Mechanism 6.0 - OSH Performance Monitoring & Reporting

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Abu Dhabi Occupational Safety and
Health System Framework
(ADOSH-SF)
Mechanisms
Mechanism 6.0 – OSH Performance Monitoring &
Reporting
Version 4.0
July 2024

ADOSH-SF – Mechanisms
Mechanism 6.0 – OSH Performance Monitoring & Reporting
Version 4.0 – 15 th June 2024 Page 2 of 14
Table of Contents
1. Introduction ...................................................................................................................................................... 3
2. Entity Quarterly Performance Reporting .............................................................................................. 4
3. SRA Quarterly Performance Reporting .................................................................................................. 5
4. Performance Monitoring .............................................................................................................................. 6
5. Annual Third-Party OSH MS Compliance Audit ................................................................................... 7
5.1 Audit Criteria........................................................................................................................................... 7
5.2 Audit Reporting ..................................................................................................................................... 8
5.3 Review of Third-Party OSH Compliance Audits ......................................................................... 8
5.4 SRA Feedback to the Entity .............................................................................................................. 9
5.5 SRA Feedback to ADPHC .................................................................................................................... 9
6. Monitoring and Closure of Non Compliance ....................................................................................... 10
7. ADOSH-SF - Standard Forms .................................................................................................................... 11
8. Document Amendment Record ............................................................................................................... 12

ADOSH-SF – Mechanisms
Mechanism 6.0 – OSH Performance Monitoring & Reporting
Version 4.0 – 15 th June 2024 Page 3 of 14
1. Introduction
This mechanism is designed to define the procedures to be utilized by ADPHC, Sector
Regulatory Authorities and Entities (Government Entities and Entities within Sectors)
to manage the minimum OSH performance monitoring and reporting process and
criteria (mainly through Quarterly Performance Reports and Third-Party Audit Reports).
This mechanism has been designed to ensure fair, transparent and consistent
implementation of the
ADOSH-SF.
Entities within Sectors directly report to Sector Regulatory Authorities, while
Government Entities directly report to ADPHC.
Through this process, ADPHC and Sector Regulatory Authorities shall collate and
analyze the reported OSH performance data to assess the progress of implementation
of the
ADOSH-SF throughout the Emirate.

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Mechanism 6.0 – OSH Performance Monitoring & Reporting
Version 4.0 – 15 th June 2024 Page 4 of 14
2. Entity Quarterly Performance Reporting
(a) Entities with an approved OSHMS shall submit Quarterly OSH performance reports as
per the specified timeframe using the relevant forms (
ADOSH-SF– Form E for Entities
within sectors or
ADOSH-SF - Form E2 for Government Entities).
(b) Entities have to submit form E/E2 as per the timescales shown in Table 1 below:
Quarter Due Date
Q1 1 st to (Maximum) 15 th of April
Q2 1 st to (Maximum) 15 th of July
Q3 1 st to (Maximum) 15 th of October
Q4 1 st to (Maximum) 15 th of January (Following Year)
Table 1 – Entity Performance Reporting timescales
(c) Quarterly Performance Reports shall be submitted only by entities having an approved
OSH MS and should commence on the next quarter following approval of the OSHMS.
(d) Entities shall include all incidents/consequences related to their employees and
contractors and injuries to other persons in the quarterly performance report.
(e) Only injuries / illnesses and lost workdays related to employees shall be included in
the incident frequency and rate calculations (
ADOSH-SF – Form E/E2).
(f) A single OSH incident may result in one consequence or multiple consequences,
consequently total incidents reported by an entity should be equal to or less than the
consequences resulting from these incidents.
(g) Incident recording and reporting shall be based on the actual severity of consequence
as established by the investigation process and/or medical report. Incident escalation
where applicable is important for necessary update in records and initiating the
reporting process. Such is the case with an incident recorded as a medical treatment
case but later escalated to a lost workday case, where incident records and reports
shall be updated.
(h)
ADOSH-SF– Form E/E2 has been designed to include the incidents and the
consequences of these incidents. This is to correctly account for the number of
injuries, damages and/or other consequences resulting from incidents, and to ensure
all injuries related to employees are included in the entities injury frequency rates
(TRCF, LTIFR and LTISR).
(i) As part of the quarterly report using
ADOSH-SF– Form E/E2, entities have to report on
other relevant issues, such as training of all their employees on OSH, their OSH
resources, registration of their OSH employees in Qudorat, date of audits by third
party, and management of contractors.
(j) In addition, entities have to report on annual basis the monetary cost of OSH
management and OSH Incidents, using the relevant forms (
ADOSH-SF– Form E4 for
Entities within sectors or
ADOSH-SF - Form E5 for Government Entities). The report
for each given year is to be submitted within Q1 of the next year.
Note: refer to
ADOSH-SF – Mechanism 11.0 – Incident Notification, Investigation and Reporting for
information on reporting of incidents with multiple consequences

