Abu Dhabi EHSMS Regulatory Framework (AD EHSMS RF)

Transcription

1 ther persons Abu Dhabi EHSMS Regulatory Framework (AD EHSMS RF) EHS Regulatory Instrument Mechanism EHS RI - Mechanism 6.0 EHSMS Performance and Incident Reporting Version 2.1 December 2013

2 Table of Contents 1. Introduction OHS Incident and Reporting Definitions Incident Types Classification of OHS Incidents Establishing Work Relationship Recordable vs. Reportable Incidents Pre-existing Medical / Health Conditions Emirate OHS Performance Statistical Database and Sector Classification Serious OHS Incident Notification and Reporting Serious OHS Incident Notification Requirements Completing Serious OHS Incident Investigation & Report Quarterly OHS Incident and Performance Reporting Reporting an OHS Incident with Multiple Consequences Principal Contractor OHS Incident Notification and Reporting Process Medium & Low Risk Entities Notification and Reporting Sector Regulatory Authority OHS Emergency Contact Details Quarterly OHS Performance Reporting Key Performance Indicators (KPI s) Annual Third Party External EHSMS Compliance Audit Reporting Audit Criteria Audit Reporting Selection of External Auditor / Consulting Office / Certification Body Audit Timeframes Review of Submitted Third Party Audit Report AD EHSMS RF - Standard Forms Schedule A - List of Serious Dangerous Occurrences Schedule B - List of Serious Injuries Schedule C - List of Serious Occupational Illness / Diseases Appendix A Private Entity Minimum KPI Requirements Appendix B Sector Minimum KPI Requirements Appendix C Government Entity Minimum KPI Requirements Amendment History: Mechanism 6.0 EHSMS Performance and Incident Reporting Page 2 of 38

3 1. Introduction This mechanism is designed to define the procedures to be utilized by the AD EHS Center, Sector Regulatory Authorities and Entities to manage the minimum EHS performance and incident reporting process and criteria. This mechanism has been designed to ensure fair, transparent and consistent implementation of the AD EHSMS RF. The AD EHS Center and Sector Regulatory Authorities shall collate and analyze EHS performance data to assess the progress of implementation of the AD EHSMS RF throughout the Emirate. The SRAs are required to collect, record and analyze EHS performance and incidents reports within their concerned sector for the purposes of: (i) (ii) (iii) (iv) (v) ensuring appropriate response actions to serious incidents; ensuring incidents are appropriately investigated, to determine the root cause and that corrective actions have been implemented as part of the continuous improvement process; notifying relevant entities of potential hazards and successful control measures (eg. issuing a Sector Safety Alert); identifying incidents trends within the concerned sectors and at Emirate level to ensure resources and awareness are focused on these hazards; and reporting concerned Sector EHS performance results, including incident rates, to the AD EHS Center. The AD EHS Center also will play an important role in compiling EHS data, leading and undertaking research and investigating opportunities for continual improvement. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 3 of 38

4 2. OHS Incident and Reporting Definitions The following definitions have been reproduced from the AD EHSMS RF Glossary of Terms. Further relevant terms are included in the AD EHSMS RF Glossary of Terms Fatality (Work-Related): First Aid: First Aid Injury: Immediate treatment as an inpatient in a hospital Loss of a bodily function Lost Time Injury (LTI): Lost Time Injury Frequency Rate (LTIFR): Lost Time Injury Severity Rate (LTISR): Lost Workdays (LWD): Work-Related Fatality is a death resulting from an injury or illness, regardless of the time intervening between injury and death. Any immediate (one-time) care or treatment given to a person suffering from an illness or injury, until professional medical care can be provided. Such treatment may be considered first aid even though provided by a health-care professional. Is a minor work-related injury or illness that calls for only simple First Aid treatment and does not call for follow-up treatment by a health-care professional. First aid injuries do not result in lost time from work or work restrictions. Admission into a hospital as an in-patient for any duration, even if the stay is not overnight or longer. It does not include: - Out-patient treatment provided by the emergency section of a hospital (i.e. not requiring admission as an in-patient) and immediate discharge. - Subsequent corrective surgery such as that required to fix a fractured nose. Loss of consciousness, loss of movement of a limb or loss of the sense of smell, taste, sight or hearing, or loss of function of an internal organ. Any absence from work resulting from work-related Fatalities, Permanent Total Disabilities, Permanent Partial Disabilities and Lost Workday Cases. The total number of Lost Time Injuries per million hours worked during the period. Calculation: No. of LTI s x 1,000,000 Working Hours The total number of lost work days per million hours of working. Calculation: No. of Work Days Lost x 1,000,000 Working Hours In case of Death (Fatality) or Permanent Total Disability, No Lost Workday shall be recorded. The total number of scheduled workdays or shift lost as a result of Occupational Injury / Illness excluding the incident day. a) Lost Workdays calculations should consider all occupational injuries and illness resulting in days away from work. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 4 of 38

