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 2.0 February 2012

2 Table of Contents 1. Introduction EHS Incident and Reporting Definitions Incident Types Classification of EHS Incidents Occupational Illness or Injury Recordable vs Reportable Incidents Pre-existing Medical / Health Conditions Emirate EHS Performance Statistical Database and Sector Classification EHS Incident Notification and Reporting EHS Incident Notification - As Soon As Practicable (Maximum 24 hours) Completing EHS Incident Investigation and Report Within One Month of the Incident Date Quarterly EHS Incident and Performance Reporting Reporting an EHS Incident with Multiple Consequences Principal Contractor EHS Incident Reporting Process Identified Low Risk Entities Reporting Sector Regulatory Authority EHS Emergency Contact Details Quarterly EHS Performance Reporting Key Performance Indicators (KPI s) Annual Third Party External Compliance Audit Reporting Audit Criteria Audit Reporting Selection of External Auditor Audit Timeframes Review of Submitted Third Party Audit Report AD EHSMS RF - Standard Forms Schedule A - List of Reportable Dangerous Occurrences (Maximum 24 hours) Schedule B - List of Reportable Serious Injuries (Maximum 24 hours) Schedule C - List of Reportable Occupational Illness / Diseases (Maximum 24 hours) Appendix A Private Entity Minimum KPI Requirements Appendix B Sector Minimum KPI Requirements Appendix C Government Entity Minimum KPI Requirements 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. EHS 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 Dangerous Occurrence (Reportable): Environmental Incident: Environmental Incident Major: Environmental Incident Moderate: Environmental Incident Minor: Fatality (Work-Related): First Aid. First Aid Injury: A significant incident arising out of or in the course of work that did not result in injuries and/or fatalities but had the potential to have done so. Refer to Schedule A. An incident or set of circumstances during or as a consequence of which there is likely to be a leak, spill or other escape or deposit of a substance, as a result of which pollution has occurred, is occurring or is likely to occur. It includes an incident or set of circumstances in which a substance has been placed or disposed of on premises. Irreversible or long term environmental impacts have occurred or are likely to occur to the environment and/or there is a significant health risk to employees and/or the community. Significant, long-term remediation and regulatory intervention will be required. Substances or materials may have escaped the site causing significant pollution of adjoining areas which will require containment, clean up and/or remediation involving other agencies and/or additional resources not available to local site management. Moderate reversible environmental impact has occurred or is likely to occur to the environment and/or there is a moderate health risk to employees and/or the community. Moderate, medium-term remediation and regulatory intervention may be required. Substances or materials may have escaped the site causing pollution of adjoining areas which may require containment, clean up and/or remediation involving other agencies and/or additional resources not available to local site management. Minor, reversible damage requiring little or no remediation. No material has escaped the local site or caused significant harm to the environment and/or pose a health risk to employees or the community. It can be contained, cleaned up and/or disposed of legally without additional assistance. 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. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 4 of 38

5 Journey Incident: Lost Time Injury (LTI): Any injury sustained by an employee on his/her way to or back from work shall be considered a work-related injury, provided that the journey to and from work is made without any break, lingering or diversion from the normal route. 1 Does not apply if the incident: is attributable to the serious and willful misconduct of the employee; resulting from a medical or other condition of the employee and the journey did not cause or contribute to the injury; and/or the incident/injury occurred during or after any interruption of, or deviation from, any such journey was made for a reason unconnected with the employee s employment or the purpose of the journey. The journeys to which this definition applies are as follows: the daily or other periodic journeys between the employee s place of abode and place of employment; the daily or other periodic journeys between the employee s place of abode, or place of employment, and any educational institution which the employee is required by the terms of the employee s employment, or is expected by the employee s employer, to attend; any travel that is related to business activities; and a journey between the employee s place of abode or place of employment and any other place, where the journey is made for the work purposes (eg attending training, meetings, conferences, etc.) For the purposes of this section, a journey from an employee s place of abode commences at, and a journey to an employee s place of abode ends at, the boundary of the land on which the place of abode is situated. Place of abode includes: the place where the employee has spent the night preceding a journey and from which the employee is journeying, and/or the place to which the employee has spent the night or intends to spend the night on a temporary basis for purposes of their employment (eg Hotel, camp, other employer supplied accommodation). 1 UAE Federal Law Number 8 of 1980 Lost Time Injury (LTI) is a work-related injury or illness that results in an individual is unable to work on a subsequent scheduled work day or shift. Lost Time Injury Frequency Rate (LTIFR): 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 Mechanism 6.0 EHSMS Performance and Incident Reporting Page 5 of 38

