SAFETY AND HEALTH MANAGEMENT COMPLIANCE

MAJOR CRITERIA
Parameters Legal Compliance Indicator Compliance Recommendations Penalties
Basis
Yes No
1. Annual SHP of Mining Section Certificate of Approval of ASHP If None;
Contractors/ Permit 144 of or Transmittal received by MGB Penalty of
Holders with DAO No. RO Suspension/
2010-21 Cancellation of
Permit,
Sec.95, RA
7942
Annual SHP of Service Section Copies of ASHP of If None;
Contractor 144(b) Subcontractors submitted to the Penalty of
DAO No. Mining Contractor/Permit Holders P5000,
2010-21 Sec.110, RA
7942
2. With at least 1 Section Licensed mining engineer for > If None;
licensed Mining 164 of 50 workers with at least five Penalty of
Engineer with at least DAO years’ experience in mining P5000,
five (5) years of 2010-21 operation Sec.110, RA
experience in mining 7942
operations to
Supervise Mining and
Quarrying Operations
(if applicable)

3. With Safety and Section 3, Established SHO, Table of If not

Health Office (SHO) Rule 12 Organization under direct complied;
of DAO supervision of the Manager Penalty of
P1000, Rule

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 No. 2000- 1209 (6), DAO
98 2000-98
4. With Safety Section 2, Registered Safety If not
Engineer/ Rule 8-11 Engineer/Safety Inspector complied;
Inspector of DAO Penalty of
No. 2000- P1000, Rule
98 1209 (6), DAO
2000-98
5. With Central Section 5, Central Safety and Health If not
Safety and Health Rule 21.2 Committee established, verified complied;
Committee (CSHC) or Rule through minutes of Penalty of
27 of meetings/attendance/logbook/ph P1000, Rule
DAO No. oto documentation 1209 (6), DAO
2000-98 2000-98
6. Strict Section No person under 18 years old If None;
Implementation of 163 of are employed in any phase of Penalty of
Mine Labor Age DAO mining operations P5000,
Limit (18 y/o for 2010-21 (surface/underground) Sec.110, RA
Surface and 7942 and RA
Underground) 9231
7. Submission of Rule Investigation Report If none;
Fatal to RO 1209, Penalty of
concerned within DAO P10,000, Rule
15 days after the 2000-98 1209, DAO
date of accident (if 2000-98
applicable)
8. Failure to give Rule Any means of communication If none;
notice to the 1209, Penalty of
concerned DAO P5,000, Rule
Regional Director 2000-98 1209, DAO
within 24 hours of 2000-98
any fatal accident
(if applicable)

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 Parameters Legal Basis Scores Indicator of Recommendations Penalties
Compliance
I. ELEMENTS OF SHP (50%)
A. Leadership and Administration
1. Safety and Health Rule 21.2, 1 or nothing Safety & Health If not complied;
Policy DAO 2000-98 Policy Satement Penalty of
signed by highest P1000, Rule
official on 1209(6), DAO
Site/President & 2000-98
strategically located
on all work areas
2. No. of Safety Section 2, 1 or nothing With: one full time If not complied;
Engineer/Inspector Rule 8-11 of Safety Engineer and Penalty of
in accordance with DAO No. one full time Safety P1000, Rule
Mine Classification 2000-98 Inspector for Class 1209 (6), DAO
A and B; at least 2000-98
one part-time Safety
Engineer and one
full time safety
inspector for Class
C and D
3. Conduct of Rule 30.4, 1 or nothing CSHC monthly If not complied;
monthly CSHC DAO 2000-98 minutes of meetings Penalty of
Meetings P1000, Rule
1209(6), DAO
2000-98
4. Conduct of Rule 21.22, 1 (100% Departmental If not complied;
Departmental DAO 2000-98 conducted) meetings on Safety Penalty of
0.75 (atleast 75%) and Health P1000, Rule