5 Lost Workday Case (LWDC): Medical Treatment Case (MTC): Near Miss: Other Persons (OP): Permanent Partial Disability: Permanent Total Disability: b) Total number of Lost Workdays shall be limited to 180 scheduled working days. It is not required to keep track of the number of days away from work if the injury or illness resulted in more than 180 scheduled working days away from work. c) In cases where employment is terminated after an Injury/illness occurred (other than Fatality or Permanent Total Disability), this would include any previously scheduled workdays lost that were planned prior to termination, or an estimate must be made of the total number of workdays that would have been lost had the employee not been terminated. d) In case of Death (Fatality) or Permanent Total Disability, No Lost Workday shall be recorded. A work-related injury or illness that results in an injured person temporarily unable to perform any regular job or restricted work activity on a subsequent scheduled workday or shift. Note: a) A Lost Workday Case (LWDC) is not the same as a Lost Time Injury (LTI). b) If a LWDC transforms into Fatality or Permanent Total Disability, it will no longer be considered as LWDC. Incident Severity, Statistics and KPIs shall be updated accordingly for severity of injury and number of lost workdays. Medical Treatment Case (MTC) is a work-related injury or illness that calls for medication, treatment, or medical check that is administered by a health-care professional and that goes beyond first aid case. Medical treatment case does not result in lost time from work beyond the date of the injury. An unplanned event, event series or condition that occurred at the workplace which, although not resulting in any injury, illness or equipment/property damage, had the potential to do so. Person(s) who are at, or come into contact, or may be exposed to hazards from a workplace, that are not employees or contractors. For example: a) Visitors; b) Students; c) Volunteers; and d) Customers; Any work-related injury, which results in the complete loss, or permanent loss of use, of any part of the body or any permanent impairment of function of parts of the body, regardless of any preexisting disability of the injured member or impaired body function. Any work related injury which permanently incapacitates an employee and results in termination of employment; Mechanism 6.0 EHSMS Performance and Incident Reporting Page 5 of 38

6 Recordable Incident: Serious Dangerous Occurrence: Serious OHS Incident: Serious OHS Incident Notification: Serious OHS Incident Reporting: All work related Occupational Health & Safety incidents. A significant incident arising out of or in the course of work that did not result in Serious Injuries/and or fatalities but had the potential to have done so. Refer to Schedule A of this mechanism. A work related incident that requires notification to SRA and consisting of or resulting in: a) Fatality; b) Serious Injuries; c) Serious Occupational Illness; d) Serious Dangerous Occurrence Initial notification of Serious OHS Incident to the concerned SRA using AD EHSMS Form G and based on immediate judgment of the potential severity / seriousness of the incident by reference to Schedule A, B or C of this Mechanism. Reporting of Serious OHS incidents to concerned SRA using AD EHSMS Form G1 for reporting investigation findings and AD EHSMS Form E/E2 in the entity s quarterly performance report, once the actual severity and consequences of the notified incident are established based on investigation and (for injuries) diagnosis by licensed health care practitioner and supported by hospital report. Serious OHS Injury: OHS Injuries requiring notification to SRAs. Refer to Schedule B. Disclaimers: Injuries definitions are provided only for facilitating AD EHSMS RF incident notification and reporting process. These are not meant to be a technical medical definition as established by Licensed Health Care Professionals. In case of any conflict the interpretation / diagnosis by Licensed Health Care Professionals shall take precedence. The purpose of notification and investigation of serious injuries is to ensure that corrective actions are implemented to prevent a reoccurrence. This objective should at all times take precedence over an exacting assessment of the nature of injury. Serious burns due to thermal and chemical agents; Serious eye injury, including loss of sight (temporary or permanent): A burn requiring intensive care or critical care which could require compression garment or a skin graft. It does not include: A burn that merely requires washing the wound and applying a dressing. - Injury that results in or is likely to result in the loss of the eye or total or partial loss of vision. - Injury that involves an object penetrating the eye (for example metal fragment, wood chip). - Exposure of the eye to a substance which poses a risk of serious eye damage. It does not include: Eye exposure to a substance that merely causes irritation. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 6 of 38

7 Serious head injury: Fractured skull, loss of consciousness, blood clot or bleeding in the brain, damage to the skull to the extent that it is likely to affect organ/face function. Head injuries resulting in temporary or permanent amnesia. Serious Laceration(s): - Lacerations that cause muscle, tendon, nerve or blood vessel damage or permanent impairment. - Deep or extensive cuts. - Tears or wounds to the flesh or tissues Serious Occupational Illness / Disease: Spinal injury: Total Reported Case: Total Reported Case Frequency: Restricted Workday Cases (RWC) (Light Duties): Workplace: Any work-related abnormal condition or disorder, other than an injury, which is mainly caused by exposure to environmental factors associated with the employment. It includes acute and chronic illness or diseases that may be caused by repetitive motion, inhalation, infectious organisms, absorption, ingestion or direct contact. Refer to Schedule C of this mechanism. Injury to the cervical, thoracic, lumbar or sacral vertebrae including the discs and spinal cord. The sum of Fatalities, Permanent Total Disabilities, Permanent Partial Disabilities, Lost Workday Cases, Restricted Work Cases and Medical Treatment Cases. The total number of reported case per million hours of working. Calculation: Total Reported Cases x 1,000,000 Working Hours Restricted work case (RWC) is a work-related injury or illness that results in limitations on work activity that prevent an individual from doing any task of his/her normal job or from doing all of the job for any part of the day. A workplace is a place where work is carried out for an entity or undertaking and includes any place where an employee goes, or is likely to be, while at work. A place may include, but is not limited to: office, workshop, site, operational area, warehouse; vehicle, vessel, aircraft or other mobile structure; any waters and any installation on land, on the bed of waters or floating on any waters; and an offsite emergency location which employees are required to attend in accordance with their emergency response procedures. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 7 of 38

