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Abu Dhabi Environment,

Health and Safety Management


System Regulatory Framework
(AD EHSMS RF)
Elements
Version 2.0
February 2012

AD EHSMS RF Version 2.0 February 2012

AD EHSMS RF Version 2.0 February 2012

AD EHSMS Regulatory Framework Elements


Element 01

Roles, Responsibilities and Self Regulation .............................................................. 4

Element 02

Risk Management ................................................................................................... 16

Element 03

Management of Contractors .................................................................................... 23

Element 04

Communication and Consultation ............................................................................ 29

Element 05

Training and Competency ....................................................................................... 32

Element 06

Emergency Management ........................................................................................ 35

Element 07

Monitoring, Investigation and Reporting .................................................................. 38

Element 08

Audit and Inspection ................................................................................................ 42

Element 09

Compliance and Management Review .................................................................... 46

AD EHSMS RF Version 2.0 February 2012

Element 01 Roles, Responsibilities and Self-Regulation


Table of Contents
1.

Aims and Intent .......................................................................................................................... 5

2.

Application and Implementation .................................................................................................. 5

3.

Requirements ............................................................................................................................. 5
3.1

EHS Roles and Responsibilities ................................................................................... 5

3.2

Roles and Responsibilities of Relevant Stakeholders ................................................... 5

3.2.1

Abu Dhabi EHS Center Board of Directors ................................................................... 5

3.2.2

The AD EHSMS Competent Authority (Abu Dhabi EHS Center) .................................. 6

3.2.3

Sector Regulatory Authorities ....................................................................................... 7

3.2.4

Entities (Government and Private) ............................................................................... 8

3.2.5

Employers .................................................................................................................... 8

3.2.6

Self-Employed Persons................................................................................................ 9

3.2.7

Employees ................................................................................................................... 9

3.2.8

Designers of Buildings and Structures ....................................................................... 10

3.2.9

Designers, Manufacturers, Importers and Providers of Plant, Equipment or


Substances for Occupational Use .............................................................................. 11

3.2.10

General Community ................................................................................................... 12

3.3

EHS Responsibilities and Authorities for Developments / Projects ............................. 12

3.3.1

Planning and Evaluation Phase ................................................................................. 12

3.3.2

Construction Phase .................................................................................................... 12

3.3.3

Operational Phase ..................................................................................................... 13

3.3.4

Decommissioning and Demolition .............................................................................. 13

4.

Self-Regulation ......................................................................................................................... 13

5.

Enforcement ............................................................................................................................. 14

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1.

Aims and Intent


(a) The aims and intent of this Regulatory Framework Element are to:

2.

(i)

ensure a systematic approach to defining and communicating EHS roles and


responsibilities; and

(ii)

define the roles and responsibilities of stakeholders under the AD EHSMS RF.

Application and Implementation


(a) Successful implementation of an EHSMS requires all stakeholders to have clearly defined

and communicated roles and responsibilities and active participation in self-regulation.

3.

Requirements
(a) To demonstrate compliance an entity shall:

3.1

(i)

develop, implement and maintain appropriate EHS Roles and Responsibilities


Procedure(s); and

(ii)

actively participate in Self-Regulation of EHS.

EHS Roles and Responsibilities


(a) The entity Roles and Responsibilities procedure(s) shall, at a minimum:
(i)

ensure top management is ultimately responsible for the EHSMS and EHS matters;

(ii)

ensure appropriate and competent EHS resources to develop, implement and maintain
an EHSMS;

(iii)

establish clearly defined and documented EHS roles and responsibilities and
delegated authorities for each role within the entity;

(iv)

ensure effective communication of roles and responsibilities to all employees and


stakeholders; and

(v)

establish the means to measure employee conformance against their defined roles,
responsibilities and accountabilities.

3.2

Roles and Responsibilities of Relevant Stakeholders

3.2.1

Abu Dhabi EHS Center Board of Directors


(a) Abu Dhabi EHS Center Board of Directors is the Authority responsible for overseeing all

activities of the Center and setting annual plans for their execution. Responsibilities of the
Board specifically include:
(i)

setting the general policy of the Center and approving its implementation plans;

(ii)

issuance of the AD EHSMS RF including documents that ensure integration of


requirements of AD EHSMS RF with other concerned authorities requirements;

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(iii)

issuing necessary Management Orders for implementation of AD EHSMS RF;

(iv)

proposing the enforcement policy and mechanisms needed to ensure system


implementation and submit to the Executive Council;

(v)

proposing standards related to the system and submit to the Executive Council for
approval;

(vi)

assigning the concerned Authority responsible for regulating a specific sector;

(vii)

nominating other parties to develop and implement their EHS management systems;

(viii) proposing the operational budget for the Center and submit it to the Executive Council

for approval;

3.2.2

(ix)

approving the annual reports prepared by the Center by the end of each year; and

(x)

monitoring the key performance indicators of the AD EHSMS RF.

The AD EHSMS Competent Authority (Abu Dhabi EHS Center)


(a) AD EHS Center is the Competent Authority responsible for overseeing the

implementation of AD EHSMS RF and all issues related to Occupational Health


and Safety in the Emirate of Abu Dhabi.
(b) The Center aims to ensure the implementation of Abu Dhabi Emirate Environment,

Health and Safety Management System (AD EHSMS) through provision of an


integrated regulatory framework for management of all issues related to
occupational health and safety as well as environmental impacts resulting from
work places, in addition to building capacities in the EHS field.
(c) Responsibilities of AD EHS Center include the following:
(i)

developing, implementing and updating AD EHSMS RF and overseeing all issues


relevant to occupational health and safety, including:

ensuring the integration of AD EHSMS RF requirements with the requirements of


concerned authorities;

developing plans to update the system (AD EHSMS RF) at Emirate level;

coordination and cooperation with concerned authorities on all issues relevant to


the system (AD EHSMS RF); and

reviewing and approval of EHSMS of concerned authorities in accordance with AD


EHSMS RF requirements.

(ii)

monitoring the implementation of the system by the SRAs through inspection and
auditing;

(iii)

establishing a database and an unified electronic system at Emirate level for


implementation by all concerned authorities;

(iv)

setting training and competency programs specific to AD EHSMS RF in order to


provide training on the system for EHS practitioners and other stakeholders;

(v)

develop and implement EHSMS awareness programs;

(vi)

developing an incentive program to promote and encourage system implementation;

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(vii)

finalizing contracts and agreements related to the system;

(viii) conducting relevant EHS surveys and collecting information on EHS issues in

coordination with the concerned authorities;


(ix)

submitting periodic reports to Executive Council on EHSMS performance at Emirate


level; and

(x)

providing information and official publications on EHSMS to all stakeholders.

(d) The Center has the authority to delegate relevant powers for regulating a

concerned sector. The Center can also revoke the delegation given to a concerned
authority for regulating a sector in case of non-compliance with the implementation
requirements and as per the recommendations of the Director General of the
Center.
(e) The Center shall coordinate with other relevant authorities to ensure:

alignment and integration of existing and new EHS Regulations and Guidelines; and

redundant requirements are removed from Regulations, Guidelines and Sector EHSMS.
Note: Refer to AD EHS RI Mechanism 1.0 Integration of EHS Requirements in the
Emirate of Abu Dhabi for details of the integration process.

3.2.3

Sector Regulatory Authorities


(a) By delegation from the AD EHS Center, the Sector Regulatory Authoritys shall supervise

the implementation of the AD EHSMS RF in its concerned Sector and is specifically


responsible for the following:
(i)

developing sector specific EHS requirements in accordance with the requirements of


AD EHSMS RF;

(ii)

identifying entities that shall develop and implement an EHSMS in full compliance with
the AD EHSMS RF;

(iii)

identifying low risk entities that shall develop and implement EHS control measures in
compliance with AD EHS RI Mechanism 5.0 EHS Requirements for Low Risk
Entities;

(iv)

reviewing and approving of the EHSMS developed by nominated entities in


compliance with the requirements of the AD EHSMS RF and the requirements of the
concerned Sector;

(v)

monitoring the implementation of the AD EHSMS RF through periodical inspection and


auditing of sector entities;

(vi)

conduct appropriate sector awareness activities, in coordination with the AD EHS


Center, as per the requirements of AD EHS RI Mechanism 12.0 Sector EHS
Awareness Activity Notification Requirements.