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 Safety and Health 0.50 (atleast 50%) conducted regularly 1209 (6), DAO
Meetings 0.25 (atleast 25%) (monthly/quarterly 2000-98
0 (No meetings as per SHP)
conducted)
5. Conduct of Pep Rule 21.22, 1 or nothing Pep talk or Toolbox If not complied;
talk or Toolbox DAO 2000-98 Meetings conducted Penalty of
Meetings Regularly (per P1000, Rule
shift/daily as per 1209 (6), DAO
SHP) 2000-98
B. Organizational Rules
1. Presence of Section 5, 1 or nothing Safety and Health If not complied;
Safety and Health Rule 21.6 of Rules and Penalty of
Rules and DAO No. Regulations P1000, Rule
Regulations that 2000-98 manual/handbook, 1209 (6), DAO
includes Standard preferably with 2000-98
Operating translation in local
Procedures and dialect and
Protocols distributed every
employee
C. Management and Employees Training
1. Training on Safety Section 9, 1 or nothing Safety and Health If not complied;
and Health for all Rule 31 of training for Penalty of
Levels of DAO No. employees on all P1000, Rule
Management 2000-98 levels of 1209 (6), DAO
management 2000-98
conducted with
annual refresher
training (based on
SHP)
2. Issuance of Rule 32, 1 or nothing Certificates of If not complied;
Certificate of DAO 2000-98 Training issued by Penalty of
Training P1000, Rule

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 the employer to 1209 (6), DAO
employees 2000-98
3. Conduct of Safety Section 5, 1 or nothing Safety and Health If not complied;
and Health Rule 21.4 of Induction/Orientatio Penalty of
Induction/Orientati DAO No. n conducted to new P1000, Rule
on for New 2000-98 employee 1209 (6), DAO
Employee 2000-98
4. Conduct of Safety Rule 21.25, 1 or nothing Safety and Health If not complied;
and Health DAO 2000-98 Induction/Orientatio Penalty of
Induction/Orientati n conducted to P1000, Rule
on for contractor and 1209 (6), DAO
Contractors/Visitor visitors 2000-98
s
D. Proper Housekeeping
1. Proper Section 60, 1 (100% proper Proper If not complied;
Housekeeping in Rule 792 of housekeeping) housekeeping on Penalty of
the Workplace DAO No. 0.75 (atleast 75%) workplaces and P1000, Rule
2000-98 0.50 (atleast 50%) support facilities 1209 (6), DAO
0.25 (atleast 25%) 2000-98
0 (all areas with
improper
housekeeping)
E. Health Control and Services
1. Provision of Section 64, 1 or nothing Medical and Dental If not complied;
Emergency Rule 860, services and Penalty of
Medical and Rule 864-866 facilities provided. P1000, Rule
Dental Services of DAO Note: Class A 1209 (6), DAO
No.2000-98 Mine, at least 1- 2000-98
First Aid Team/shift,
I Full time Nurse,
250/shift, I full time
Doctor,

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 Dentist/shift, w/
Emergency Hospital
Class B Mine, at
least 1 first aid
team/shift, 1 full
time nurse, 1 full
time Doc, 1 part
time Dentist, w/
Emergency Clinic
Class C, at least 1
First Aider/shift, 1
Full time Nurse, 1
Part time Doctor &
Dentist, w/
Emergency Clinic
Class D, 1 full time
First Aider/shift, 1
Part time Nurse,
Doc, Dentist, w
Emergency
Treatment Room
2. Provision for Section 5, 1 or nothing Pre-employment, If not complied;
Medical Rule 21.15 of annual, return-to- Penalty of
Examination DAO No. work and P1000, Rule
2000-98 separation/exit 1209 (6), DAO
medical 2000-98
examinations to all
employees provided

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 F. Provision for Personal Protective Equipment (PPE)
1. Provision of PPE Section 63, 1 or nothing Adequate PPE If not complied;
Rule 849 of provided to all Penalty of
DAO No. employee P1000, Rule
2000-98 1209 (6), DAO
2000-98
2. Replacement of Rule 21.3, 1 or nothing PPE available for If not complied;
PPE and DAO 2000-98 needed replacement Penalty of
Management of P1000, Rule
Inventory 1209 (6), DAO
2000-98
3. Strict Section 63, 1 or nothing Strict If not complied;
Implementation of Rule 850-856 implementation of Penalty of
wearing PPE & 858-859 of wearing of PPE for P1000, Rule
DAO No. workers. All workers 1209 (6), DAO
2000-98 are wearing proper 2000-98
PPE
G. Monitoring
1. System of Section 5, 1 or nothing Protocol/Guidelines If not complied;
Accident Report Rule 21.20, Penalty of
DAO 2000-98 P1000, Rule
1209 (6), DAO
2000-98
2. Conduct of Section 5 1 or nothing Accident/Incident If not complied;
Accident/Incident Rule 21.21 of Investigation Penalty of
Investigation DAO No. conducted/report P1000, Rule
2000-98 (Internal with the 1209 (6), DAO
company) 2000-98
3. Conduct of Health Section 64, 1 or nothing Health and Sanitary If not complied;
and Sanitary Rule 862 of Inspection Penalty of
Inspection DAO 2000-98 conducted by P1000, Rule
medical practitioner