8 3. Incident Types 3.1 Classification of OHS Incidents (a) Occupational Health & Safety (OHS) Incidents are classified for recording, notification and reporting purposes according to the Severity of the incident. (b) The types of the Occupational Health & Safety (OHS) incidents to be recorded, reported and/or notified by entities to SRAs are listed below: (i) Lost Time Injury; - Fatality; - Permanent Total Disability; - Permanent Partial Disability; - Lost Workday Case; (ii) (iii) (iv) (v) (vi) (vii) Serious Injury; Serious Occupational Illness / Disease; Serious Dangerous Occurrence; Restricted Workday Case; Medical Treatment Case; First Aid Injury; (viii) Equipment / Property Damage; and (ix) Near Miss Schedule A specifies the List of Serious Dangerous Occurrences. Schedule B specifies the List of Serious Injuries. Schedule C specifies the List of Serious Occupational Illnesses / Diseases. 3.2 Establishing Work Relationship (a) An illness or injury to a person shall be considered as work-related if: it occurs on the way to or from work; or it occurs at work; or arises from a work practice; or arises from the conditions in a workplace; or by an employee during and by reason of carrying out their duties. This includes, but is not limited to, illnesses or injuries to any person present at an entity controlled site, including direct employees, contractors, visitors, customers, and members of the public. (b) Injuries / illnesses include the recurrence, aggravation or exacerbation of previous workrelated injuries. For example, a person had previously had a work-related knee injury and the injury happens again because of work, the new injury shall be reported. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 8 of 38

9 (c) Whether a case involves a work-related injury or Illness is determined by the nature of the original event or exposure that caused the case, not by the resulting condition of the affected employee. (d) Refer to Schedule No. 1 of Federal Law No. 8 of 1980 and Schedule B (Injuries) & C (Illnesses) of this Mechanism. 3.3 Recordable vs. Reportable Incidents (a) Determination of whether an incident is recordable or reportable is dependent on a number of factors including Severity of Incident, Consequence of Incident, Work Relationship, Federal and Emirate regulatory requirements. (b) The term Reportable as used in this Mechanism refers to Notification & Reporting requirements. Notification under AD EHSMS RF includes notifying the Serious Incidents to concerned SRA using the AD EHSMS RF Form G Serious OHS Incident Notification within (a) 24 hrs. for fatalities or (b) within 3 working days for other serious incidents. Reporting under AD EHSMS RF includes (a) reporting of incident investigation findings (using AD EHSMS RF Form G1 Serious OHS Incident Investigation) and (b) reporting incidents in Quarterly Performance Report (AD EHSMS RF Form E Entity Quarterly OHS Performance Report or AD EHSMS RF Form E2 Government Entity Quarterly OHS Performance Report) to the SRA. (c) All incidents shall be recorded, whether reportable or not, to ensure effective collection of OHS incident and performance data. (d) It is important to perform an appropriate investigation for all incidents, including near misses, so appropriate control measures can be implemented to prevent reoccurrence. Incidents not notified / reported to the SRA (as per Sections 4.1 and 4.2) shall be recorded and investigated at the time of occurring using AD EHSMS RF- Form G2 Non- Serious OHS Incident Investigation (which is non-mandatory) or equivalent. (e) In addition to notification and reporting to the concerned SRA, entities shall complete additional notifications to other relevant authorities as per legal requirements. (e.g. Ministry of Labour, EAD, Police, etc.). (f) Entities shall also record all incidents and report incidents that result in a Serious Injury or Serious Occupational Illness / Disease that occur at a workplace / site that is controlled by the entity that involves: (i) non-nominated contractors / sub-contractors / suppliers, (ii) customers; (iii) visitors; and (iv) any other person(s) at the workplace / site. Note: Refer to Figure 3.1 and Section 4 of this document for further explanation on Serious Incidents notification and reporting requirements. Note: As per international practice, aircraft passengers and international sea passengers EHS incidents while on board the craft are not required to be reported under AD EHSMS RF. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 9 of 38

10 Figure 3.1 OHS Incident Reporting Hierarchy Mechanism 6.0 EHSMS Performance and Incident Reporting Page 10 of 38

11 3.4 Pre-existing Medical / Health Conditions (a) When reporting work related incidents that involve occupational illness and injury the entity shall take into consideration pre-existing medical / health conditions and aggravation of an existing illness or injury. Refer to definition of work-related injury / illness in Section 3.2 of this Mechanism for more details. 3.5 Emirate OHS Performance Statistical Database and Sector Classification (a) (b) (c) (d) (e) (f) The AD EHS Center is developing an Emirate wide OHS Performance Database. The database will facilitate the electronic (online) reporting of OHS incidents and performance. This database will allow relevant authorities, entities and other stakeholders to analyze statistics to: (i) identify OHS trends; (ii) compare the OHS performance of Entities, Sectors and the Emirate to other relevant local and international jurisdictions; (iii) allow the relevant authorities to make informed decisions on the allocation of resources to address highlighted OHS issues; and (iv) allow the relevant authorities to report the OHS performance of the Emirate and concerned Sectors to the public at large (community). One of the instruments the AD EHS Center has employed to assist in the collection of OHS performance data is a Sector Classification Code System. Each concerned Sector is assigned an individual Classification Code. When the Sector Regulatory Authority registers entities, it assigns each entity a Sector Sub-Code as part of the EHSMS registration and nomination process. Refer to EHS RI Mechanism 3.0 Identification, Assessment and Nomination of Entities for the list of Classification Codes. This EHSMS registration code is incorporated into all of the EHSMS mechanism standard forms. This allows for statistical analysis of the EHS performance data (KPI s and Incidents). Mechanism 6.0 EHSMS Performance and Incident Reporting Page 11 of 38

