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Report

Health and safety


performance indicators

Health and Safety


January 2014
Introduction 3

1
Definitions for health and safety performance indicators 4

2
Recording boundaries 6
2.1 Case and new case recording boundary 6
2.2 Occupational or work-relatedness boundary 6
2.2.1 Situations included as occupational cases 6
2.2.2 Situations specifically excluded as occupational cases 7
2.3 Severity boundary for injuries 8
2.4 Recording periods for injuries, diseases and fatalities 8

3
Supporting guidance for recording injuries and diseases 10
3.1 Recording decision tree 10
3.2 Determining injuries vs diseases 10
3.3 Medical treatment vs first aid 11
3.4 Recording occupational diseases 11

Appendix
Additional definitions for terminology used in the indicator definitions 13

Acknowledgements 15

2 Health and safety performance indicators


Introduction

This document contains the recommended definitions and reporting


boundaries for lagging health and safety performance indicators to
be used by International Council on Mining and Metals member
companies for the purposes of benchmarking activities.

The document includes the The indicators, definitions and Where these principles may
following sections: reporting criteria were developed conflict in application, Section 2
with input from ICMM member describes specific situations that
Section 1 companies following these may be included or excluded
Definitions for health and safety general principles: from recording requirements.
performance indicators
• Injury and disease recording The document only addresses
Section 2 should reflect the impact of whether or not injuries and
Recording boundaries an employer’s operations on diseases should be recorded and
the workforce supporting the how to classify them according
Section 3 operations. to the ICMM categories. It does
Supporting guidance for • Injuries and diseases that not address lost time accounting
recording injuries and diseases occur in locations under the or severity rates as described
control of the employer are in previous ICMM guidance or
Appendix included. conventions in common use by
Additional definitions for member companies.
terminology used in the • Injuries and diseases that
indicator definitions. occur while undertaking This document supersedes
activities under the control of previous ICMM guidance on
the employer are included. health and safety performance
indicators. It should be noted
• Injuries and diseases that that the scope of reporting and
occur ‘on the job’ are included the definitions in this document
regardless of location. are not directly in line with the
• All employees and scope and definitions used within
contractors are included. any other reporting schemes.

• Injuries or diseases are


recordable for all workers for
whom exposure hours are
recorded (or can be estimated).
• ‘Off the job’ injuries or
diseases are not included.

Health and safety performance indicators 3


1
Definitions for health and
safety performance indicators

Fatality Recordable case Total recordable injury cases


A fatality is defined as the death of a Recordable occupational injury and Total recordable injury (TRI) cases are
worker from an occupational injury or disease cases are defined as follows: the sum of all new occupational injury
disease. A fatality is recorded when cases that meet recording criteria
death is a direct result of an • A recordable injury case is a new during the recording period.
occupational injury or disease. case of sufficient severity that it
requires medical treatment beyond
first aid or results in the worker’s Total recordable disease cases
Injury inability to perform his or her Total recordable disease (TRD) cases
An injury is temporary or permanent routine work function on the next are the sum of all new occupational
damage to tissue, muscle or bone calendar day. Medical treatment disease cases that meet recording
typically caused by an identifiable beyond first aid is further described criteria during the recording period
event. in Section 3. See guidelines in in the categories of ORD, HL, MSD,
Section 3 for determining a ‘new OC and OOMD, as described in the
Disease case’. definitions for recordable disease
cases.
A disease is an abnormal condition or • A recordable disease case is a
disorder of body functions or systems new disease case in the categories
caused by acute or chronic exposure of occupational respiratory Total recordable case
to agents, toxins, pathogens or other disorders (ORD), occupational frequency rate
factors. hearing loss (HL), musculoskeletal The total recordable case frequency
disorders (MSD), occupational rate (TRCFR) is calculated for the
cancers (OC) and other occupational recording period as:
Occupational injury or disease
medical disorders (OOMD).
An occupational injury or disease is See guidelines in Section 3 for TRCFR = TRC * 1,000,000/worked hours
defined as an injury or disease that determining and recording new
results from work activities occurring disease cases. Specific definitions Total recordable injury
in locations that are under the control for disease categories are included frequency rate
of the employer or direction of the in the appendix.
employer, regardless of location. The total recordable injury frequency
Specific scenarios included or rate (TRIFR) is calculated for the
excluded in this definition are
Worked hours recording period as:
described in Section 2. Worked hours used in injury
TRIFR = TRI * 1,000,000/worked hours
performance calculations means the
total number of hours worked by
employees or contractors carrying out Total recordable disease
work-related activities during the frequency rate
recording period (typically a calendar The total recordable disease frequency
year). rate (TRDFR) is calculated for the
recording period as:
Total recordable fatalities
TRDFR = TRD * 1,000,000/worked hours
Total recordable fatalities (TRF) are
the sum of all occupational fatalities
that meet the recording criteria during
the recording period.