6 Lost Time Injury Severity Rate (LTISR): Medical Treatment Cases (MTC): Near Miss: Occupational Illness / Disease: Other Persons (OP): Permanent Total Disabilities (PTD): The total number of lost work days per million hours of working. Calculation: No. of Work Days Lost x 1,000,000 Working Hours For the purposes of calculating the average time lost rate, occurrences that result in a fatality or a Permanent Total Disability that results in the employee not being able to return to work shall be assigned a time lost of 12 months (264 standard working days). 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 environmental damage, had the potential to do so. 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. Whether a case involves a work-related injury or an Occupational 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. An injury that results from a single event and cases resulting from anything other than a single event are considered Occupational Illness. Refer to Schedule C. Person(s) who are at, or come into contact, or may be exposed to hazards from a workplace, that are not employees. For example: Visitors; Students; Volunteers; Customers; and Contractors / Sub-Contractors. 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 pre-existing disability of the injured member or impaired body function. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 6 of 38

7 Reportable Incident: Reportable Serious Injury: Restricted Workday Cases (RWC) (Light Duties): Work-Related Illness or Injury: Workplace: A work-related incident consisting of or resulting in: Fatality; Reportable Serious Injury; Reportable Dangerous Occurrence; Reportable Occupational Illness / Disease; and / or Major or Moderate Environment Incident. List of serious injuries that must be reported to the relevant authorities as per Schedule B. 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. Any of the work-related diseases listed in (Schedule No. 1 of Federal Law No. 8 of 1980 and EHS RI Mechanism 6.0 EHSMS Performance and Incident Reporting Schedule C). An injury to a person shall be considered as an work-related injury if: it occurs on the way to or from work; 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, injuries to any person present at an entity controlled site, including direct employees, contractors, visitors, customers, and members of the public. Injuries include the recurrence, aggravation or exacerbation of previous work-related 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. 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 EHS Incidents (a) EHS incidents are classified for reporting purposes according to Environment, Health and/or Safety and the severity of the incident. (b) The types of the incidents to be recorded and/or reported by entities are classified into the following categories: (i) (ii) Environmental: Spill / Release / Discharge to Land; Spill / Release / Discharge to Water, including Groundwater; Release / Discharge to Atmosphere; Environmental Noise and / or Vibration; Unauthorized / Accidental Vegetation Removal or Harm; Harm to Animal Species; and Unauthorized / Accidental Damage to Heritage Site / Item. Health and Safety: Fatality; Reportable Serious Injury; Reportable Occupational Illness / Disease; Reportable Dangerous Occurrence; Lost Time Injury; Journey Incident; Restricted Workday Case; Medical Treatment Case; First Aid Injury; Equipment / Property Damage; and Near Miss / Hazards. Schedule A specifies the List of Reportable Dangerous Occurrences. Schedule B specifies the List of Reportable Serious Injuries. Schedule C specifies the List of Reportable Occupational Illnesses / Diseases. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 8 of 38