12 4. Serious OHS Incident Notification and Reporting 4.1 Serious OHS Incident Notification Requirements (a) The concerned SRA shall be officially notified: (i) Within 24 hours of an incident occurring at a workplace which results in Fatality; (ii) Within maximum of 3 working days from the date of an incident occurring at a workplace which results in the following incident types (serious incidents): - Serious Dangerous Occurrence (Schedule A); - Serious Injury (Schedule B); and - Receipt of a written diagnosis or other knowledge of the occurrence of a Serious Occupational Illness or Disease arising out of and in the course of work (Schedule C); (b) OHS injuries / illnesses shall be notified to SRA s based on immediate judgment of their severity. Note: The actual severity and consequences of the notified injury / illness once established based on investigation and diagnosis by licensed health care professional and supported by medical report shall be reported in the incident investigation report to the SRA (Form G1) as well as in the entity performance report to the SRA (Form E/E2). (c) The concerned SRA shall be notified of relevant OHS incidents by (i) completing and submitting AD EHSMS RF Form G Serious OHS Incident Notification (mandatory for entities with an approved EHSMS and for Medium Risk Entities complying with minimum requirements stipulated in AD EHS RI Mechanism 5.0), (ii) in-person reporting or (iii) e- mail or fax from entity s authorized person. And as soon as practicable through the OHS Emergency Contact Hotline refer to Section 4.7 (d) The concerned SRA shall officially notify the AD EHS Center of below listed serious incidents (classified based on injury severity known at the time of the incident) as soon as practicable but maximum within one working day after receiving the notification: (i) Fatality; (ii) Permanent Total Disability; (iii) Permanent Partial Disability; (iv) Lost Workday Case; (v) Serious Dangerous Occurrence (Schedule A); (vi) Serious Injury (Schedule B); (vii) Serious Occupational Illness (Schedule C); and (viii) Other Serious Incidents that the concerned SRA believes the AD EHS Center should be aware of. Examples include: - an incident that may affect members of the general community (e.g. release of a hazardous material); - large scale food poisoning at employer supplied accommodation; and - an incident that may be of public interest and may be reported in the media. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 12 of 38

13 (e) Incidents may not only require immediate notification to the concerned SRA, but also to other relevant authorities as per their existing reporting requirements. (e.g. Ministry of Labour, EAD, RSB, AD Police, etc.). (f) Although contractual or other obligations may require entities to report OHS Performance and Incidents to other relevant stakeholders (e.g. other SRA, Client, Relevant Authority), AD EHSMS Reporting shall only be to the concerned SRA that the entity is nominated by. (g) Govt. Entities shall notify Serious OHS Incidents to AD EHS Center in compliance with requirements of this section. 4.2 Completing Serious OHS Incident Investigation & Report These requirements are applicable to all Serious OHS Incidents notified to the concerned SRA (using Form G) (refer to section 4.1) by the entities with approved EHSMS as well as for Medium Risk Entities complying with minimum requirements stipulated in AD EHS RI Mechanism 5.0. (a) The incident investigation and report shall be completed and submitted to the concerned SRA within 30 calendar days of the date of the incident by completing and submitting AD EHSMS RF Form G1. Refer to AD EHS RI Mechanism 11 EHS Incident Investigation for investigation requirements. (b) The incident investigation and report (Form G1) shall identify OHS injuries / illnesses in terms of their actual severity and consequences including based on diagnosis by licensed health care professional and supported by medical report. (c) Entities are required to update incident investigation reports as soon as relevant information becomes available. (d) The AD EHS Center acknowledges that specific components of the final report may not be available within 30 calendar days of the incident such as the Official Police Report or the results of specific scientific/medical investigations or tests. This shall not delay the submission of the entity s investigation report. 4.3 Quarterly OHS Incident and Performance Reporting (a) Entities with an approved EHSMS shall submit Quarterly OHS performance and incident summary report to the concerned SRA. (AD EHSMS RF Form E for Private Entities or E2 for Government Entities). (b) Concerned SRA s shall submit a Sector OHS performance and incident quarterly summary report to the AD EHS Center. (AD EHSMS RF Form E1). (c) Only injuries / illnesses to employees shall be included in AD EHSMS RF incident frequency and rate calculations (AD EHSMS RF Form E, E1 & E2). (d) The following types of Occupational Health & Safety (OHS) incidents are to be recorded, notified to the relevant SRA (Form G) (refer to 4.1), and investigated by the entity and reported in terms of their actual severity / consequences as established through investigation / medical report to the relevant SRA through (a) Investigation Report (Form G1) (refer to 4.2) and (b) as part of the entity s quarterly OHS performance and incident summary report (Form E/E2): (i) Fatality; (ii) Permanent Total Disability, Mechanism 6.0 EHSMS Performance and Incident Reporting Page 13 of 38

