EHSMS Performance and Incident Reporting

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

AD EHSMS RF Version 2.0 February 2012
Mechanism 6.0 EHSMS Performance and Incident Reporting Page 2 of 38
Table of Contents
1. Introduction ................................................................................................................................ 3
2. EHS Incident and Reporting Definitions ...................................................................................... 4
3. Incident Types ............................................................................................................................ 8
3.1 Classification of EHS Incidents ....................................................................................... 8
3.2 Occupational Illness or Injury .......................................................................................... 9
3.3 Recordable vs Reportable Incidents................................................................................ 9
3.4 Pre-existing Medical / Health Conditions ....................................................................... 11
3.5 Emirate EHS Performance Statistical Database and Sector Classification .................... 11
4. EHS Incident Notification and Reporting ................................................................................... 12
4.1 EHS Incident Notification - As Soon As Practicable (Maximum 24 hours) ..................... 12
4.2 Completing EHS Incident Investigation and Report Within One Month of the Incident
Date .............................................................................................................................. 13
4.3 Quarterly EHS Incident and Performance Reporting ..................................................... 13
4.4 Reporting an EHS Incident with Multiple Consequences ............................................... 14
4.5 Principal Contractor EHS Incident Reporting Process ................................................... 15
4.6 Identified Low Risk Entities Reporting ........................................................................... 15
4.7 Sector Regulatory Authority EHS Emergency Contact Details ...................................... 15
5. Quarterly EHS Performance Reporting ..................................................................................... 17
5.1 Key Performance Indicators (KPIs) .............................................................................. 17
6. Annual Third Party External Compliance Audit Reporting ......................................................... 18
6.1 Audit Criteria ................................................................................................................. 18
6.2 Audit Reporting ............................................................................................................. 18
6.3 Selection of External Auditor ......................................................................................... 18
6.4 Audit Timeframes .......................................................................................................... 19
6.5 Review of Submitted Third Party Audit Report .............................................................. 19
7. AD EHSMS RF - Standard Forms ............................................................................................ 20
Schedule A - List of Reportable Dangerous Occurrences (Maximum 24 hours) .................................... 21
Schedule B - List of Reportable Serious Injuries (Maximum 24 hours) .................................................. 23
Schedule C - List of Reportable Occupational Illness / Diseases (Maximum 24 hours) .................... 24
Appendix A Private Entity Minimum KPI Requirements ...................................................................... 28
Appendix B Sector Minimum KPI Requirements ................................................................................. 31
Appendix C Government Entity Minimum KPI Requirements .............................................................. 35

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) ensuring appropriate response actions to serious incidents;
(ii) ensuring incidents are appropriately investigated, to determine the root cause and that
corrective actions have been implemented as part of the continuous improvement process;
(iii) notifying relevant entities of potential hazards and successful control measures (eg.
issuing a Sector Safety Alert);
(iv) identifying incidents trends within the concerned sectors and at Emirate level to ensure
resources and awareness are focused on these hazards; and
(v) 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.

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):
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.
Environmental Incident: 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.
Environmental Incident
Major:
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:
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:
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.
Fatality (Work-Related): Work-Related Fatality is a death resulting from an injury or
illness, regardless of the time intervening between injury and
death.
First Aid. 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.
First Aid Injury: 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.

Journey Incident: 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 employees 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 employees
place of abode and place of employment;
the daily or other periodic journeys between the employees
place of abode, or place of employment, and any
educational institution which the employee is required by the
terms of the employees employment, or is expected by the
employees employer, to attend;
any travel that is related to business activities; and
a journey between the employees 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 employees
place of abode commences at, and a journey to an employees
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):

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 LTIs x 1,000,000
Working Hours

Lost Time Injury Severity
Rate (LTISR):
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 Cases
(MTC):
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.
Near Miss: 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.
Occupational Illness /
Disease:

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.
Other Persons (OP):

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.
Permanent Total Disabilities
(PTD):
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.