9 3.2 Occupational Illness or Injury (a) Any of the work-related diseases listed in Schedule No. 1 of Federal Law No. 8 of 1980 and AD EHS RI Mechanism 6.0 EHSMS Performance and Incident Reporting Schedule C. (b) An injury to a person shall be considered as an occupational injury if: (i) (ii) (iii) (iv) it occurs on the way to or from work; it occurs at work; or arises from a work practice and/or conditions in a workplace; or by an employee during and by reason of carrying out their duties. This includes, but is not limited to, injuries to any other person(s) present at an entity controlled site, including contractors, visitors, customers, and members of the public. (c) Injuries / Illnesses include the recurrence, aggravation or exacerbation of previous workrelated injuries / Illnesses. 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. 3.3 Recordable vs Reportable Incidents (a) Determination of whether an incident is recordable or reportable is dependent on a number of factors including Federal and Emirate regulatory requirements. (b) All incidents shall be recorded, whether reportable or not, to ensure effective collection of EHS incident and performance data. (c) It is important to record and perform an appropriate investigation for all incidents, including near misses, so appropriate control measures can be implemented to prevent reoccurrence. (d) In addition to notification and reporting to the concerned SRA, entities shall complete additional notifications to other relevant authorities as per legal requirements. (eg. Ministry of Labour, EAD, Police, etc.). (e) Entities shall also record all incidents and report incidents that result in a Reportable Serious Injury or Reportable Occupational Illness / Disease that occur at a workplace / site that is controlled by the entity that involves: (i) (ii) (iii) (iv) non-nominated contractors / sub-contractors / suppliers, customers; visitors; and any other person(s) at the workplace / site. Note: Refer to Figure 3.1 for further explanation and Section 4 of this document for Principal Contractors at sites that Construction Work is being undertaken. 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 EHS 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 EHS 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 the AD EHSMS RF Glossary of Terms for more details. 3.5 Emirate EHS Performance Statistical Database and Sector Classification (a) The AD EHS Center is developing an Emirate wide EHS Performance Database. (b) The database will be designed to facilitate the electronic (online) reporting of EHS incidents and performance. (c) This database will allow relevant authorities, entities and other stakeholders to analyze statistics to: (i) (ii) (iii) (iv) identify EHS trends; compare the EHS performance of Entities, Sectors and the Emirate to other relevant local and international jurisdictions; allow the relevant authorities to make informed decisions on the allocation of resources to address highlighted EHS issues; and allow the relevant authorities to report the EHS performance of the Emirate and concerned Sectors to the public at large (community). (d) One of the instruments the AD EHS Center has employed to assist in the collection of EHS performance data is a Sector Classification Code System. (e) 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. (f) 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. EHS Incident Notification and Reporting 4.1 EHS Incident Notification - As Soon As Practicable (Maximum 24 hours) (a) The concerned SRA shall be officially notified within 24 hours of an incident occurring at a workplace which results in the following incident types (reportable incidents): (i) (ii) (iii) (iv) (v) Fatality; Reportable Serious Injury; Reportable Dangerous Occurrence; Receipt of a written diagnosis or other knowledge of the occurrence of a Reportable Occupational Illness or Disease arising out of and in the course of work; and Major or Moderate Environment Incident (reporting also to EAD may be required). (b) The concerned SRA shall be notified of relevant EHS incidents by completing and submitting AD EHSMS RF Entity EHS Incident Reporting Form - Form G Part A (as a minimum) within a maximum of 24 hours. And as soon as practicable through the EHS Emergency Contact Hotline refer to Section 4.7. (c) The concerned SRA is to officially inform the AD EHS Center of the following incidents as soon as practicable after notification, within a maximum of 24 hours: (i) (ii) Fatality; and Other Serious Incidents that the concerned SRA believes the AD EHS Center should be aware of, examples include: 1) incident that may affect members of the general community (eg. release of a hazardous material); 2) large scale food poisoning at employer supplied accommodation; 3) large explosion / fire at a workplace; and 4) an incident that may be of public interest and may be reported in the media. (d) The concerned SRA to also officially inform the Environment Agency Abu Dhabi (EAD) of relevant environmental incidents as soon as practicable after notification within a maximum of 24 hours. Refer to Section 4.7 of this document for contact details. (e) Incidents may not only require immediate notification to the concerned SRA, but also to other relevant authorities as per their existing reporting requirements. (eg. Ministry of Labour, RSB, AD Police, etc.). (f) Although contractual or other obligations may require entities to report EHS Performance and Incidents to other relevant stakeholders (eg. other SRA, Client, Relevant Authority), EHSMS Reporting shall only be to the concerned SRA that the entity is nominated by. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 12 of 38

