Occupational Health and Safety in Germany: A Risk-based Approach?
Added on 2023-06-12
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Occupational Health and Safety
in Germany:
A Risk-Based Approach?
Sarah Haunert
This dissertation is submitted as part of a MSc degree in Risk
Analysis at King’s College London
August 2012
in Germany:
A Risk-Based Approach?
Sarah Haunert
This dissertation is submitted as part of a MSc degree in Risk
Analysis at King’s College London
August 2012
2
3
Table of Contents
List of Figures ........................................................................................................................................... 5
Abbreviations............................................................................................................................................. 5
Abstract ....................................................................................................................................................... 7
Acknowledgements ................................................................................................................................. 7
Occupational Health and Safety in Germany: ................................................................................. 8
A Risk-based Approach? ........................................................................................................................ 8
CHAPTER 1: Introduction ................................................................................................................... 8
CHAPTER 2: Literature Review ....................................................................................................... 11
2.1. Defining Risk and Risk-based Regulation ................................................................................. 11
2.2. Risk-based Regulation: A Matter of Different Worldviews? .................................................. 12
CHAPTER 3: Methodology ................................................................................................................ 16
3.1. Methods .......................................................................................................................................... 16
3.2. Weaknesses and Potential Biases of the Methodology............................................................ 17
CHAPTER 4 – Occupational Health and Safety in Germany .................................................. 19
4.1. Organisation and Structure .......................................................................................................... 19
4.4.1. EU Framework Directive..................................................................................................... 19
4.4.2. Occupational Health and Safety Act .................................................................................. 19
4.4.3. Federalism .............................................................................................................................. 20
4.4.4. Dualism ................................................................................................................................... 21
4.2. OHS in Practice............................................................................................................................. 22
4.2.1. General Approach and Methods......................................................................................... 22
4.3. Special Case of Carcinogenic Substances: The Risk Concept ................................................ 23
4.4. Tolerability of Risk Framework .................................................................................................. 26
CHAPTER 5: Analysis ......................................................................................................................... 29
5.1. Risk-based Approach ................................................................................................................... 29
5.1.1. Science-based Assessments .................................................................................................. 29
Table of Contents
List of Figures ........................................................................................................................................... 5
Abbreviations............................................................................................................................................. 5
Abstract ....................................................................................................................................................... 7
Acknowledgements ................................................................................................................................. 7
Occupational Health and Safety in Germany: ................................................................................. 8
A Risk-based Approach? ........................................................................................................................ 8
CHAPTER 1: Introduction ................................................................................................................... 8
CHAPTER 2: Literature Review ....................................................................................................... 11
2.1. Defining Risk and Risk-based Regulation ................................................................................. 11
2.2. Risk-based Regulation: A Matter of Different Worldviews? .................................................. 12
CHAPTER 3: Methodology ................................................................................................................ 16
3.1. Methods .......................................................................................................................................... 16
3.2. Weaknesses and Potential Biases of the Methodology............................................................ 17
CHAPTER 4 – Occupational Health and Safety in Germany .................................................. 19
4.1. Organisation and Structure .......................................................................................................... 19
4.4.1. EU Framework Directive..................................................................................................... 19
4.4.2. Occupational Health and Safety Act .................................................................................. 19
4.4.3. Federalism .............................................................................................................................. 20
4.4.4. Dualism ................................................................................................................................... 21
4.2. OHS in Practice............................................................................................................................. 22
4.2.1. General Approach and Methods......................................................................................... 22
4.3. Special Case of Carcinogenic Substances: The Risk Concept ................................................ 23
4.4. Tolerability of Risk Framework .................................................................................................. 26
CHAPTER 5: Analysis ......................................................................................................................... 29
5.1. Risk-based Approach ................................................................................................................... 29
5.1.1. Science-based Assessments .................................................................................................. 29
4
5.1.2. Quantification of Risk .......................................................................................................... 29
5.1.3. Cost-Benefit Analysis............................................................................................................ 30
5.2. Risk Acceptance ............................................................................................................................ 32
CHAPTER 6: Discussion .................................................................................................................... 34
6.1. To What Extent is Germany Risk-based? ................................................................................. 34