Total recordable cases


Total recordable cases (TRC) are the
sum of all new occupational injuries
and disease cases that meet recording
criteria during the recording period.

4 Health and safety performance indicators


An injury is temporary or permanent
damage to tissue, muscle or bone
typically caused by an identifiable event.
Image courtesy of Rio Tinto

Health and safety performance indicators 5


2
Recording boundaries

This section provides specific


guidance for determining 2.1 2.2
whether an injury or disease is Case and new case recording Occupational or work-
recordable within the following boundary relatedness boundary
recording boundaries: • Only new cases are recordable.
2.2.1
2.1 • Each worker experiencing an Situations included as occupational
Case and new case recording injury or disease in a multi-worker cases
boundary work-related incident or exposure
is considered a separate case. The following situations are
2.2 considered occupational due to the
• When a worker has never before
employment status of the people
Occupational or work-relatedness experienced an injury or disease
involved, nature of the work or
boundary affecting the same body part, it is
work location.
a new case.
2.3 • Reoccurrence of injuries or Employees and contractors
Severity boundary for injuries diseases affecting the same part performing work-related activities
of the body are new cases if the See the appendix for definitions of
2.4 previous case had been declared work-related activities. Injuries or
Recording periods for injuries, by an appropriate medical diseases are occupational in the
diseases and fatalities professional to have been fully following circumstances:
resolved and the worker returned
• The injury or disease exposure is
to his/her routine job function.
associated with work-related
• Cases involving pre-existing activities within the employer’s
conditions aggravated by a controlled location (eg ‘inside the
work-related incident or exposure fence’).
are new cases.
• The injury or exposure occurs
during work hours within a
controlled location, even if the
employee or contractor is not
immediately engaged in a work
task. For example:
– The worker is taking a short
break between tasks.
– The worker is on a meal break
and eating employer-prepared
food in the employer’s dining hall.

• The affected worker is outside the


employer’s controlled location and
performing a controlled activity.
For example:
– If a worker driving a vehicle on a
public road between a mine and
an exploration site during a work
shift has a vehicle accident and
is killed, it is considered an
occupational fatality.
– If a worker transporting ore under
contract from a mine to a seaport
has an accident and is injured, it
is considered to be occupational
because the employer has the
right to expect or enforce vehicle
and driving safety considerations
by contract.
6 Health and safety performance indicators
2 Recording boundaries continued