ADOSH-SF – Mechanisms
Mechanism 6.0 – OSH Performance Monitoring & Reporting
Version 4.0 – 15 th June 2024 Page 5 of 14
3. SRA Quarterly Performance Reporting
(a) Each SRA shall develop, document, implement and maintain a systematic process for
OSH performance reporting for all entities required to provide performance reports.
The SRA shall ensure that all entities are aware of performance reporting timescales
and deadlines to submit and shall ensure compliance to these (refer to section 2(b)).
(b) SRA’s shall monitor compliance to reporting requirements and identify any entities
who repeatedly fail to comply with the reporting requirements.
(c) SRA’s shall implement the following with regards to reporting non-compliance:
(i) Entities who fail to submit or submit late shall be sent an official letter informing
them of the non-compliance and requesting the entity to ensure compliance;
(ii) Entities that fail to meet the reporting timescales for two subsequent
performance reporting periods or for two or more periods across a calendar year
shall be invited to meet with the concerned SRA to review the non-compliance
and agree subsequent corrective action. The meeting shall be recorded and shall
include a member of the top management of the entity.
(iii) Ongoing non-compliance from entities shall result in the SRA reviewing the
entity’s OSHMS approval certificate in line with the requirement set within
ADOSH-SF – Mechanism 4.0 – OSH MS Submission, Review and Approval.
(d) The SRA shall periodically validate the data sent by entities as part of their
performance reporting. This validation shall be done via reviews, audits or other
means identified by the SRA.
(e) Concerned SRA’s shall submit a Sector OSH performance quarterly report to ADPHC
using
ADOSH-SF – Form E1.
(f) SRAs have to submit form E1 to ADPHC as per the timescales shown in Table 1 below:
Quarter Due Date
Q1 End of April
Q2 End of July
Q3 End of October
Q4 End of January (Following Year)
Table 2 – Sector Performance Reporting timescales
(g) In addition, SRAs have to report on annual basis the collective monetary cost of OSH
management and OSH Incidents for their entities, based on the reports they receive
from their entities. The report for each given year is to be submitted to ADPHC using
the relevant form (
ADOSH-SF– Form E6) within Q1 of the next year.

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Mechanism 6.0 – OSH Performance Monitoring & Reporting
Version 4.0 – 15 th June 2024 Page 6 of 14
4. Performance Monitoring
(a) Each SRA shall develop, document, implement and maintain a systematic process for
OSH performance monitoring for all entities with an approved OSH MS and those
notified as a medium or low risk entity (as per requirements applicable to each
category).
(b) Monitoring of performance shall include as a minimum:
(i) Overall OSH performance;
(ii) Audit and Inspection results;
(iii) Incidents Investigation Reports;
(iv) Compliance to reporting timescales, both performance and incidents;
(v) Closure of identified corrective actions;
(vi) Lost Time Injury Frequency rate;
(vii) Total Reportable Case Frequency; and
(viii) Number of Fatalities.
(c) Where ongoing poor performance is identified, the SRA shall meet with the concerned
entity to review their performance and agree on corrective actions to improve.
(d) The review meeting shall be documented and shall include a member of the entity’s
top management.
(e) On-going non-compliance from entities with an approved OSH MS shall result in the
SRA reviewing the approval certificate in line with the requirements of
ADOSH-SF –
Mechanism 4.0 – OSH MS Submission, Review and Approval.
(f) Each SRA shall also seek to identify good performance within their sector and from
this develop case studies to show good practice within their own sector. These case
studies can be published following approval from ADPHC, in line with
ADOSH-SF -
Mechanism 12.0 – Notification of OSH Awareness activities.