14 (iii) Permanent Partial Disability, (iv) Lost Workday Case, (v) Serious Dangerous Occurrence (Schedule A); (vi) Serious Injury (Schedule B), and (vii) Serious Occupational Illness (Schedule C). (e) The following types of Occupational Health & Safety (OHS) incidents are to be recorded and investigated at the time of occurring by the entity using AD EHSMS RF Form G2 (non-mandatory) or equivalent and their summary reported to the relevant SRA as part of the entity s quarterly OHS performance and incident summary report (Form E/E2): (i) Restricted Workday Case; (ii) Medical Treatment Case; (iii) First Aid Injury; (iv) Equipment / Property Damage; and (v) Near Miss (f) Incident recording and reporting shall be based on actual severity of consequence as established by the investigation process and/or medical report. Incident escalation where applicable is important for necessary update in records and initiating the reporting process. Like for an incident recorded as medical treatment case but later escalated to lost workdays case, incident records and reports shall be updated. (g) Refer to Appendix A, B & C of this Mechanism for details on KPIs and reporting requirements. 4.4 Reporting an OHS Incident with Multiple Consequences (a) A single OHS incident may result in multiple consequences. (b) AD EHSMS RF Form G Serious OHS Incident Notification Form is required to be completed separately for each consequence. (c) AD EHSMS RF Form E, E1 and E2 have been designed to collate multiple consequences of single incident. This is to correctly account for the number of injuries / incidents while calculating injury rates / frequencies. For example: A tanker truck delivering petrol to a construction site rolls over and an ambulance was called to the site. The driver (employee of the entity) received minor cuts and bruises. A passenger (employee of the entity) got an arm injury. The truck received substantial damage. Consequences of the incident include: (i) Medical Treatment Case - Driver (entity s employee) receiving medical treatment from a medical professional; (ii) Equipment / Property Damage Damage to the truck; and (iii) Lost Workdays Injury Passenger (entity s employee) was diagnosed with arm fracture and advised 1 week (6 days) rest; Number of consequences to be reported: 3 Below is how the incident and the consequences would be recorded on Form E. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 14 of 38

15 Occupational Health & Safety Performance Summary for Entity KPI 2-02 Total Incidents / consequences 3 Injuries & Illness Lost Time Injuries Fatality Restricted Workday Case No. Lost Workdays Other Incidents Serious Dangerous Occurrence Permanent Total Disability Equipment / Property Damage 1 Permanent Partial Disability Lost Workdays Cases Lost Workdays Injuries 1 6 Lost Workdays Occupational Illness Medical Treatment Case 1 Total Injuries & Illness for calculating KPI 2-03 (TRCF) 2 Total Lost Workdays for calculating KPI 2-04 (LTISR) 6 No. 4.5 Principal Contractor OHS Incident Notification and Reporting Process (a) Principal contractors shall notify and report relevant OHS incidents to the Building and Construction SRA (as per EHS RI - Mechanism 9.0 Appointment of Principal Contractor for Construction Work and AD EHS RI CoP 53.0 EHS Management during Construction Work ) for their operations and all construction subcontractors that do not have an approved EHSMS. (b) At a workplace where Construction Work is being undertaken and there is a principal contractor assigned the following OHS performance and incident reporting hierarchies apply: (i) (ii) (iii) all OHS incidents at the workplace shall be notified to the principal contractor; if a sub-contractor or project manager / client representative / supervising consultant is involved in an OHS incident and they do have an approved EHSMS, they are responsible for notifying and reporting the incident to the concerned SRA; and if a sub-contractor or project manager / client representative / supervising consultant is involved in an OHS incident and they do not have an approved EHSMS, the principal contractor is responsible for notifying and reporting the incident to the concerned SRA. 4.6 Medium & Low Risk Entities Notification and Reporting (a) Entities officially notified to comply with AD EHS RI Mechanism 5.0 shall follow these requirements for Serious OHS Incident Notification & Reporting. (b) Medium Risk Entities identified by the SRA to develop and implement full EHSMS shall provide the concerned SRA with: (i) Notifications of all Serious OHS Incidents as soon as practicable, as stipulated in 4.1, through the EHS Emergency Contact Hotline and submitting AD EHSMS RF Form G Serious OHS Incident Notification; Mechanism 6.0 EHSMS Performance and Incident Reporting Page 15 of 38

16 (ii) Investigation Reports for all Serious OHS Incidents as stipulated in 4.2, by completing and submitting AD EHSMS RF Form G1 Serious OHS Incident Investigation; and (iii) Quarterly OHS Performance Report as stipulated in 4.3, by completing and submitting AD EHSMS RF - Form E Entity Quarterly OHS Performance Report. (c) Medium Risk Entities identified by the SRA to comply with minimum requirements stipulated in AD EHS RI Mechanism 5 shall provide the concerned SRA with: (i) Notifications of all Serious OHS Incidents as soon as practicable, as stipulated in 4.1, through the EHS Emergency Contact Hotline and submitting AD EHSMS RF Form G Serious OHS Incident Notification; (ii) Investigation Reports for all Serious OHS Incidents as stipulated in 4.2, by completing and submitting AD EHSMS RF Form G1 Serious OHS Incident Investigation. (d) For the identified Low Risk Entities, Concerned SRA shall investigate the Serious OHS Incident if notified by any method. SRA shall report all such incidents in AD EHSMS RF Form E1 - Sector Quarterly OHS Performance Report. 4.7 Sector Regulatory Authority OHS Emergency Contact Details (a) Each concerned SRA shall maintain an OHS Emergency Contact Hotline that is available for entities to notify the SRA of Serious / emergency incidents 24 hours a day, seven days a week. (b) Concerned SRA and other relevant authorities contact details include: AD EHSMS Sector SRA OHS Emergency Contact Hotline Building and Construction Department of Municipal Affairs (DMA) Commercial Department of Municipal Affairs (DMA) Education Abu Dhabi Education Council (ADEC) Energy Abu Dhabi Water and Electrical Authority (ADWEA) Food Abu Dhabi Food Control Authority (ADFCA) Health Health Authority Abu Dhabi (HAAD) Industry Industrial Development Bureau (IDB) Tourism Abu Dhabi Tourism & Cultural Authority (ADTCA) Transport Department of Transport (DoT) Waste Center for Waste Management Abu Dhabi (CWM-AD) Waste Water Regulations and Supervision Bureau (RSB) Mechanism 6.0 EHSMS Performance and Incident Reporting Page 16 of 38