6.1.1. Hazard-based v. Risk-based Regulation ............................................................................. 34
6.2. Institutional Factors ...................................................................................................................... 36
6.2.1. Outcome-based v. Process-based ....................................................................................... 36
6.2.2. Other Shaping Factors and Shortcomings ........................................................................ 39
CHAPTER 7: Conclusion.................................................................................................................... 41
APPENDIX 1: Forms ........................................................................................................................... 42
Geography Research Screening Form ............................................................................................... 43
Ethical Approval Notification ............................................................................................................ 44
Geography Risk Assessment Form ................................................................................................... 46
APPENDIX 2: Codes for Interview Participants.......................................................................... 47
APPENDIX 3: Glossary ....................................................................................................................... 48
Reference List ......................................................................................................................................... 49
5.1.2. Quantification of Risk .......................................................................................................... 29
5.1.3. Cost-Benefit Analysis............................................................................................................ 30
5.2. Risk Acceptance ............................................................................................................................ 32
CHAPTER 6: Discussion .................................................................................................................... 34
6.1. To What Extent is Germany Risk-based? ................................................................................. 34
6.1.1. Hazard-based v. Risk-based Regulation ............................................................................. 34
6.2. Institutional Factors ...................................................................................................................... 36
6.2.1. Outcome-based v. Process-based ....................................................................................... 36
6.2.2. Other Shaping Factors and Shortcomings ........................................................................ 39
CHAPTER 7: Conclusion.................................................................................................................... 41
APPENDIX 1: Forms ........................................................................................................................... 42
Geography Research Screening Form ............................................................................................... 43
Ethical Approval Notification ............................................................................................................ 44
Geography Risk Assessment Form ................................................................................................... 46
APPENDIX 2: Codes for Interview Participants.......................................................................... 47
APPENDIX 3: Glossary ....................................................................................................................... 48
Reference List ......................................................................................................................................... 49
5
List of Figures
Figure 1: Overview of the German OHS System ............................................................................... 22
Figure 2: The Risk Concept for Carcinogenic Substances ................................................................ 24
Figure 3: HSE’s ToR Framework ......................................................................................................... 26
Abbreviations
AGS Ausschuss für Gefahrstoffe (Committee on Hazardous Substances)
AGW Arbeitsplatzgrenzwerte (Occupational Exposure Limits)
ALARP As low as reasonably possible
ArbSchG Arbeitsschutzgesetz (Occupational Health and Safety Act)
ASiG Arbeitssicherheitgesetz (Safety at Work Act)
BAuA Bundesanstalt für Arbeitsschutz und Arbeitsmedizin (Federal Institute of Occupational
Health and Safety)
BDA Bundesvereinigung der Deutschen Arbeitgeberverbände (Confederation of German
Employers' Associations)
BMAS Bundesministerium für Arbeit und Soziales (Federal Ministry for Labour and Social Affairs)
CBA Cost-Benefit Analysis
DGB Deutscher Gewerkschaftsbund (The Confederation of German Trade Unions)
DGUV Deutsche Gesetzliche Unfallversicherung (German Statutory Accident Insurance)
EU European Union
EU-OSHA European Agency for Safety and Health at Work
GDA Gemeinsame Deutsche Arbeitsschutzstrategie (Joint German Occupational Safety and
Health Strategy)
GefStoffV Gefahrstoffverordnung (Hazardous Substances Regulation)
HSE Health and Safety Executive
LASI Länderausschuss für Arbeitsschutz und Sicherheitstechnik (Commission for occupational
safety and safety engineering of the federal states)
List of Figures
Figure 1: Overview of the German OHS System ............................................................................... 22
Figure 2: The Risk Concept for Carcinogenic Substances ................................................................ 24
Figure 3: HSE’s ToR Framework ......................................................................................................... 26
Abbreviations
AGS Ausschuss für Gefahrstoffe (Committee on Hazardous Substances)
AGW Arbeitsplatzgrenzwerte (Occupational Exposure Limits)
ALARP As low as reasonably possible
ArbSchG Arbeitsschutzgesetz (Occupational Health and Safety Act)
ASiG Arbeitssicherheitgesetz (Safety at Work Act)
BAuA Bundesanstalt für Arbeitsschutz und Arbeitsmedizin (Federal Institute of Occupational
Health and Safety)
BDA Bundesvereinigung der Deutschen Arbeitgeberverbände (Confederation of German
Employers' Associations)
BMAS Bundesministerium für Arbeit und Soziales (Federal Ministry for Labour and Social Affairs)
CBA Cost-Benefit Analysis
DGB Deutscher Gewerkschaftsbund (The Confederation of German Trade Unions)
DGUV Deutsche Gesetzliche Unfallversicherung (German Statutory Accident Insurance)
EU European Union
EU-OSHA European Agency for Safety and Health at Work
GDA Gemeinsame Deutsche Arbeitsschutzstrategie (Joint German Occupational Safety and
Health Strategy)
GefStoffV Gefahrstoffverordnung (Hazardous Substances Regulation)
HSE Health and Safety Executive
LASI Länderausschuss für Arbeitsschutz und Sicherheitstechnik (Commission for occupational
safety and safety engineering of the federal states)
6
LSV Landwirtschaftliche Sozialversicherung (Agricultural Social Insurance Fund)
MEL Maximum Exposure Limits
OES Occupational Exposure Standard
QRA Quantitative Risk Assessment
ToR Tolerability of Risk
TRK Technische Richtkonzentrationen (technical guidance concentrations)
LSV Landwirtschaftliche Sozialversicherung (Agricultural Social Insurance Fund)
MEL Maximum Exposure Limits
OES Occupational Exposure Standard
QRA Quantitative Risk Assessment
ToR Tolerability of Risk
TRK Technische Richtkonzentrationen (technical guidance concentrations)
7
Abstract
Risk-based regulation is often hailed as leading to more efficiency and rationality by outlining the
limitations of state intervention and by allocating resources according to where probable damage
is the greatest. Due to this apparent appeal, many suggest that risk-based regulation has the
potential to turn into a universal and homogeneous form of governance. By focusing on
Germany’s occupational health and safety regime, this study attempts to challenge such
assumptions. It explores to what extent Germany’s OHS follows a risk-based approach. Drawing
on empirical research, the study shows how normative institutions shape the acceptance of risk-
based arguments in Germany.