13 4.2 Completing EHS Incident Investigation and Report Within One Month of the Incident Date (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 G Part B. Refer to AD EHS RI Mechanism 11 EHS Incident Investigation for investigation requirements. (b) Entities are required to update incident reports as soon as relevant information becomes available. (c) 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 investigation report. 4.3 Quarterly EHS Incident and Performance Reporting (a) Entities with an approved EHSMS shall submit an EHS Performance and Incident Quarterly 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 EHS Performance and Incident Quarterly summary report to the AD EHS Center. (AD EHSMS RF Form E1). (c) The following types of EHS incidents are to be recorded and investigated at the time of occurring by the entity and reported to the relevant SRA as part of the Quarterly EHS Performance and Incident summary: (i) Environmental: Minor Incident. (ii) Health and Safety: Lost Time Injury; Journey Incident; Restricted Workday Case; Medical Treatment Case; First Aid Injury; Equipment / Property Damage; and Near Miss / Hazards. (d) Only injuries / illnesses to employees shall be included in AD EHSMS RF Incident and Performance KPI s calculations. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 13 of 38

14 4.4 Reporting an EHS Incident with Multiple Consequences (a) A single EHS incident may result in multiple consequences but only requires a single report being completed. (b) AD EHSMS RF Form G Entity EHS Incident Report Form has been designed to indicate a single incident that may result in multiple consequences. (c) AD EHSMS RF Form E, E1 and E2 have been designed to summarize a single incident that may result in multiple consequences. For example: A tanker truck delivering petrol to a construction site rolls over. The driver (employee of the entity) received minor cuts and bruises but an ambulance was called as a precaution. A small amount of petrol has leaked from the truck but has been contained on site. The truck has received substantial damage. Number of Incidents to be reported: 1 Consequences of the incident include: 1. Medical Treatment Case - driver receiving medical treatment from a medical professional; 2. Minor Environmental Damage leakage of a small amount of petrol; 3. Spill / Release / Discharge to Land leakage of petrol to the ground; and 4. Equipment / Property Damage Damage to the truck. Below is how the incident and the consequences would be recorded on Form E. Environment, Health and Safety Incident and Consequence Summary (EM = Employee of the Entity OP = Other Persons) KPI 2-01 Total Number of EHS Incidents Reported: EM: 1 OP: Total: 1 EM: OP: EM: OP: EM: OP: Health and Safety Summary: (Consequences of reported H&S incidents) Near Miss: First Aid Injury: Equipment / Property Damage: Medical Treatment Case: 1 1 Restricted Workday Case: Lost Time Injury: Reportable Dangerous Occurrence: Reportable Serious Injury: Reportable Occupational Illness / Disease: Fatality: Environment Minor: 1 Environment Moderate: Environment Major: Environment Summary: (Consequences of reported environment incidents) Spill / Release / Discharge to Land: 1 Spill / Release / Discharge to Water, including Groundwater: Release / Discharge to Atmosphere: Environmental Noise / Vibration: Unauthorized / Accidental Vegetation Removal or Harm: Harm to Animal Species: Unauthorized / Accidental Damage to Heritage Site / Item: Other (Provide Details): Mechanism 6.0 EHSMS Performance and Incident Reporting Page 14 of 38

15 4.5 Principal Contractor EHS Incident Reporting Process (a) Principal contractors shall report relevant EHS incidents to the Building and Construction SRA (as per AD EHSMS RF Element 07 Monitoring, Investigation and Reporting) 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 EHS performance and incident reporting hierarchies apply: (i) (ii) (iii) all EHS incidents at the workplace shall be reported to the principal contractor; if a sub-contractor or project manager / client representative / supervising consultant is involved in an EHS incident and they do have an approved EHSMS, they are responsible for reporting the incident to the concerned SRA using AD EHSMS RF Form G Entity EHS Incident Reporting; and if a sub-contractor or project manager / client representative / supervising consultant is involved in an EHS incident and they do not have an approved EHSMS, the principal contractor is responsible for reporting the incident to the concerned SRA using AD EHSMS RF Form G Entity EHS Incident Reporting. 4.6 Identified Low Risk Entities Reporting (a) Identified Low Risk Entities shall notify the concerned SRA of all Reportable Incidents as soon as practicable, within 24 hours, through the EHS Emergency Contact Hotline and submitting AD EHSMS RF Form G Entity EHS Incident Reporting. (b) Entities officially notified to comply with AD EHS RI Mechanism 5.0 EHS Requirements for Low Risk Entities shall submit a copy of their Occupational Injuries Register on an annual basis to the concerned SRA. 4.7 Sector Regulatory Authority EHS Emergency Contact Details (a) Each concerned SRA shall maintain an EHS Emergency Contact Hotline that is available for entities to notify the SRA of emergency incidents 24 hours a day, seven days a week. (b) Concerned SRA and other relevant authorities contact details include: Mechanism 6.0 EHSMS Performance and Incident Reporting Page 15 of 38