– If a contractor operating an Commuting Workers on personal time


aircraft or a bus transporting Incidents occurring to workers Incidents occurring to workers on
commuting workers to a mine site travelling from their permanent personal time using camp facilities
has an accident and the operator residence to a controlled location such as sleeping quarters, dining halls
is injured, it is considered an are considered occupational once or exercise and recreation facilities
occupational injury. workers are inside the controlled are not occupational. For example,
location (eg once the transporting if a fire in a camp sleeping facility
– If a mine’s emergency responders
vehicle has passed inside the gate caused the death of a sleeping worker,
act on any incident (company or
or is on a controlled access road). the fatality would not be considered
public) in an uncontrolled location
work-related, regardless of the cause
such as a public road, it is
Third parties in controlled locations of the fire.
considered to be occupational
Injuries or diseases occurring to a
(because it is a controlled activity
third party (see the appendix for Workers present in a controlled
for the responder).
definition) engaged in a work-related location as a member of the
activity within a controlled location general public
Employees and contractors travelling
are considered occupational and Incidents occurring to employees or
on work-related travel
potentially recordable. For example, contractors present in a controlled
Injuries or diseases that occur while
delivering materials or occasional location as a member of the general
the employee or contractor is
services to a mine is a controlled public (see the appendix for definition)
travelling are work-related if at the
activity because the worker is are not occupational (eg a worker
time of the injury or illness the
required to follow the employer’s attending a safety fair during
employee or contractor is engaged in
safety practices while within the non-work hours).
work-related activities in the interests
controlled location.
of the employer. Examples of such
Eating or drinking
activities include:
2.2.2 Injury or disease resulting solely
• driving or being driven in a vehicle Situations specifically excluded as from a worker eating, drinking or
for work-related purposes, occupational cases preparing food or drink for personal
irrespective of the cause of any consumption (whether purchased on
incident involving the vehicle The following situations are the employer’s premises or brought
specifically excluded from in) is not occupational. For example,
• flying to visit another site or if the employee or contractor is
consideration as occupational
customer/supplier contact injured by choking on a sandwich
injuries or diseases.
brought from home while in the
• being transported to and from
Joint venture locations employer’s establishment, the case
customer contacts after lodging has
Joint ventures where the employer is would not be considered work-related.
been established and as part of
work-related activity not the operator are excluded.
A contractor working in their own
• entertaining, or being entertained, Commuting location not located within the
to transact, discuss or promote Incidents occurring to a worker employer’s controlled location
business providing the commuting from the worker’s Incidents occurring to contractors
entertainment is at the direction residence to the worksite are not outside the employer’s controlled
of the employer. occupational regardless of the mode location and in areas where the
of transport (until the worker enters contractor company has control are
However, when travelling employees the controlled location). not occupational.
or contractors check into a hotel,
motel or other lodging, they establish Travel Working at home
a ‘home away from home’. Thereafter, Incidents occurring to a worker Injuries or illnesses occurring to
their activities are evaluated in the travelling between sites during work workers working in their own home
same manner as for non-travelling hours or on work-related travel are are not considered occupational
employees or contractors. not occupational if the worker because the employer has no control
engages in personal activities. over the location or the way the work
For example: is performed.

• A worker travelling between sites


takes a detour to do a personal
errand.

• A worker on work-related business


travel attends a non-business
entertainment event.
Health and safety performance indicators 7
2 Recording boundaries continued

Personal activities outside of normal


work hours 2.3 2.4
Injury or disease caused by workers Severity boundary for injuries Recording periods for injuries,
performing personal tasks outside diseases and fatalities
of normal work hours is not This section describes how injury
occupational, even if the workers are severity is used to determine whether Injuries and diseases, generally,
in their normal work environment. an injury is recordable. Injuries that should be recorded in the period in
meet the descriptions of new cases which the injury occurs or the disease
Non-work-related activities outside (see Case and new case recording is diagnosed. In the applicable
the work environment boundary above) are recordable under situations, the following conventions
Injuries or diseases resulting solely the following severity descriptions should also be followed:
from non-work-related activities, and guidelines.
events or exposures outside the work Escalation after initial recording
environment are not occupational even Medical treatment Injuries and diseases may progress in
if the symptoms initially surface at An occupational injury that requires severity from the time of initial
work (eg a musculoskeletal injury medical treatment beyond first aid as recording. When this occurs during
resulting from weekend or off-shift described in Section 3 regardless of the recording period or before
recreational activity that leads to who provides the treatment is a performance is reported to ICMM, the
symptoms while working). recordable case. original record should be updated with
the new information. For example:
Other situations Loss of consciousness
The following situations are also not • The company records its statistics
Any loss of consciousness as a result
considered to be occupational: on a calendar-year basis during
of a workplace incident is a recordable
which an injury that was originally
case.
• injury or disease caused by determined to require only first aid
self-medication, intentionally treatment, subsequently needed
‘Lost time’
self-inflicted or due to personal medical treatment and time away
An occupational injury or disease that
grooming from work. If the injury was
results in the worker's inability to
originally deemed not recordable, it
• routine diseases such as colds perform routine work functions on the
should be changed to recordable.
and flu. next calendar day after the injury is a
recordable case. Inability to perform
Escalation after the recording period
routine work functions includes cases
When escalation occurs after the
resulting in either assignment of
employer has completed reporting
alternate or restricted duty or missed
information to ICMM, there is no
workdays.
expectation that the previous report
be updated with the new information.
Fatalities
For example:
An occupational injury resulting in
fatality is a recordable case. • The company records its statistics
on a calendar-year basis and
completes its calculations for
reporting by 31 January each year.
The information does not have to be
restated if an injury progresses in
severity from non-recordable to
recordable after 31 January.