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 or safety engineer in 1209 (6), DAO
all workplace on 2000-98
regular basis
H. Reportorial Requirements and Permit Compliances (10%)
1. On – Time Section 144, 1 or nothing SHP submitted w/in If not complied;
Submission of DAO 2010-21 15 working days Penalty of
SHP or Rule before the start of P5000,
21.11, DAO every calendar year Sec.110, RA
2000-98 7942 or Penalty
per Rule 1209
(4), DAO 2000-
98
2. On – Time Section 1 or nothing MGAR submitted If late or non –
Submission of 155(b.2.) or w/in 15 working submission;
Monthly General 270(k) of days after each Penalty of
Accident Report DAO No. month P1000, Section
(copy furnished 2010-21 or 271, DAO 2010-
BWC-DOLE) Rule 5 and 6, 21, If submitted
DAO 2000-98 after 1 month;
Penalty of
P1000, Rule
1209 (5), DAO
2000-98
3. On – Time Section 1 or nothing Monthly Accident If late or non –
Submission of 155(b.1) of and Sicknesses submission;
Monthly Accident DAO 2010-21 Report on MGB Penalty of
and Sicknesses Form 15-5 P1000, Section
Report (copy 271, DAO 2010-
furnished BWC- 21, If submitted
DOLE) after 1 month;
Penalty of
P1000, Rule

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 1209 (5), DAO
2000-98
4. On – Time Section 162 1 or nothing Monthly ETR, If not complied;
Submission of of DAO 2010- submitted w/in 15 Penalty of
Daily Explosives 21 days after every P5000,
Transaction calendar month on Sec.110, RA
Report (if MGB Form 15-7 7942
applicable)
5. On – Time Section 162 1 or nothing Monthly ECR, If not complied;
Submission of and Section submitted w/in 15 Penalty of
Explosives/Access 270(l)of DAO days after every P5000,
ories Consumption 2010-21 calendar month on Sec.110, RA
Report (if MGB Form 15-8 7942 or P1000,
applicable) Section 271,
DAO 2010-21
6. On –Time Sec.155-b.3, 1 or nothing CSHC Minutes of If late or non –
Submission of DAO 2010-21 Meetings submitted submission;
CSHC Minutes of Penalty of
Meetings P1000, Section
271, DAO 2010-
21, If submitted
after 1 month;
Penalty of
P1000, Rule
1209 (5), DAO
2000-98
7. Submission of Rule 639, 1 or nothing Quarterly If not complied;
Emergency Drill DAO 2000-98 Emergency Drill Penalty of
Report report submitted to P1000, Rule
MGB RO 1209 (6), DAO
2000-98

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 8. Authority to Install Section 151 1 or nothing Certificate of If not complied;
Electrical/Mechani (d) of DAO Authority to Install Penalty of
cal Installations 2010-21 P5000,
Sec.110, RA
7942
9. Electrical/Mechani Section 150 1 or nothing Electrical/Mechanic If not complied;
cal Installation of DAO 2010- al Installation Permit Penalty of
Permit including 21 and P5000,
Boilers and Section 1071 Sec.110, RA
Pressure Vessels of DAO 2000- 7942
98
10. Purchaser’s Section 157 1 or nothing Purchaser’s If not complied;
License, License of DAO 2010- License, License to Penalty of
to 21, Rule 641 Purchase/Transfer P5000,
Purchase/Transfer and 733, Explosives and Sec.110, RA
Explosives and DAO 2000-98 Blaster Foreman’s 7942
Blaster Foreman’s License
License (if
applicable)
11. Safety Section 146 1 or nothing Safety If not complied;
Engineer/Safety of DAO No. Engineer/Inspectors Penalty of
Inspector’s Permit2010-21 or permit from MGB P5000,
Rule 15, RO valid for 3 years Sec.110, RA
DAO 2000-98 7942
I. Environmental Risk Management Including Emergency Response Program (20%)
1. Preparation/ Section 49, 1 or nothing Emergency If not complied;
Presence of Rule 637 of Response and Penalty of
Emergency DAO No. Preparedness P1000, Rule
Response and 2000-98 Program 1209 (6), DAO
Preparedness 2000-98
Program

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 2. Emergency Section 49, 1 or nothing Emergency If not complied;
Response Team Rule 637(c.i.) Response Team Penalty of
(ERT) of DAO No. P1000, Rule
2000-98 1209 (6), DAO
2000-98
3. Conduct of Section 49, 1 or nothing Quarterly If not complied;
Quarterly Rule 638 of Emergency Drills Penalty of
Emergency Drills DAO No. conducted, P1000, Rule
2000-98 Quarterly 1209 (6), DAO
Emergency Drill 2000-98
Reports