Reportable Incident: 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.
Reportable Serious Injury: List of serious injuries that must be reported to the relevant
authorities as per Schedule B.
Restricted Workday Cases
(RWC) (Light Duties):
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.
Work-Related Illness or
Injury:
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.
Workplace: 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.

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) 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.
(ii) 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.

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) it occurs on the way to or from work;
(ii) it occurs at work; or
(iii) arises from a work practice and/or conditions in a workplace; or
(iv) 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 work-
related 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) 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 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.


Figure 3.1 EHS Incident Reporting Hierarchy

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) identify EHS trends;
(ii) compare the EHS 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 EHS issues; and
(iv) 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 (KPIs and
Incidents).

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) Fatality;
(ii) Reportable Serious Injury;
(iii) Reportable Dangerous Occurrence;
(iv) 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
(v) 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) Fatality; and
(ii) 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.

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 SRAs 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 KPIs calculations.

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
Health and Safety
Summary:

(Consequences of
reported H&S
incidents)

EM: OP: EM: OP: EM: OP:
Near Miss:
Restricted
Workday Case:

Reportable
Occupational
Illness /
Disease:

First Aid Injury: Lost Time Injury:

Equipment /
Property Damage:
1
Reportable
Dangerous
Occurrence:

Fatality:

Medical
Treatment Case:
1
Reportable
Serious Injury:

Environment
Summary:

(Consequences of
reported
environment
incidents)
Environment
Minor:
1

Environment
Moderate:

Environment
Major:

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):

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) all EHS incidents at the workplace shall be reported to the principal contractor;
(ii) 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
(iii) 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:


AD EHSMS Sector SRA
EHS Emergency
Contact Hotline
Building and Construction Department of Municipal Affairs (DMA) 800 555
Commercial Department of Municipal Affairs (DMA) 800 555
Education Abu Dhabi Education Council (ADEC) 800 555
Energy Abu Dhabi Water and Electrical Authority (ADWEA) 02 694 3666
Food Abu Dhabi Food Control Authority (ADFCA) 800 555
Health Health Authority Abu Dhabi (HAAD) 02 419 3666
Industry ZonesCorp 056 622 9174
Tourism Abu Dhabi Tourism Authority (ADTA) 02 444 0444
Transport Department of Transport (DoT)
02 656 6840
050 441 8889
Waste Center for Waste Management Abu Dhabi (CWM-AD)
02 617 2053
02 617 2000
Waste Water Regulations and Supervision Bureau (RSB) 02 654 3666
Abu Dhabi Authorities Emergency Contact
Abu Dhabi Police 999
Ambulance 998 or 999
Fire 997
Emergency and Disaster Management Operations Center - HAAD 02 419 3666 or 02 419 3660
Poison and Drug Information Center - HAAD 800 424
Coast Guard 996
Water and Electricity 991 or 992
Environment Agency Abu Dhabi (EAD) 800 9990
Abu Dhabi EHS Center 02 693 4747

5. Quarterly EHS Performance Reporting
5.1 Key Performance Indicators (KPIs)
(a) The AD EHS Center has stipulated a set of minimum KPIs 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) KPIs 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 KPIs 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 KPIs.
(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 KPIs and Reporting Timeframes.
Appendix B specifies the AD EHSMS RF minimum Sector Quarterly EHS Performance KPIs
and Reporting Timeframes.
Appendix C specifies the AD EHSMS RF minimum Government Entity Quarterly EHS
Performance KPIs and Reporting Timeframes.

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) a review of the entitys 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 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 entitys approved EHSMS. This is
an important component of the entitys 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.

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 14001 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 was appropriate, including registration status of team members,
particularly the lead auditor, as per 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 2.2.7 of the
Concerned Sector EHSMS Requirements document.

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 www.adehsms.ae

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) any building or structure (whether above or below ground) under construction, reconstruction,
alteration or demolition; and / or
(ii) any floor or wall of any building (whether above or below ground) used as a place of work; and
/ or
(iii) of an excavation or any shoring supporting an excavation.

