Module 4

Occupational Health and Safety Management
LEARNER GUIDE

Module # 226302001-KM-04
NQF Level L05
Notional hours 380
Credit(s) Cr38
Development Mining Qualifications Authority
Quality Partner
Occupation or 226302001: Occupational Health and Safety Practitioner
Specialization
Associated 226302: Safety, Health and Quality Practitioner
Occupation

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Name
Contact Address
Telephone (H)
Telephone (W)
Facsimile
Cellular
E-mail

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Note to the learner
This Learner Guide provides a comprehensive overview of the module. It is designed to improve the

skills and knowledge of learners, and thus enabling them to effectively and efficiently complete
specific tasks.

Purpose:
Serve as a facilitator and advisor to employees and management regarding safety and health
aspects in the workplace including the monitoring and inspecting of the workplace, the recording
and investigation of incidents and accidents. They also implement and maintain Occupational
Health and Safety systems in order to ensure a safe and healthy work environment.

Topic elements to be covered include:
 226302001-KM-01, Fundamentals of Occupational Health and Safety, NQF Level 2, Credits 9
 226302001-KM-02, Fundamentals of Communication, NQF Level 3, Credits 6
 226302001-KM-03, Occupational Health and Safety applications, NQF Level 4, Credits 17
 226302001-KM-04, Occupational Health and Safety Management, NQF Level 5, Credits 38
 226302001-KM-05, Operations Management and Supervision, NQF Level 5, Credits 6

Exemptions
• None:

Entry Requirements:
Relevant work experience or an appropriate NQF level 4 qualification. (The technical work content is

not covered in this qualification. Learners need to acquire the required technical skills, knowledge
and experience through gaining work experience or qualifications in related technical occupations.

Each industry will prescribe the technical requirements relevant to that industry

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Equipment needed:
Learning material, Learner workbook, Pen, Ruler
PLEASE NOTE: THE USE OF PENCILS OR TIPPEX IS NOT ALLOWED.
IF YOU USE A PENCIL THE VALIDITY OF YOUR WORK COULD BE QUESTIONABLE, AND THIS COULD LEAD

TO FRAUD.

Provider Accreditation Requirements for the Knowledge Module
1. Physical Requirements:

 Providers must have access to:
 a. Back up facilitators;
 b. A physical address and access to proper lecture facilities, audio visual aids and

equipment with appropriate contingencies;
 c. Maximum facilitator/learner ratio should not exceed 1:15;
 d. Venues must have adequate seating, and ergonomic requirements to cater for the

number of learners.
 e. Facilities must be provided for break away sessions and all the simulations and other

resources as stipulated in the module specifications.
 f. Appropriate learning resources must be available and accessible to meet the

requirements as set out in the curriculum.
 g. All learners must be provided with easy access to the required learning materials and

resources.
 h. Providers must have the administrative ability to maintain records of all learners and

monitor the progress of the learners.
 i. Providers must have adequate policies and procedures in place to review and manage

the progress of learners and learners must have access to their progress reports.

 j. Providers must be able to access and comply with reporting requirements as set by the

External assessment Quality Partner.

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Provider Accreditation Requirements for the Knowledge Module
2. Human Resource Requirements:
 Facilitators of learning must:
 a. Be in possession of a recognized qualification in the field of OHS at a level of at least NQF 3 or
equivalent;
 b. Have completed at least three years relevant work experience;
 c. Be in possession of a recognised Adult Learning qualification at the level of at least a
Facilitator Certificate. – or prove this through relevant recognition of prior learning.

 e. Appropriate arrangements must be in place to conduct learner assessments in a fair and

equitable manner.

Provider Accreditation Requirements for the Knowledge Module
Legal Requirements:

 The providers must prove an acceptable arrangement of co-operation with recognised
employers to facilitate the practical skills and assist learners to get exposure to the work
experience components;

 b. Facilities must comply with all relevant regulatory requirements;

 c. Providers must obtain and retain ISO certification.

