. Contributo para a sua conceptualização. Coimbra: Coimbra Editora. Pimentel, F. (2011). Direitos e deveres dos trabalhadores da Administração Pública. Coimbra: Almedina. Pimpão, C. R. (2011). A tutela do trabalhador em matéria de segurança, (higiene) e saúde no trabalho. Coimbra: Coimbra Editora. Pinheiro, R. J. (2014). “A responsabilidade civil dos agentes perante a vítima de assédio moral”. Questões Laborais, 42, 409-435. Pringault, S. (2012). “Le droit positif à la recherche du point d’équilibre entre obligation de réserve et devoir de dénonciation du harcèlement moral”. Actualité Juridique Fonctions Publiques, 4, 202-207. Rouxinol, M. S. (2008), A obrigação de segurança e saúde do empregador. Coimbra: Coimbra Editora. Roxo, M. M. (2009). Segurança e saúde do trabalho: avaliação e controlo de riscos, 2ª ed. Coimbra: Almedina.

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Roxo, M. M. (2011). Direito da segurança e saúde no trabalho. Da prescrição do seguro à definição do desempenho, uma transição na regulação. Coimbra: Almedina. Valdés Alonso, A. (2012). “Códigos de conducta: un instrumento para las relaciones laborales en un contexto de crisis”. Estudios sobre Derecho y responsabilidad social en un contexto de crisis. Madrid: Ediciones Cinca. Valdés Alonso, A. (2013). Responsabilidad social de la empresa y relaciones laborales. Valencia: Tirant lo Blanch. Vallecillo Gámez, M. R. (2012). “Los costes de la salud mental en el trabajo: prevernirlos es un presupuesto, no un lastre, para la retoma del crecimiento económico sustenible”. La salud mental de los trabajadores. Madrid: La Ley, 73-97. Vasconcelos, J. (2010). “Sobre a protecção da vítima de violência doméstica no Direito do Trabalho português”. Revista de Direito e de Estudos Sociais, 51, 103-134. Velázquez, M. (2012). “Las formas de intervención psicosocial”. La salud mental de los trabajadores. Madrid: La Ley, 195-227. Velázquez Livia, M. (2002). “Las posibilidades de actuación de la inspección de trabajo frente al acoso moral o mobbing”, disponible en http://www.stes.es/salud/Libro_Riesgos_laborales/c06a2.pdf, consultado el 22-04-2012.

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Experiences in latin american countries: Argentina, Brazil

About the prevention of psychosocial risks at work in Argentina

Juan Pablo Mugnolo Profesor de Derecho del Trabajo y de la Seguridad Social Universidad de Buenos Aires MarĂa Lucila Franzosi Profesora de Derecho del Trabajo y de la Seguridad Social Universidad de Buenos Aires

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Summary 1. Introduction 2. Regulatory framework 2.1 Law 20,744, “Labor Contract System.” 2.2. Law 24,557, “Occupational Hazards”. 2.3. Law 19,587, “Health and Safety at Work” 3. On psychosocial risks, current trends 3.1. Some thoughts about judicial pronouncements. 3.2. Prevention in collective bargaining 3.3. Advisory Office on Workplace Violence (OAVL) 4. Conclusion Bibliography

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1. Introduction In Argentina, disease and accidents of workers are regulated by different rules. A first difference is found in the origin of this illness or injury, that is, if it comes from outside or inside the workplace. This question will determine the applicable regulatory framework, as two different regimes in this function are expected. We try to make a brief overview of these regulations and then, get into the subject proposal. 2. Regulatory framework 2.1 Law 20,744, “Labor Contract System.” Already in the field of law 20,744 (under contract of work) we find the Chapter I call “accidents and occupational illness” within the Title X: “Suspension of Certain Effects of Labour Contract” (arts. 208 et seq). Regarding the name chosen for this chapter, it should be noted that although it relates to diseases and accidents “blameless”, it is inadequate because the characterization in the legal course is not in the subjective aspect (as it would be guilt) but rather a practical matter, objective aimed at the strangeness of its aetiology on the work. In these cases, the cause of temporary disability that determines not responds to a job done (Rodríguez Mancini J., 2004: 387/388). Ergo, this law will not show provisions for illness and/or accidents having their source in the workplace. This is our first challenge because sometimes a worker may have some physical manifestation of a mental condition such as mentioned further on and it might not be easy to detect the onset of disease (especially if the same worker may not even have awareness of him being a victim of a psychosocial risk). Product of stress, workers may suffer discomfort located in different areas of the body, skin diseases, hypertension or gastric disorders may be an example of the different body locations, and systemic effects of psychosocial risk factors.

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Also these factors, with the intermediate body stress, also trigger diseases accidents. The difficulty in early detection, in some cases, result of multiple causes is added to some dilution of such risks in the notification of the case when it seeks to understand the causes. The reason is often linked with the time when a contingency is declared in the timing of development. So, you can declare an accident having as its immediate predecessor explanatory axis, for example, cut to a broken instrument. However, it could have a base in the extension of the working day he crossed the worker before an accident. The situations of violence at work can result in an immediate consequence for the health of workers (physical and mental) and being in a violent situation generates a situation of vulnerability to trigger other boxes. Nevertheless and returning to law 20,744, it is interesting to note the problems that brings us here, to bypass Protectoria as guiding principle in our country’s labour law, we find the duty of foresight or worker protection, which can be understood as a general duty of the employer to take measures and precautions designed to prevent the worker suffers damage to his person or property. To this end, the employer has an obligation to take appropriate measures to avoid such damage, taking care of his worker. In that vein, we can say that this duty also find basis in the art. 14 bis of our Constitution and in international treaties that have constitutional hierarchy between the rights of workers “dignified and equitable working conditions.” One of the three aspects of this duty and, in the case it should be noted, is the “duty of personal security.” In our law 20,744 we have the art. 75 which in its current form (as the amendments introduced by the law 24.557) says: “1. The employer is obliged to observe the laws on health and safety at work, and enforce breaks and limits on working hours set out in the legal system. 2. Damage suffered by the worker as a result of the breach of the obligations of the preceding paragraph shall be governed by the rules governing compensation for damage caused by accidents at work and occupational diseases, leading only to benefits established therein “.

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While this recognition is inserted in the law 20,744, forwarded the article pointed us to the risk of labour law when seeking to repair the damage suffered by the worker as a result of the breach of the detailed rules there. There is vast amount of failures that refer to this article on accidents and illnesses but, usually, they point to physical damage. The Court has stated that “The obligation personal safety of workers is one of the main manifestations of the general duty of the employer forecast, and forces him to adopt suitable measures in accordance with the circumstances of time, manner and place surrounding the work that the case, to prevent the worker suffers damage to his person, including both the obligations imposed by the rules of public law, enacted in the exercise of police power of work as private security duties emerging from the contract itself”(Livellara, CA, 2008: 485/486). 2.2. Law 24,557, “Occupational Hazards” With the enactment of Law 24,557 on “Occupational Hazards” (hereinafter “LCT”) begins the talk about risk prevention in Argentina. The rules above focus on the repair and not on prevention. This can be seen in the art. 1 of law 24,557 which, referring to the objectives of the same, states in paragraph 1 to the “risk prevention” and then more specifically in paragraph 2 speaks of: “a) Reduce workplace accidents through prevention of occupational hazards.” With the phrase “prevention of risks of work” allusion is made to the actions, policies and obligations of different subjects which aims to eliminate or avoid work situations that threaten the health of working people. Although the aim was prevention, Chapter II entitled “THE PREVENTION OF OCCUPATIONAL HAZARDS” consists of only two items, 4 and 5 and the latter provides for a penalty if the accident or occupational disease occur as a result of failure by the employer to the rules of hygiene and safety at work, which has already occurred in order misfortunes, not being a standard of prevention.