(vii)

coordinating with the AD EHS Center to ensure alignment and integration of existing
and new EHS requirements (Refer to AD EHS RI Mechanism 1.0 Integration of
EHS Requirements in the Emirate of Abu Dhabi);

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(viii) reporting to the AD EHS Center on the performance of the EHSMS at Sector level as

per AD EHSMS RF Element 07 Monitoring, Investigation and Reporting; and


(ix)

encouraging sector entities to participate in EHS related activities / campaigns (eg.


Environment Agency Abu Dhabi - Paperless Day, Health Authority Abu Dhabi - Heat
Stress).
Note: The AD EHS Center will act as the Sector Regulatory Authority for the
Government Sector and perform the implementation activities as per the
requirements in 3.2.3, as applicable.

3.2.4

Entities (Government and Private)


(a) When notified by the Sector Regulatory Authority, the entity shall develop and implement an

EHSMS within their scope of work complying with the requirements of the AD EHSMS RF
and requirements specified by the relevant SRA, in order to protect employees, the
community and the environment from adverse effects resulting from their activities.
(b) Responsibilities of notified / nominated entities include:
(i)

complying with timelines for EHSMS development and implementation set by the SRA;

(ii)

actively monitor (eg. audit and inspect) their system to ensure compliance with AD
EHSMS RF;

(iii)

undergo an annual third party external compliance audit by an AD EHS Auditor


registered with the AD EHS Center and submit results to the concerned SRA;

(iv)

participating in EHS related activities / campaigns;

(v)

reporting EHS incidents to the concerned SRA and other relevant authorities as per
AD EHSMS RF - Element 07 Monitoring, Investigating and Reporting; and

(vi)

reporting periodically to the relevant SRA on the performance of their EHSMS as per
AD EHSMS RF - Element 07 Monitoring, Investigating and Reporting.

(c) Entities not yet notified by the SRA shall:

3.2.5

(i)

strive to comply with AD EHSMS RF; and

(ii)

manage their activities so as to reduce the risk of harm to employees, the community
and the environment.

Employers
(a) An employer shall provide and maintain for their employees, contractors, and relevant other

persons a workplace that is as far as reasonably practicable, safe and without risks to health
and does not cause pollution of the environment.
(b) An employer shall:
(i)

provide appropriate resources (e.g. budget, human, equipment, training) for achieving
its EHSMS objectives;

(ii)

employ or engage persons who are competent in relation to the management of the
EHS to provide advice about the management of such issues;

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(iii)

ensure appropriate control measures and other safe systems of work are
implemented, in line with AD EHSMS RF Element 02 Risk Management;

(iv)

ensure , so far as is reasonably practicable , the safe use, handling, storage,


transportation and disposal of materials, substances and wastes;

(v)

provide and maintain plant, equipment and /or systems of work that are, so far as is
reasonably practicable, safe and without risks to health or the environment;

(vi)

provide appropriate facilities for the welfare of employees;

(vii)

provide such information, instruction, training and supervision to employees, as is


appropriate to enable those persons to perform their work in a way that is safe and
without risks to health or the environment (in appropriate languages);

(viii) empower employees to stop work or remove themselves from a work situation of

immediate or imminent exposure to a hazard if they consider it constitutes a


reasonable risk to the health and safety of themselves, their colleagues, the public
and/or the environment;
(ix)

provide, without any cost to the employee, appropriate personal protective clothing and
equipment which are reasonably necessary when hazards cannot be otherwise
prevented or controlled, as per AD EHS RI CoP 2.0 Personal Protective
Equipment;

(x)

monitor the health and safety of employees;

(xi)

monitor conditions, discharges and emissions at any workplace under the employer's
management and control;

(xii)

keep information and records relating to the management of the environment and the
health and safety of employees, in compliance to AD EHSMS RF Element 09
Compliance and Management Review;

(xiii) ensure , so far as is reasonably practicable, the general public and the environment

are not at risk by the conduct of the entity; and


(xiv) consult with employees and relevant stakeholders on EHS matters, so far as is

reasonably practicable.
(c) An employee includes a reference to an independent contractor engaged by an employer

and any employees of the independent contractor, over which the employer has control or
would have control.
3.2.6

Self-Employed Persons
(a) A self-employed person shall ensure, so far as is reasonably practicable, that the

environment is protected and persons are not exposed to risks to their health or safety
arising from the conduct of the undertaking of the self-employed person.
3.2.7

Employees
(a) While at work, (and while on work premises) an employee shall:
(i)

take reasonable care of their own health and safety;

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3.2.8

(ii)

take reasonable care of the health and safety of persons and the environment, that
may be affected by their acts or omissions at work;

(iii)

co-operate with their employer with respect to any instructions and/or actions taken by
the employer to protect the employee and/or comply with EHS requirements;

(iv)

report to their immediate supervisor any situation which they have reason to believe
could present a hazard and which they cannot themselves correct;

(v)

report all EHS incidents and work-related injuries; and

(vi)

not intentionally or recklessly interfere with or misuse anything provided at the


workplace in the interest of health, safety, welfare or protection or management of the
environment.

Designers of Buildings and Structures


(a) Designers shall ensure, as far as is reasonably practicable, that buildings and structures are

designed to eliminate and minize risk to the health and safety to persons who construct, use,
demolish or dispose of the building or structure.
(b) A designer of a building or a structure shall:
(i)

ensure, so far as is reasonably practicable, that it is designed and/or manufactured to


prevent risk of injury;

(ii)

eliminate hazards where reasonably practicable;

(iii)

reduce the risks from those hazards that are not reasonably practicable to eliminate;

(iv)

where significant residual risks remain, designers shall provide information to ensure
other stakeholders (eg. other designers, construction contractors) are aware of these
risks and can take account of them;

(v)

co-ordinate their work with that of others involved in the process to ensure risks are
managed and controlled;

(vi)

ensure the integration of hazard identification and risk assessment and risk control
methods throughout the design process to eliminate or, if this is not reasonably
practicable, minimize risks to health and safety;

(vii)

demonstrate, so far as is reasonably practicable, that measures have been taken to


identify hazards and reduce risk throughout all phases, including:
(1)

construction and/or manufacturing;

(2)

installation / commissioning;

(3)

operation (including maintenance, repair, refurbishment and cleaning


operations); and

(4)

decommissioning / demolition.

(viii) provide adequate information to relevant stakeholders concerning:


(1)

the purpose or purposes for which it was designed;

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(2)

any conditions necessary to ensure that the building or structure can be


constructed and used for a purpose for which it was designed in a safe manner
and without risks to health, safety or the environment; and

(3)

the designer shall also provide information, on request, supply such information
to a person who constructs/operates/decommissions/demolishes the building or
structure.

(b) A designer shall comply with the requirements of AD EHS RI CoP 20.0 Safety in Design

(Construction).
(c) For buildings and structures, a designer shall comply with the applicable requirements of:

3.2.9

(i)

Abu Dhabi Urban Planning Councils sustainability framework Estidama


(http://estidama.org);

(ii)

Abu Dhabi Department of Municipal Affairs International Building Codes;

(iii)

UAE Fire and Life Safety Code 2011; and

(iv)

any other sector specific building code or guideline as issued by the concerned SRA.

Designers, Manufacturers, Importers and Providers of Plant, Equipment or Substances


(a) A designer, manufacturer, importer or provider of plant, equipment or substances shall:
(i)

designers and manufacturers are to ensure the integration of hazard identification, risk
assessment and risk control methods throughout the design process;

(ii)

eliminate hazards where reasonably practicable;

(iii)

reduce the risks from those hazards that are not reasonably practicable to eliminate;

(iv)

ensure, so far as is reasonably practicable, that relevant processes are safe and
without risk;

(v)

where significant residual risks remain, provide information to ensure other


stakeholders (eg. operators, service personnel, etc.) are aware of risks from their
work/processes and can take account of them;

(vi)

co-ordinate their work with that of others involved to ensure risks are managed and
controlled;

(vii)

demonstrate, so far as is reasonably practicable, that measures have been taken to


identify hazards and reduce risk throughout all phases, including:
(1)

design and/or manufacturing;

(2)

installation / commissioning;

(3)

operation (including maintenance, repair, refurbishment and cleaning


operations); and

(4)

decommissioning.