17 Abu Dhabi Authorities Emergency Contact Abu Dhabi Police 999 Ambulance 998 or 999 Fire 997 Emergency and Disaster Management Operations Center - HAAD or Poison and Drug Information Center HAAD Coast Guard 996 Water and Electricity 991 or 992 Environment Agency Abu Dhabi (EAD) Abu Dhabi EHS Center / 3900 Mechanism 6.0 EHSMS Performance and Incident Reporting Page 17 of 38

18 5. Quarterly OHS Performance Reporting 5.1 Key Performance Indicators (KPI s) (a) The AD EHS Center has stipulated a set of minimum KPI s that the SRA and entities with approved EHSMS shall monitor, record and report as part of the EHSMS reporting requirements. (b) Only injuries / illness to employees shall be included in the calculation of Incident frequency and severity rates. (c) KPI s are quantifiable performance measurements selected to assess progress in the achievement of EHSMS goals and objectives, as per AD EHSMS RF Mechanism 2.0 Concerned Sector EHSMS Requirements. (d) Definitions of the key terms used in the EHSMS can be found in AD EHSMS RF Glossary of Terms (with the most relevant key definitions reproduced in section 2 of this Mechanism). (e) Additional KPI s may be added by the AD EHS Center to monitor EHS performance as required. (f) Sector Regulatory Authorities may ask the nominated entities in the concerned Sector to monitor, record and report additional Sector specific KPI s. (g) Private Entities shall report their Quarterly OHS Performance to the concerned Sector Regulatory Authority using AD EHSMS RF Form E. (h) Sector Regulatory Authorities shall report their Quarterly OHS Performance to the AD EHS Center using AD EHSMS RF Form E1. (i) Government Entities shall report their Quarterly EHS Performance to the AD EHS Center using AD EHSMS RF Form E2. Appendix A specifies the AD EHSMS RF minimum Private Entity Quarterly OHS Performance KPI s and Reporting Timeframes. Appendix B specifies the AD EHSMS RF minimum Sector Quarterly OHS Performance KPI s and Reporting Timeframes. Appendix C specifies the AD EHSMS RF minimum Government Entity Quarterly OHS Performance KPI s and Reporting Timeframes. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 18 of 38

19 6. Annual Third Party External EHSMS Compliance Audit Reporting 6.1 Audit Criteria (a) The external audit is designed to be a systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled. (b) The minimum criteria of this audit shall include: (i) a review of the entity s approved EHSMS to ensure regulatory compliance to the AD EHSMS RF, concerned SRA requirements and other Federal and Emirate EHS requirements; and (ii) a systematic examination to determine whether activities and related results conform to planned arrangements. The audit shall determine whether these arrangements are implemented effectively and are appropriate in achieving the entity's objectives. 6.2 Audit Reporting (a) Entities with an approved EHSMS shall undergo an annual third party external compliance audit. (b) The annual external compliance audit results shall be submitted to the concerned SRA by completing and submitting AD EHSMS RF Form F Annual External EHSMS Audit Form and the detailed audit report within 30 calendar days of the entity receiving the report. (c) The intent of this audit is to provide evidence and inform the concerned SRA of the level of compliance of an entity to the AD EHSMS RF and to the entity s approved EHSMS. This is an important component of the entity s commitment to demonstrating self-regulation. 6.3 Selection of External Auditor / Consulting Office / Certification Body (a) External Auditors, Certification Bodies and Consultancy Offices shall be registered (qualified) by the AD EHS Center for conducting the 3 rd Party External EHSMS Compliance Audit in compliance with the requirements of AD EHSMS RF Mechanism 7.0 AD EHS Professional Entity Registration and AD EHSMS RF Mechanism 8.0 AD EHS Practitioner Registration (b) Entities shall select third party external auditor(s) / auditing companies to conduct the EHSMS compliance audits who are registered with the AD EHS Center for AD EHSMS Audit. (c) Registration as an AD EHSMS Auditor / Auditing Company with the AD EHS Center is a process to ensure auditor(s) / companies have the appropriate competence (qualifications, knowledge and experience) to conduct the audit. (d) To ensure objectivity and that no conflicts of interest exist, the third party external audit shall not be performed by an auditor / company who assisted in or is employed by an entity that was contracted to develop and/or implement the EHSMS. (e) Entities are to select an audit team that has relevant sector specific experience. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 19 of 38