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However, the LCT establishes the obligation of employers, workers and labour risk insurers (ART), to adopt measures to effectively prevent such risks (Article 4.1.); improvement plans (Article 4.2 to 4.5, replaced by Decree 1278/2000.); the creation of the Superintendence of Labor Risks (SRT) autarkic-entity within the Ministry of Labor, Employment and Social Security- whose functions we find: “To monitor compliance with the standard of health and safety at work can dictate supplementary Provisions delegations resulting from this law or the regulatory Decrees “(art 36.1 a.) and sanctions (Article 36.1, c.) (Ackerman, ME, 2014: 43/44). To this can be added, as expected: That the ART act as partners in monitoring compliance risks of hygiene and safety at work (Article 4, ap. 4 and 31, ap. 1, subsection a); levied on employers in cases of damage to the worker as a result of non-compliance with safety rules and health (Art. 5) sanctions; employers listed on the basis of alleged and actual accidents (art 24, ap. 1..); the ART advise employers on prevention of occupational risks (article 31, ap. 1 c inc. ap. 2, para c); employers to train and inform workers on prevention of occupational risks (article 31, ap. 1, subsection a); and the ability to define prevention measures in collective labour agreements (CCT) (art. 1, ap. 2, inc. d). That is, that the LRT, unlike its predecessor the law 24.028- reveals his desire to reduce accidents through prevention. At this point, the reader should be noted that our country applies on the risks of working a variety of sources that generate complications. Indeed in addition to laws, the system contains many rules issued by the National Executive and supervisory bodies and specific regulation (ie: Labour Risks Superintendence, Superintendent of Insurance of the Nation, Ministry of Labour, Employment and Security social, ANSES, Federal Public Revenue Administration, among others). This plurality of sources coupled with the complexity of the system, the poor technique when writing them and the failure of regulatory hierarchies (disregarding the producer body rules the limits of its authority) has caused cases of unconstitutionality of these rules. Once inside the LRT system, we must emphasize that provides for the following budget responsibility: 1) accidents at work defined as “any sudden and violent event occurred because or during work” (Article 6, ap. 1), and 2) occupational disease are those who are in a special list prepared by the executive branch and should be reviewed annually, although it was updated only once (by decree 1167-1103). 176

The triple columnist includes: risk agent, clinical and activities (joined “exposure” by decree from 1278 to 1200 but this reference is not specified in the list of diseases). The list is closed and rigid system could categorize as it should be added exclusions caused by causality rules of section II, subsection B, paragraph 2 of Decree 1278/2000. From the discussion in terms of occupational illnesses, a priori seem to follow a system that brings a list of diseases can be left unattended closed many individual cases where else is clear psychic individuals face is not properly addressed. Just psychosocial risk factors are embedded in the workplace itself, and not manifest in a particular activity but potentially at all. In fact, the broad concept of occupational accidents has been defined by case law. On the other hand, it has been raised in the case of unconstitutionality of art. 6 of the LRT. We are facing another aspect related to the LRT it therefore deserved questions doctrine and jurisprudence. That standards by providing that diseases are not included in the list-and also, according to the same article is annual disease, since they vary, being incorporated by an act or administrative-excluded in no case be compensable, viola art. 17 of the Constitution to curtail “in limine” economic rights of the injured worker, the principle of permanence and identity, as well as the constitutional provisions on the powers of the executive branch and the legislative branch (conf. Arts. 75, inc. 12, 22 and 99 of the Constitution). It is also a matter of questioning, the fact that that articulated by giving the Executive the power to develop and review the list of diseases to be considered professionals for purposes of compensation, he delegated a typically legislative function, as such, can not be delegated (Art . 75, para. 12 and 99, para. 3, para. 2 CN). Also, art. 6, paragraph 2, of the LRT violates the guarantee of equality before the law (art. 16 CN), because the creation of a closed system leaves no coverage for certain work-related illnesses and accidents, not be included in the lists prepared by the executive branch, left without possibility of redress. Observatory of Psychosocial Risks. UGT

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“In order to weigh the measure of equality should be consulted as to the reasonableness pattern, which should not disregard the idea that the legislature can create categories or groups with different treatment of the inhabitants of the Nation, but as long as the criterion used is reasonable, otherwise we are in the presence of a discriminatory provision…”(Ferreirós, Estela M., 1998: 61). In this regard, the author says, if the purpose is just protection of the psychophysical integrity of the worker, the means chosen (art. 6 of the LRT), related to the exclusive list, is not proportionate to achieving this aim and therefore, it’s unreasonable and unconstitutional. It is unreasonable that one side will safeguard workers set to end in a situation of reverse discrimination and secondly divest it of the right to obtain not only a monetary reparation, but also the assistance and relocation, where disabled as a result of disease not covered by the list of illness or an accident that did not respond to the brief definition of art. 6.1 LRT, all under the aegis of a system which declares as its objectives the prevention and repair of damage from work. Case law has said in this regard:” The article 6, inc. 2 of Law 24,557 violates the guarantee of equality before the law, for the creation of a closed system leaves no coverage for certain work-related illnesses and accidents not be included in the lists drawn up by the executive branch, are no chance of redress.”(TTrab. Number 3 of Lanus, “Pérez, Ana M. c. Multicanal S.A.”, 22/10/1999). “Art. 6 of Law 24,557 to deny compensation to damage through not provided for in the list there is expected repugnant to the constitutional system, the theory of damage to the Civil Code and international principles in the matter and the consistent interpretation of at. 75 of Law 20,744.”(TTrab. de Olavarría “Pradas de Ciancio, María E. y otro c. La Gula Sociedad de Hecho y otros”, 24/03/2000). These considerations not only repulsed the most basic principles of equality, but that violate the protective principles that govern our labor law. It is clear that the constitutional challenge to the definition encompasses both the accident itself (art. 6, p. 1, LRT), the same for a “professional” disease and for an arbitrary “closed list”.

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If we understand that it is an unlisted disease, it should be noted that Decree 1278-1200 establishes two categories of occupational diseases: a) the general admission contained in the list, and b) the exceptional and limited recognition to each case, declared by the Central Medical Commission. Under these conditions, if the above standard gives the Central Medical Commission power to include certain conditions between the compensable, provided there is a necessary link between the condition and the labour factor, a fortiori have the judge, who turns by its own condition with the constitutional guarantee of “natural judge” of individual cases, recognized in Article 18 of the Constitution. As already noted, psychological pathologies, finds no place in the list issued by the executive body, which is otherwise the consequences will be difficult to recognize in this context that we find prevention measures. 2.3. Law 19,587, “Health and Safety at Work” We have a specific law, which is the law of Hygiene and Safety at Work, designed to regulate safety conditions and hygiene in all establishments and farms in the country, dating from 1972 and also speaks of “prevent, reduce, eliminate or isolate the risks of the various centres and jobs “(art. 4). This law still remains, and suffered harsh criticism. It was regulated by Decree 351/79 which imposed requirements on the parties in preventing and was described by the business sector as “utopian” by not taking into account what was said by that -according sector- the possibilities to meet them by part of SMEs in our country are the vast majority of enterprises which employ dependent personnel (Rial, N., Machado J. D. and De Manuele, A. N., 2012; 249). Again this law are specific provisions regarding the so-called “psychosocial risks” as such (we found only one reference to “Heat stress” in Annex II, corresponding to Article 60 of the Regulation approved by Decree No. 351/79, replaced by Annex art. 3 of the Resolution No. 295/2003 of the Ministry of Labour, Employment and Social Security BO 21/11/2003). 3. About psychosocial risks, current trends The International Labour Organization (Gender, health and safety at work, Sheet 3, “The organization of work and psychosocial risks: a gender perspective”) defines psychosocial risk factors as “those characteristics of conditions work affecting the health of people through psychological and physiological mechanisms that are called stress”. It notes that in order to a better understanding of the word “psychosocial”, it can be broken down into “psycho”

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because they affect us through Psyche “series of acts and functions of the mind”; and “social” because there lies its origin (certain characteristics of work organization). We understand that psychosocial risks at work are a growing phenomenon that impacts the health of workers, although there has been and there is resistance to the recognition of such risks, even by workers themselves. We believe that in our country the task ahead is to sensitize the population about these risks, in order to guarantee the workers a better quality of life. Not only workers sometimes do not recognize that they are at a risk of this kind, but there is reluctance from employers and from the ART to consider them. In Argentina, in fact psychological disabilities are often rejected in limine by the ART as work product, there is a tendency to minimize or discredit them as if they were a disease. From the case law it has responded to such phenomena as sexual harassment or bullying but as isolated figures and not as part of psychosocial risk factors, except for some scattered references as will be explained later. However, in the frame descriptor we proceed to highlight some remarkable developments in the field of psychosocial risks; if not before noting that it makes sense in the panorama described here would be to find rules aimed at preventing such risks in the orbit of the system “occupational hazards”, however this is not so. 3. a. “National Health Program, Human Rights and Psychosocial Risks at Work. Objectives”, Resolution No. 1844/2013 of the Ministry of Health As already noted in Argentina exists, tackling accidents and / or work-related illnesses, a variety of legal sources and this is no exception. At the “recitals” of Resolution No. 1844/2013, there is acknowledgment that psychosocial risks at work:” they represent a pressing problem in society, becoming its treatment required a public health policy” and “they constitute one of the determinants of health more complex assessment and treatment with regard to the workplace, being necessary to have a specialized team for its effective approach”.

