Mechanism 4.0 - OSHMS Submission, Review and Approval

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Abu Dhabi Occupational Safety and
Health System Framework
(ADOSH-SF)
Mechanisms
Mechanism 4.0 – OSHMS Submission, Review and
Approval
Version 4.0
July 2024

ADOSH-SF – Mechanisms
Mechanism 4.0 – OSHMS Submission, Review and Approval
Version 4.0 – 15 th July 2024
Page 2 of 12
Table of Contents
1. Introduction ...................................................................................................................................................... 3
2. Requirements .................................................................................................................................................. 4
2.1 OSHMS Submission Process .............................................................................................................. 4
2.2 Review and Approval of a Developed OSHMS ........................................................................... 4
2.3 Conditions for Approval ...................................................................................................................... 5
2.4 Certificate of Compliant OSHMS ...................................................................................................... 5
2.5 OSHMS Approval Certificate Renewal........................................................................................... 6
2.6 Process to Appeal Cancellation or Suspension of Approval Certificate............................ 8
3.
ADOSH-SF - Standard Forms ...................................................................................................................... 9
4. Document Amendment Record ............................................................................................................... 10
Appendix 1: OSHMS Submission, Review and Approval Flowchart .................................................... 11

ADOSH-SF – Mechanisms
Mechanism 4.0 – OSHMS Submission, Review and Approval
Version 4.0 – 15 th July 2024
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1. Introduction
This mechanism is designed to define the procedures to be utilized by ADPHC and
Sector Regulatory Authorities (SRAs) to manage the review, approval and
implementation of entities’ developed OSHMS.
ADPHC shall manage the OSHMS approval and implementation process for Government
Entities and where required, for those not currently under the control of an appointed
SRA.
This mechanism has been designed to ensure fair, transparent and consistent
implementation of the
ADOSH-SF.

ADOSH-SF – Mechanisms
Mechanism 4.0 – OSHMS Submission, Review and Approval
Version 4.0 – 15 th July 2024
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2. Requirements
2.1 OSHMS Submission Process
(a) When an entity has completed the development of their OSH MS (documentation), it
shall be submitted to the concerned SRA for review against the minimum
requirements of the
ADOSH-SF.
(b) Submittal of the entity OSH MS shall include a completed and authorized
ADOSH-SF –
Form C.
(c) If the entity utilizes a consultant to help develop their OSHMS, its name and Qudorat
registration number shall be recorded on
ADOSH-SF - Form C.
(d) The consultancy office shall be registered and approved, at the time of submission, to
perform this work by ADPHC. If the consultancy office is not registered and approved,
at the time of submission, by ADPHC, the OSHMS shall be automatically rejected.
Note: It is the responsibility of the entity to ensure that the consultancy office utilized to develop
their OSH MS is approved at the time of appointment through to completion and approval of the OSH
MS .
(e) Appendix 1 sets out the process of submission, review and approval of the individual
nominated entity’s OSHMS.
2.2 Review and Approval of a Developed OSHMS
(a) This process has been developed to ensure consistency in the evaluation of the
ADOSH-SF minimum requirements that shall be incorporated in OSHMS developed by
entities across all concerned Sectors.
(b) Each of the minimum requirements of the
ADOSH-SF has been incorporated in
ADOSH-
SF – Form I and weightings apportioned relevant to their importance for an effective
and compliant OSHMS.
(c)
ADOSH-SF – Form I – Evaluation of OSHSM shall be completed by the SRA as part of the
review process for all submitted OSHMS.
(d) Where a consultant is utilized to develop the OSH MS, the SRA shall submit the
completed
ADOSH-SF – Form I to ADPHC. The final determined grade of each OSH MS
developed by approved OSH Consultancy Office shall be recorded. ADPHC shall utilize
this information as part of the annual renewal of the professional entity registration
process.
(e) The concerned SRA shall undertake review of submitted entities’ OSHSM and provide
official feedback to the entity within 60 calendar days from the first submission date
and 30 days from date of any following resubmission.
(f) Following review of the OSHMS, the SRA shall provide the entity official feedback on
the outcome of the OSH MS review. If the system is deemed non-compliant this
feedback shall include specific information on any changes, updates or modification
required.