Electric Lines, Cables and Pipelines
(a) Any unintentional incident in which plant or equipment either:
(i) comes into contact with overhead or underground electric lines, cables or pipeline; or
(ii) causes an electrical discharge from such an electric line by coming into close proximity to it;
and/or
(iii) 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) 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
(ii) 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) of 100 kilograms or more of a flammable liquid; and / or
(ii) of 10 kilograms or more of a flammable liquid at a temperature above its normal boiling point;
and / or
(iii) 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.

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) the loss of a distinct part or organ of the injured persons body, including the amputation of
any part of an employees body;
(ii) loss of consciousness and/or requiring resuscitation;
(iii) a serious head injury;
(iv) a serious eye injury, including loss of sight (temporary or permanent);
(v) exposure to a hazardous material;
(vi) penetration injury with a risk on infectious disease transmission (such as needle-stick injury);
(vii) the separation of skin from any underlying tissue (such as scalping or de-gloving);
(viii) electric shock or electrical burn;
(ix) entrapment of any part of a person in machinery/equipment/plant;
(x) a spinal injury;
(xi) dislocation of the shoulder, hip, knee or spine;
(xii) compressed gas or liquid injection injury;
(xiii) the loss of bodily function; and
(xiv) serious laceration.

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 non-
ionizing 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.
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

to arsenic
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
to phosphorus
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.
to antimony
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
to manganese
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
to petroleum and distillates
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
to carbon tetrachloride
Any work involving the use or handling of chloroform or produced
carbon tetrachloride or any exposure to gases containing them as
in petrochemical industries
exposure to coal, tars & oils
Any work involving the use or handling of coal, tars and oil or any
exposure to gases resulting from them as in petrochemical
industries
to benzene
Any work involving the use or handling or exposure to benzene
and its derivatives as in laboratories, chemical plants and painting
exposure to aliphatic /
aromatic / cyclic-amines
Any work involving the use or handling of aliphatic compounds or
exposure to aromatic or cyclic-amines as in petrochemical
industries.
to benzene hexachloride
Any work involving the use or handling or exposure to benzene
hexachloride as in oil industries and pesticides
exposure to bromomethyl and
chloromethyl
Any work involving the use or handling or exposure to fumes or
gases of bromomethyl and chloromethyl as in fire extinguishers,
airconditioning, and pesticides
to formaldehyde
Any work involving exposure to formaldehyde
to halothanes
Any work involving the use or handling or exposure to halothanes
in health sector (Anaesthtics )
exposure to carbon monoxide
Any work involving exposure to carbon monoxide in incomplete
combustion processes, as in furnaces and maintenance of power
generators
to halogenes
Any work involving exposure to halogenes or its products or dusts
or fumes

to carbon disulphide
Any work involving exposure to carbon disulfide and its fumes in
chemical industries and laboratories
exposure to cyanide
Any work involving the sue and exposure to cyanide
to beryllium
Any work involving the use and exposure to beryllium or its
compounds
to selenium
Any work involving handling substances containing selenium such
as in food industries and in plant supplements/fertilisers
35 Diseases caused by exposure
to cements
Any work involving handling, transporting , manufacturing and
using cements
36 Diseases caused by exposure
to chromium/chromic acid
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
to nickel
Any work involving exposure to fumes and dusts of nickle or
substance containing nickle as in painting and nickle purification
and mining
to cadmium
Any work involving exposure to fumes and dusts of cadmium
to vinyl chloride monomer
Any work involving manufacturing and polymerization processes
of vinyl chloride .

to isocyanates/polyurethanes
Any work involving exposure to polyurethane and using man-
made mineral fibers
exposure to epoxy resins
Any work involving the use and manufacturing epoxy resins
exposure to wood dusts
Any work involving exposure to wood dust as in wood and
furniture industries.
43 Pneumoconiosis (silicosis,
asbestosis, siderosis,
bysinossis)
Silicosis
(Silicon dust)

Asbestosis
(Asbestos dust)