Special case for fatalities


The fatality should be recorded in the
recording period in which the employee
or contractor died. For example:
• An employee or contractor is
diagnosed with an occupational
respiratory disease in October of a
calendar year and dies the following
June from progression of the
disease. The fatality should be
recorded in the year of actual death
and not the year of the diagnosis.
8 Health and safety performance indicators
A disease is an abnormal condition or
disorder of body functions or systems
caused by acute or chronic exposure
to agents, toxins, pathogens or other
factors.
©iStock.com/David Marchal

Health and safety performance indicators 9


3
Supporting guidance for
recording injuries and diseases

This section provides additional


guidance for determining 3.1 3.2
whether an injury or disease is Recording decision tree Determining injuries vs
recordable, if a new case is an diseases
injury or disease, criteria for The following decision tree provides
general guidance on the process for Injuries and diseases are
recording occupational disease
determining whether to record an distinguished from each other by
and the difference between injury or disease: the following considerations:
medical treatment and first aid.
• Injuries generally result from
specific incidents or events and have
symptoms that appear shortly after
the event (immediate to a few days).
Injuries include cases such as cuts,
fractures, sprains or amputations.
Report of injury or disease case Injuries also include event-related
acute physiological reactions or
illnesses to exposures such as heat,
cold, sun, hazardous materials or
toxic gases.
NO Is it a new case? NO Update previous case • Occupational diseases are generally
caused by exposure over time to
infectious or hazardous agents via
YES inhalation, skin contact, absorption,
ingestion or other transmission.
Diseases may also have longer-term
NO Is it work-related? or chronic impacts and are
characterized by a lag time between
exposure and onset of symptoms.
Occupational diseases usually
YES
(but not always) require the
accumulation of a sufficient ‘dose’
before they manifest.
Does it meet injury severity
NO YES
and/or disease definitions? • Some injuries may eventually
result in disease. For example,
acute exposure to an irritant gas
may cause immediate respiratory
problems due to lung damage
Not recordable Recordable
(injury), but may also result in
future chronic respiratory disease
such as asthma.

10 Health and safety performance indicators


3 Supporting guidance for
recording injuries and diseases
continued

• use of eye patches


3.3 • removal of foreign bodies embedded
3.4
Medical treatment vs first aid Recording occupational diseases
in the eye only if irrigation or
removal with cotton swab is required
Injuries requiring medical treatment A report of an occupational disease is
beyond first aid meet the severity • removal of splinters or foreign considered a new case and therefore
boundary for recording. material from areas other than the recorded when all the following
eyes by irrigation, tweezers, cotton criteria are met:
First aid swabs or other simple means
First aid describes a particular level • There is evidence of the disease as
of treatment for a work-related injury. • using finger guards diagnosed by a medical practitioner.
First aid means the following • There is a known association
• using massages
treatments, regardless of the between the exposure(s) present in
professional status of the person • drinking fluids for relief of heat the workplace and the occupational
providing the treatment: stress. illness or disease.
• visit(s) to a health-care provider for • There is evidence of current or
Medical treatment
the sole purpose of observation previous exposure to the agent of
Medical treatment is defined as
• diagnostic procedures including occurring when an injury or disease concern during employment with
the use of prescription medications requires a higher degree of patient the current member company.
solely for diagnostic purposes management to ensure a full recovery.
• A dose is sufficient (with respect
At a minimum, the following are
• use of non-prescription medications to concentration and duration of
considered medical treatment beyond
including antiseptics at non- exposure) to cause the disease to be
first aid (regardless of the professional
prescription strengths documented through an appropriate
status of the person providing the
professional assessment
treatment):
• simple administration of oxygen (eg industrial hygiene reports) or a
• suturing of wounds professional opinion that the
• administration of tetanus/diphtheria exposure is consistent with the
shot(s) or booster(s) • treatment of fractures condition.
• cleaning, flushing or soaking • treatment of bruises by drainage • The necessary (minimum) latency
wounds on skin surface of blood period exists to establish the
• use of wound coverings such as probability of association.
• treatment of second and third
bandages, gauze pads, etc degree burns • There has been no previous recorded
• use of hot and cold therapy disease of the same type involving
• providing prescription drugs or
(eg compresses, soaking, the same body part or the individual
non-prescription drugs at
whirlpools, non-prescription has had a previous recorded disease
prescription dosage to manage
creams/lotions for local relief of the same type affecting the same
symptoms.
except for musculoskeletal body part but had recovered
disorders) completely (all signs and symptoms
had disappeared) from the previous
• use of any totally non-rigid, disease and an event or exposure in
non-immobilizing means of support the work environment caused the
(eg elastic bandages) signs or symptoms to reappear.
(Note: for diseases where the signs
• using temporary immobilization
or symptoms may recur or continue
devices while transporting an
in the absence of an exposure in the
accident victim (eg splints, slings,
workplace, the case must only be
neck collars, backboards etc)
recorded once. Examples include
• drilling of a nail to relieve pressure occupational cancer and
or draining fluid from a blister pneumoconiosis).