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That is, in that respect and the work that still lies ahead lack of awareness is noted, the resolution goes on to say that “awareness rising on psychosocial risks in areas where people develop their daily activities” should be generated. Advertised as general objective to strengthen the technical capacity of the Ministry of Health of the Nation, so that together with human rights organizations and the workplace, evaluate and monitor the implementation of national and international instruments on the Human Right to Health and prevention psychosocial risks at work, as well as formulate health policies and plans aimed at fulfilment of those purposes. Once inside the specific objectives are mentioned among others: - Develop promotion, prevention and care, to optimize the quality of life of the inhabitants of Argentina, prioritizing the fulfilment of Human Rights. - Train Human Capital Area Health, on the issue covered by this program. - Positive changes in the population, by addressing the social determinants of health, from the territorial work. - Investigate the phenomena involved in the triad Health - DD HH and Labour, in order to transfer technology to society and effective tools. - Generate awareness actions on psychosocial risks in areas where people develop their daily activities. Establish a training and continuing education for health professionals and effectors related to the different thematic areas addressed. - Disseminate and raise awareness about health approach based on human rights, in the various sectors of society. On the other hand it should be noted that no further details on how these objectives were implemented, we could say that is a statement that a “plan of action”.

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3. b.Some thoughts about judicial pronouncements. The law has been collecting the consequences of these psychosocial risks and the consequences because they usually say the intervention of the judiciary occurs once the damage occurred. In the past decade they have begun to be more assiduously the psychosocial risk factors -at say of the ILO in relationships at work, as for example: “Sexual harassment” “bullying or mobbing”, “workplace violence” but usually without reference to the pampering as such. “Risks” that judges easily recognize when the worker suffers physical damage, either because it was not trained enough or because he was not granted the right security features seem a little more difficult to identify when we talk about diseases or mental disabilities, but there are examples in the casuistry, we rely increasingly wider scale. “Clearly the ART, upon learning of the situation of mobbing, must advise and suggest to the company coerced to amend those aspects that could help improve working conditions, the working environment and reduce psychosocial factors risks, which currently there are modern methods of diagnosis, mediation and conflict resolution, the Insurer must make available to its affiliated company, also conducting staff training, the manager of all, about everything concerning the treatment of interpersonal relationships in the workplace. None of this was done, so it is responsible under the terms of art. 1074 CC”.(CNAT Sala VIII Expte Nº 23.338/09 Sent. Def. Nº 39.124 del 25/09/2012 “P.,G. M. c/ Tam Linhas Aereas SA y otro s/ Despido”). “In the hypothesis of “mobbing” psychological aggression has a specific direction to the victim with a subjective and perverse intention of generating damage or distress; psychological destruction and subsequent submission; and / or discharge of the business organization or group. However, in the case of media “general psychological violence” an environment of aggressive, hostile and harmful work, which may result from inadequate management styles based on an autocratic leadership or charged to competitiveness and organizational aspects failures climates communication, reward systems, or other factors affecting all or a large majority of workers in the company. Aggression in this hypothesis is based on the alleged superiority of personnel managers about employees and is made with the declared intention to ensure the smooth running of the company and its productivity levels.”(CNAT Sala II Expte. Nº 20.397/08 Sent. Def. Nº 100.466 del 27/04/2012 “J., N.M. c/IconaSA y otro s/mobbing”).

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“The ILO recognizes mobbing as a concept: the labour psychological persecution that constitutes a hostile or intimidating behaviour that is practiced to a worker from a higher hierarchical position or from a peer group with respect to which it maintains a de facto subordination. Such hostile behaviour is repetitive and persistent over time resulting in the adoption of methods from many different influences, through aggression as information hiding, defamation or degrading treatment”. (CNAT Sala VIII Expte Nº 45.207/09 Sent. Def. Nº 38.810 del 23/4/2012 “R., E.I. c/MedicusSA de Asistencia Médica y Científica y otro s/accidente - acción civil”). Linked with this topic Argentina’s 2009 Law No. 26.485, regulated by Decree No. 1011/10, comprehensive protection to prevent, punish and eradicate violence against women in areas where they develop their interpersonal relationships are sanctioned that although it is not exclusively geared to the workplace we can say that also encompassing. 3. c. Prevention in collective bargaining. In collective bargaining found in some collective labour agreements (CCT) novel at the time to fight these tools psychosocial risk factors, but once again boat from the perspective of workplace violence, harassment, etc., therefore, they intend to give battle but only some of these risk factors and there is a psychosocial risk factors as a whole. In some collective agreements concluded between 2014 and 2015, we find some new tools to face this problem. For example, in the activity of “lottery” we are creating a “procedure for sexual harassment, bullying or harassment in the workplace” in an enterprise agreement. In this regard, the company proposes a policy of zero tolerance of such behaviour and highlighted as necessary to prevent conduct that may be considered to constitute harassment in the workplace. Defined what constitutes sexual or psychological harassment or bullying. To this end, the signatory parties undertake jointly to educate the staff about these behaviours through lectures or literature so. The procedure provided there is that the affected person or one who becomes aware, should identify and provide any information, stating: people involved, type of behaviour, dates and places where the behaviours, potential witnesses, potential victim occurred, for that confidentiality is guaranteed and an internal committee “composed of qualified personnel” and trained, that issues a report and also take measures to be appointed. It is expected that the union might suggest measures to be applied. Observatory of Psychosocial Risks. UGT

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Subsequently, the company will make a decision, especially as the parameters and limits stipulated therein. In other convention business in the same activity, we find a more concise layout but also warns about this subject. Sexual harassment or intimidation in the workplace are considered serious misconduct and when a worker is affected by this action, may denounce facts with regards to the human resources area and request the intervention of the state. Another example is given in the activity “clothing cutters” who have joined its CCT an article entitled “Eradication of workplace violence” agreeing condemn it aimed at disseminating and promoting this issue for positive action to prevent its development. To do this it was thought in training and recourse in consultation and/or advice to the Advisory Office on Workplace Violence (OAVL) of the Ministry of Labour, Employment and Social Security. In another company CCT, naval activity of the parties determine that the moral and sexual harassment at work, duly accredited, constitutes serious misconduct, pledging to regulate a procedure to prevent and punish harmful effects on the health of workers and organizations such practices generate. 3. d. Advisory Office on Workplace Violence (OAVL). Finally, we would stress that is created under the Ministry of labour, Employment and Social Security an Advisory Office on Workplace Violence. According to OAVL, workplace violence is “any act, omission or behaviour intended to cause direct or indirect, physical, psychological or moral harm to a worker, is a threat or actual action. It includes violence, bullying, sexual morality and at work, and can come from senior levels in the same range or less. “ The OAVL has assigned the following functions: • Answering inquiries and/or receiving complaints about workplace violence and legal and counselling regarding the psychophysical health. • Development of a conceptual, empirical, legislative and documentary basis, serving local, national and international perspectives. • Establish links of cooperation and assistance to areas inside the Ministry, other public and private, national and international organizations with similar or complementary objectives. • Conduct and promote preventive work by conducting awareness raising, dissemination and training

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on the subject to different sectors, in different ways, have intervention or are hit by this subject The Ministry of Labour, Employment and Social Security, through the Advisory Office on Workplace Violence, convened union organizations to integrate an area of exchange and coordination to prevent and intervene in situations of workplace violence. Commitment Act is an instance of formalizing the interest of the signatory unions to: 1. Create or strengthen a specific area within each organization that addresses this problem through counselling and prevention actions. 2. Agree care methodologies and disclosure in the workplace. 3. Agree to promote specific policy proposals and a national law. In 2012, 70 unions signed the Commitment Act and actively participated in group training and exchange activities as well as developing materials and in organizing joint activities. Progress was also made in installing the theme in their own organizations, collective agreements and labour areas in which workers perform accounting.