Venue, Date and Time:
Consult your facilitator should there be any changes to the venue, date and/or time.

Refer to your timetable.

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Assessments:
The only way to establish whether you are competent and have accomplished the learning
outcomes is through continuous assessments. This assessment process involves interpreting
evidence about your ability to perform certain tasks. You will be required to perform certain
procedures and tasks during the training programme and will be assessed on them to certify
your competence.
This module includes assessments in the form of self-evaluations/activities and exercises. The
exercises, activities and self-assessments will be done in pairs, groups or on your own. These
exercises/activities or self-assessments (Learner workbook) must be handed to the facilitator. It
will be added to your portfolio of evidence, which will be proof signed by your facilitator that
you have successfully performed these tasks.
Listen carefully to the instructions of the facilitator and do the given activities in the time given to
you.

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Hi! My name is Pule,
When you see my sign you must do an activity/exercise or conduct an experiment

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4.2.1. KM-04-KT01:
The application of monitoring, evaluation and corrective action in

occupational health and safety. (Intermediate)

KT0101 Identify and describe the various monitoring tools used in
KT0102 occupational health and safety management: a. Inspection
KT0103 schedules and checklists; b. Critical equipment lists; c.
KT0104 Measuring equipment list; d. Measurement procedures and
statistical trends; e. Calibration schemes and records; f.
Maintenance system activities and results; g. Completed
checklists (system audit outputs); h. Evidence of risk profiles and
non-conformance reports. (NQF Level: 5)

Describe the evaluation processes used in occupational health
and safety: a. What must be evaluated; b. Developing a
protocol for evaluation; c. The criteria for conducting the
evaluation; d. Process for collecting the relevant data; e. Data
analysis and interpretation methods; f. Reporting processes and
formats. (NQF Level: 5)

Describe the processes for defining and implementing
corrective actions: a. The typical management processes for
implementing recommendations; b. Consequences when
recommendations are not implemented; c. Mechanisms to
monitor the effective implementation of recommendations; d.
Close out reports. (NQF Level: 5)

Describe the criteria for well-designed OHS policies, procedures
and standards. (NQF Level: 5)

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IDENTIFY AND DESCRIBE THE VARIOUS MONITORING TOOLS USED IN OCCUPATIONAL HEALTH
AND SAFETY MANAGEMENT:

A.INSPECTION SCHEDULES AND CHECKLISTS;
Equipment: An inventory (using unique identification of all items) should be drawn up of all
equipment subject to statutory technical examination by relevant personnel. Such
equipment should be inspected as required, and should be included in the inspection
schemes.

Work conditions: Criteria that specify acceptable workplace conditions should be
established and documented. At specified intervals, managers should perform inspections
against these criteria. A checklist giving details of the criteria and all items to be inspected
may be used for this purpose.

Verification inspections: Verification inspections should be carried out, but these should not
absolve front-line managers from carrying out regular inspections, or from identifying hazards.

Inspection records: A record should be kept of every OH&S inspection carried out. The
records should indicate whether or not documented OH&S procedures were being
complied with. Records of OH&S inspections, tours, surveys, and OH&S Management System
audits should be sampled to identify underlying causes of non-compliance and repetitive
hazards. Any necessary preventive action should be taken. Substandard conditions and
unsafe situations and items identified during the inspections should be documented as non-
conformance’s, assessed as to risk and corrected in accordance with the non-conformance
procedure.

Checklists
A checklist helps to clarify inspection responsibilities, controls inspection activities and
provides a report of inspection activities. Checklists help with on-the-spot recording of
findings and comments but be careful. Do not allow the inspection team to become so
intent on noting the details listed in the checklist that it misses other hazardous conditions. Use
checklists only as a basic tool. Refer to the related documents for sample checklists that you
can use as a guide to develop a checklist that is customized for your workplace

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Example of an office inspection checklist?