Acknowledgements
I am grateful to my supervisor Professor Henry Rothstein for his encouragement and his
guidance whilst undertaking the research. In addition, I am greatly indebted to all the
participants, for their enthusiasm in agreeing to participate in this study and for their valuable
insights and comments. Many thanks also go to my father for his invaluable support throughout
the project.
Abstract
Risk-based regulation is often hailed as leading to more efficiency and rationality by outlining the
limitations of state intervention and by allocating resources according to where probable damage
is the greatest. Due to this apparent appeal, many suggest that risk-based regulation has the
potential to turn into a universal and homogeneous form of governance. By focusing on
Germany’s occupational health and safety regime, this study attempts to challenge such
assumptions. It explores to what extent Germany’s OHS follows a risk-based approach. Drawing
on empirical research, the study shows how normative institutions shape the acceptance of risk-
based arguments in Germany.
Acknowledgements
I am grateful to my supervisor Professor Henry Rothstein for his encouragement and his
guidance whilst undertaking the research. In addition, I am greatly indebted to all the
participants, for their enthusiasm in agreeing to participate in this study and for their valuable
insights and comments. Many thanks also go to my father for his invaluable support throughout
the project.
Sarah Haunert (1151941)
8
Occupational Health and Safety in
Germany:
A Risk-based Approach?
CHAPTER 1: Introduction
Risk-based strategies have increasingly gained in popularity in a number of countries. They are
promoted as leading to greater efficiency in the management of resources and to increased
quality and rationality in regulation (Braithwaite et al., 2007). These risk-based approaches,
consist of a wide array of implementation and enforcement activities, thereby taking the form of
risk-based regulation. They involve different players, both private and public (Braithwaite et al.,
2007; Döhler & Wegrich, 2010). With the emergence of risk-based strategies we are also
witnessing the rise of the ‘regulatory state’, a new institutional and policy style, in which the
government interferes with social processes and corrects market failures so as to control and
minimise adverse consequences to health (Hood et al., 2001).
In its idealised form, risk-based regulation provides an evidence-based means of managing the
use of resources and it prioritises action towards the highest risks in a transparent, systematic and
defensible approach (Black & Baldwin, 2010). In this regard, the international ‘better regulation
movement’ seeks to establish an efficient use of resources to generate enhanced regulatory
performance, which recognises the complexity of modern risks and challenges thereby producing
‘better’ regulation (Döhler & Wegrich, 2010). The OECD, for example, claims that a risk-based
approach “can help to ensure that regulatory approaches are efficient, effective and account for
risk/risk trade-offs across policy objectives (...) [It] can improve the welfare of citizens by
providing better protection, more efficient government services and reduced costs for business”
(OECD, 2010, p. 11).
8
Occupational Health and Safety in
Germany:
A Risk-based Approach?
CHAPTER 1: Introduction
Risk-based strategies have increasingly gained in popularity in a number of countries. They are
promoted as leading to greater efficiency in the management of resources and to increased
quality and rationality in regulation (Braithwaite et al., 2007). These risk-based approaches,
consist of a wide array of implementation and enforcement activities, thereby taking the form of
risk-based regulation. They involve different players, both private and public (Braithwaite et al.,
2007; Döhler & Wegrich, 2010). With the emergence of risk-based strategies we are also
witnessing the rise of the ‘regulatory state’, a new institutional and policy style, in which the
government interferes with social processes and corrects market failures so as to control and
minimise adverse consequences to health (Hood et al., 2001).
In its idealised form, risk-based regulation provides an evidence-based means of managing the
use of resources and it prioritises action towards the highest risks in a transparent, systematic and
defensible approach (Black & Baldwin, 2010). In this regard, the international ‘better regulation
movement’ seeks to establish an efficient use of resources to generate enhanced regulatory
performance, which recognises the complexity of modern risks and challenges thereby producing
‘better’ regulation (Döhler & Wegrich, 2010). The OECD, for example, claims that a risk-based
approach “can help to ensure that regulatory approaches are efficient, effective and account for
risk/risk trade-offs across policy objectives (...) [It] can improve the welfare of citizens by
providing better protection, more efficient government services and reduced costs for business”
(OECD, 2010, p. 11).
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