4. Conclusion Prevention has not received an extensive approach by the legislator, nor is rooted in the culture of employers and workers. On the other hand, part of the legislative disruption that has been referenced in this article, is also moved to this area because it is the Ministry of Health who comes to creating a National Health Program, Human Rights and Psychosocial Risks at Work and does not in conjunction with any of the bodies with interference in the working lives of people (as might be just the SRT organization created within the framework of the LRT and composed of professional art of healing). However, Resolution No. 1844/2013 emphasizes the relationship between Health and Human Rights, and if we consider that under paragraph 22 of art. 75 of the Constitution various human rights treaties have constitutional status, the first point to note is that: â&#x20AC;&#x153;... the enjoyment of the highest attainable standard of health that can be achieved is one of the fundamental rights of every human being without distinction of race, religion, political belief, economic or social condition â&#x20AC;&#x153;as basic and universal international debut for the member states of the World Health Organization (of which Argentina is a member since 1947), is a target for Argentina.

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Besides that Argentina is a member of the ILO, an organization that has also warned about these risk factors. We believe that psychosocial risks have begun to be worked as a problem, is of paramount importance because if the problem is not recognized hardly can be prevented, but still a long way to go, starting with raising public awareness about of these problems and implemented programs and actions that serve to prevent them, and in this pre-stage awareness, to recognize the damage these risk factors and repair them properly. For when the latter do not recognize them as if unearned, our system will fall into the area of non-occupational illness or accident coverage running out. Bibliography Rodriguez Mancini, J. y colaboradores (2004). “Capítulo IV: Alteraciones en el desarrollo de la relación. B) Suspensión de la ejecución”. Curso de derecho del trabajo y de la seguridad social. Director: Rodriguez Mancini, J. Buenos Aires, Astrea. Livellara, C. A. (2008). “El deber de prevención del empleador respecto de los riesgos psicosociales derivados del trabajo”. Revista de Derecho Laboral. Buenos Aires, Rubinzal – Culzoni Editores. Ackerman, M. E. (2014). Ley de Riesgos del Trabajo. Comentada y concordada. Buenos Aires: Rubinzal – Culzoni Editores Ferreirós, E. M. (1998). “Es inconstitucional la ley sobre riesgos del trabajo?”. La Rocca. Rial, N., Machado J. D. y De Manuele A. N. (2012). Manual para representantes sindicales. Buenos Aires, Rubinzal – Culzoni Editores.

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Prevention of psychosocial risk at workplace. The moral harassment and his necessary regulation in Brazil

Fábio Túlio Barroso Abogado y Doctor en Derecho por la Universidad de Deusto Presidente de Honor de la Academia de Pernambuco de Derecho del Trabajo - APDT. Profesor de Universidad Católica de Pernambuco y de la Universidad Federal de Pernambuco Nyedja Medeiros Chaves Graduado en Derecho y en Ciéncias Económicas Doctorado en Relaciones Internacionales en la Universidad del País Vasco

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Summary 1. Abstract and Introduction 2. Risk Prevention Psicosocialesy Work Environment - General Criteria 3. Moral Harassment in Workplace 4. Regulation Rules Moral Harassment in Workplace 5. Compensation for Damage Morales Moral Harassment 6. Final considerations Bibliographic references

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1. Abstract and Introduction The article deals with the prevention of psychosocial risks at work, bullying and its regulation in Brazil. Bullying is a phenomenon that attacks self-esteem, personality, physical and mental integrities from the labourers, via acts, gestures, words and humiliating conducts in a systemically and sustained way. In this context, we try to observe the role of the employer, in order to ensure the application of the existing regulation to protect the labourerâ&#x20AC;&#x2122;s welfare, though there is no specific arrangement related to the labour laws about the phenomenon, which is substantially reflected in work environment these days, in a possible adoption of a policy against moral harassment, according to the doctrinaire sources and jurisprudence, states laws, municipals laws, and laws projects that aim to regulate the institute, taking into account the subsidiariarity given by the labour laws consolidation and the effectiveness of fundamental rights, as the human dignity principle, based on the Federal Constitution. Finally, the compensation for moral damage as a consequence of bullying has been studied, due to the impact in the subjective sphere of the victims, inadmissible in a right democratic state. This article analyses the phenomenon of bullying in the workplace, once evidenced the need for greater awareness on it, by the growing number of actions brought before the courts, as well as the severity of the damage suffered by workers victims of this psychosocial imbalance. Similarly, bullying is part of an undisciplined behaviour in the workplace, which will lead to the introduction of a prevention policy by the employer in order to face the risk of illness and accidents at work, being this responsibility inherent to the power steering. Harassment refers to any conduct which may cause damage to the worker or to his dignity, personality or physical or psychological integrity, undermining the harmony in their work environment, putting their jobs, their health and lives at risk as well as the whole society, given that the work is an essential element of this. This is not a recent issue of labour relations; however, in Brazil there is no normative regulation on the matter, which would facilitate their management even in random way in labour relations.

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Currently underway are several bills, state and local laws, these order administrative, doctrinal and jurisprudential, framing the moral harassment a civil crime, creating a duty to repair the damage caused in the workplace, based on the rules and referred to constitutional principles. The finding of the evidence that the evidencing, as both the conduct of the employer as the result of such conduct is necessary in this vein, seeking identification of a worker who has suffered damage, he should to observe causation. In order to write the article a methodology literature review through analysis of books, theses, monographs, articles and periodicals, and the use of law by way of illustration. It has also performed an analysis of the related legislation. Anyway, the article aims to expose this phenomenon is not uncommon in labour relations. It also seeks to highlight the need for regulation in the workplace, with the doctrinal, legal and jurisprudential foundations, in order to prevent and disseminate an issue of utmost importance as a risk of psychosocial order in labour relations, as well as for integration of workers into the dynamics of respect for human dignity protected Constitution of the Federal Republic of Brazil in Article 1, III.

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2. Occupational safety - general criteria Brazilian culture doesn’t fully respects yet the labour laws. They have taken into account several variables, such as the very informality of certain working relationships; the existence of situations of absence of contract work, which results in some productive sectors, a clear lack of responsibility for the work environment in the absence of preventive actions by the companies as far as working environment is concerned. Many everyday situations that can destabilize relationships could be avoided if they were properly exercised the powers of direction of the employer, maintaining a good working environment in accordance with the regulation on the matter included in the general lines laid down in art. 2 Law of Labour Consolidation1 (CLT), which establishes the employer’s responsibility. The company is obliged to respect the principle of prevention, which covers all the employer’s liability in the exercise of their business, in relation to compliance with the norms and behaviours of environmental protection work. Transposing the concept of working environment, we check that this is understood as the environment where the provision of services internally or externally developed, but also the atmosphere quiet rest by the employer to the worker. In this sense the old theory that only understands the interiors home delivery work is abandoned. (...) a tutela do trabalho, entre essas, as de segurança e medicina do trabalho (CLT arts. 154 a 233), e, desde que a precaução se caracteriza pela antecipação, é perfeitamente aplicável tal princípio ao meio ambiente do trabalho. (Belfort, 2010, p. 65)