ADOSH-SF – Mechanisms
Mechanism 6.0 – OSH Performance Monitoring & Reporting
Version 4.0 – 15 th June 2024 Page 7 of 14
5. Annual Third-Party OSH MS Compliance Audit
(a) The SRA shall develop, document, implement and maintain a systematic process to
monitor that all approved entities undertake an annual third-party OSHMS compliance
audit, in line with the requirements of
ADOSH-SF – Element 8 – Audit and Inspection.
(b) The procedure shall as a minimum include:
(i) process to identify entities required to undertake annual third-party OSH
compliance audits;
(ii) timescales for compliance;
(iii) third party audit report submission process;
(iv) audit report review process; and
(v) feedback process.
(c) The SRA shall monitor compliance to
ADOSH-SF 3 rd Party audit requirements and as a
minimum shall implement the following:
(i) entities who fail to submit their annual third-party OSH Compliance audit report
within the required timescales shall be officially communicated of the non-
compliance and requesting the entity to ensure compliance within 60 calendar
days of the date of communication;
(ii) entities that fail to meet the timescales set out in the first official
communication shall be invited to meet with the concerned SRA to review the
non-compliance and agree subsequent corrective action. The meeting shall be
recorded and shall include a member of the top management of the entity; and
(iii) ongoing non-compliance from entities shall result in the SRA reviewing the
approval certificate in line with
ADOSH-SF – Mechanism 4.0 – OSH MS
Submission, Review and Approval.
5.1 Audit Criteria
(a) The third-party 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 intent of this audit is to provide evidence and inform the concerned SRA of the
level of compliance of an entity to the
ADOSH-SF and to the entity’s approved OSHMS.
This is an important component of the entity’s commitment to demonstrating self-
regulation.
(c) The minimum criteria of this audit shall include:
(i) a review of the entity’s approved OSHMS to ensure compliance to the
ADOSH-
SF; 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.

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Mechanism 6.0 – OSH Performance Monitoring & Reporting
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5.2 Audit Reporting
(a) The annual third-party compliance audit results shall be submitted to the concerned
SRA by completing and submitting
ADOSH-SF– Form F – Entity Annual Third Party
OSHMS Audit Report and the detailed audit report within 30 calendar days from the
date of the audit.
(b) The detailed audit report shall provide a clear complete and accurate record of the
audit, and include the following as minimum:
(i) the audit objectives;
(ii) the audit scope, particularly identification of the organizational and functional
units or processes audited and the time period covered;
(iii) identification of the audit client;
(iv) identification of audit team leader and members;
(v) the dates and places where the on-site audit activities were conducted;
(vi) opening and closing meeting records;
(vii) definition of Non-Conformance criteria;
(viii) the audit criteria;
(ix) the audit findings;
(x) the audit conclusions, including clear and detailed explanation of any identified
NC;
(xi) the audit plan;
(xii) a summary of the audit process;
(xiii) recommendations for improvement, if specified in the audit objectives; and
(xiv) agreed corrective action plan.
5.3 Review of Third-Party OSH Compliance Audits
(a) The SRA shall review all submitted third party OSH Compliance audits for
completeness and compliance to the requirements of the
ADOSH-SF.
(b) The SRA shall ensure that the auditing company and the auditors engaged by the
auditing company to undertake the audit are approved and registered in line with the
requirements of
ADOSH-SF – Mechanism 7.0 -
Occupational Safety and Health
Practitioner and Service Provider Registration.
(c) If the auditing company or the auditors engaged by the auditing company are not
registered with Qudorat at the time of audit or audit report submission the audit shall
be automatically rejected.
(d) The SRA review shall address the following requirements:
(i) Audit Scope: covers the undertakings of the entity;
(ii) Audit Criteria: considers the
ADOSH-SF requirements (as per the latest version
published on the ADPHC Website)
;