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(viii) ensure, as far as is reasonably practicable, that plant, equipment, or substance is used

for a purpose for which it was designed / manufactured / imported / provided and in a
manner to ensure the safety of those persons who use the plant;
(ix)

(x)

provide adequate information to relevant stakeholders concerning:


(1)

the purpose or purposes for which the plant, equipment or substance was
designed / manufactured / imported / provided;

(2)

any conditions necessary to ensure that the plant, equipment or substance can
be manufactured / operated and used for a purpose for which it was designed in
a safe manner and without risks to health, safety or the environment; and

(3)

on request, supply such information to a person who imports / provides /


operates or is to import / provide / operate the plant, equipment or substance.

For the further requirements on manufacturing, importing, supplying, handling,


transporting and storing hazardous substances refer to AD EHS RI CoP 1.0
Hazardous Materials.

3.2.10 General Community


(a) No person may recklessly engage in conduct that places, or may place a person who is at a

workplace or the environment, at risk.


(b) Members of the community may make submissions on EHS matters of concern to them to

the relevant government authorities and expect an appropriate response commensurate with
the significance of the matter raised.
(c) Members of the community are encouraged to report any actions that have the potential to

cause harm to the environment, employees or the community to the relevant authorities.
3.3

EHS Responsibilities and Authorities for Developments / Projects


(a) The AD EHSMS RF shall serve as the platform and tool allowing AD EHS Center to

delegate, to the extent practicable, implementation and enforcement of the EHS


requirements to the concerned Sector Regulatory Authorities.
3.3.1

Planning and Evaluation Phase


(a) The concerned Sector Regulatory Authoritys primary role includes reviewing and approving

the Health and Safety component of relevant EHS Management Plans.


(b) The concerned Sector Regulatory Authority shall also review, to the extent delegated by the

Environment Competent Authority, the Environmental component of relevant EHS Studies


and Plans.
3.3.2

Construction Phase
(a) The Building and Construction Sector Regulatory Authority has the primary responsibility

and authority to implement, monitor and enforce the requirements of AD EHSMS RF and the
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Building and Construction Sector EHSMS Requirements during the construction phase
(construction work activities) of all projects within the Emirate of Abu Dhabi, in coordination
and cooperation with other relevant authorities.
(b) This includes, but is not limited to:
(i)

licencing and permitting of construction work projects and activities;

(ii)

enforcement of EHS performance and reporting requirements;

(iii)

EHS inspections, monitoring and auditing; and

(iv)

investigation of relevant incidents.

(c) The primary mechanism for managing this phase is the Building Permit / No Objection

Certificate issued through the relevant municipality.


3.3.3

Operational Phase
(a) The concerned Sector Regulatory Authoritys primary role includes monitoring

implementation and compliance to the AD EHSMS RF, Sector EHSMS Requirements, and
delegated requirements from relevant Authorities during the operational phase of the
development / project, as per Section 3.2.3 of this Element.
3.3.4

Decommissioning and Demolition


(a) The Building and Construction Sector Regulatory Authority has the primary responsibility

and authority to implement, monitor and enforce the requirements of AD EHSMS RF and the
Building and Construction Sector EHSMS requirements during the decommissioning and
demolition phase (construction work activities) of all projects within the Emirate of Abu
Dhabi, in cooperation with other relevant Authorities.
(b) This includes, but is not limited to:
(i)

licencing and permitting of construction work projects and activities;

(ii)

enforcement of EHS performance and reporting requirements;

(iii)

EHS inspections, monitoring, and auditing; and

(iv)

investigation of relevant incidents.

(c) The primary mechanism for managing this phase is the Building Permit / No Objection

Certificate issued through the relevant municipality.

4.

Self-Regulation
(a) To participate in self-regulation and achieve compliance the entity shall establish and

maintain an effective EHSMS that is:


(i)

in compliance with all Federal and Local laws;

(ii)

in compliance with AD EHSMS RF requirements;

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(iii)

in compliance with the concerned Sector EHSMS Requirements; and

(iv)

achieving the entity's EHS policy objectives defined by the top management.

(b) Government and private entities implementing an EHSMS have an important leadership role

in supporting the implementation of AD EHSMS RF by:


(i)

promoting to relevant stakeholders their involvement and compliance to the system;

(ii)

promoting EHS performance improvements and successes; and

(iii)

requiring all contractors and suppliers (that are assessed to pose significant EHS
hazards and risks) to have an approved EHSMS.

(c) At the discretion of relevant Competent Authorities / Sector Regulatory Authorities, entities

demonstrating effective implementation of EHSMS programs can be rewarded with reduced


frequency of Sector Regulatory Authority audits, inspections and other enforcement
activities (not including annual third party compliance audit).
(d) Except as noted in (e) and (f) below, where internal audits, inspections or reports reveal

non-compliance and this non-compliance is corrected in an appropriate manner within a


reasonable time frame the entity shall be immune from prosecution against that noncompliance to the fullest extent allowed by applicable laws.
(e) Entities undertaking corrective actions under (d) shall not be granted immunity from

prosecution in the following cases:


(i)

gross negligence;

(ii)

reckless conduct;

(iii)

failure and/or repetitive failure to comply with an EHS instruction issued by a relevant
Authority(s);

(iv)

non-compliances identified as a result of investigations following incidents, complaints


or referrals by third parties; and

(v)

non-compliances identified as a result of routine or non-routine enforcement actions by


relevant Authority(s).

(f) Entities shall proactively identify areas where compliance is not reasonably practicable to

achieve and agree with the concerned Sector Regulatory Authority on corrective actions and
timelines for implementation to avoid prosecution, to the extent legally possible, as a result
of routine (or non-routine) enforcement actions by these authorities.
Note: Refer to AD EHSMS RF Guidance Document Self-Regulation and the AD EHS
Guiding Principles for details of the Self-Regulation.

5.

Enforcement
(a) Every effort shall be made so that enforcement of EHS requirements by the relevant

Authorities is only undertaken for the purposes of:


(i)

protecting health and safety of employees and the community;

(ii)

protecting the environment and its beneficial uses;

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(iii)

ensuring that no commercial advantage is obtained by any person/entity who fails to


comply with environment, health and safety requirements; and

(iv)

influencing the attitude and behavior of persons whose actions may have adverse
environment, health and safety impacts, or who develop, invest in, purchase or use
goods and services which may have adverse environment, health and safety impacts.

(b) Enforcement will only occur when no action is taken to rectify an identified non-

conformance, as per Section 4 (e).


(c) Enforcement activities will be pursued by the Federal or Emirate Authorities and/or the

concerned Sector Regulatory Authority by enforcing the requirements of laws under their
control and enactment.

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Element 02 Risk Management


Table of Contents

1.

Aims and Intent ........................................................................................................................ 17

2.

Application and Implementation ................................................................................................ 17

3.

Requirements ........................................................................................................................... 17
3.1

Risk Management Program .......................................................................................... 18

3.2

Operational Safety ........................................................................................................ 18

3.3

Safety Case .................................................................................................................. 19

Appendix A - Occupational Health and Safety Control Hierarchy ...................................................... 21


Appendix B - Environmental Control Hierarchy ................................................................................. 22

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1.

Aims and Intent


(a) The aims and intent of this Regulatory Framework Element are to:

2.

(i)

ensure a systematic approach to risk management;

(ii)

ensure EHS hazards and risks are identified, assessed and appropriate control
measures are implemented and monitored; and

(iii)

prescribe standard methodologies in which the risk management process shall be


conducted and compliance can be assessed.