1 Art. 2º - Considera-se empregador a empresa, individual ou coletiva, que, assumindo os riscos da atividade econômica, admite, assalaria e dirige a prestação pessoal de serviço. § 1º - Equiparam-se ao empregador, para os efeitos exclusivos da relação de emprego, os profissionais liberais, as instituições de beneficência, as associações recreativas ou outras instituições sem fins lucrativos, que admitirem trabalhadores como empregados. § 2º - Sempre que uma ou mais empresas, tendo, embora, cada uma delas, personalidade jurídica própria, estiverem sob a direção, controle ou administração de outra, constituindo grupo industrial, comercial ou de qualquer outra atividade econômica, serão, para os efeitos da relação de emprego, solidariamente responsáveis a empresa principal e cada uma das subordinadas. Observatory of Psychosocial Risks. UGT

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It should be understood, therefore, the working environment such as: (...) O local onde se desenvolve a prestação dos serviços quer internamente ou externamente e também o ambiente reservado pelo empregador para o descanso do trabalhador, dotado de condições higiênicas básicas, regras de segurança capazes de preservar a integridade física e a saúde das pessoas envolvidas no labor, com o domínio, o controle, o reconhecimento e a avaliação dos riscos concretos ou potenciais existentes, assim considerados agentes químicos, físicos e biológicos, no objetivo principal de propiciar qualidade de vida satisfatória e a proteção secundária do conjunto de bens móveis e imóveis utilizados na atividade produtiva. (Belfort, 2010, p. 51) That is, the employer, because of their inherent responsibility to the contract signed with the worker referred to in art. 2nd consolidated, must take all possible measures to avoid any form of destabilization, including any possible accident, either through specific care, according to the activities, whether general protection elements inherent in the relationship of employment, therefore, due to situations or conditions resulting from the employment relationship, in addition to the workers themselves. In this sense: La subestimación de los riesgos tecnológicos e industriales ha resultado por desgracia una constante. Para tratar de hacer frente a este gravísimo problema se ha desarrollado el conjunto de ideas que conocemos bajo la denominación del principio de precaución y las propuestas políticas preventivas y precautivas basadas en el mismo. Lo que pone a la orden del día el principio de precaución son las condiciones contextuales nuevas en las que se tienen que tomar decisiones. El enfoque cautelar precautorio recomienda actuar antes que existan fehacientes de daño, especialmente si se trata de perjuicios a largo plazo o irreversibles. El principio de precaución viene a decir que “es mejor prevenir que curar”. La cultura clásica del riesgo defiende la libre empresa y la comercialización de productos sin trabas en tanto que la peligrosidad no haya sido probada. La nueva cultura del riesgo (incertidumbre), fundada en el principio de precaución, invierte la proposición considerando que la prudencia se impone en tanto no se haya probado inocuidad. (Monereo Pérez, 2011, p. 352).

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Brazilian law serves the precautionary principle in the general legislation on health and safety at work, especially in the arts. 157 and 158 CLT2. Still, despite the constant updating to which is subject the Brazilian labour legislation, the original text CLT, which is from 1943, holds approximately 20% of its original content (Souza, 2013, p.1), so it turns out that it hasn’t entered a shift to the principle precautionary existing relationships at work.

2 Art. 157 - Cabe às empresas: I - cumprir e fazer cumprir as normas de segurança e medicina do trabalho; II - instruir os empregados, através de ordens de serviço, quanto às precauções a tomar no sentido de evitar acidentes do trabalho ou doenças ocupacionais; III - adotar as medidas que lhes sejam determinadas pelo órgão regional competente; IV - facilitar o exercício da fiscalização pela autoridade competente. Art. 158 - Cabe aos empregados: I - observar as normas de segurança e medicina do trabalho, inclusive as instruções de que trata o item II do artigo anterior; Il - colaborar com a empresa na aplicação dos dispositivos deste Capítulo. Parágrafo único - Constitui ato faltoso do empregado a recusa injustificada: a) à observância das instruções expedidas pelo empregador na forma do item II do artigo anterior; b) ao uso dos equipamentos de proteção individual fornecidos pela empresa. Observatory of Psychosocial Risks. UGT

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With regard to social security, in Articles 19 and 20 of Law No. 8.213 / 913 (providing the benefit plans for Social Security and other provisions) direct elements of the application of this principle systematically established in accordance with the regulatory framework for worker protection. Even in the extension of the application of this principle to cases of occupational diseases it is collected that are “understood as acquired or triggered by special conditions under which the work is done and that are directly related to him.” In the statement issued by the Labour Ministry, not inserted, at least directly, the effects of bullying arising from the employment relationship. (Ministry of Labour of Brazil, 2015) Similarly, article 21, II a) of the Act equates the accident, the act of aggression suffered by the employee, co-worker, or a third party, in the workplace, including the perverse effects of harassment suffered by the employee. At the same time, the 155 OIT Agreement, confirmed by Brazil and published by order 1.254/94, establish in article 3 that:

3 Art. 19. Acidente do trabalho é o que ocorre pelo exercício do trabalho a serviço de empresa ou de empregador doméstico ou pelo exercício do trabalho dos segurados referidos no inciso VII do art. 11 desta Lei, provocando lesão corporal ou perturbação funcional que cause a morte ou a perda ou redução, permanente ou temporária, da capacidade para o trabalho. § 1º A empresa é responsável pela adoção e uso das medidas coletivas e individuais de proteção e segurança da saúde do trabalhador. § 2º Constitui contravenção penal, punível com multa, deixar a empresa de cumprir as normas de segurança e higiene do trabalho. § 3º É dever da empresa prestar informações pormenorizadas sobre os riscos da operação a executar e do produto a manipular. § 4º O Ministério do Trabalho e da Previdência Social fiscalizará e os sindicatos e entidades representativas de classe acompanharão o fiel cumprimento do disposto nos parágrafos anteriores, conforme dispuser o Regulamento. Art. 20. Consideram-se acidente do trabalho, nos termos do artigo anterior, as seguintes entidades mórbidas: I - doença profissional, assim entendida a produzida ou desencadeada pelo exercício do trabalho peculiar a determinada atividade e constante da respectiva relação elaborada pelo Ministério do Trabalho e da Previdência Social; II - doença do trabalho, assim entendida a adquirida ou desencadeada em função de condições especiais em que o trabalho é realizado e com ele se relacione diretamente, constante da relação mencionada no inciso I. § 1º Não são consideradas como doença do trabalho: a) a doença degenerativa; b) a inerente a grupo etário; c) a que não produza incapacidade laborativa; d) a doença endêmica adquirida por segurado habitante de região em que ela se desenvolva, salvo comprovação de que é resultante de exposição ou contato direto determinado pela natureza do trabalho. § 2º Em caso excepcional, constatando-se que a doença não incluída na relação prevista nos incisos I e II deste artigo resultou das condições especiais em que o trabalho é executado e com ele se relaciona diretamente, a Previdência Social deve considerá-la acidente do trabalho. 194

(a) the term branches of economic activity covers all branches in which workers are employed, including the public service; (b) the term workers covers all employed persons, including public employees; (c) the term workplace covers all places where workers need to be or where to go by reason of their work and which are under the direct or indirect control of the employer; (d) the term regulations covers all provisions to which the competent authority or authorities have given force of law; (e) The term health, in relation to work, indicates not merely the absence of disease or infirmity, but also the physical and mental elements affecting health which are directly related to safety and health at work (Brazil, 1994 ). Consequently, in view of the power of management of the company, necessarily the employer must establish a work environment free of any type of condition to the integrity of the worker, whether physical order of psychological, chemical, or biological. In that sense, especially for the purpose of this text, it is considered that the business organization must ensure this prevention of psychosocial risks, the most common today harassment, despite not yet having a specific labour standard on this situation and have a weak enforcement of rules protecting the health of workers arising from the adverse effects of its practice on the employment relationship, as previously indicated, through social security standards. 3. Moral harassment at work In the midst of changes in the relations of production with effects on labour law and its precariousness, the phenomenon of bullying at workplace violates the fundamental rights of the person and exposes workers to the strict subordination to the existing standard founded by the competitive nature dominating the labour market. According to the legal nature of bullying, Maria Cristina Peduzzi states that: A teoria do assédio moral tem assento no princípio da dignidade da pessoa humana, que, no Brasil, constitui fundamento da República, como prevê o art. 1º, inciso III, da Constituição. Decorre também do direito à saúde, mais especificamente, à saúde mental, abrangida na proteção conferida pelo art. 6º e o direito à honra, previsto no art. 5º, inciso X, ambos da Carta Magna.(Peduzzi, 2007, p.26)