The examples outlined below do not list all the possible items for office inspections. The best
checklist for your workplace is one that has been developed for your specific needs.
Whatever the format of the checklist, provide space for the inspectors' signatures and the
date.

Inspectors: Date:
(O)Satisfactory
(X) Requires Action

Location Condition Comments

Bulletin Boards and Signs
Are they clean and readable?
Is the material changed frequently?
Floors
Is there loose material, debris, worn carpeting?
Are the floors slippery, oily or wet?
Stairways and Aisles
Are they clear and unblocked?
Are stairways well lighted?
Are handrails, handholds in place?
Are the aisles marked and visible?
Equipment
Are guards, screens and sound-dampening devices in place
and effective?
Is the furniture safe?
- worn or badly designed chairs
- sharp edges on desks and cabinets
- poor ergonomics (keyboard elevation, chair adjustment)
- crowding
Are ladders safe, and well maintained?
Emergency Equipment
Is all fire control equipment regularly tested and certified?
Is fire control equipment appropriate for the type of fire it must
control?
Is emergency lighting in place and regularly tested?
Building

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Do buildings conform to standards with respect to use,
occupancy, building services, and plumbing facilities?
Check the following structures to ensure safety:
- swinging doors
- floor and wall openings
- ladders, stairways and ramps
- guardrails
Are materials stored safely?
Air Handling System
Does air exchange rate meet standard requirements?
Is the system free of sources of contamination (asbestos,
microorganisms, dust, fumes)?
Is humidity within standard range?
Dangerous Substances
Are there any controlled substances (e.g. WHMIS controlled
products)?
- If yes, are the products properly labelled?
- If yes, is there a corresponding material safety data sheet
(MSDS) for each product?
- If yes, are workers trained in how to use these products
safely?
Sanitation
Are washrooms and food preparation areas clean?
Are the following provided adequately?
- toilets
- showers
- potable water
- clothing storage
- change rooms
- field accommodations
- lunchrooms
Are measures in place to prevent the spread of disease?
Security
Do entry and exit procedures provide workers personal security
at night?
Are emergency (evacuation, fire, bomb threat, hostile person)

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procedures in place?
Lighting
Are lamp reflectors clean?
Are bulbs missing?
Are any areas dark?
Material Storage
Are materials neatly and safely piled?
Are there stepladders or stools to get to materials on higher
shelves?
Are storage shelves overloaded or beyond their rated
capacity?
Are large and heavy objects stored on lower shelves?
Are passageways and work areas clear of obstructions?
General
Are extension cords used extensively?
Are electrical or telephone cords exposed in areas where
employees walk?
Are machines properly guarded?
Is electrical wiring properly concealed?
Does any equipment have sharp metal projections?
Are wall and ceiling fixtures fastened securely?
Are paper and waste properly disposed of?
Are desk and file drawers kept closed when not in use?
Are office accessories in secure places?
Are materials stacked on desks or cabinets?
Are file cabinet drawers overloaded?
Are file cabinets loaded with the heaviest items in the bottom
drawers?

B. CRITICAL EQUIPMENT LISTS;
Critical equipment is any piece of equipment or machinery that could do any of the
following:

 Significantly impair the ability to safely meet business objectives.
 Adversely affect quality levels.
 Violate environmental standards of the organization.
There are assets or equipment that are absolutely mission critical to the organization. Critical
equipment often impacts safety, regulatory compliance, cost, or operational throughput.

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Apparently, provision for any critical equipment must be accounted for in order to support
the sustainability of the organization. The failure of these critical assets/ equipment is the very
risk that must be mitigated or eliminated. Managing critical equipment requires an auditable
process to ensure that operational risk reduction is actively pursued. The failure of these
critical assets is the very risk that must be mitigated if not eliminated. As with all business
practices, managing critical equipment requires an auditable process, to ensure that
operational risk reduction is actively pursued.

Types of critical equipment that may often exist in buildings include:
 Safety systems
 Environmental controls
 Hazardous substance handling
 Energy management
 Utility supplies
 Security systems, etc.