Application and Implementation


(a) Risk management is a tool that is intended to provide the information that is necessary to

make decisions regarding the requirements for management of the environmental aspects
and the health and safety of employees, other relevant stakeholders and the general
community.
(b) Risk management is a continuous process, rather than a one-off procedure that is applied to

an individual hazard. Entities must continuously reassess hazards and risks and search for
new ones. Risk management is a structured way of controlling risk.
(c) Relevant, clear and timely communication and consultation at all stages of the risk

management process will facilitate positive outcomes. Benefits include:

sharing relevant information about EHS;

providing opportunities for employees, contractors and other relevant stakeholders to


contribute to development and implementation of control measures;

providing an opportunity for employees, contractors and other relevant stakeholders to


work together to seek solutions that lead to healthier and safer workplaces; and

providing a forum for review and contribution towards policy and procedure development
within the organization.

(d) While it is not possible to have a totally risk-free work environment, it is possible to avoid,

reduce or eliminate some of the risks.

3.

Requirements
(a) To demonstrate compliance an entity shall:
(i)

develop, implement and maintain appropriate Risk Management Program /


Procedure(s); and

(ii)

conduct an EHS review of all activities, products and services (eg. Risk Registers).

Note: Refer to AD EHSMS RF Technical Guideline Process of Risk Management

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3.1

Risk Management Program


(a) The entity Risk Management program shall, at a minimum:
(i)

ensure risk management is an integral part of management and embedded in the


entity culture and practices;

(ii)

ensure risk management shall be applicable to all activities that an entity undertakes
and/or phases of a project / development (from design to decommissioning /
demolition);

(iii)

define risk management methodologies and competencies;

(iv)

be based on consultation with employees, contractors and other relevant stakeholders;

(v)

incorporate the recognized steps of risk management, which include:

identify all EHS hazards in the workplace;


assess the risks of these hazards;
formulate control measures to reduce the risk to an acceptable and as low as
reasonably practicable (ALARP) level;
review the program on a regular basis; and
incorporate a management of change process within the entity.

(vi)

addresses routine and non-routine activities of all persons having access to the
workplace;

(vii)

addresses supply chain and contractor undertakings;

(viii) address human behavior;


(ix)

identify hazards outside the workplace capable of adversely affecting the environment
and/or health and safety of employees;

(x)

address potential risk to persons not in the entitys employment;

(xi)

address plant, machinery, equipment, substances and materials at the workplace;

(xii)

address the design of work areas, processes, work organization and operating
procedures; and

(xiii) ensure documentation, recording and communication of the results of risk

management activities.
(b) When determining control measures, or changes to existing control measures, consideration

shall be given to reducing the risks according to the following hierarchies:

3.2

(i)

Occupational Health and Safety Control Hierarchy (Appendix A); and

(ii)

Environmental Control Hierarchy (Appendix B).

Operational Safety
(a) Operational safety can be defined the condition of having acceptable risk to life,

health, property, or environment caused by a system or subsystem in an


operational environment. This requires the identification of hazards, assessment of
risk, determination of mitigating measures, and acceptance of residual risk.
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(b) Entities that operate complex process facility / system and / or vital Emirate

infrastructure assets shall develop an integrated program combining EHS risk


management, asset integrity, and reliability services to achieve major
improvements in process and operational safety.
(c) As a minimum this integrated program shall be included into an entities EHSMS to

ensure integration with other management system control measures. Programs


shall include, but are not limited to:
(i)

increased top managements commitment to, and awareness and leadership of,
operational / process safety;

(ii)

increased focus on process safety issues through tools such as risk management
assessments and activities (eg. HAZOP, HAZID, Safety Case; Fault Tree Analysis);
and

(iii)

implement inherit fail-safe designs (eg. asset integrity and reliability);

(iv)

identify key control measures and manage accountability;

(v)

implement redundant processes to control both hardware, systems and procedures;

(vi)

increased focus on emergency response and management activities;

(vii)

build a strong safety culture to complement management commitment and technical


safety programs;

(viii) conduct comprehensive near miss / incident investigations, identify root causes and to

verify a control measures effectiveness; and


(ix)

3.3

establish priorities of monitoring activities, management follow-up and close-out


tracking systems.

Safety Case
(a) The Competent Authority and/or Sector Regulatory Authorities, based on risk

assessment, can request an entity to perform a more detailed, specialized risk


management technique, commonly called a safety case. Reasons for this may
include:
(i)

if they consider that there are high risk activities, substances or materials in use;
and/or

(ii)

if they consider that a building / facility is a major hazardous facility.

(b) Major hazard facilities (MHFs) are facilities that produce, store, handle or process

large quantities of hazardous material (eg. chemicals) and dangerous goods,


including petroleum products:
Examples include:

petrochemical / chemical / gas refineries;

chemical manufacturing sites;

gas-processing plants;

LPG facilities;

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specific warehouses and transport depots; and

facilities of a similar kind to those listed.

(c) Major hazard facilities store / use large quantities of hazardous materials (eg.

chemicals). MHFs have to demonstrate their operational safety through a Safety


Case developed specifically for their unique operations and situation.
(d) The safety case shall set out the adequacy of the sites EHS management system

by specifying prevention measures as well as strategies for reducing the effects of


a major incident if one does occur.
(e) It can only be prepared following a full examination of a site's activities to identify

hazards and all potential major incidents, and to determine the necessary control
measures.
(f) The safety case shall be prepared with the full involvement of employees and their

health and safety representatives from all of the different workgroups and
functional areas at the site.
(g) The relevant emergency services shall be consulted on emergency plan

preparation, and other relevant authorities shall be consulted on actions required


for the safety of local community members in the event of a major incident.

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Appendix A - Occupational Health and Safety Control Hierarchy


Hazards and risks must be controlled in a systematic manner with the requirement to eliminate the
hazard or risk wherever practicable.
If it is not practicable to eliminate the risks, then the risks need to be reduced through substitution
and/or engineering control measures and/or administrative control measures. The last level of control is
to provide personal protective equipment (PPE) against the risk.
This latter approach does nothing to minimize or alter the original risk, and any failure of the PPE
exposes the wearer to the full hazard potential. This is why the control measures are referred to as a
hierarchy, as one must start with the first control measure of elimination, and work downwards only if it
is not reasonably practicable to implement that control measure.
Once the primary control measure has been selected, then the use of various other control measures
may be utilized to further reduce the risk so far as is reasonably practicable.

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Appendix B - Environmental Control Hierarchy


The management hierarchy concept can be viewed as a straightforward set of management plans.
The hierarchy sets forth several management strategies or options according to importance and
preference in a descending order. The aim is to extract the maximum practical benefits from the
products and manage impacts in the best possible manner, so that the minimum amount of waste and
discharges is generated.

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Element 03 Management of Contractors


Table of Contents
1.

Aims and Intent ........................................................................................................................ 24

2.

Application and Implementation ................................................................................................ 24

3.

Requirements ........................................................................................................................... 24
3.1

Management of Contractors Process ............................................................................ 24

3.1.1

Requirements for the Management of Contractor Process ............................................ 25

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1.

Aims and Intent


(a) The aims and intent of this Regulatory Framework Element are to:

2.

(i)

ensure a systematic approach to the management of contractors so that risks to health


and safety of contractors, employees, the community and the environment are
minimised; and

(ii)

provide specific requirements for the Building and Construction Sector for the
management of EHS aspects of contractors engaged in construction work.

Application and Implementation


(a) The AD EHSMS RF defines a contractor (and/or sub-contractor) as a person, entity, their

employees or a nominated representative engaged to carry out a scope of works for another
entity in a contract for service arrangement.
(b) For the purpose of the AD EHSMS RF the term contractor and sub-contractor are

interchangeable.
(c) The duties of a contractor relate only to matters over which, and the extent to which, the

contractor has control or can reasonably be expected to have control at the workplace / site.

3.

Requirements
(a) To demonstrate compliance an entity shall:
(i) develop, implement and maintain appropriate Management of Contractors Procedure(s);

3.1

(ii)

develop, implement and maintain appropriate procedure(s) in compliance with AD EHS


RI CoP 20.0 Safety in Design (Construction), if applicable; and

(iii)

develop, implement and maintain appropriate procedure(s) in compliance with AD EHS


RI CoP 53.0 EHS Management during Construction Work, if applicable.