Sideroses

Byssinosis
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

(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

Appendix A Private Entity Minimum KPI Requirements
KPI 2-01 Total Number of EHS Incidents Reported: EM: OP: Total:
Health and Safety
Summary:

(Consequences of
reported H&S
incidents)

EM: OP:

EM: OP:

EM: OP:
Near Miss:
Restricted
Workday Case:

Reportable
Occupational
Illness /
Disease:


Equipment /
Property Damage:

Reportable
Dangerous
Occurrence:

Fatality:

Medical
Treatment Case:

Reportable
Serious Injury:

Environment
Summary:

(Consequences of
reported
Environment
incidents)
Environment
Minor:

Environment
Moderate:

Environment
Major:









Environment, Health and Safety Performance - Compulsory Reporting to Relevant Authority
Note: Refer to the AD EHSMS Glossary of Terms for definitions of EHS terms.
KPI 2-02

EHS Department
Resources
Number of
Employees in EHS
Department
Number of UAE Nationals in
EHS Department
No. of Nationals x 100
No. of Employees in EHS Dept.

KPI 2-03

Average Number of
Training Hours per
Employee
Number of EHS
Training Hours
Undertaken
No. of Employees x 100
No. of EHS Training Hours undertaken by Employees

KPI 2-04

Lost Time Injury Frequency Rate (LTIFR)
Number of Lost Time
Injuries in the Reporting
Period
Number of Working
Hours in Reporting
Period
No. of LTIs x 1,000,000
Working Hours

KPI 2-05

Lost Time Injury Severity Rate (LTISR)
Number of Work Days
lost due to Injuries in the
Reporting Period
Number of Working
Hours in Reporting
Period
No. of Days Lost x 1,000,000
Working Hours

KPI 2-06

Total Reportable Case Frequency (TRCF)

Number of Total
Reportable Cases in the
Reporting Period
Number of Working
Hours in Reporting
Period
TRC x 1,000,000
Working Hours

KPI 2-07

Power Consumption

(Total Kilowatts Hours (kW h) and
kW h per Employee)
This Reporting Quarter Previous Reporting Quarter
Percentage Reduction
or Increase

(Indicate reduction as a
negative figure eg 3.5 %)
Total kW h kW h Per Employee Total kW h
kW h Per
Employee
kW h Per Employee

KPI 2-08

Water Consumption

Water use (in production
processes, office activities or as
drinking water)

(Total cubic meters (m
3
) and m
3

per Employee)
or Increase

Total m
3
m
3
Per Employee Total m
3
m
3
Per Employee m
3
Per Employee

KPI 2-09

Paper Consumption

Average number of paper pages
used per employee per month
or Increase

Average No. of Pages used per
Employee
Employee
% Per Employee Increase
or Decrease

KPI 2-10

Fuel Consumption

Average fuel consumption of entity
owned and /or operated vehicles.
(Liters per 100 kilometers)
or Increase

Number of vehicles
owned and/or
operated by entity
Average fuel
consumption of
vehicles
(Combined Cycle
L/100 klms)
Number of
vehicles owned
and/or
operated by
entity
Average fuel
consumption of
vehicles
(Combined Cycle
L/100 klms)
% Fleet Fuel Consumption
Increase or Decrease

KPI 2-11

Non-Hazardous Waste Disposal

Amount of non-hazardous (solid
and liquid) waste collected by
Service Providers for disposal.
or Increase

Solid (kg) Liquid (L) Solid (kg) Liquid (L) Solid (kg) Liquid (L)

KPI 2-12

Non-Hazardous Waste Recycling

Amount of segregated non-
hazardous (solid and liquid) waste
collected by Service Providers for
recycling / reuse / further
processing.
or Increase

KPI 2-13

Hazardous Waste Disposal

Amount of hazardous (solid and
liquid) waste collected by Service
Providers for disposal.
or Increase