Safety critical equipment or systems would include:
 Electrical safeguarding system including protective relays
 Mechanical integrity system and its equipment such as PSVs, check valves.
 Fire detection and fighting systems.
 Emergency response systems

C. MEASURING EQUIPMENT LIST;
Measuring equipment that is used to assess OH&S conditions (e.g sound level meters, light
meters, air samplers) should be listed, identified uniquely, and controlled. The accuracy of
this equipment should be known. Where necessary, written procedures should be available
describing how OH&S measurements are performed. Equipment used for OH&S
measurement should be maintained and stored in correct places.

Measuring equipment used by contractors should be subject to the same controls as in-
house equipment. Contractors should be required to give assurances that their equipment
conforms to these requirements. Prior to initiating the work, the supplier should provide a
copy of its equipment test records for any identified critical equipment that requires such
records. If any tasks require special training, the corresponding training records should be
provided to the customer for review

D. MEASUREMENT PROCEDURES AND STATISTICAL TRENDS;

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Advancing an organization’s long-term risk management strategy is a central objective in
the development of an OHS management plan. Once fully implemented, a management
system should address all of an organization’s unique process and hazards – as well as any
future changes to those processes. Incorporating an adaptive structure into an OHS
management plan helps ensure that new corporate directives and company procedures will
be systematically identified and responded to, regardless of whether they are driven by
internal or external factors.

The organization should identify key performance procedures for its OHS performance. These
should include, but not be limited to, parameters that determine whether:

 OHS policy and objectives are being achieved.
 Risk controls have been implemented and are effective;
 Lessons have been learnt from OHSMS failures, including hazardous events

(accidents, near misses and illness cases).
 Awareness, training, communication and consultation programmes for employees

and interested parties are effective;
 Information that can be used to review and/or improve OHSMS is being produced

and used, etc. The documentation may include:
- Procedure(s) for monitoring and measuring;
- The critical equipment lists and also the equipment inspection checklists;
- Workplace conditions standards, and inspection schedules and checklists;
- Measuring equipment lists, and measurement procedures;
- Calibration scheme, calibration records, maintenance activities and results;
- Completed checklists and OHSMS audit outputs;
- Non-conformance reports; and
- Evidence of the results of implementing the procedure(s).

Any statistical or other theoretical analytical technique used to assess an OH&S situation, to
investigate an OH&S incident or failure, or to assist in decision making in relation to OH&S
should be based on sound scientific principles. The management appointee should ensure
that the need for such techniques is identified. Where appropriate, guidelines for their use
should be documented, along with the circumstances in which they are appropriate.

E. CALIBRATION SCHEMES AND RECORDS;
When required, a calibration scheme should be documented for the measuring equipment.
This scheme should include:

 The frequency of calibration
 Reference to test methods, where applicable

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 Identity of the equipment to be used for the calibration
 Action to be taken when the specified measuring equipment is found to be out of

calibration.

Calibration should be carried out under appropriate conditions. Procedures should be
prepared for critical or difficult calibrations. Equipment used for calibration should be in
accordance with national standards where such standards exist. If no such standard sexist,
the basis for the levels used should be documented. Records should be kept of all
calibrations, maintenance activities and results. Records should give details of the
measurements before and after adjustment. The calibration status of measuring equipment
should be clearly identified to the users. OH&S measuring equipment whose calibration status
is unknown, or which is known to be out of calibration, should not be used. Additionally, it
should be removed from use, and be clearly labelled, tagged, or otherwise marked, to
prevent misuse. Such marking should be in accordance with written procedures. The
procedures should include the identification of the calibration status of the product. A non-
conformance should be issued to document the actions taken. The procedures should
include an action plan if out of-calibration equipment is discovered.