16 AD EHSMS Sector SRA EHS 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 ZonesCorp Tourism Abu Dhabi Tourism Authority (ADTA) Transport Waste Department of Transport (DoT) Center for Waste Management Abu Dhabi (CWM-AD) Waste Water Regulations and Supervision Bureau (RSB) 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 Mechanism 6.0 EHSMS Performance and Incident Reporting Page 16 of 38

17 5. Quarterly EHS 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 approved entities 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 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. (e) Additional KPI s may be added by the AD EHS Center to monitor EHS performance as required. (f) Sector Regulatory Authorities may request nominated entities in the concerned Sector to monitor, record and report additional Sector specific KPI s. (g) Private Entities shall report their Quarterly EHS Performance to the concerned Sector Regulatory Authority using AD EHSMS RF Form E. (h) Sector Regulatory Authorities shall report their Quarterly EHS Performance to the AD EHS Center using AD EHSMS RF Form E1. (i) Government Entities shall report their Quarterly EHS Performance to the Government SRA (AD EHS Center) using AD EHSMS RF Form E2. Appendix A specifies the AD EHSMS RF minimum Private Entity Quarterly EHS Performance KPI s and Reporting Timeframes. Appendix B specifies the AD EHSMS RF minimum Sector Quarterly EHS Performance KPI s and Reporting Timeframes. Appendix C specifies the AD EHSMS RF minimum Government Entity Quarterly EHS Performance KPI s and Reporting Timeframes. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 17 of 38

18 6. Annual Third Party External 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) (ii) 6.2 Audit Reporting 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 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. (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 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 (a) Entities shall select third party external auditor(s) to conduct the compliance audits who are registered with the AD EHS Center as an AD EHSMS Auditor. (Entities nominated in the Government Sector are to coordinate with the AD EHS Center before undertaking third party compliance audit). (b) Registration as an AD EHSMS Auditor with the AD EHS Center is a process to ensure auditor(s) have the appropriate competence (qualifications, knowledge and experience) to conduct the audit. (c) To ensure objectivity and that no conflicts of interest exist, the third party external audit shall not be performed by an auditor who assisted in or is employed by an entity that was contracted to develop and/or implement the EHSMS. (d) Entities are to select an audit team that has relevant sector specific experience. Refer to AD EHS RI Mechanism 8.0 AD EHS Practitioner Registration for further details. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 18 of 38

19 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 (eg. 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) (ii) (iii) confirm the audit team was appropriate, including registration status of team members, particularly the lead auditor, as per AD EHS RI Mechanism 08 EHS Practitioner Registration; evaluate the scope of the audit in relation to the level of risk on the entity; and 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 the Concerned Sector EHSMS Requirements document. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 19 of 38

20 7. AD EHSMS RF - Standard Forms Form E EHSMS Performance Statement Private Entity This form is to be submitted on a quarterly basis (every 3 months) and records the EHS incidents and performance summary of the entity in developing, implementing and maintaining an EHSMS; it also includes the minimum Key Performance Indicator results. Form E1 EHSMS Performance Statement Sector Regulatory Authority This form is to be submitted on a quarterly basis (every 3 months) and records the EHS incident and performance summary of the concerned Sector in developing, implementing and maintaining EHSMS. It also includes the minimum Key Performance Indicator results. Form E2 EHSMS Performance Statement Government Entity This form is to be submitted on a quarterly basis (every 3 months) and records the EHS incidents and performance summary of the entity in developing, implementing and maintaining an EHSMS; it also includes the minimum Key Performance Indicator results. Only entities reporting to the Government Sector Regulatory Authority 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 Entity EHS Incident Report This form is to be submitted by entities to the concerned SRA to notify and/ or report when an EHS reportable incident has occurred. It requires details of the incident and shall be submitted as per the reporting requirements. AD EHSMS RF Standard Forms are available at Mechanism 6.0 EHSMS Performance and Incident Reporting Page 20 of 38