II. BEST PRACTICES (Bonus 1% each)

1. Community 1 Community
Involvement/ Involvement
Consultation though
consultations/
trainings/drills
2. Provision for 1 Provision for
Safety and Health Safety and Health
Incentives Incentives
3. Safety and Health 1 Plaque/certificate/
Awards/ trophy for safety and
Recognition health efforts and
achievements
4. OHSAS 18001 1 OHSAS 18001 or
Certification or ISO 45001
ISO 45001 Certificate
Certification
OTHERS
TOTAL
SCORE

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 5. SHP Implementation (MSHS Form1) or Attach the Matrix of the Company (10% x Total Percentage Fund Utilization)
SHP Accomplishment Matrix
% Comments/
Activities per approved
Target Accomplishment Accomplished Fund Utilization Recommendations
ASHP
to date
Annual Budget Amount Percentage
Utilized (%)
A. Leadership and
Administration
(Enumerated actions to
be taken)
B. Organizational Rules
and Policy
(Enumerate Rules and
Regulations Formulated
and Reviewed)
C. Safety Meetings

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 (Enumerate safety
meetings to be
conducted)
D. Management and
Employee Training
(Enumerate safety and
health
trainings/workshops to be
conducted/attended)
E. Planned Inspections

(Enumerate inspections
to be implemented)
F. Accident/Incident
Analysis
(Enumerate
accident/incident
statistics to be produced
and assessed)
G. Good Housekeeping

(Enumerate the activities

to implement good
housekeeping)
H. Health Control and
Services
(Enumerate schedule of
the conduct of health
services for the workers)

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I. Emergency Response
and Preparedness
Program
(Enumerate schedule of
formulation/review of
ERPP and drills to be
implemented/conducted)
J. Personal Protective
Equipment (PPE)
(Itemize kind of PPE to
be purchased/
replenished)
K. Safety Promotions

(Enumerate company
programs/activities to be
conducted for the
promotion of safety and
health)
L. Others

TOTAL:

*Safety and Health Activities are not limited to the above-mentioned elements.

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 6. Accident Statistics (MSHS Form 2) (10%)

Company
LTA Number of
Month NLTA Days Lost Manhours R E S U L T : (Combined)
NF Fatal Employees
Frequency Rate (FR)
Severity Rate (SR)
Incidence Rate (IR)
Combined F-S Rate (CFSR)
Total

Service
FR = # lost time accident x 1,000,000
Contractors Man-Hours Worked
LTA Number of
Month NLTA Days Lost Manhours SR = # days lost x 1,000,000
NF Fatal Employees
Man-Hours Worked

IR = # of recorded injuries/illness x 200,000

Man-Hours Worked

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 Total

Combined Company & Service

Contractors
LTA Number of
Month NLTA Days Lost Manhours
NF Fatal Employees

Total

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7. SUMMARY OF FINDINGS/OBSERVATIONS AND RECOMMENDATIONS:
FINDINGS RECOMMENDATIONS PENALTIES

8. SUMMARY OF SCORE:

1. Implementation of SHP -------------------------------___

2. Implementation of ERPP -----------------------------___
3. Reportorial Requirements
and Permit Compliances ----------------------------___
4. Budget Utilization of SHP ----------------------------___
5. Accident Statistics (Safety Performance) --------___
6. Bonus -----------------------------------------------------___
TOTAL SCORE: ___

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 Guidelines in Accomplishing the Scorecard for Monitoring of
Safety and Health Management Compliance

Breakdown of Percentage:

1. Implementation of SHP - 50%

2. Reportorial Requirements
and Permit Compliances - 10%
3. Implementation of ERPP - 20%
4. Budget Utilization of SHP - 10%
5. Accident Statistics (Safety Performance) - 10%

Total - 100%

Bonus - +1% each initiative

The allocation of point/s for each parameter is as follows:

9. Implementation of SHP (50%)

Distributed to the following SHP Elements:

 Leadership and Administration

 Organizational Rules
 Management and Employee Training
 Good/Proper Housekeeping
 Health Control and Services
 Monitoring and Reporting

To get 50%, a maximum of 19 points must be obtained

Example: 19/19 x 50% = 50%

15/19 x 50% = 39.5%

The divisor will be the number of items applicable.