Management of Contractors Process


To manage the environment, health and safety risks arising from engaging contractors, the
entity shall implement the relevant steps of the following contractor management process:

Establishment of Project EHS Requirements the process of pre-qualifying contractors


and/or including project EHS requirements in tender / specification documentation;

Evaluation / Selection the process for evaluation and selection of contractors that
possess appropriate EHS management system for the scope of works;

Contractual Agreement the contractual agreement process between the client and the
contractor (once selected) includes a clear scope of works and the project specific
requirements for environment, health and safety management;

Co-ordination and Communication the process of agreeing on the method of coordination of contractor(s) activities, with clear arrangements for communicating the EHS
information and requirements to all relevant stakeholders;

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3.1.1

Mobilization / Work in Progress the process of ensuring EHS management is


implemented during mobilization to the workplace / site and during work activities to achieve
the successful completion of the scope of work;

Monitoring Performance the process of defining measures that are used to periodically
evaluate contractor EHS performance and compliance against legislative and project
specific EHS requirements and goals;

Commissioning the process of ensuring EHS management during the commissioning of


buildings / machinery / plant / equipment;

Demobilization / Decommissioning the process of ensuring EHS management is


implemented during demobilization / decommissioning activities, including transportation of
personnel, equipment and supplies/materials not used, including the disassembly, removal
and site cleanup of any offices, buildings or other facilities assembled on the site; and

Contract Close-Out the contractual agreement process at the completion of scope of


works. This step is particularly important for contracts that contain construction work. This
is when official control of the site is returned to the Entity / Client / Developer.

Requirements for the Management of Contractor Process


(a) Establishment of Project EHS Requirements: Entities shall include defined EHS

requirements in tender and specification documents. This shall include but is not limited to:
(i)
a detailed scope of works;
(ii)
a list of known key EHS hazards and risks associated with the projects;
(iii) minimum EHS requirements, including:
adequate EHS resources;
legal compliance;
risk management programs;
EHS performance monitoring and incident reporting;
EHS training and competency;
communication and consultation activities;
EHS inspection and auditing requirements; and
non-compliance and enforcement procedure.
(b) Evaluation / Selection:
(i)

entities shall develop a procedure that establishes a systematic approach to evaluating


prospective contractor(s) EHS management systems, capabilities, performance and
resources;

(ii)

in making this assessment the entity shall take into account the complexity of the
scope of works to be completed and the level of risks involved; and

(iii)

preference shall be given to contractors that have an approved EHSMS.

(c) Contractual Agreement:


(i)

entities shall include defined EHS requirements in contract documents; and

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(ii)

entities shall provide a clear scope of works to all engaged contractors that shall
include, but is not limited to:
(1) that contractors have an approved EHSMS, or, if contractors do not have an
approved EHSMS, then they shall induct and train the contractor on the entities
standards and ensure the contractor has systems in place to manage the risks
from their undertakings;
(2) the requirement for adequate EHS resources;
(3) EHS roles, responsibilities and accountabilities of all relevant stakeholders are
clearly defined and communicated;
(4) a chronological division of work to be performed under the contract (or subcontract)
up until the completion of a project;
(5) a description in sufficient detail to enable contractors to understand the complexity,
potential hazards and level of risk of the work to be performed;
(6) the requirements of contractors in respect of EHS;
(7) mechanisms and/or penalties for managing ongoing non-conformance to EHS
requirements; and
(8) relevant project EHS documentation (eg. site induction requirements, site safety
plan, EHS procedures, permit systems and EHS policy).

(d) Co-ordination and Communication:


(i)

entities which engage contractors shall allocate appropriate levels of planning,


coordination and communication to the management of contractors.

(ii)

coordination activities shall include, but not limited to:


(1) forward planning of work activities and tasks between contractors to minimize risks;
(2) joint risk assessment of work activities and tasks;
(3) contractors participation in consultative activities (eg. EHS committee);
(4) employee welfare related and transportation activities;
(5) emergency response and management arrangements;
(6) communication of EHS information (including hazard alerts, site safety alerts and
incident reports, toolbox meetings, etc.); and
(7) EHS record keeping requirements.

(e) Mobilization / Work in Progress:


(i)

entities shall, as far as is reasonably practicable, ensure:


(1) that contractors are performing work activities in a manner that is safe for
employees and the community, as well as in a manner that protects the
environment;
(2) that contractors are applying EHS systems / practices suitable for the work being
carried out; and
(3) that all employees and visitors complete an EHS induction process.

(f) Monitoring Performance:


(i)

entities shall, as far as reasonably practicable, monitor contractors performance and


compliance to EHS requirements, including but not limited to:

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(1) monitor and assess the performance of contractors to ensure that all EHS

(2)
(3)
(4)
(5)
(6)

requirements are met (including AD EHSMS RF Key Performance Indicators AD


EHS RI Mechanism 6.0 EHSMS Performance and Incident Reporting);
monitor and assess whether regular site inspections are conducted, if appropriate;
monitor and assess compliance through audits of EHSMS, EHS procedures, etc.;
monitor, assess and follow up non-conformances and corrective actions;
review contractors EHS performance, incident reports, third party reports and
complaints; and
hold regular EHS performance meetings with the contractors.

(g) Commissioning:
(i)

entities shall ensure that:


(1) appropriately trained and competent personnel perform commissioning activities;
(2) full written operating instructions shall be provided for all commissioning activities;

and
(3) commissioning procedures shall document a logical progression of steps

necessary to verify that installed plant is fully functional and fit for purpose.
These procedures shall include the following steps (not an exhaustive list):
Permit to Work Procedures;
Isolation (Lock-out / Tag-out) Procedures;
Restrictive Access;
Operator Training and Competency;
System Configuration Check;
Calibration of Vessels and Instrumentation;
Start Up Protocol;
Shut Down Protocol;
Chemical (Live) Trials; and
Handover.
(h) Demobilization / Decommissioning:
(i)

entities shall ensure that EHS requirements are complied with throughout all
demobilization / decommissioning activities, including transportation of plant,
equipment, supplies/materials and waste, and including the disassembly, removal and
site cleanup of any offices, buildings or other facilities assembled on the site.
Requirements shall include, but not be limited to:
(1) a demolition / decommissioning plan shall be developed and approved by the

Building and Construction Sector Regulatory Authority before work commences;


(2) all equipment and materials shall be demobilized in accordance with all local and

federal laws related to transportation, waste disposal and safety; and


(3) upon completion of the work, all access areas shall be restored to the same

condition as prior to the start of the work.

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(i) Contract Close-Out:


(i)

the process at the completion of the contract shall include clear provision and
identification of when control of the workplace / site, where Construction Work has
occurred, is returned to the Entity / Client / Developer.

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Element 04 Communication and Consultation


Table of Contents
1.

Aims and Intent ........................................................................................................................ 30

2.

Application and Implementation ................................................................................................ 30

3.

Requirements ........................................................................................................................... 30
3.1

Communication Procedure............................................................................................ 30

3.2

Consultation Procedure................................................................................................. 31

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1.

Aims and Intent


(a) The aims and intent of this Regulatory Framework Element are to:
(i)

2.

ensure a systematic approach to the management of EHS:

consultation activities; and

communication and awareness.

Application and Implementation


(a) Appropriate communication of EHS information to entitys employees and contractors

ensures that everybody is made aware of the requirements of the EHS management system
and they understand the importance of following the system. Communication is a one-way
process, conveying or imparting a message to an intended audience.
(b) The EHSMS sets out requirements for consultation, which involves fostering cooperation

and developing partnerships between employers, employees, contractors and other relevant
stakeholders to ensure protection of the environment, and the health and safety of the
workforce. Consultation is a two-way process, discussing, deliberating and exchanging
ideas and information.
(c) A comprehensive consultation process will also help to achieve better EHS outcomes

through the risk management process.

3.

Requirements
(a) To demonstrate compliance an entity shall:

3.1

(i)

develop, implement and maintain appropriate Communication Procedure(s); and

(ii)

develop, implement and maintain appropriate Consultation Procedure(s).

Communication Procedure(s)
(a) The entitys Communication Procedure(s) shall address, at a minimum:
(i)

internal communication throughout the various levels of the entity;

(ii)

communication with contractors and other visitors to the workplace;

(iii)

relevant communication with external stakeholders; and

(iv)

development of an annual EHS performance report, to be used for internal


communication and management review purposes (external stakeholder
communication / distribution is optional).
Note: Entities who release their annual EHS performance report to external
stakeholders are responsible for the accuracy and quality of the information. It is
recommended that official third party verification of information is obtained.