ADOSH-SF – Mechanisms
Mechanism 4.0 – OSHMS Submission, Review and Approval
Version 4.0 – 15 th July 2024
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(g) Where approval is not awarded following two reviews of the submitted OSH MS
(original submission and first revision) the concerned SRA shall meet with the entity
to review the OSH MS, the feedback provided, and any other issues related to the
system. The review meeting shall be documented and attended by a representative
of the entity’s top management.
(h) Following this review meeting, a detailed action plan will be developed by the entity,
including timescales, to bring the system up to approval standard.
2.3 Conditions for Approval
(a) Approval of the entity’s OSHMS is based on a desktop review of the submitted system.
(b) For an entity to maintain official approval of its system it shall demonstrate it has
implemented an effective OSHMS that is:
(i) compliant with all relevant Federal and Local Laws;
(ii) compliant with all requirements of the
ADOSH-SF;
(iii) implemented starting within one month of the approval date;
(iv) monitored with performance reports submitted to the SRA on quarterly basis in
accordance with
ADOSH-SF requirements; and
(v) Undergoing external 3rd party audit by an auditing company registered with
ADPHC, within 12 months from system approval date and annually thereafter,
with the audit reports submitted to the SRA within maximum 30 days from audit
date.
2.4 Certificate of Compliant OSHMS
(a) ADPHC shall specify the template and process for issuing an OSHMS approval
certificate” following approval of an entity’s OSH MS.
(b) The Approved OSH MS Certificate shall be issued for a 3 year timescale.
(c) Each approval certificate shall highlight key conditions set by ADPHC for OSHMS
approval, as per section 2.3 of this document.
(d) SRAs shall manage the process of issuing the standard Entity OSHMS certificates in
their concerned Sector.
(e) The Approval Certificate shall be re-issued / renewed by the end of the 3 rd year in
accordance with the requirements of section 2.5 of this document.
(f) The Approval Certificate shall be subject to suspension or cancellation by the SRA in
accordance with the requirements of sections 2.5.1 and 2.5.2 of this document.

ADOSH-SF – Mechanisms
Mechanism 4.0 – OSHMS Submission, Review and Approval
Version 4.0 – 15 th July 2024
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2.5 OSHMS Approval Certificate Renewal
(a) Each SRA shall develop, document, implement and maintain a systematic internal
procedure for the renewal of entities’ OSHMS approval certificates.
(b) This internal procedure shall, at a minimum, address the following areas:
(i) Identification of renewal dates and actions thereupon;
(ii) Review process;
(iii) Criteria for renewal, including consideration of requirements set within section
2.5(d) of this document;
(iv) Cancellation / suspension criteria and process as per the requirements of clauses
2.5.1 and 2.5.2 of this document; and
(v) Feedback, to entity and ADPHC.
(c) Approval Certificate shall be re issued with a three-year timescale.
(d) When renewing an entity’s approval certificate, the concerned SRA shall ensure that
following criteria are, as a minimum, examined:
(i) performance reporting requirements, as required by ADOSH-SF – Mechanism 6.0
– OSH Performance Monitoring and Reporting;
(ii) incident reporting requirements as required by ADOSH-SF - Mechanism 11.0 –
OSH Incident Notification, Investigation and Reporting;
(iii) annual external third-party audits completed and submitted as per the
requirements of
ADOSH-SF – Element 8 – Audit and Inspection;
(iv) results of SRA audits, inspections or other tools as decided by the SRA; and
(v) noncompliance corrective action plans submitted as required and implemented
as agreed.
2.5.1 Criteria for Cancellation or Suspension of an Approval Certificate
(a) Each SRA shall document, as part of the internal procedure required by Section 2.5 the
criteria for cancellation or suspension of an entity’s OSHMS approval certificate.
(b) As a minimum the criteria shall include the following:
(i) non-compliance to OSH Performance reporting requirements;
(ii) non-compliance to serious incident reporting requirements;
(iii) non-compliance to Annual external third-party audit requirements;
(iv) Non-Compliance to
ADOSH-SF requirements (evidenced by internal or external
audits, major noncompliance(s), OSH performance reporting data, incident
reports and statistics);
(v) failure to implement or comply with agreed timescales for submitted corrective
action plans; and
(vi) entity ceases operation / trading.

ADOSH-SF – Mechanisms
Mechanism 4.0 – OSHMS Submission, Review and Approval
Version 4.0 – 15 th July 2024
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2.5.2 Process for Cancellation or Suspension of an Approval Certificate
(a) The SRA shall monitor the performance of all approved entities within the concerned
sector for implementation of ADOSH-SF requirements.
(b) Prior to suspension or cancellation of an approval certificate, the SRA shall officially
inform the entity of the proposed cancellation or suspension along with the
associated evidence of the non-compliance.
(c) The SRA shall set a timescale, no longer than 2 weeks for the entity to contact the
SRA and agree an action plan to rectify the non-compliance.
(d) In the event a corrective action plan is agreed, the entity’s approved OSHMS certificate
shall be suspended until the plan has been fully implemented.
(e) The SRA shall verify the implementation of the corrective actions through audit,
inspection or other tools as decided by the SRA. If the corrective actions are verified
and fully implemented, the SRA shall reissue an approval certificate for the entity’s
OSHMS.
(f) If the SRA is unable to verify the implementation of the corrective actions the SRA
shall cancel the approval certificate and officially inform the entity of the required
actions.
(g) In the event that an entity is unable to agree an action plan or does not make contact,
the SRA shall cancel the approval certificate. The SRA shall officially contact the entity
to inform them their certificate is cancelled and of the required actions.
(h) ADPHC can, at any time, request an SRA to cancel or revoke an approval certificate,
following consultation with the concerned SRA, if there is sufficient evidence of poor
performance.
(i) If an entity has the OSHMS approval cancelled, they shall:
(i) remove any hardcopy printouts of the “OSHMS Approval Certificate" that may be
at display at the entity’s premises;
(ii) officially inform relevant stakeholders, in particular stakeholders that require
ADOSH-SF compliance in contractual arrangements and agreements; and
(iii) remove any reference to having an internal OSHMS in compliance to the ADOSH-
SF from entity publications (including webpages).
(j) The SRA shall formally notify ADPHC, within 3 working days from the date of
cancellation, of the cancellation / suspension and its justification.