• Significant aggravation of a
pre-existing health condition shall
also be counted as a new case when
all the above criteria are met.

Health and safety performance indicators 11


Workers are people who are engaged
in work-related activities on behalf
of an employer. Workers may be
employees, contractors or third parties.

Image courtesy of Rio Tinto

12 Health and safety performance indicators


Appendix Additional definitions for
terminology used in the indicator
definitions

The following additional


Employer Member of the general public
definitions support the An employer is a company entity
performance indicators A member of the general public is
principally responsible for activities someone who is present in an
defined in the document. including exploration, mining, ore employer’s controlled location, or
processing, smelting, closure, affected by an employer’s operations
administration and other work but who is not engaged in work-
necessary for the operation of a related activities (eg visitors to a mine
mining or metals company. Where a for a tour or residents living near a
company has an ownership stake but mining operation).
is not the responsible operator, it
should not be considered an employer
at that location for the purpose of Controlled location
performance indicators. Controlled locations are physical or
geographical locations where the
Worker employer is responsible for the work
activities and for establishing and
Workers are people who are engaged applying work practices and health
in work-related activities on behalf and safety standards. Controlled
of an employer. Workers may be locations may include mines,
employees, contractors or third exploration sites, processing plants,
parties. access roads within the member’s
control, office buildings etc.
Employee
An employee is a worker who is paid Controlled activities
by the employer. Controlled activities are work activities
or tasks performed by workers where
Contractor the employer is responsible for
A contractor is an employee of a establishing work and for applying
company contracted by the employer work practices and health and safety
to do work on its behalf and under its standards. Controlled activities may
control with respect to location, work occur within a controlled location or
practices and application of health anywhere else where the activity or
and safety standards. task is being performed directly on
behalf of the employer.

Third party
Work environment
A third party is someone who is
present within an employer’s The work environment is the
controlled location but who is neither establishment and other locations
a direct employee nor a contractor. where one or more workers are
Third party individuals may be engaged in controlled activities as a
workers, members of the general condition of employment. The work
public or other visitors. Common environment includes not only
examples of third parties are geographic or physical locations but
operators of vehicles delivering also the equipment or materials used
supplies and materials. by the worker during the course of
his or her work.

Work-related activities
Work-related activities are those
tasks or activities performed by
workers where the employer can
set health and safety standards and
can supervise and enforce their
application.