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Bullying should not be confused with occasional or sporadic tension resulting from daily work conflicts. It is characterized by continued attacks, with destructive attitudes and subtle deception, causing harmful effects on workers. Hirigoyen adds: (...) Assédio moral é toda e qualquer conduta abusiva, manifestando-se, sobretudo, por palavras, atos, gestos e escritos que possam trazer dano à dignidade ou à integridade física ou psíquica de uma pessoa, pôr em perigo o seu emprego ou degradar o seu ambiente de trabalho. (Hirigoyen, 2011, p.65) Bullyingbehaviours occur vertically between the employer and workers, so they may be descending or ascending. In the first case the employer harasses the employee and in the second the situation is reversed. It can also be horizontal, when it occurs among workers of the same hierarchy. No systematic or a prescribed form of identification undisciplined in the workplace that characterize bullying behaviour, it may be so collectively or individually. It can occur in different types of relationships between superiors and employees of the following forms: between superiors and employees, including the workers themselves, between superiors... Any conduct triggering a psychological imbalance and which aim to erode the moral strength of harassment perpetrated by anyone who is involved in the employment relationship, including a contract worker may be considered harassment and obligation of the company to avoid and because of the responsibility that art. 2 of the CLT imposes prevent them by establishing a working environment protection of labour relations and whose purpose is that the worker is respected as a person and as a citizen, protecting the dignity of the person, in order to improve their social status, based on the provisions of the Constitution of the Republic in its articles. 1, III and 7, caput. However, Barreto reveals that the phenomenon occurs especially in asymmetric hierarchical relationships: (...) é a exposição dos trabalhadores e trabalhadoras a situações humilhantes e constrangedoras, repetitivas e prolongadas durante a jornada de trabalho e no exercício de suas funções, sendo mais comuns em relações hierárquicas autoritárias e assimétricas, em que predominam condutas

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negativas, relações desumanas e aéticas de longa duração, de um ou mais chefesdirigida a um ou mais subordinado(s), desestabilizando a relação da vítima com o ambiente de trabalho e a organização, forçando-o a desistir do emprego. (Barreto, 2003, p.2) Hirigoyen (2010, p.108) lists hostile harassment attitudes more evident in a vertical way, such as the deliberate deterioration of working conditions, isolation and rejection of communication, the attack on the dignity and verbal, physical or sexual assault. Importantly in this regard what Celso Fiorillo expressed in relation to the working environment:

“é o local onde as pessoas desempenham suas atividades laborais, sejam remuneradas ou não, cujo equilíbrio está basado na salubridade do meio e na ausência de agentes que comprometem a incolumidade físico-psíquica dos trabalhadores, independentemente da condição que ostentem (homens ou mulheres, maiores ou menores de idade, celetistas, servidores públicos, autônomos, etc.)”.(Fiorillo, 2013, p.22-23)

Given that the workplace is the place where the worker spends considerable time in his life, in the case of exposure to these intimidator attitudes, the worker tends to be a victim of firing by low productivity, due to pressure or to be received victim of illness or accidents, which have lifelong consequences. It verified that, at first, the configuration of harassment may be imperceptible to the victim, but the systematic and sustained way to be subjected to these situations, ending destabilizing their health. Primer according to the Ministry of Labour of Brazil, bullying: São atos cruéis e desumanos que caracterizam uma atitude violenta e sem ética nas relações de trabalho, praticada por um ou mais chefes contra seus subordinados. Trata-se da exposição de trabalhadoras e trabalhadores a situações vexatórias, constrangedoras e humilhantes durante o exercício de sua função. É o que chamamos de violência moral. Esses atos visam humilhar, desqualificar e desestabilizar emocionalmente a relação da vítima com a organização e o ambiente de trabalho, o que põe em risco a saúde, a própria vida da vítima e seu emprego.

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A violência moral ocasiona desordens emocionais, atinge a dignidade e identidade da pessoa humana, altera valores, causa danos psíquicos (mentais), interfere negativamente na saúde, na qualidade de vida e pode até levar à morte. (Ministerio de Trabajo de Brasil, 2013, p. 13).

Many different lawsuits are taken by workers, victims of harassment in Brazil. According to Maria Peduzzi, there are three types: A primeira é a rescisão indireta do contrato de trabalho, hipótese semelhante à justa causa, só que em favor do empregado, que se demite, mas mantém o direito ao recebimento de todas as verbas rescisórias, como se tivesse sido demitido sem motivação(...). Outra é a indenização por danos morais, que, na esfera trabalhista, visa à proteção da dignidade do trabalhador(...). A terceira é a indenização por danos materiais, nos casos em que os prejuízos psicológicos causados ao trabalhador sejam graves a ponto de gerar gastos com remédios e tratamentos.(Peduzzi, 2007, p.40-44) 4. Discipline rules of moral harassment in the workplace Bullying reflects the vulnerability and lack of respect for life, as set out in the chapter dealing with the rights and guarantees present in the art. 5, paragraph X of the Constitution the Republic of Brazil:

Art. 5º Todos são iguais perante a lei, sem distinção de qualquer natureza, garantindo-se aos brasileiros e aos estrangeiros residentes no País a inviolabilidade do direito à vida, à liberdade, à igualdade, à segurança e à propriedade, nos termos seguintes: X - são invioláveis a intimidade, a vida privada, a honra e a imagem das pessoas, assegurado o direito a indenização pelo dano material ou moral decorrente de sua violação; The person’s dignity (Item III), and the social values of work (Item IV) are provided in the Federal Constitution of 1988 in article 1.

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Still, it is the social order that is based on the work and purpose of welfare and social justice, Art. 1934. Articles 11 and 22 of the Civil Code of 2002 dealing with rules protecting human person and specifically, Articles 159 to 201 of the CLT standards that deal with health and safety. However, as we said, there is not even a rule that deals with bullying at the Brazilian Labour Law. As reported, the working conditions regulated by law in the country is mainly guided by the elements of protection against accidents and refer to the physical, chemical, biological, psychosocial leaving condition involving bullying established in a doctrinal construction and jurisprudence. Therefore, it is clear that the Brazilian labour legislation needs to be updated, given that according to the World Health Organization - WHO considers health as “a state of complete physical, mental and social wellbeing and not only by the absence of disorders and diseases “(Mota, 2012, p.1). However, federal, municipal and state levels, and there are some laws governing the matter, although they are only bills. In turn, there is a federal bill that adds items in the CLT, which defines bullying and justifies the term of the employment contract, this is the No. 6.757 / 2010 authored by MP Mr.Inácio Arruda, of Ceará, and now is ready for evaluation of the Working Committee of Administration and Public Service of the Chamber of Deputies, and which reads as follows: CLT, Art. 483. (...) h) praticar o empregador ou seus prepostos, contra ele, coação moral, por meio de atos ou expressões que tenham por objetivo ou efeito atingir sua dignidade e/ou criar condições de trabalho humilhantes ou degradantes, abusando da autoridade que lhes conferem suas funções.