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3.2

Consultation Procedure(s)
(a) The entitys Consultation Procedure(s) shall address, at a minimum:
(i)

ensure effective consultation and participation of employees in EHS matters;

(ii)

appropriate involvement in risk management activities;

(iii)

appropriate involvement in EHS incident investigation;

(iv)

involvement in the development and review of EHS policies and objectives;

(v)

structure of consultation committees and meetings; and

(vi)

consultation with contractors and other external stakeholders.

(b) Consultation shall take place at every stage of the risk management process including

when:
(i)

new work processes, equipment or tools are being designed, purchased or modified
(consult early to allow changes to be incorporated);

(ii)

identifying hazardous activities which require assessment;

(iii)

establishing priorities for the assessment of hazardous activities and during the risk
assessment process;

(iv)

deciding on control measures to manage risk;

(v)

reviewing the effectiveness of implemented control measures and identifying whether


further hazards and risks are created by the chosen control measures; and

(vi)

deciding the contents of EHS procedural documents.

(c) An entity / project / facility / site with greater than fifty (50) employees, or as warranted by

risk assessment, are to establish an Environment, Health and Safety Committee or


equivalent. Employees and management shall be represented on and participate in EHS
Committee activities. Duties of the EHS Committee shall include:
(i)

review of issues and circumstances in the workplace which may affect the health or
safety of persons in the workplace, including EHS aspects and impacts;

(ii)

to promote co-operation between management and employees in achieving and


maintaining healthy and safe working conditions; and

(iii)

to exercise such other functions and duties as may be prescribed or conferred on the
Committee by the employer in assuring the health and safety of employees.

(d) The EHS Committee shall meet a minimum of 4 times a year. The employer shall provide

facilities, resources and assistance to the EHS Committee as may reasonably be required
for the purpose of carrying out the Committees functions and duties.
(e) Consultation shall allow:
(i)

sharing of information relevant to EHS aspects in the workplace with employees; and

(ii)

the views of employees to be taken into account before EHS decisions are made and
that the employees are advised of the outcome of the consultation in a timely manner.

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Element 05 Training and Competency


Table of Contents
1.

Aims and Intent ........................................................................................................................ 33

2.

Application and Implementation ................................................................................................ 33

3.

Requirements ........................................................................................................................... 33
3.1

EHS Training Procedure(s) ........................................................................................... 33

3.2

EHS Competency Procedure(s) .................................................................................... 34

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1.

Aims and Intent


(a) The aim and intent of this Regulatory Framework Element are to:

2.

(i)

ensure a systematic approach to the management of identifying, implementing and


monitoring EHS training;

(ii)

ensure all employees, contactors and visitors receive appropriate EHS training; and

(iii)

ensure a systematic approach to identifying, assessing and monitoring the


competencies that are required to ensure tasks can be performed in a safe manner by
all employees and contractors.

Application and Implementation


(a) EHS training shall be risk-based and consider the requirements of all employees,

contractors, visitors and any other relevant stakeholders.

3.

Requirements
(a) To demonstrate compliance an entity shall:

3.1

(i)

develop, implement and maintain appropriate EHS Training Procedure(s); and

(ii)

develop, implement and maintain appropriate EHS Competency Procedure(s).

EHS Training Procedures


(a) The entity EHS Training Procedure(s) shall address, at a minimum:
(i)

(ii)

identification and evaluation of EHS training needs (eg. Training Needs Analysis and
EHS Training Matrix), and providing appropriate EHS training including:

EHS Management System training;

EHS roles and responsibilities;

EHS emergency response and management;

EHS inductions, generic and site-specific, (including contractors and other


persons) that at a minimum include compliance with Article 98 of Federal Law No.
8, for 1980, on Regulation of Labour Relations;

EHS consequences of non-conformance to specified procedures;

relevant subject specific EHS training (eg. Manual Handling, Safety in the Heat,
etc); and

specialized task-specific training (eg. Confined Spaces, Working at Heights, etc).

planning the implementation and provision of the required training:

level of responsibility and competence;

frequency of training;

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types of training;

literacy, numeracy, language and other learning requirements;

course selection / material development;

trainer competency;

assessment activities;

training records; and

refresher training requirements.

(iii)

monitoring, measuring results; and

(iv)

review of EHS training procedure(s).

(b) All externally provided EHS related training shall be performed by EHS Training and Service

Entities registered with the AD EHS Center, as per the requirements of AD EHS RI
Mechanism 7.0 AD EHS Professional Entity Registration.
(c) All EHS related training that includes certification of competency shall be provided by a

person who is registered with the AD EHS Center, as per the requirements of AD EHS RI
Mechanism 8.0 AD EHS Practitioner Registration.
3.2

EHS Competency Procedure(s)


(a) The entity EHS Competency Procedure(s) shall address, at a minimum:
(i)

ensure that employees and other persons under its control performing tasks are
competent on the basis of appropriate education, training and/or experience;

(ii)

a process to identify and evaluate EHS competency requirements, including:

relevant EHS competencies; and

task-specific competences.

(iii)

methods of assessing competencies;

(iv)

process to record competencies;

(v)

maintaining and improving competencies; and

(vi)

a system to review the EHS competency procedure(s).

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Element 06 Emergency Management


Table of Contents
1.

Aims and Intent ........................................................................................................................ 36

2.

Application and Implementation ................................................................................................ 36

3.

Requirements ........................................................................................................................... 36
3.1

Emergency Management Program ............................................................................... 36

3.2

Threat-Specific Emergency Response and Management Plans .................................... 37

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1.

Aims and Intent


(a) The aims and intent of this Regulatory Framework Element are to:

2.

(i)

ensure a systematic approach to emergency management planning and response; and

(ii)

facilitate harmonization of relevant Competent Authority(s) requirements and provide a


clear hierarchy of control in the event of significant emergencies.

Application and Implementation


(a) Emergency management involves a number of inter-related concepts, structures, tools and

actions. These establish the context within which emergency management activities are
conducted.
(b) Emergency risk management is a tool or process for analyzing risk and deciding on the most

appropriate control measures to manage and reduce risk. Although all reasonably
practicable efforts to reduce risk may be taken, there will normally be some residual risk. It is
this residual risk that may lead to emergencies. Anticipated emergency scenarios shall be
identified during the process of risk assessment.
(c) Emergency management involves the process of containing and controlling incidents so as

to minimize the effects and to limit danger to persons, the environment and property. An
emergency management program may consist of a number of specific response plans.
(d) Emergency plans shall be simple and straightforward, flexible and achieve compliance with

legislative requirements. Furthermore separate on-site and off-site emergency plans shall be
prepared if applicable.
(e) Emergency plans provide the basis for emergency preparedness.

3.

Requirements
(a) To demonstrate compliance an entity shall:
(i)

3.1

develop, implement and maintain appropriate Emergency Management Procedure(s)


in compliance with the requirements of this document and AD EHS RI CoP 6.0
Emergency Management Requirements and all relevant Federal and Local Authorities
requirements (eg. UAE Fire and Life Code 2011).

Emergency Response and Management Program


(a) The entity Emergency Response and Management program / procedure(s) shall address, at

a minimum:
(i)

risk-based identification and response to potential emergency situations;

(ii)

specific emergency response and management roles, responsibilities and resources;

(iii)

appropriate risk-based emergency response and management plan(s), including:

threat-specific plan(s);

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facility specific(s); and

appropriate support / functional plans.

(iv)

provision of appropriate resources (eg. human, equipment, facilities, training, etc);

(v)

arrangements for external stakeholder communications;

(vi)

arrangement for communications with concerned SRAs and emergency services, if


applicable;

(vii)

periodic emergency response and management tests and exercises; and

(viii) monitoring and review of plans and procedures.

3.2

Specific Emergency Response and Management Plans


(a) Entity specific risk assessment of potential emergency scenarios shall identify reasonably

foreseeable emergencies and hazards.