21 Schedule A - List of Reportable Dangerous Occurrences (Maximum 24 hours) 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 21 of 38

22 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 22 of 38

23 Schedule B - List of Reportable Serious Injuries (Maximum 24 hours) An injury requiring reporting is classified as: (a) person(s) requiring immediate treatment as an in-patient in a hospital; (b) person(s) requiring medical treatment within 48 hours of exposure to a substance; (c) person(s) requiring immediate medical treatment for: (i) (ii) (iii) (iv) (v) (vi) (vii) the loss of a distinct part or organ of the injured person s body, including the amputation of any part of an employee s 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 on infectious disease transmission (such as needle-stick injury); the separation of skin from any underlying tissue (such as scalping or de-gloving); (viii) electric shock or electrical burn; (ix) (x) (xi) (xii) entrapment of any part of a person in machinery/equipment/plant; a spinal injury; dislocation of the shoulder, hip, knee or spine; compressed gas or liquid injection injury; (xiii) the loss of bodily function; and (xiv) serious laceration. Mechanism 6.0 EHSMS Performance and Incident Reporting Page 23 of 38

24 Schedule C - List of Reportable Occupational Illness / Diseases (Maximum 24 hours) (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 radiation and heat Any work involving exposure to non-ionizing radiation (eg: 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 pressure Any work involving exposure to sudden atmospheric pressure or work under high or low atmospheric pressure 5 Occupational noise induced hearing loss Any work involving exposure to the impact of noise, as well as 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 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. 15 Poisoning caused by exposure to mercury 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 Mechanism 6.0 EHSMS Performance and Incident Reporting Page 24 of 38

25 16 Poisoning caused by exposure to arsenic 17 Poisoning caused by exposure to phosphorus 18 Poisoning caused by exposure to antimony 19 Poisoning caused by exposure to manganese 20 Poisoning caused by exposure to petroleum and distillates 21 Poisoning caused by exposure to carbon tetrachloride 22 Conditions caused by exposure to coal, tars & oils 23 Poisoning caused by exposure to benzene 24 Conditions caused by exposure to aliphatic / aromatic / cyclic-amines 25 Poisoning caused by exposure to benzene hexachloride 26 Conditions caused by exposure to bromomethyl and chloromethyl 27 Poisoning caused by exposure to formaldehyde 28 Poisoning caused by exposure to halothanes 29 Conditions caused by exposure to carbon monoxide 30 Poisoning caused by exposure to halogenes Any work involving the use of arsenic or exposure to fumes and dust of arsenic as in pesticide and drugs and any work involving the use of arsenic such as cleaning precipitated salts in boiling containers Any work involving the use or handling of phosphorus & organic phosphorus compounds or substances containing phosphorus, and any work exposure to dust and gases of phosphorus as in pesticides, fungicides, fertilizers and chemical industries. Any work involving the use or handling of antimony or its compounds or substances containing antimony and any work involving exposure to dust and gases of antimony such as in mining operations and transportation of antimony Any work involving the use or handling of manganese or it s compounds or substances containing manganese and any work involving exposure to dust and gases of manganese such as in mining operations and transportation of manganese Any work involving the use or handling of petroleum and its gases or products or derivatives and any work involving exposure to such substances in solid liquid or gaseous form as in oil industry operations Any work involving the use or handling of chloroform or produced carbon tetrachloride or any exposure to gases containing them as in petrochemical industries Any work involving the use or handling of coal, tars and oil or any exposure to gases resulting from them as in petrochemical industries Any work involving the use or handling or exposure to benzene and its derivatives as in laboratories, chemical plants and painting Any work involving the use or handling of aliphatic compounds or exposure to aromatic or cyclic-amines as in petrochemical industries. Any work involving the use or handling or exposure to benzene hexachloride as in oil industries and pesticides Any work involving the use or handling or exposure to fumes or gases of bromomethyl and chloromethyl as in fire extinguishers, airconditioning, and pesticides Any work involving exposure to formaldehyde Any work involving the use or handling or exposure to halothanes in health sector (Anaesthtics ) Any work involving exposure to carbon monoxide in incomplete combustion processes, as in furnaces and maintenance of power generators Any work involving exposure to halogenes or its products or dusts or fumes Mechanism 6.0 EHSMS Performance and Incident Reporting Page 25 of 38