4 Art. 193. A ordem social tem como base o primado do trabalho, e como objetivo o bem-estar e a justiça sociais. Observatory of Psychosocial Risks. UGT

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(...) § 3° Nas hipóteses das alíneas ‘d’, ‘g’ e ‘h’, poderá o empregado pleitear a rescisão de seu contrato e o pagamento das respectivas indenizações, permanecendo ou não no serviço até decisão final do processo.” (NR) Art. 484-A. Se a rescisão do contrato de trabalho foi motivada pela prática de coação moral do empregador ou de seus prepostos contra o trabalhador, o juiz aumentará, pelo dobro, a indenização devida em caso de culpa exclusiva do empregador. (Arruda, 2010) At the same time, in the context of administrative law and public employees, the first law which provides for the imposition of sanctions on the practice of direct municipal public administration in Brazil was Law No. 1,163, of April 24, 2000, in Iracemápolis, State of São Paulo. In its single paragraph, defines mobbing: (...) considera-se assédio moral todo tipo de ação, gesto ou palavra que atinja, pela repetição, a autoestima e a segurança de um indivíduo, fazendo-o duvidar de si e de sua competência, implicando em dano ao ambiente de trabalho, à evolução da carreira profissional ou à estabilidade do vínculo empregatício do funcionário, tais como: marcar tarefas com prazos impossíveis, passar alguém de uma área de responsabilidade para funções triviais; tomar crédito de ideias de outros; ignorar ou excluir um funcionário só se dirigindo a ele através de terceiros; sonegar informações de forma insistente; espalhar rumores maliciosos; criticar com persistência; subestimar esforços. (Iracemápolis, 2000) At local level, the laws collected bullying practiced servers of public administration, as in: São Paulo, (Law No. 13.288 of 2001), Natal (Act 189 of 2002) and Bage (Law No. 4,027 of 2003). Statewide, highlighted in the state of Rio de Janeiro, Law No. 3921 of August 23, 2002, which prohibits harassment in the workplace, within the organs or agencies of the central government, municipalities, foundations, corporations public and mixed capital company, the legislative, the executive, the judiciary of the state, including state institutions dealers and utility or public interest. This defines harassment in its Article 2 as: Art. 2º - Considera-se assédio moral no trabalho, para os fins do que trata a presente Lei, a exposição do funcionário, servidor ou empregado a situação humilhante ou constrangedora, ou qualquer ação, ou palavra gesto, praticado de modo repetitivo e prolongado, durante o expediente do órgão ou entidade, e, por agente, delegado, chefe ou

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supervisor hierárquico ou qualquer representante que, no exercício de suas funções, abusando da autoridade que lhe foi conferida, tenha por objetivo ou efeito atingir a autoestima e a autodeterminação do subordinado, com danos ao ambiente de trabalho, aos serviços prestados ao público e ao próprio usuário, bem como, obstaculizar a evolução da carreira ou a estabilidade funcional do servidor constrangido.(Rio de Janeiro, 2002) The law provides in art. 4th that harassment at work performed by an agent, with function of authority is serious offence and subject to the following sanctions: warning, suspension or dismissal. In São Paulo, Law No. 12,250, of February 9, 2006 he punishes harassment in the field of direct and indirect public administration yen state public foundations, and considers this practice as: Artigo 2º - Considera-se assédio moral para os fins da presente lei, toda ação, gesto ou palavra, praticada de forma repetitiva por agente, servidor, empregado, ou qualquer pessoa que, abusando da autoridade que lhe confere suas funções, tenha por objetivo ou efeito atingir a autoestima e a autodeterminação do servidor, com danos ao ambiente de trabalho, ao serviço prestado ao público e ao próprio usuário, bem como à evolução, à carreira e à estabilidade funcional do servidor, especialmente: I - determinando o cumprimento de atribuições estranhas ou de atividades incompatíveis com o cargo que ocupa, ou em condições e prazos inexequíveis; II - designando para o exercício de funções triviais o exercício de funções técnicas, especializadas, ou aquelas para as quais, de qualquer forma, exijam treinamento e conhecimento específicos; III - apropriando-se do crédito de ideias, propostas, projetos ou de qualquer trabalho de outrem. Parágrafo único - Considera-se também assédio moral as ações, gestos e palavras que implique: 1.em desprezo, ignorância ou humilhação ao servidor, que o isolem de contatos com seus superiores hierárquicos e com outros servidores, sujeitando-o a receber informações, atribuições, tarefas e outras atividades somente através de terceiros; 2.na sonegação de informações que sejam necessárias ao desempenho de suas funções ou úteis a sua vida funcional; 3.na divulgação de rumores e comentários maliciosos, bem como na prática de críticas reiteradas ou na de subestimação de esforços, que atinjam a dignidade do servidor;

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4.na exposição do servidor a efeitos físicos ou mentais adversos, em prejuízo de seu desenvolvimento pessoal e profissional. (São Paulo, 2006) This law also considers harassment as a serious offence, the penalty constitutes a warning, suspension or dismissal. In Pernambuco, the most recent legislation, Law No. 13,314, of 15 October 2007 regulates harassment in the field of direct, indirect and public foundations, state public administration, defining in its Article 2: Art. 2º Considera-se prática de assédio moral, no âmbito da administração pública, toda ação repetitiva ou sistematizada praticada por agente e servidor de qualquer nível que, abusando da autoridade inerente às suas funções, venha causar danos à integridade psíquica ou física e à autoestima do servidor, prejudicando também o serviço público prestado e a própria carreiro do servidor público. (Pernambuco, 2007) This law stipulates in art. 4th that:“o assédio moral praticado por servidor de qualquer nível funcional deve ser punido, conforme o caso, na forma disciplinada na legislação aplicável aos servidores públicos civis ou nas Leis trabalhistas”. Se ha registrado igualmente el proyecto de ley federal nº 4.742/2001, del diputado Marcos de Jesus, de Pernambuco, que tiene por objeto criminalizar el acoso moral en el ámbito laboral, incluyendo el art. 136-A en el Código Penal. El proyecto ha sufrido enmienda, quedando con la siguiente redacción: Assédio Moral no Trabalho Art. 136-A. Depreciar, de qualquer forma e reiteradamente a imagem ou o desempenho de servidor público ou empregado, em razão de subordinação hierárquica funcional ou laboral, sem justa causa, ou tratá-lo com rigor excessivo, colocando em risco ou afetando sua saúde física ou psíquica. Pena – detenção de um a dois anos. There are criticisms of the project as regards the delimitation of the vertical bullying behaviour. However, it is pending in the House of Representatives. (Congresso Nacional, 2015)

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According to article 8 of the CLT5, existing lack of procedures in labour legislation, law can be taken into account and to the implementation of situations analogy and equity, the general principles and rules of law, custom and comparative law, on allowing the use of administrative standards in the context of labour relations, although in practice no such legal uses are observed and if a frame of illegality in the rules of the Civil Code and the Constitution states, in what is refers to compensation for moral damage caused to the employee victim of bullying, through conviction. The CLT refers to several cases of serious misconduct by the employer that may be used as they are because of repeated acts that characterize bullying, however, none is specific for this type of moral aggression of workers, even not establish preventive measures to psychosocial risks in the workplace in behaviour that evidenced. Article 483, justifies the termination of the employment relationship, when there is violation of the employer to contract labour standards, as follows: 483 - O empregado poderá considerar rescindido o contrato e pleitear a devida indenização quando: a) forem exigidos serviços superiores às suas forças, defesos por lei, contrários aos bons costumes, ou alheios ao contrato; b) for tratado pelo empregador ou por seus superiores hierárquicos com rigor excessivo; e) praticar o empregador ou seus prepostos, contra ele ou pessoas de sua família, ato lesivo da honra e boa fama; g) o empregador reduzir o seu trabalho, sendo este por peça ou tarefa, de forma a afetar sensivelmente a importância dos salários.(Brasil, 1943) Some agreements and collective bargaining agreements also include the prevention and punishment of bullying. The jurisprudence of the different Regional Labour Court and the Superior Labour Court are positioned in the sense of not admitting bullying, however, no single labour standard on the phenomenon, given the absence of a classification in the context of the specific labour law matters. 5 Art. 8º - As autoridades administrativas e a Justiça do Trabalho, na falta de disposições legais ou contratuais, decidirão, conforme o caso, pela jurisprudência, por analogia, por equidade e outros princípios e normas gerais de direito, principalmente do direito do trabalho, e, ainda, de acordo com os usos e costumes, o direito comparado, mas sempre de maneira que nenhum interesse de classe ou particular prevaleça sobre o interesse público. Parágrafo único - O direito comum será fonte subsidiária do direito do trabalho, naquilo em que não for incompatível com os princípios fundamentais deste. Observatory of Psychosocial Risks. UGT