20 6.4 Audit Timeframes (a) Entities shall undertake their initial third party external compliance audit within one year of official notification of approval of their entity EHSMS from the concerned SRA. (b) Subsequent annual audits shall be undertaken within one year of the previous third party external compliance audit date. (c) The AD EHSMS RF third party external compliance audit can be undertaken in conjunction with other relevant certification audits (e.g. ISO and OHSAS 18001). 6.5 Review of Submitted Third Party Audit Report (a) Concerned SRA shall undertake a documented review of the third party audit report within 30 calendar days of submission. (b) The review conducted by the concerned SRA shall include, but is not limited to: (i) confirm the audit team / company was appropriate, including registration status as per AD EHSMS RF Mechanism 7.0 AD EHS Professional Entity Registration and AD EHS RI Mechanism 08 EHS Practitioner Registration; (ii) evaluate the scope of the audit in relation to the level of risk on the entity; and (iii) review the appropriateness of corrective actions and implementation timeframes; (c) If the audit report highlights significant concerns over the level of implementation within the entity then the concerned SRA shall closely monitor the entity and the completion of identified corrective actions and ongoing performance. (d) Entities with ongoing poor performance shall be managed as per Section of AD EHSMS RF Mechanism 2.0 Concerned Sector EHSMS Requirements, as reflected in the Concerned Sector EHSMS Requirements document. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 20 of 38

21 7. AD EHSMS RF - Standard Forms Form E Entity Quarterly OHS Performance Report (for private entities) This form is to be submitted on a quarterly basis (every 3 months) and records the OHS incidents and performance summary of the entity in implementing and maintaining an EHSMS. It also includes the minimum Key Performance Indicator results. Form E1 Sector Quarterly OHS Performance Report This form is to be submitted on a quarterly basis (every 3 months) and records the OHS incident and performance summary of the concerned Sector in implementing AD EHSMS. It also includes the minimum Key Performance Indicator results. Form E2 Government Entity Quarterly OHS Performance Report This form is to be submitted on a quarterly basis (every 3 months) and records the OHS incidents and performance summary of the entity in implementing and maintaining an EHSMS. It also includes the minimum Key Performance Indicator results. Only government entities reporting to AD EHS Center are to use this form. Form F External EHSMS Audit Report This form is to be submitted by the entity in conjunction with the results (report) of the annual third party external compliance audit. Form G Serious OHS Incident Notification This form is to be submitted by entities to the concerned SRA to notify a Serious Incident. It requires details of the incident and shall be submitted as per the reporting requirements: a) for fatalities within 24 hrs. of incident and b) for other Serious Incidents within maximum of 3 working days from the date of incident. The concerned SRA to notify the Center about the Serious Incident using Form G within one working day. Form G1 Serious OHS Incident Investigation This form is to be submitted by entities to the concerned SRA to report Serious Incident Investigation findings. It requires details of the incident investigation and shall be submitted as per the reporting requirements: as soon as practicable Maximum 30 Calendar Days from Date of Incident - For all Serious Incidents notified to SRA by Form G. Form G2 Non-Serious OHS Incident Investigation This form is for Entity Internal Use and Recordkeeping. It is non-mandatory and other means meeting or exceeding its requirements can be used. All non-serious Incidents not requiring immediate notification to SRA should be investigated and results recorded using Form G2 (preferred) or any equivalent tool, meeting or exceeding AD EHSMS RF requirements. AD EHSMS RF Standard Forms are available at Mechanism 6.0 EHSMS Performance and Incident Reporting Page 21 of 38

22 Schedule A - List of Serious Dangerous Occurrences Explosion or Fire (a) Explosion or fire in a room or place in which persons are at work, and which results in substantial damage to the structure of the site, or to any machinery or plant there, and the explosion or fire is a result of the ignition of dust, gas or vapor. The incident shall have also resulted in the complete suspension of ordinary work at the site or stoppage of machinery or workplace for at least 5 hours. (b) Electrical short circuit or failure of electrical machinery, plant or apparatus, which results in an explosion, fire or structural damage and involves its stoppage or disuse for at least 5 hours. (c) Explosion or fire affecting any site in which persons are at work and causing complete suspension of ordinary work in the site for at least 24 hours. Failure and/or Collapse of Equipment (a) Failure or collapse of false-work / formwork or its supports. (b) Collapse, partial collapse, overturning or failure of load-bearing parts of scaffold, lifts and lifting plant, equipment and/or accessories. (c) Failure of a breathing apparatus / equipment while in use or during testing immediately before use. (d) Failure or endangering of diving equipment, the trapping of a diver, an explosion near a diver, or an uncontrolled ascent. (e) The collapse, overturning, failure or malfunction of, or damage to, any plant/equipment that the employee is in contact with that had the potential to cause injury / illness / environmental damage. Machinery Damage (a) Bursting of a revolving vessel, wheel, grindstone or grinding wheel moved by mechanical power. (b) Explosion or failure of the structure of a steam boiler, receiver or any container used for the storage at a pressure greater than atmospheric pressure of any gas or gases (including air) or any liquid or solid resulting from the compression of gas. Collapse of Building / Structure or Excavation (a) Any unintended collapse or partial collapse of: (i) (ii) (iii) any building or structure (whether above or below ground) under construction, reconstruction, alteration or demolition; and / or any floor or wall of any building (whether above or below ground) used as a place of work; and / or of an excavation or any shoring supporting an excavation. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 22 of 38