Health and safety performance indicators 13


Appendix Additional definitions for
terminology used in the indicator
definitions continued

Routine work functions Occupational respiratory Occupational hearing loss


Routine work functions are work disorders Occupational hearing loss (HL) is
activities or assigned duties that the Occupational respiratory disorders defined according to US Occupational
worker regularly performs (eg at least (ORD) include the following: Safety and Health Administration
once per week) or are included in a (OSHA) definitions: an age-corrected
worker’s job description. Inability to • Work-related asthma average hearing shift in either ear of
perform routine work functions – Asthma is work-related when greater than or equal to 10 dB at
include missing workdays completely there is an association over time 2,000, 3,000 and 4,000 Hz when
or working at alternate or restricted between symptoms and work. compared to baseline, coupled with a
work to accommodate an injury or greater than or equal to 25 dB average
disease. • Work-related chronic obstructive hearing level in the same ear at 2,000,
pulmonary disease 3,000 and 4,000 Hz. Baseline should
Pre-existing health condition be an audiogram performed at the
– Chronic obstructive pulmonary beginning of the worker’s employment
Pre-existing health conditions are disease (COPD) is a preventable with the reporting employer. Baseline
those that employees or contractors and treatable disease state is reset to the new audiogram once a
bring with them to the current characterized by airflow limitation hearing loss case is reported to allow
employer, either caused by exposure that is not fully reversible. for repeated reporting if further
at another workplace or by The airflow limitation is usually deterioration occurs.
non-occupational factors. progressive and is associated
with an abnormal inflammatory See the OSHA recording flow chart at:
response of the lungs to noxious
Significant aggravation www.osha.gov/recordkeeping/hearing
particles or gases, primarily lossflowchart.pdf
Significant aggravation is defined as caused by cigarette smoking.
occurring when an incident occurring Although COPD affects the lungs,
at work results in tangible it also produces significant Musculoskeletal disorders
consequences that go beyond those systemic consequences. Cases of Musculoskeletal disorders (MSD)
the worker would have experienced as COPD should be reported if they include all occupational
a result of the pre-existing condition meet the following criteria: musculoskeletal disorders that meet
alone, without the aggravating effects recognition by a workers’ criteria for disease rather than injury,
of an event or workplace exposure. compensation authority or including repetitive strain disorders
equivalent or by the physician and conditions caused by exposure
Commuting responsible for the site. to vibration.
Commuting is defined as an • Pneumoconiosis
employee’s or contractor’s travel Occupational cancers
from a residence to a work location, – Pneumoconiosis is associated
Occupational cancers (OC) are all
regardless of means (walking, driving with exposures to:
diagnosed cancers that are
or using employer-provided or public - asbestos determined to be occupational
transportation). according to this guideline.
- cobalt

- refractory ceramic fibres Other occupational medical


disorders
- silica
Other occupational medical disorders
- cristobalite (OORD) include all other occupational
diseases such as dermatitis, stress-
- coal dust
related conditions, mental health
- other substances known to disorders, metal toxicity, malaria and
cause pneumoconiosis. other infectious diseases.

• Other work-related disorders of


the respiratory tract

14 Health and safety performance indicators


Acknowledgements Disclaimer Publication details
This document was prepared based on This publication contains general guidance Published by the International Council on
a review of ICMM member practices. only and should not be relied upon as a Mining and Metals (ICMM), London, UK.
The additional input from the following substitute for appropriate technical
people and companies is gratefully expertise. While reasonable precautions © 2014 International Council on Mining and
acknowledged. have been taken to verify the information Metals. The ICMM logo is a trade mark of
contained in this publication as at the date the International Council on Mining and
ICMM members of publication, it is being distributed without Metals. Registered in the United Kingdom,
The development of the document was warranty of any kind, either express or Australia and Japan.
overseen by an ICMM working group implied.
chaired by Hannes Struyweg (Anglo Reproduction of this publication for
American). ICMM is indebted to the In no event shall the International Council educational or other non-commercial
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document: damages or losses of any kind, however acknowledged. Reproduction of this
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Phil Stephenson (Newmont) that it is error-free or that it will be suitable ISBN: 978-1-909434-09-7
for the user’s purpose) and ICMM assumes
Lead consultant no responsibility whatsoever for errors or Available from: ICMM, www.icmm.com,
This document was developed by Roger omissions in this publication or in other info@icmm.com
Voeller, Roger Voeller & Associates. source materials which are referenced by
ICMM is indebted to Roger for his expert this publication. Design: Duo Design Limited
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represent the decisions or the stated
ICMM team policy of ICMM. This publication does not
René Aguilar and Mark Holmes led the constitute a position statement or other
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Health and safety performance indicators 15


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