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There is evidence of a regulatory advance, but the measures taken to contain and rebuke bullying does not end with the reproduction of facts intrinsic to everyday employees. Importantly, the Federal Council Resolution Health number 1,488 / 98 establishes specific rules for medical experts in occupational medicine, and notes that the causal relationship between health disorders and work activity should be based on clinical and, if necessary, complementary, according to art. 2nd: Artigo 2º - - Para estabelecimento do nexo causal entre os transtornos de saúde e as atividades do trabalhador, além do exame clínico (físico e mental) e os exames complementares, quando necessários, deve o médico considerar: I - A história clínica e ocupacional, virtualmente decisiva em qualquer diagnóstico e/ou investigação de nexo causal; II - o estudo do posto de trabalho; III - o estudo da organização do trabalho; IV - os dados epidemiológicos; V - a literatura atualizada; VI - a ocorrência de quadro clínico ou subclínica em trabalhador exposto a condições agressivas; VII - a identificação de riscos físicos, químicos, biológicos, mecânicos, estressantes e outros; VIII - os depoimentos e a experiência dos trabalhadores; IX - os conhecimentos e as práticas de outras disciplinas e de seus profissionais, sejam, ou não, da área da saúde. Understanding their content, subjective criteria and evaluation to be carried out, for punishable offences really are set in federal law with corresponding penalties although there is some standard for moral harassment, is necessary in addition to pursuing which are effectively enforced. 5. Compensation for moral damages in case of moral harassment Compensation for moral damage once recognized bullying is one of the reparations owed by the worker, once the fact has been proven in court. Compensation for moral damage is aimed at protecting the dignity of the person, since, systematically, affects both action and omission in the sphere opinion of the victim, an issue that cannot be tolerated in a democratic state law, in which the Republic is governed by the principle of human dignity.

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Gagliano and Filho add, moral damage “is the damage that affects the personal sphere of the individual (in their personality rights) violation, for example, intimacy, privacy, honour, image, legal interests constitutionally protected.”(Gagliano and Filho, 2009, p.55) Moral damage results from the violation of personality rights inherent to the natural person and, if the worker can cause the withdrawal of the employment contract. According to José Cairo Junior “moral damage corresponds to the result of an act or omission involving so necessary, offence to a non-assessable economic good”. He adds: (Cairo Junior, 2010, p “When this is due to compliance with the obligations arising from the execution and termination of employment, either by the employee or by the employer, is called labor moral damage.”. 706-707) In turn, said Alexandre de Moraes, express As ações de indenização, inclusive por dano moral, propostas pelo empregado contra o empregador, são da Justiça do Trabalho, pois conforme entendeu o Supremo Tribunal Federal, o direito a esta indenização está enumerado no Art. 7º da Constituição Federal como autêntico direito trabalhista, cuja tutela deve ser, por isso, da Justiça Especial.” (Moraes, 2009, p.567) The possibility of compensation for moral damage is typified in the Constitution of the Republic of 1988, Art. 5th: V – é assegurado o direito de resposta, proporcional ao agravo, além da indenização por dano material, moral ou à imagem; e X – são invioláveis a intimidade, a vida privada, a honra e a imagem das pessoas, assegurando o direito à indenização pelo dano material ou moral decorrente da sua violação. The Brazilian Civil Code - CCB, 2002, defines moral damage when it provides in art. 186: “Those who, by action or wilful default, negligence or recklessness violate law and harm others, even morally, commits an illegal act.” Similarly, the provisions of Article 932, the CCB III “are also responsible for civil damages: (...) the employer or principal employees in the course of work commissioned by them, or because of them,” the application of the compensation for damages is derived workplace. “

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Article 944 gives the values of the Civil Code and determines the amount of moral compensation to the victim, according to the principles of reasonableness and proportionality, to determine damage “compensation is measured by the extent of the damage.” Once characterized as harassment illegal act, it is up to the employer’s responsibility to repair the damage that has occurred as a result of the acts and damages caused to the worker. In compensation for moral damage, condemning acts as employer sanctions, in order to prevent similar or identical actions repeated. The sanction is the result of an unlawful practice and seeks, through monetary compensation to reduce the effects caused by the harassment. It also refers to its educational aspect. Meanwhile, the negative sanction is intended to prevent unwanted based on the standard behaviour. It is taken as a reference the court Regional Labor Court of the 7th Region: ASSÉDIO MORAL-CONTRATO DE INAÇÃO-INDENIZAÇÃO POR DANO MORAL A tortura psicológica, destinada a golpear a autoestima do empregado, visando forçar sua demissão ou apressar a sua dispensa através de métodos que resultem em sobrecarregar o empregado de tarefas inúteis, sonegar-lhe informações e fingir que não o vê, resulta em assédio moral, cujo efeito é o direito à indenização por dano moral, porque ultrapassa o âmbito profissional,eis que minam a saúde física e mental da vítima e corroem a sua autoestima. No caso dos autos, o assédio foi além, porque a empresa transformou o contrato de atividade em contrato de inação, quebrando o caráter sinalagmático do contrato de trabalho e, por consequência, descumprindo a sua principalo brigação, que é a de fornecer o trabalho, fonte de dignidade do empregado.(TRT 17ª R – RO 2276/2001 – Relª Juíza Sônia das Dores Dionísio –09.03.2002). Finally, civil compensatory action for moral damages can be combined with the implementation of the completion of the contract in the case, in particular, paragraphs “a”, “b” and “g” of Article 483 of CLT, with the expected results and setting compensation for material damages - as the costs related to the damage, and, when needed, the prosecution, in order to condemn the practices that shape the moral harassment. In turn, in some cases, the employer may incur crimes under Brazilian Penal Code as unlawful deprivation of freedom (art.148), slander (Art. 138), insult (Art. 140), defamation (art .139), and even the induction to suicide (art. 122).

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As noted, the country does not have a protection system to the specific employment relationship or, especially, a strategy of prevention of psychosocial risks at work, especially for situations involving harassment. However, with the use of general rules or even by analogy, actions have and rely more on interpersonal consequences of imbalance in the workplace and in the result of demands by simply object with the quantification of damage repair, these still remain very poor and far from establishing mechanisms impediment or limitation of psychosocial risk that bullying causes to society. Educational and preventive actions for the subjects of the employment relationship could be more effective in the fight against bullying, for example with the establishment of public policies to combat this behaviour arising from the regular employment relationship, especially with the encouragement the formal work and actions of environmental auditing work by public employees responsible for those functions. What we have today is insufficient to prevent harassment in the workplace to be an immediate need, for both the work offence and the criminal offence, so that they can serve as legal elements that guarantee workers more respect and dignity in the labour market. 6. Final thoughts Bullying is an old phenomenon in the work environment that has recently come to be regarded as a social problem and illegal, for damages resulting from their behaviour, which are often irreversible in all spheres of life of the worker victim. It is characterized by violence that attacks the self-esteem and dignity of the worker, through omissions and acts that degrade the environment of work, repeatedly and for a specified period, with the primary aim of eroding the moral strength of worker. The need to inform society about the harassment, since the phenomenon is common in the workplace in addition not only to be attacked, if not also avoided labour organizations stands, rarely guarantee a healthy work environment

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the implementation of standards and preventive measures are nothing more than paper. Existing regulations in the workplace is not specific in Brazil. And for the administration, there are some rules that define and regulate actions demonstrated bullying in some states and municipalities. The need to regulate this issue by a federal law to collect the complex definition of the phenomenon, the methods used, the effects of sanctions, even allude the subjective context of the victim, in the public and private sectors is evident for both labour relations, as for a criminal offence, as already exists in certain bills under discussion in the chamber of Deputies. Today, individuals are very common or public demands, proposed by the prosecution of labour, competition for labour courts, whose main objectives are to determine the termination of the contract, compensation for material and moral damages, based on the protection of human dignity, but sometimes fall short of the proportion of damage caused to the victim and society. Finally, the participation of key stakeholders is poor in terms of prevention, deterrence and abuse of power in labour relations. Reflect the slow steps walking towards the true ideal of the social function of work in the country.

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