10. Implementation of ERPP (20%)

Distributed to the following elements:

 Preparation/Review of ERPP
 Established Emergency Response Team/s
 Conduct of Quarterly Drills

To get 20%, a maximum of 3 points must be obtained

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 Example: 2/3 x 20% = 13%

11. Reportorial Requirements and Permit Compliances (10%)

Reportorial Requirements:

 Monthly General Accident Report

 Monthly Accident and Sickness Report
 Explosives Transaction Report
 Explosives/Accessories Consumption Report
 Minutes of Meeting of Central Safety and Health Committee
 Emergency Drill Report

Permit Compliances:

 Safety Engineer/Inspector Permit

 Authority to Install Electrical/Mechanical Installations
 Electrical/Mechanical Permit
 Purchaser’s License, License to Purchase/Transfer Explosives and
Blaster Foremen’s License

1 point is also allocated to the on-time submission of the SHP.

The allocation of point is based on the timely submission of the pertinent

report.

No submission of report within 30 days shall be equivalent to non-

submission of report

If a pertinent report is not applicable, e.g., Explosives/Accessories

Consumption Report, no point should be deducted and the divisor will be
the number of items applicable.

To get 10%, a maximum of 11 points must be obtained.

Example: 10/11 x 10% = 9%

12. Budget Utilization (10%)

Budget estimated by the company (upon approval of the MGB RO) for the
implementation of the SHP will be used as the basis for the budget
utilization.

Total Percentage of Budget Utilization x 0.10

Example: 95% budget utilization x 0.10 = 9.5%

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 13. Accident Statistics (Safety Performance) 10%

Safety Performance (SP) shall be computed by the formula:

SP = ((CFSR x 0.75) + (IR x 0.25)) x 10%

The basis for the contender’s safety performance will be determined by the
following formulae:

Frequency Rate (FR) = No. of LTA x 1,000,000

Man-hours Worked

Severity Rate (SR) = No. of Days Lost x 1,000,000

Man-hours Worked

Incidence Rate (IR) = No. of Accidents x 1,000,000

Man-hours Worked

Combined Frequency Rate = FR X SR

Severity Rate (CFSR) 2

a. Combined Frequency Severity Rate (75%)

0.00 = 100 pts.
>0.00 - 5.00 = 95 pts.
5.01 - 10.00 = 90 pts.
10.01 - 15.00 = 85 pts.
15.01 - 20.00 = 80 pts.
20.01 - 25.00 = 75 pts.
25.01 - 30.00 = 70 pts.
30.01 - 35.00 = 65 pts.
35.01 - 40.00 = 60 pts.
40.01 - 45.00 = 55 pts.
45.01 - 50.00 = 50 pts.
50.01 - 55.00 = 45 pts.
55.01 - 60.00 = 40 pts.
60.01 - 65.00 = 35 pts.
65.01 - 70.00 = 30 pts.
70.01 - 75.00 = 25 pts.
75.01 - 80.00 = 20 pts.
80.01 - 85.00 = 15 pts.
85.01 - 90.00 = 10 pts.
90.01 - 95.00 = 5 pts.
95.01 & above = 0 pt.

b. Incidence Rate (25%)

0.00 = 100 pts.
>0.00 - 5.00 = 95 pts.
5.01 - 10.00 = 90 pts.
10.01 - 15.00 = 85 pts.
15.01 - 20.00 = 80 pts.

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 20.01 - 25.00 = 75 pts.
25.01 - 30.00 = 70 pts.
30.01 - 35.00 = 65 pts.
35.01 - 40.00 = 60 pts.
40.01 - 45.00 = 55 pts.
45.01 - 50.00 = 50 pts.
50.01 - 55.00 = 45 pts.
55.01 - 60.00 = 40 pts.
60.01 - 65.00 = 35 pts.
65.01 - 70.00 = 30 pts.
70.01 - 75.00 = 25 pts.
75.01 - 80.00 = 20 pts.
80.01 - 85.00 = 15 pts.
85.01 - 90.00 = 10 pts.
90.01 - 95.00 = 5 pts.
95.01 & above = 0 pt.

Example: CFSR = 0.00 (100 pts based on the above rating), IR = 5.00 (95
pts)

SP = ((CFSR x 0.75) + (IR x 0.25)) x 10%

SP = ((100 x 0.75) + (95 x 0.25)) x 10%

SP = (98.75) x 10%

SP = 9.875

14. Bonus: 1% each initiative

Addition 1% will be given to the company’s efforts on Safety and Health

management such as:

 Community Involvement
 OHSAS 18001 and ISO 45001 Certificate
 Safety and Health Awards
 Provision for Safety and Health Incentives

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