(b) Specific plans shall be developed to deal with reasonably foreseeable emergencies and

high-risk hazards.
(c) Examples of potential emergency scenarios include, but are not limited to:

explosion / fire;

release of hazardous materials;

natural disaster (eg. storm, flood, earthquake);

bomb threat / terrorism / unrest;

pandemic of communicable or infectious disease;

marine and/or soil pollution;

communications failure;

radiological accident; and

biological agent release.

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Element 07 Monitoring, Investigation and Reporting


Table of Contents
1.

Aims and Intent ........................................................................................................................ 39

2.

Application and Implementation ................................................................................................ 39

3.

Requirements ........................................................................................................................... 39
3.1

EHS Targets and Objectives Procedure(s).................................................................... 39

3.2

EHS Incident Investigation Procedure(s) ....................................................................... 40

3.3

EHS Monitoring Procedure(s) ....................................................................................... 40

3.4

EHS Reporting Procedure(s) ........................................................................................ 41

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1.

Aims and Intent


(a) The aims and intent of this Regulatory Framework Element are to:

2.

(i)

ensure a systematic approach to the EHS monitoring, investigation and reporting;

(ii)

ensure accurate, timely and informative data on incidents, injuries, occupational


illnesses and environmental aspects is collected and analyzed; and

(iii)

ensure effective investigation is conducted, identifying root causes, and appropriate


corrective action are implemented.

Application and Implementation


(a) Monitoring and reporting are important components of any EHSMS. The overall aim of

monitoring and reporting is to quantify and demonstrate progress towards goals and targets.
Regular monitoring, reporting and evaluation of EHS performance is an integral part of the
process of continual improvement.
(b) Employers are responsible for monitoring the health of employees, particularly those

deemed to be working in high-risk areas or with high-risk chemicals, substances or


materials.

3.

Requirements
(a) To demonstrate compliance an entity shall:

3.1

(i)

develop, implement and maintain appropriate EHS Targets and Objectives


Procedure(s);

(ii)

develop, implement and maintain appropriate EHS Incident (including Hazard and
Near-Miss) Investigation Procedure(s);

(iii)

develop, implement and maintain appropriate EHS Monitoring Procedure(s);

(iv)

develop, implement and maintain appropriate EHS Reporting Procedure(s); and

(v)

ensure compliance with this document and AD EHS RI Mechanism 6.0 EHSMS
Performance and Incident Reporting.

EHS Targets and Objectives Procedure(s)


(a) The entity EHS Targets and Objectives Procedure(s) shall address, at a minimum:
(i)

ensure documented and effectively communicated EHS targets and objectives;

(ii)

ensure targets and objectives, where practicable shall be measureable;

(iii)

incorporates requirements of:

the entity EHS policy;

legal requirements;

relevant Competent Authorities requirements;

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3.2

AD EHSMS RF mandatory key performance indicators, as defined in AD EHS RI


Mechanism 6.0 EHSMS Performance and Reporting; and

Sector specific targets and objectives, if applicable.

(iv)

sets program(s) for achieving the targets and objectives, including, the methods,
timeframes, monitoring activities and responsibilities; and

(v)

ensure targets, objectives and procedure(s) are reviewed periodically to ensure they
remain relevant and appropriate.

EHS Incident Investigation Procedure(s)


(a) The entity EHS Incident Investigation Procedure(s) shall be compliant with AD EHS RI

Mechanism 11.0 EHS Incident Investigation and shall address, at a minimum:

3.3

(i)

process of recording, investigating and analyzing EHS incidents;

(ii)

ensure investigations are performed by competent person(s) in consultation and


coordination with relevant stakeholders;

(iii)

ensure investigations are performed in a timely manner;

(iv)

process to determine the root causes of EHS incidents;

(v)

identify opportunities for corrective and preventative control measures; and

(vi)

ensure effective communication of the outcomes of the investigation to relevant


stakeholders.

EHS Monitoring Procedure(s)


(a) The entity EHS Monitoring Procedure(s) shall address, at a minimum:
(i)

monitoring of the entitys EHS targets and objectives;

(ii)

monitoring the effectiveness of EHS programs and control measures;

(iii)

proactive and reactive measures of performance to monitor conformance with EHS


programs and control measures;

(iv)

monitoring compliance with applicable Federal Occupational Standards and AD EHS


Regulatory Instrument - Standards and Guideline Values;

(v)

relevant requirements outlined in relevant AD EHS Regulatory Instruments:

(vi)

requirements outlined in SRA / Competent Authorities permits / licenses / no objection


certificates, or equivalent;

(vii)

requirements outlined in approved EHS Plans and Studies;

(viii) requirements outlined by relevant SRA / Competent Authority(s); and


(ix)

description of methodologies and instruments used to monitor, including, calibration


requirements and records.

(b) The monitoring of occupational health and safety shall be risk based and include, at a

minimum:
(i)

occupational air, noise and other relevant work amenities (eg. lighting, ventilation);

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(ii)

ergonomic and workplace design factors;

(iii)

wellness programs;

(iv)

waste management;

(v)

hazardous substances;

(vi)

health surveillance;

(vii)

occupational illnesses; and

(viii) EHS hazards, near-misses and incidents.


(c) The monitoring of environmental factors shall include, at a minimum:

3.4

(i)

environmental impacts and aspects as identified by the entitys risk management


program; and

(ii)

requirements outlined by relevant SRA / Competent Authorities.

EHS Reporting Procedure(s)


(a) The entity EHS Reporting Procedure(s) shall address, at a minimum:
(i)

hierarchies, timetables and responsibilities for reporting;

(ii)

internal EHS performance and incident reporting requirements;

(iii)

external EHS performance and incident reporting requirements, including:


EHS Incidents to the concerned SRA as required;
quarterly EHS performance to the concerned SRA;
annual third party external compliance audit results to the concerned SRA;
requirements of AD EHS RI Mechanism 6.0 EHSMS Performance and Incident
Reporting; and
other legal and regulatory reporting requirements.

(iv)

requirements outlined in SRA / Competent Authorities requirements / permits / licenses


/ no objection certificates, or equivalent;

(v)

requirements outlined in approved EHS Plans and Studies;

(vi)

requirements outlined in relevant AD EHS Regulatory Instruments; and

(vii)

other requirements outlined by the entitys approved EHSMS;

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Element 08 Audit and Inspection


Table of Contents

1.

Aims and Intent ........................................................................................................................ 43

2.

Application and Implementation ................................................................................................ 43

3.

Requirements ........................................................................................................................... 43
3.1

EHS Audit Program....................................................................................................... 43

3.2

Qualifications for EHSMS Auditing Personnel ............................................................... 44

3.3

EHS Inspection Program............................................................................................... 44

3.4

Non-Conformance and Corrective Action ...................................................................... 45

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1.

Aims and Intent


(a) The aims and intent of this Regulatory Framework Element are to:

2.

(i)

ensure a systematic approach to EHSMS audit and inspection;

(ii)

ensure regular EHSMS audits and inspections are conducted; and

(iii)

ensure that EHS non-conformances are identified and an appropriate corrective action
plan is implemented as early as possible.

Application and Implementation


(a) An EHS audit shall be a systematic, independent and documented process for obtaining

evidence and evaluating it objectively to determine the extent to which the audit criteria are
fulfilled (Reference: ISO 19011:2003). The process will include planning, document review,
on-site audit/inspection, issuing of audit findings, formulation of action plans and follow up of
the action plans.
(b) Management of audit programs should be based on the plan-do-check-act methodology as

described in the current version of ISO 19011(Guidelines for Quality and/or Environmental
Management Systems Auditing).
(c) Inspections refer to critical examination of work tasks, facilities and equipment during a

physical walk-through of an area to determine conformance to applicable requirements,


standards and policies.

3.

Requirements
(a) To demonstrate compliance an entity shall:

3.1

(i)

develop, implement and maintain appropriate risk based EHS Audit Procedure(s);

(ii)

develop, implement and maintain appropriate risk based EHS Inspection Procedure(s);

(iii)

develop, implement and maintain appropriate Non-Conformance and Corrective Action


Procedure(s); and

(iv)

undergo an annual external third party compliance audit of entity EHSMS, as per the
requirements of AD EHS RI Mechanism 6.0 EHSMS Performance and Incident
Reporting.