23 Electric Lines, Cables and Pipelines (a) Any unintentional incident in which plant or equipment either: (i) (ii) (iii) comes into contact with overhead or underground electric lines, cables or pipeline; or causes an electrical discharge from such an electric line by coming into close proximity to it; and/or causes an overhead line be at an height less than that required by regulation. Malfunction of Radiation Generating Equipment (a) Any incident in which: (i) (ii) the malfunction of a radiation generator or its ancillary equipment used in research, fixed or mobile industrial radiography, medical x-ray; the irradiation of food, the processing of products by irradiation, or other use, causes it to fail to de-energize at the end of the intended exposure period; or the malfunction of equipment used in research, fixed or mobile industrial radiography, gamma irradiation, or other use, causes a radioactive source to fail to return to its safe position by the normal means at the end of the intended exposure period. Escape of Flammable Material (a) The sudden, uncontrolled release inside a building: (i) (ii) (iii) of 100 kilograms or more of a flammable liquid; and / or of 10 kilograms or more of a flammable liquid at a temperature above its normal boiling point; and / or of 10 kilograms or more of a flammable gas. (b) The sudden, uncontrolled release In the open air of 500 kilograms or more of any of the material referred to in sections (i), (ii) and (iii) above. Escape of Hazardous Materials (a) The accidental release or escape of any materials in any quantity sufficient to cause the death, major injury or any other damage to the health of any person. Fall from Heights (a) The fall or release from height of any tool, plant, machinery, equipment, material, substance or object. Biological Agent (a) Any incident which resulted in or could have resulted in the release or escape of a biological agent likely to cause severe human infection or illness. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 23 of 38

24 Schedule B - List of Serious Injuries Serious Injury shall be notified to the respective SRA as soon as possible but (a) fatality within 24hrs of the incident and (b) other serious injuries within maximum of 3 working days from the date of incident Entity shall make the initial notification of Serious Injury to respective SRA (Form G) based on immediate judgment of the potential severity / seriousness of the injury. Once the actual severity and consequences of the notified injury are established based on diagnosis by licensed health care professional and supported by medical report, the same shall be reported in the incident investigation report to the relevant SRA (Form G1) as well as in the entity performance report to the SRA (Form E/E2). Serious Injuries requiring notification to SRA include but are not limited to the below-listed work-related injuries: a) An injured person temporarily unable to perform any regular job or restricted work activity on a subsequent scheduled workday or shift. b) immediate medical treatment of the injured person(s) as an in-patient in a hospital; c) medical treatment of the injured person(s) within 48 hours of exposure to a substance; d) immediate medical treatment of the injured person(s) for: (i) (ii) (iii) (iv) (v) (vi) (vii) fracture; the loss of a distinct part or organ of the body, including the amputation of any part of body; loss of consciousness and/or requiring resuscitation; a serious head injury; a serious eye injury, including loss of sight (temporary or permanent); exposure to a hazardous material; penetration injury with a risk of infectious disease transmission (such as needle-stick injury); (viii) the separation of skin from any underlying tissue (such as scalping or de-gloving); (ix) (x) (xi) (xii) electric shock or electrical burn; serious burns due to thermal and chemical agents; entrapment of a body part in machinery/equipment/plant; a spinal injury; (xiii) dislocation of joint; (xiv) the loss of bodily function; and (xv) Serious laceration Mechanism 6.0 EHSMS Performance and Incident Reporting Page 24 of 38

25 Schedule C - List of Serious Occupational Illness / Diseases (a) Reproduced from Federal Law No. 8, for 1980, on Regulation of Labour Relations Schedule 1 and Amendments: No. Occupational Illness / Disease Occupational Exposure 1 Conditions caused by ionizing radiation Any work involving exposure to radium or any other radioactive substances or X-rays 2 Conditions caused by nonionizing Any work involving exposure to non-ionizing radiation (eg: radiation and heat lasers, Infra-red or Ultraviolet soureces etc) and reflected light or heat as in welding works 3 Conditions caused by vibration Any work involving exposure to vibration, as in use of air hammer, milling works and polishing 4 Conditions caused by abnormal Any work involving exposure to sudden atmospheric pressure pressure or work under high or low atmospheric pressure 5 Occupational noise induced Any work involving exposure to the impact of noise, as well as hearing loss drugs and chemicals that have an affect on hearing 6 Tuberculosis Any work involving exposure to the tuberculosis microbe such as dealing with patients in hospitals or work in laboratories or handling of infected animals 7 Brucellosis Any work involving exposure contact with infected people or infected animals or animal products eg: in the health sector, laboratories, agriculture sector or work on animal farms 8 Hepatitis A and B Any work involving exposure to infected people or contaminated blood such as in hospitals and laboratories 9 HIV/AIDS Any work involving exposure to infected people or contaminated blood such as in hospitals and laboratories 10 Tetanus Any work involving exposure to sewage and agricultural works 11 Leptospirosis Any work involving exposure to sewage works or agriculture or mines, tunnels, hunters or meat stores 12 Anthrax Any work involving contact with infected animals by this disease or with their skins, horns and hair 13 Extrinsic Allergic Alveolitis Any work involving exposure to fungus, spores, plants seeds and some animals such as working in animal farms, with birds and in agriculture 14 Poisoning caused by exposure to lead 15 Poisoning caused by exposure to mercury 16 Poisoning caused by exposure to arsenic Any work involving the use or handling of lead and organic or inorganic compounds or any substances containing lead as will as exposure to dust and fumes of lead and its compounds. Any work involving the use or handling of mercury and its compounds or any substances containing mercury as will as exposure to dust, vapours and mists or fumes of mercury or its compounds or any substances containing an organic or inorganic mercury such as pesticides Any work involving the use of arsenic or exposure to fumes and dust of arsenic as in pesticide and drugs and any work Mechanism 6.0 EHSMS Performance and Incident Reporting Page 25 of 38