ADOSH-SF – Mechanisms
Mechanism 4.0 – OSHMS Submission, Review and Approval
Version 4.0 – 15 th July 2024
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2.6 Process to Appeal Cancellation or Suspension of Approval Certificate
(a) An entity may file an appeal with ADPHC within 20 working days from the date of
receipt of the notification from the SRA to cancel / suspend their approval if they have
reasonable grounds to believe that the suspension or cancellation was unjust.
(b) The appeal filed by the entity shall provide clear justification and supporting evidence
as to why they believe that the suspension or cancellation was unjust.
(c) ADPHC shall review each appeal that is filed for legitimacy and validity, and shall
provide an initial response, in writing, to the applicant. In its response ADPHC shall
state decision to either:
(i) proceed with the appeal, together with identification of any further
requirements from the applicant, or
(ii) deny the appeal, together with justification for denial.
(d) If the appeal is deemed valid, ADPHC shall review all the evidence presented and
where required meet with all concerned parties.
(e) Following the review, a decision shall be made by the Director General of ADPHC.
(f) The decision of ADPHC shall be deemed final in all appeals.

ADOSH-SF – Mechanisms
Mechanism 4.0 – OSHMS Submission, Review and Approval
Version 4.0 – 15 th July 2024
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3.
ADOSH-SF - Standard Forms
Form C – Submission of OSH MS (available at www.ADPHC.gov.ae
)
This form is to be used when the nominated entity has completed the development
of their OSHMS. It is to be submitted in conjunction with documents that make up the
nominated entity’s OSHMS. The entity is to highlight on the form the elements of
their OSHMS that meet the minimum requirements of the
ADOSH-SF.
Form I – OSH MS Evaluation Form (not available on website - for SRA use only)
This form summarizes the minimum requirements of the
ADOSH-SF and shall guide
SRA reviewers on assessing the compliance of the submitted system. It has been
designed to provide a level of consistency for the review and to supply feedback to
the Competent Authority on approved OSH Consultancy Offices performance in
developing an OSHMS.

ADOSH-SF – Mechanisms
Mechanism 4.0 – OSHMS Submission, Review and Approval
Version 4.0 – 15 th July 2024
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4. Document Amendment Record
Version Revision Date Description of Amendment
Page/s Affected
4.0
15 th July 2024
System acronym updated from OSHAD-SF
to ADOSH-SF to accurately reflect
document title
Throughout
Change from OSHAD to ADPHC
Change of Logo
Delete clause 2.5.1(b)(vii) regarding
change of legal name of the entity.
Delete Clause 2.5(g) regarding holding a
register of approved entities.
Amend clause 2.5.2(i)(i) to align with
electronic issuance of OSHMS approval
certificates
Editorial changes to provide further
clarification throughout the document
without changing requirements.

ADOSH-SF – Mechanisms
Mechanism 4.0 – OSHMS Submission, Review and Approval
Version 4.0 – 15 th July 2024
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Appendix 1: OSHMS Submission, Review and Approval Flowchart
Entity
Inform consultant of
requirements, use approved
consultant
Entity
Develop OSHMS appropriate to the scale
and nature of its undertakings.
Entity
Using a consultant to develop the
OSH MS?
Yes
OSHMS Submission, Review and
Approval Process
Entity
Submit OSH MS documentation to the
relevant SRA for review and approval with
completed Form C Yes
No
No
SRA
OSHMS Approved?
SRA
Accept Form C - Review submitted OSH MS
using ADOSH-SF- Form I
SRA
Inform Entity of Approval and issue
approval certificate
Send Form I to ADPHC if a consultant
developed the OSH MS
SRA
First Re Submission approved?
1. SRA
Provide entity with
official feedback on
required changes /
Updates
2. Entity
Resubmit OSHMS
SRA
2nd (or further) Re submission
approved?
SRA
Meet with Entity’s top
management to agree
development plan and
required support
Entity
Start implementation of the OSH MS
within one month from the date of
approval
Entity
• Submit OSH Performance Reports to relevant SRA
on quarterly basis
• Undertake annual 3rd party audit within one year
from the date of approval
• Report OSH incidents as required by ADOSH-SF –
mechanism 11.0
Yes No
No
Yes
Yes
1. SRA
Provide entity with
official feedback on
required changes /
Updates
2. Entity
Resubmit OSHMS
No
Entity
Consultant registered and
approved with Qudorat?