26 31 Poisoning caused by exposure to carbon disulphide 32 Conditions caused by exposure to cyanide 33 Poisoning caused by exposure to beryllium 34 Poisoning caused by exposure to selenium 35 Diseases caused by exposure to cements 36 Diseases caused by exposure to chromium/chromic acid 37 Poisoning caused by exposure to nickel 38 Poisoning caused by exposure to cadmium 39 Poisoning caused by exposure to vinyl chloride monomer 40 Poisoning caused by exposure to isocyanates/polyurethanes 41 Conditions caused by exposure to epoxy resins 42 Conditions caused by exposure to wood dusts 43 Pneumoconiosis (silicosis, asbestosis, siderosis, bysinossis) Silicosis (Silicon dust) Asbestosis (Asbestos dust) Sideroses Byssinosis Any work involving exposure to carbon disulfide and its fumes in chemical industries and laboratories Any work involving the sue and exposure to cyanide Any work involving the use and exposure to beryllium or its compounds Any work involving handling substances containing selenium such as in food industries and in plant supplements/fertilisers Any work involving handling, transporting, manufacturing and using cements Any work involving preparation or using or handling chromium or chromic acid or bichromate or zinc chromate or any substance containing its compounds as in painting, detergents and cements Any work involving exposure to fumes and dusts of nickle or substance containing nickle as in painting and nickle purification and mining Any work involving exposure to fumes and dusts of cadmium Any work involving manufacturing and polymerization processes of vinyl chloride. Any work involving exposure to polyurethane and using manmade mineral fibers Any work involving the use and manufacturing epoxy resins Any work involving exposure to wood dust as in wood and furniture industries. Any work involving exposure to freshly produced silica dust (silicon-oxide dust)or any substances containing fresh silica such as work in mining, stone quarrying or the hewing or crushing of rocks or manufacture of rock cement, the sandblasting of metals or any work involving similar exposure. Any work involving exposure to asbestos as in mining, manufacturing or to the substances containing asbestos such as construction materials, cement, manufacture thermo- resistant material and car brakes. Any work involving exposure to iron dust and fumes such as smelting and casting iron industries. Any work involving exposure to cotton dust as in the textile industry Mechanism 6.0 EHSMS Performance and Incident Reporting Page 26 of 38

27 (b) Additional Reportable Occupational Illness / Diseases: Sr. No. Disease Occupation Causing the Disease 1. Legionella Any work requiring contact with water storage, distribution, and treatment systems that are contaminated with Legionella bacteria. This includes swimming pools, hot tubs, showers, cooling towers, and similar types of equipment 2. Cumulative Trauma Disorder Any work requiring repetition of a task that results in a muscular skeletal disorder 3. Vibration white finger Any work with equipment that continually vibrates the hands and causes reduced blood flow to the fingers 4. Whole body vibration syndrome Any work with equipment that exposes the body to whole body vibration and shocks and results in pain and injury 5. Hand arm vibration syndrome Any work with equipment that continually vibrates the hands and causes reduced blood flow to the fingers 6. Cancer Any occupational exposure to chemicals that results in cancer 7. Tenosynovitis Any work exposure that results in the inflammation of the fluid-filled sheath that surrounds a tendon 8. Pleural Disease Any work exposure that causes an accumulation or reduction of pleural fluid Mechanism 6.0 EHSMS Performance and Incident Reporting Page 27 of 38