NOM-035 Psychosocial Risk Protocol Mexico (Protocolo NOM-035-STPS-2018)

A NOM-035 Psychosocial Risk Protocol Mexico (Protocolo NOM-035-STPS-2018) is the formal workplace document implementing the requirements of Norma Oficial Mexicana NOM-035-STPS-2018, titled 'Factores de Riesgo Psicosocial en el Trabajo — Identificación, Análisis y Prevención,' published in the Diario Oficial de la Federación on 23 October 2018. The NOM entered into force in two phases: Phase I (23 October 2019) imposed obligations to establish workplace policies, disseminate information about psychosocial risks, and identify workers who experienced traumatic events (eventos traumáticos severos) at work; Phase II (23 October 2020) added the full requirement to identify, evaluate, and control psychosocial risk factors through standardized assessment tools and documented action plans.

NOM-035-STPS-2018 was issued by the Secretaría del Trabajo y Previsión Social (STPS) pursuant to Articles 512 and 523 of the Ley Federal del Trabajo (LFT), which authorize the STPS to issue official Mexican standards governing occupational safety, health, and environment. The NOM's legal binding force derives from the Ley Federal sobre Metrología y Normalización (LFMN), published in the DOF on 1 July 1992, which makes compliance with Normas Oficiales Mexicanas obligatory for all subjects within their scope. All employers in Mexico — regardless of sector, industry, or legal form — are subject to NOM-035 for their workers located in Mexico.

Psychosocial risk factors (factores de riesgo psicosocial) are defined by the NOM as those inherent to the nature, type, modality, or pace of work, the organization and management of work processes, and the social relationships at work that may cause anxiety, stress, sleep disorders, or adaptation problems in workers. The NOM identifies five main dimensions of psychosocial risk: (1) excessive workload and pace (exceso de trabajo y ritmo de trabajo); (2) poor work organization (deficiencias en la organización del trabajo); (3) leadership and workplace relationships (liderazgo y relaciones en el trabajo); (4) unfavourable organizational environment (entorno organizacional desfavorable), which includes violence, harassment, and discrimination; and (5) traumatic events at work (eventos traumáticos severos), defined as incidents that pose a real or perceived threat to life or physical integrity.

The NOM differentiates obligations by employer size: employers with 1 to 15 workers must disseminate information on psychosocial risks and implement a basic prevention policy; employers with 16 to 50 workers must in addition use a simplified risk identification tool (Cuestionario para Identificar a los Trabajadores Sujetos a Acontecimientos Traumáticos Severos — ISTAS) provided in the NOM appendices; employers with more than 50 workers must implement the full risk assessment protocol using the standardized questionnaires in Appendices C and D of the NOM, analyze results by work area and risk dimension, develop a documented Programa de Acción (action plan), implement controls, and track improvement metrics annually.

The Comisión de Seguridad e Higiene (Joint Safety and Hygiene Commission, established under Articles 509 to 514 LFT) plays a central role in NOM-035 implementation — the Commission must verify that the protocol is being applied, that workers are informed, and that the action plan is being executed. STPS inspectors verify NOM-035 compliance during standard workplace inspections (inspecciones de trabajo) and dedicated NOM verification visits, reviewing the existence, completeness, and implementation of the protocol documentation.

A NOM-035 Psychosocial Risk Protocol Mexico is required for every employer with workers in Mexico, with the specific scope of documentation varying by workforce size as established by the Norma Oficial Mexicana NOM-035-STPS-2018.

Employers with more than 50 workers have the most extensive obligations under the NOM and urgently need a complete protocol document. The full protocol must include a workplace policy statement, results of the standardized psychosocial risk assessment using the NOM Appendix C or D questionnaires administered to all workers, an analysis of results by risk dimension and work area, a documented Programa de Acción (action plan) targeting the highest-risk dimensions, an implementation timeline with responsible persons assigned to each measure, a tracking mechanism for corrective actions, and annual reassessment records. Without this documentation, the employer is exposed to STPS fines and adverse inspection findings.

Employers with 16 to 50 workers need the protocol to document their Phase II NOM-035 obligations — including the simplified assessment tool (Cuestionario breve de identificación de factores de riesgo psicosocial for smaller workplaces under Appendix B of the NOM), identification of workers exposed to traumatic events (eventos traumáticos severos), and a basic action plan responsive to identified risks. The STPS Inspección del Trabajo applies the same inspection criteria to employers in this category.

A NOM-035 Psychosocial Risk Protocol is specifically needed when a STPS inspection visit has identified a psychosocial risk deficiency and the employer has received a Programa de Corrección directing them to implement the NOM within a specified time. Having a complete protocol document prepared and ready to present to the inspector on the follow-up visit is essential to avoid repeat fines.

The protocol is needed when the Comisión Mixta de Seguridad e Higiene — which must be established by all employers under Articles 509 to 514 LFT — is being activated or renewed. The Commission's mandate under NOM-035 includes verifying that the psychosocial risk assessment has been conducted, reviewing the action plan, and monitoring its execution. A documented protocol provides the Commission with the framework to discharge its legal functions.