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Version 4.0 – 15 th June 2024 Page 9 of 14
(iii) Reasonable timescales and manpower have been allocated appropriate to the
size, number of locations, undertaking, technical requirements and risk of the
entity’s operations; and
(iv) Corrective Action plans and associated timescales are appropriate.
5.4 SRA Feedback to the Entity
(a) The entity shall be provided official feedback on the outcome of the audit report.
(b) Feedback to the Entity shall include:
(i) any actions identified based on review of audit results;
(ii) comment on the scope and audit criteria; and
(iii) approval of the corrective action plan – this shall be limited to the
appropriateness of the corrective actions and timescales allocated for
implementation.
(c) The SRA shall review and provide feedback to the entity within 30 calendar days of
receiving the audit report. Actions identified by the SRA shall be included in Entity’s
Corrective Action Plan
(d) SRA communications related to the above must be done directly with the entity and
not the auditing company appointed by the entity.
(e) No communication on the performance of the auditing company shall be done directly
with the entity and/or the auditing company appointed by the entity.
5.5 SRA Feedback to ADPHC
(a) The SRA shall provide ADPHC with official feedback on the performance of the
Auditing Company where concerns have been raised over the following issues:
(i) quality of the audit and audit Report;
(ii) audit Criteria;
(iii) audit Scope;
(iv) timescales and manpower utilised to undertake the audit;
(v) where the audit was rejected due to the auditing company and/or auditors
engaged by the auditing company are not registered and approved by ADPHC;
and
(vi) where the audit was rejected due to the lead auditor signing the audit report
not being approved by ADPHC as a lead Auditor.
(b) Feedback shall be provided to ADPHC within 30 calendar days of receiving the audit
report.
(c) SRA feedback to ADPHC shall be accompanied with necessary supporting documents
(audit report etc.).
(d) Following receipt of SRA feedback, ADPHC shall undertake a review and provide
feedback to the SRA within 30 calendar days.

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6. Monitoring and Closure of Non-Compliance
(a) Corrective action plans of non-compliances shall be submitted by the entity to the
relevant SRA for the following:
(i) SRA Audits;
(ii) SRA Inspections;
(iii) Serious Incident Investigations; and
(iv) Annual Third-Party OSH Compliance Audits.
(b) The SRA shall ensure that the entity provides a corrective action plan for the identified
non-compliances within an agreed timescale. The agreed timescales shall be
appropriate for the level and risk of the non-compliance raised.
(c) Effective implementation of All Corrective Action(s) shall be verified during the next
Audit/ Inspection or other tools as deemed necessary by the SRA.
(d) The SRA shall monitor the corrective action plan for non-compliances, which in their
opinion pose high risk. Where timescales have not been met, the SRA shall seek official
clarification from the entity as to the status of the corrective action.
(e) For entities that continue to fail to meet the agreed timescales, the SRA shall meet
with the concerned entity to review their performance and agree on corrective actions
to improve.
(f) The review meeting shall be documented and shall include a member of the entity’s
top management.
(g) Ongoing non-compliance from the entity shall result in the SRA reviewing the entity’s
OSHMS approval certificate in line with
ADOSH-SF – Mechanism 4.0.

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Mechanism 6.0 – OSH Performance Monitoring & Reporting
Version 4.0 – 15 th June 2024 Page 11 of 14
7. ADOSH-SF - Standard Forms
Form E – Entity Quarterly Performance Report
This form is to be submitted by sector entities to the concerned SRA to report their
quarterly performance.
Form E1 – Sector Quarterly Performance Report
This form is to be submitted by the relevant SRA to ADPHC to report quarterly
performance within the sector.
Form E2 – Government Entity Quarterly Performance Report
This form is to be submitted by government entities to ADPHC to report their quarterly
performance.
Form E4 – OSH Implementation costs in Entities within Sectors
This form is to be submitted by sector entities to the concerned SRA on an annual
basis as a summary of OSH costs for OSH management and OSH incidents.
Form E5 – OSH Implementation costs in Government Entities
This form is to be submitted by government entities to ADPHC on an annual basis as
a summary of OSH costs for OSH management and OSH incidents.
Form E6– OSH Implementation costs in in Sector Entities
This form is to be submitted by the relevant SRA to ADPHC on an annual basis as a
summary of total OSH costs for OSH management and OSH incidents within the sector.
Form F – Entity Annual Third-Party Audit Report
This form is to be submitted to the concerned SRA within 30 days of the audit.

ADOSH-SF – Mechanisms
Mechanism 6.0 – OSH Performance Monitoring & Reporting
Version 4.0 – 15 th June 2024 Page 12 of 14
8. 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
Minor editorial changes throughout the
document without changing requirements.
Clarify requirements for annual reporting
of monetary cost of OSH vs quarterly
reporting of other aspects of OSH
performance – as per clauses 2(i), 2(j), 3(f),
3(g) and form (E6) in Section 7.
4, 5, 11
Title of Mechanism 7.0 updated to ADOSH-
SF – Mechanism 7– Safety and Health
Practitioner and Service Provider
Registration.
8
OSHAD-SF - Mechanism 8.0 - OSH
Practitioner Registration deleted

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