KPI 2-14

Hazardous Waste Recycling

Providers for recycling / reuse /
further processing.
or Increase

KPI 2-15

Number of written warning notices received from the
SRA as a result of non-compliance to EHSMS
requirements
Number of warning notices received:
Number of improvement notices received:
Number of prohibition notices received:
KPI 2-16

Number of fines / penalties / prosecutions received
from the SRA as a result of non-compliance to
EHSMS requirements
Number of penalties / fines received:
Number of enforceable undertakings:
Total value of all fines / penalties/ enforceable
undertakings enforced (AED):

Contractor / Supply Chain Monitoring Activities
KPI 2-17

Number of
Monitoring
Activities of
Contractors /
Supply Chain:
Review / Approval of EHS Procedures: Specific Requirement / Part System Audit:
Inspections Performed on Contractors: Full EHSMS Audit Performed:
Incidents Reported by Contractors:
Corrective Actions Issued by Entity to
Contractors:

Contractor Incidents Investigated by Entity: Breach Notices Issued to Contractors:

Reporting Period:
Year: ___
Q1 (Jan-Mar) Q2 (Apr-Jun) Q3 (Jul-Sep) Q4 (Oct-Dec)
Reporting Timeframe:
End of the second
week in April
End of the second
week in July
End of the second
week in October
End of the second
week in January

Appendix B Sector Minimum KPI Requirements
Environment, Health and Safety Performance - Compulsory Reporting to Competent Authority

Note: Refer to the EHSMS Glossary of Terms for definitions of EHS terms.
Number of Entities Nominated this Quarter: Total Number of Entities Nominated:
Number of Registered Entities this Quarter: Total Number of Entities Registered:
Number of Entities Approved this Quarter: Total Number of Entities Approved:
Percentage of Total Nominated Entities
Registered:

Percentage of Total Registered
Entities with Approved Systems:

KPI 1-01
Number of entities with approved EHSMS
completed annual 3
rd
party compliance audit
against EHSMS requirements
Total number of entities with approved EHSMS completed annual
3rd party compliance audit and submitted report:

Percentage of entities with approved EHSMS completed annual
3
rd
party compliance audit:

KPI 1-02

Number of entities with an approved EHSMS
with outstanding non-conformances reported
from annual 3
rd
party compliance audit
Number of entities with an approved EHSMS with outstanding
non-conformances from annual 3
rd

Percentage of entities with an approved EHSMS with outstanding
non-conformances from annual 3
rd

KPI 1-03
Number of entities with an approved EHSMS
complying with quarterly EHS performance
reporting requirements
Total number of entities with an approved EHSMS complying with
quarterly EHS performance reporting requirements:

Percentage of entities with an approved EHSMS complying:
KPI 1-04

SRA audits of entities with an approved
EHSMS
Number of entities with an approved EHSMS audited:
Percentage of entities with an approved EHSMS audited:
KPI 1-05

SRA inspections of entities
Number of entities with an approved EHSMS inspected:
Percentage of entities with an approved EHSMS inspected:
KPI 1-06

Incident investigations undertaken by SRA on
Reportable Incidents
Number of reportable incidents reported by entities with an
approved EHSMS:

Number of investigations performed by SRA on reportable
incidents reported by entities with an approved EHSMS:

Percentage of investigations performed by SRA on reportable
incidents reported by entities with an approved EHSMS:

KPI 1-07

Number of EHSMS
Workshops / Seminars
or Similar Training
Conducted by the SRA
No. of Participants Title / Subject
Training Level
(Management, Supervisory,
Operational)
Duration (Hrs)

Environment, Health and Safety Performance On all Entities with an Approved EHSMS
(Compulsory Reporting to Competent Authority)
S-KPI 2-01 Total Number of EHS Incidents Reported:
EM:

OP:

Total:

Health and Safety
Summary:

(Consequences of
reported H&S
incidents)

EM: OP:

EM: OP:

EM: OP:
Near Miss:
Restricted
Workday Case:

Reportable
Occupational
Illness /
Disease:


Equipment /
Property Damage:

Reportable
Dangerous
Occurrence:

Fatality:

Medical
Treatment Case:

Reportable
Serious Injury:

Environment
Summary:

(Consequences of
reported
Environment
incidents)
Environment
Minor:

Environment
Moderate:

Environment
Major:









S-KPI 2-02

Sector EHS Department
Resources
Number of
Employees in
Sector EHS
Department
Number of UAE Nationals
in EHS Department

KPI 2-03

Average Number of
Training Hours per
Employee
Average Training
Hrs per Employee

S-KPI 2-04

Lost Time Injury Frequency Rate (LTIFR) of
all Entities with an approved EHSMS
Number of Lost Time Injuries
of all Entities with an
approved EHSMS in
Reporting Period
Number of Working Hours of all
Entities with an approved
EHSMS worked in Reporting
Period
LTIFR = (Number of Lost Time Injuries of
all Entities with an approved in Reporting
Period x 1,000,000) / Number of Hours of
worked in Reporting Period

S-KPI 2-05

Lost Time Injury Severity Rate (LTISR) of all
Entities with an approved EHSMS
Number of Work Days Lost of
all Entities with an approved
EHSMS due to Injuries in the
Reporting Period
EHSMS worked in Reporting
Period
LTISR = (Number of Work Days Lost of
all Entities with an approved EHSMS due
to Injuries in the Reporting Period x
1,000,000) / Number of Hours of all
Entities with an approved EHSMS worked
in Reporting Period

S-KPI 2-06

Total Reportable Case Frequency (TRCF) of
Number of Total Reportable
Cases of all Entities with an
approved EHSMS in the
Reporting Period
EHSMS in Reporting Period
TRC x 1,000,000
Working Hours

S-KPI 2-07

Power Consumption

(Total Kilowatt Hours (kW h) and
kW h per Employee)
or Increase
Total kW h
kW h Per
Employee
Total kW h
kW h Per
Employee
kW h Per Employee

S-KPI 2-08

Water Consumption

drinking water)

3
) and m
3

per Employee)
or Increase
Total m
3
m
3
3
m
3
Per Employee m
3
Per Employee

S-KPI 2-09

Paper Consumption

or Increase
Employee
Employee
or Decrease

S-KPI 2-10

Fuel Consumption

or Increase
Number of vehicles
owned and/or
operated by all
entities
Average fuel
consumption of
vehicles
(Combined Cycle
L/100 klms)
Number of vehicles
owned and/or
operated by all
entities
Average fuel
consumption of
vehicles
(Combined Cycle
L/100 klms)

S-KPI 2-11

Service Providers for disposal by
all Entities with an approved
EHSMS
or Increase

S-KPI 2-12

processing by all Entities with an
approved EHSMS
or Increase

S-KPI 2-13

Providers for disposal by all
Entities with an approved EHSMS
or Increase

S-KPI 2-14

further processing by all Entities
with an approved EHSMS
or Increase

S-KPI 2-15

Number of written warning notices issued by SRA
regarding non-compliance of EHSMS requirements
within its sector
Number of warning notices issued to entities
with an approved EHSMS:

Number of improvement notices issued to
entities with an approved EHSMS:

Number of prohibition notices issued to entities
with an approved EHSMS:

S-KPI 2-16

Number of fines / penalties / prosecutions by the
Regulatory Authority regarding non-compliance of
EHSMS requirements within its sector requirements.
Number of penalties enforced on Entities with
an approved EHSMS:

Number of enforceable undertakings enforced
on Entities with an approved EHSMS:


Sector Summary - Contractor / Supply Chain Monitoring Activities
S-KPI 2-17
Sector Entitys
Number of
Monitoring
Activities of
Contractors /
Supply Chain:
Contractors:


List of Nominated Entities
List of Current Sector Nominated, Registered and Approved
Entities Attached
List of Proposed Additional Nominated Entities Attached

Reporting Period:
Year: ____
Reporting Timeframe: End of April End of July End of October End of January

Appendix C Government Entity Minimum KPI Requirements
KPI 2-01 Total Number of EHS Incidents Reported:
EM:

OP:

Total:

Health and Safety
Summary:

(Consequences of
reported H&S
incidents)
EM: OP:

EM: OP:

EM: OP:
Near Miss:
Restricted
Workday Case:

Reportable
Occupational
Illness /
Disease:


Equipment /
Property Damage:

Reportable
Dangerous
Occurrence:

Fatality:

Medical
Treatment Case:

Reportable
Serious Injury:

Environment
Summary:

(Consequences of
reported
Environment
incidents)
Environment
Minor:

Environment
Moderate:

Environment
Major:









Environment, Health and Safety Performance - Compulsory Reporting to Relevant Authority

Note: Refer to the AD EHSMS Glossary of Terms for definitions of EHS terms.
KPI 2-02

EHS Department
Resources
Number of
Employees in EHS
Department
Number of UAE Nationals in
EHS Department

KPI 2-03

Average Number of
Training Hours per
Employee
Number of EHS
Training Hours
Undertaken

KPI 2-04

Lost Time Injury Frequency Rate (LTIFR)
Number of Lost Time
Injuries in the Reporting
Period
Number of Working
Hours in Reporting
Period
No. of LTIs x 1,000,000
Working Hours

KPI 2-05

Lost Time Injury Severity Rate (LTISR)
Number of Work Days
lost due to Injuries in the
Reporting Period
Number of Working
Hours in Reporting
Period
No. of Days Lost x 1,000,000
Working Hours

KPI 2-06

Total Reportable Case Frequency (TRCF)

Number of Total
Reportable Cases in the
Reporting Period
Number of Working
Hours in Reporting
Period
TRC x 1,000,000
Working Hours

KPI 2-07

Power Consumption

(Total Kilowatts Hours (kW h) and
kW h per Employee)
or Increase

Total kW h kW h Per Employee Total kW h
kW h Per
Employee
kW h Per Employee

KPI 2-08

Water Consumption

drinking water)

3
) and m
3

per Employee)
or Increase

Total m
3
m
3
3
m
3
Per Employee m
3
Per Employee

KPI 2-09

Paper Consumption

or Increase

Employee
Employee
or Decrease

KPI 2-10

Fuel Consumption

or Increase

Number of vehicles
owned and/or
operated by entity
Average fuel
consumption of
vehicles
(Combined Cycle
L/100 klms)
Number of
vehicles owned
and/or
operated by
entity
Average fuel
consumption of
vehicles
(Combined Cycle
L/100 klms)

KPI 2-11

Non-Hazardous Waste Disposal

Service Providers for disposal.
or Increase


KPI 2-12

Non-Hazardous Waste Recycling

processing.
or Increase

KPI 2-13

Hazardous Waste Disposal

Providers for disposal.
or Increase
N/A N/A N/A N/A N/A N/A

KPI 2-14

Hazardous Waste Recycling

further processing.
or Increase
N/A N/A N/A N/A N/A N/A
KPI 2-15

Number of written warning notices received from the
SRA as a result of non-compliance to EHSMS
requirements
Number of warning notices received: Not Applicable
Number of improvement notices received: Not Applicable
Number of prohibition notices received: Not Applicable
KPI 2-16

Number of fines / penalties / prosecutions received
from the SRA as a result of non-compliance to
EHSMS requirements
Number of penalties / fines received: Not Applicable
Number of enforceable undertakings: Not Applicable
Not Applicable

Contractor / Supply Chain Monitoring Activities
KPI 2-17

Number of
Monitoring
Activities of
Contractors /
Supply Chain:
Contractors:


Reporting Period:
Year: ___
Reporting Timeframe:
End of the second
week in April
End of the second
week in July
End of the second
week in October
End of the second
week in January


Abu Dhabi EHS Center 2012
This document is and shall remain the property of the AD EHS Center. The document may only be used for the purposes
for which it was intended. Unauthorised use or reproduction of this document is prohibited.

EHSMS Performance and Incident Reporting

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