EHS Audit Program


(a) The entity EHS audit program / procedure(s) shall address, at a minimum:
(i)

scope, criteria, and objectives of audits to be conducted;

(ii)

audit program responsibilities, competencies and resources;

(iii)

audit program planning and implementation processes, including;


(1) documented criteria;

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(2) frequency and schedules;


(3) methods of collecting and verifying information;
(4) reporting audit results; and
(5) audit program record keeping;
(iv)

audit program monitoring and review; and

(v)

internal and external reporting requirements.

(b) The internal audit criteria shall cover all relevant requirements to the entity such as:

3.2

(i)

Federal and Local EHS Legislation;

(ii)

AD EHSMS RF;

(iii)

specific Sector / Entity Requirements; and

(iv)

other specific entity requirements (eg, OHSAS 18001).

Qualifications for EHSMS Auditing Personnel


(a) Internal EHSMS auditors shall be suitably knowledgeable, experienced and competent to

undertake EHS audits.


(b) Annual external third party compliance audits shall be performed by AD EHSMS Auditors

registered with the AD EHS Center in accordance with AD EHS RI Mechanism 8.0 AD
EHS Practitioner Registration.
3.3

EHS Inspection Program


(a) The entity EHS inspection program / procedure(s) shall address, at a minimum:
(i)

scope, criteria and objectives of inspections to be conducted;

(ii)

inspection program responsibilities, competencies and resources;

(iii)

inspection program planning and implementation processes, including;


(1) criteria;
(2) frequency and schedules;
(3) methods of collecting and verifying information;
(4) reporting inspection results;
(5) non-conformance and corrective action process; and
(6) inspection program record keeping.

(iv)

inspection program monitoring and review; and

(v)

internal reporting requirements.

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3.4

Non-Conformance and Corrective Action


(a) The entity non-conformance and corrective action procedure(s) shall address, at a minimum:
(i)

identifying and correcting non-conformity(s) and taking actions(s) to mitigate their EHS
consequences;

(ii)

investigating non-conformity(s), determining their root cause(s) and taking actions to


avoid their reoccurrence;

(iii)

evaluating the need for action(s) to prevent non-conformity(s) and implementing


appropriate actions designed to avoid their occurrence;

(iv)

recording and communicating the results of corrective action(s) and preventative


action(s) taken; and

(v)

reviewing the effectiveness of corrective action(s) and preventative action(s) taken as


part of the close-out procedure.

(b) Where an action taken to correct or prevent non-conformity(s) identifies a new hazard or the

need for new or changed control measures, the proposed actions shall undergo a risk
assessment prior to implementation.

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Element 09 Compliance and Management Review


Table of Contents
1.

Aims and Intent ........................................................................................................................ 47

2.

Application and Implementation ................................................................................................ 47

3.

Requirements ........................................................................................................................... 47
3.1

Integrated EHS Policy ................................................................................................... 47

3.2

Legal Compliance Program ........................................................................................... 48

3.3

Operational Procedures ................................................................................................ 48

3.4

Document Control ......................................................................................................... 48

3.5

Record Retention .......................................................................................................... 48

3.6

Management of Change................................................................................................ 49

3.7

Management Review Program ...................................................................................... 49

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1.

Aims and Intent


(a) The aims and intent of this Regulatory Framework Element are to:

2.

(i)

define system compliance requirements; and

(ii)

ensure a systematic approach to the review of the entitys EHSMS.

Application and Implementation


(a) An EHS Management System requires appropriate level of documentation, quality control,

and continual improvement processes to ensure the systems relevance and effectiveness.
(b) EHS Management System documentation must be proportional to the level of complexity,

hazards and risks of the individual concerned entity.

3.

Requirements
(a) To demonstrate compliance an entity shall:
(i)

develop, implement and maintain an appropriate Integrated EHS Policy;

(ii)

develop, implement and maintain an appropriate Legal Compliance Procedure(s);

(iii)

develop, implement and maintain an appropriate Operational Procedures(s);

(iv)

develop, implement and maintain an appropriate Document Control(s);

(v)

develop, implement and maintain an appropriate EHS Record Retention Procedure(s);

(vi)

develop, implement and maintain an appropriate Management of Change Process;

(vii)

develop, implement and maintain an appropriate Management Review Procedure(s);


and

(viii) develop, implement and maintain appropriate programs and procedures prescribed

under all AD EHSMS RF Elements.


3.1

Integrated EHS Policy


(a) The entity Integrated EHS Policy shall address, at a minimum:
(i)

demonstrate Environment, Health and Safety commitments;

(ii)

be authorized by Top Management;

(iii)

be appropriate to the nature and scale of the entitys EHS risks;

(iv)

include commitment to:


prevention of injury, illness and environmental pollution;
enhancement of employee health and wellbeing;
legal compliance;
setting, monitoring and reviewing EHS targets and objectives;
provision of appropriate EHS resources; and

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3.2

continual improvement.

(v)

be communicated to all relevant stakeholders;

(vi)

references the Emirate EHS Policy and relevant Sector EHS Policy; and

(vii)

be reviewed periodically to ensure it remains relevant and appropriate.

Legal Compliance
(a) The entity Legal Compliance Procedure(s) shall address, at a minimum:

3.3

(i)

identify and access relevant legal and other requirements (eg. Legal Register);

(ii)

ensure compliance to relevant legal and other requirements when developing EHSMS
procedures, processes and programs;

(iii)

ensure communication to relevant stakeholders of legal and other requirements; and

(iv)

be reviewed periodically to ensure it remains relevant and appropriate.

Operational Procedures
(a) The entity operational program(s) / procedure(s) shall address, at a minimum:

3.4

(i)

operations and activities that are associated with identified hazard(s) that require
implementation of control measure(s) to manage risk(s);

(ii)

control measures related to supply chains (purchase of goods, equipment and


services);

(iii)

control measures related to contactors and other visitors to the workplace; and

(iv)

stipulated operating criteria / instructions, maintenance instructions / integrity programs


where their absence could lead to an increase in EHS risk(s).

Document Control
(a) The entity Document Control procedure(s) shall address, at a minimum:

3.5

(i)

ensure documents remain legible, traceable and secure;

(ii)

ensure relevant version control to prevent unintended use of obsolete documents;

(iii)

ensure appropriate review and approval processes; and

(iv)

ensure a distribution process for EHS documents.

Record Retention
(a) The entity Record Retention procedure(s) shall address, at a minimum:
(i)

process to maintain EHS records as necessary to demonstrate conformity to the


requirements of this document and Section 3 of Federal Law No. 8, for 1980, on
Regulation of Labour Relations;

(ii)

process to ensure identification, storage, protection retrieval, retention and disposal of


records;

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3.6

(iii)

process to retain EHS documents and records for a minimum period of 5 years; and

(iv)

process to retain medical / occupational health records for a minimum period of


employment plus 30 years thereafter.

Management of Change
(a) The entity Management of Change process shall address, at a minimum:

3.7

(i)

ensure that changes in organizational structure, personnel, plant, machinery,


equipemtn, materials, documentation, processes or procedures do not result in the
inadvertent introduction of hazards and increased risk;

(ii)

analyze changes in operational procedures or processes to identify any required


changes in training, documentation or equipment;

(iii)

analyze changes in location, equipment or operating conditions for any potential


hazards; and

(iv)

ensure that all personnel are made aware of and understand any changes in
requirements, procedures and applicable control measures.

Management Review
(a) The entity Management System Review procedure(s) shall address, at a minimum:
(i)

ensure top management reviews the entitys EHSMS, at planned intervals to ensure its
suitability and effectiveness, minimum of one full review per year;

(ii)

identify key review team members;

(iii)

specify clear roles and responsibilities assigned to review team members;

(iv)

define the process of recording, implementing and communicating the results of


management reviews;

(v)

define the criteria for the review, that shall include as a minimum:

review of the EHSMS by entity EHS staff;

previous review results;

results of internal and external audits;

EHS performance against targets and objectives;

changes to legal and other requirements;

relevant communications and complaints;

EHS incidents, investigations, non-conformances and corrective and preventative


actions; and

recommendations for continual improvement.

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Abu Dhabi EHS Center 2012


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