A NOM-035 protocol is also required when a worker or union representative has formally complained to the STPS about psychosocial risks or workplace violence — having a prior documented protocol and evidence of implementation is the primary defense against STPS administrative sanctions.

A complete NOM-035 Psychosocial Risk Protocol Mexico must contain the following elements to satisfy STPS inspection requirements under NOM-035-STPS-2018 and the associated Guía de Referencia I (Entorno Organizacional Favorable) and Guía de Referencia II (Eventos Traumáticos Severos) published by the STPS.

Workplace Policy Statement: A formal written policy (política de empresa) signed by the highest-level authority (director general, gerente general, or legal representative with poder notarial) committing the organization to: identify, analyze, and prevent psychosocial risk factors; promote a favourable organizational environment (entorno organizacional favorable); prevent and address workplace violence and harassment under Articles 3 Bis and 133 Fraction XII LFT; and support workers who have experienced traumatic events. The policy must be communicated to all workers — the NOM requires evidence of dissemination (email, posted notice, signed distribution list).

Scope and Definitions: Identification of the employer's name, RFC, STPS employer registration number, workplace address(es), total number of workers by category, and the assessment period. Definitions of all key NOM-035 concepts — factores de riesgo psicosocial, entorno organizacional desfavorable, acontecimiento traumático severo, violencia laboral — referencing the specific NOM-035 definitions to maintain terminology consistency with STPS inspection criteria.

Psychosocial Risk Assessment Records: Documentation of the questionnaire administration process, including the date(s) of application, the number of workers who participated (NOM requires at least 80% participation for results to be valid), the assessment tool used (NOM Appendix C for the full assessment, Appendix D for the abbreviated version for workers under specific conditions, Appendix B for smaller workplaces), and a summary of results by risk dimension and work area. The NOM requires that results be preserved in a way that guarantees worker anonymity — results must not be linked to individual workers.

Risk Analysis and Prioritization: A dimension-by-dimension analysis of assessment results — identifying which of the five NOM-035 risk dimensions (workload and pace, work organization, leadership and relationships, organizational environment, traumatic events) have elevated risk scores in which work areas. The analysis must identify priority risk areas for the action plan and the affected worker population.

Programa de Acción (Action Plan): A documented plan with specific corrective and preventive measures for each identified high-risk dimension, specifying: the measure to be implemented (capacitación en manejo del tiempo, revisión de cargas de trabajo, programa de intervención en acoso), the person responsible (nombre y cargo), the target date for implementation, and the success indicator. The NOM requires that the action plan be reviewed and updated at least annually.

Identification and Support for Workers Exposed to Traumatic Events: A specific procedure for identifying workers who have experienced eventos traumáticos severos at work (assaults, industrial accidents, witnessing deaths or serious injuries), referring them to professional support (psychological counseling through IMSS or private provider), and tracking their recovery and fitness to return to work. The Guía de Referencia II of the NOM provides the recommended methodology.

Comisión Mixta de Seguridad e Higiene Integration: Documentation of how the Joint Safety and Hygiene Commission (established under LFT Articles 509–514) is integrated into the NOM-035 implementation — including Commission review of assessment results, action plan approval, and progress monitoring records. The Commission's NOM-035 activities must be recorded in its Actas de Reunión.

Annual Review and Continuous Improvement: Records of annual reassessment of psychosocial risks, comparison of results with previous periods, update of the action plan based on new results, and evidence of corrective measure implementation.

Statutory References and Enforcement Framework: The legal authority structure for NOM-035 compliance spans multiple statutes. Article 512 and Article 523 of the Ley Federal del Trabajo grant the Secretaria del Trabajo y Prevision Social authority to issue official standards. Article 994 and Article 1002 of the same Ley Federal del Trabajo establish fine ranges for violations of STPS Normas Oficiales Mexicanas. Chapter 13 of the Reglamento Federal de Seguridad y Salud en el Trabajo, published in the Diario Oficial de la Federacion on 13 November 2014, establishes the general framework for occupational health standards. Article 6 of the Ley Federal sobre Metrologia y Normalizacion defines the mandatory nature of Normas Oficiales Mexicanas. Section 4 of NOM-035-STPS-2018 itself establishes the definitions framework. Chapter 5 of the NOM establishes the specific obligations by employer size category. The Comision Consultiva Nacional de Normalizacion de Seguridad y Salud en el Trabajo advises the Secretaria del Trabajo on NOM content. Enforcement proceedings follow Article 540 of the Ley Federal del Trabajo governing inspection authority of the Inspeccion Federal del Trabajo.

Forms-legal.com recommends that every NOM-035 Psychosocial Risk Protocol Mexico be developed with the support of a certified occupational health professional (médico del trabajo or psicólogo organizacional) and reviewed annually by the Comisión Mixta de Seguridad e Higiene to maintain STPS compliance.