F. MAINTENANCE SYSTEM ACTIVITIES AND RESULTS
The organization shall ensure that internal audits of the OH&S Management System are
conducted at planned intervals to:
a) Determine whether the OH&S Management System:
1) Conforms to planned arrangements for OH&S management including the requirements of
this OHSAS Standard and
2) Has been properly implemented and is maintained and
3) Is effective in meeting the organization’s policy and objectives
b) Provide information on the results of audits to management.

OH&S Management System auditing is a process whereby organizations can review and
continuously evaluate the effectiveness of their OH&S Management System. In general,
OH&S Management System audits need to consider OH&S policy and procedures, and the
conditions and practices in the workplace. An internal OH&S Management System audit
programme should be established to allow the organization to review its own compliance of
its OH&S Management System to BS OHSAS 18001. Planned OH&S Management System
audits should be carried out by personnel, from within the organization and/or by external
personnel selected by the organization, to establish the degree of compliance with the
documented OH&S procedures, and whether the system is effective in meeting the OH&S

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objectives of the organization. In either case, the personnel conducting the OH&S
Management System audits should be in a position to do so impartially and objectively.
Internal OH&S Management System audits focus on the performance of the OH&S
Management System. They should not be confused with OH&S or other safety inspections.

G. COMPLETED CHECKLISTS (SYSTEM AUDIT OUTPUTS);
At the end of the audit, the auditor or audit team should summarise and feed back their
initial findings to the manager responsible and, in particular, draw attention to any issues that
are so significant that they need immediate action. The audit report should assess overall
performance, identify any inadequacies, and make recommendations on action for
improvement.

An action plan of agreed remedial measures should be drawn up together with
identification of responsible persons, completion dates, and reporting requirements. Follow-
up monitoring arrangements have to be established to ensure satisfactory implementation of
the recommendations.

H. EVIDENCE OF RISK PROFILES AND NON-CONFORMANCE REPORTS.

A risk profile is quantitative analysis of the types of threats and organization faces. It is the
formal documentation of the results of risk assessment for a single occupational exposure
group, e.g. (a job category).

- Identify major hazards relating to the organization (or site) processes.
- Assess the risks and identify critical control strategies.
- Document all the assessment results irrespective of the risk rating
- Avoid the risk – this is ideal, but not always attainable.
- Prioritize the risk – focus attention on the greater risks, including those where the

public is involved.
- Control hazards at their source – deal with the hazard directly, do not use a

secondary control; for example, control noise by repairing or maintaining the
machine, not by using hearing protectors.
- Adapt work to individuals’ abilities – for example, use stronger people for tasks
demanding strength.
- Upgrade work equipment as technology improves – newer equipment may be
marked to show that it meets tougher safety standards.
- Implement a coherent control policy – ensure that the specific risk control does
not cause a disproportionate problem elsewhere; for example, do not solve the
problem of a noisy machine by relocating it.

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- Ensure that collective measures have priority over individual measures – for
example, it is better to provide a safety roof rather than to rely on individual
measures such as hard hats.

- Inform, instruct, train, and supervise the workforce.
- Provide Personal Protective Equipment (PPE). Although PPE is often essential, all

the higher level controls should be considered first before using PPE as the
alternative to solve a problem. Appropriate PPE (for example, overalls, safety
boots, gloves, and hard hats) should be required even in the safest environments.

Non conformance or non-compliance report documents the details of non – conformance
identified in quality audit or monitoring process. The elements of an effective statement of
non-conformance are;

- Observation – a statement of non – conformance.
- Attribution - the standard plan, procedure, work instruction, policy, documented

norm or ethic violated.
- Location – where the non – compliance was identified, e.g. department
- Evidence, physical evidence of non-compliance, e.g., the absence of a required

record.
DESCRIBE THE EVALUATION PROCESSES USED IN OCCUPATIONAL HEALTH AND SAFETY:
A. WHAT MUST BE EVALUATED;
Once you have set up prevention strategies such as policies and procedures, you need to
make sure they continue to work to keep your workplace safe and without risks to health.
Evaluation is an important part of effectively maintaining health and safety in your
workplace.
The aim of evaluation is to check how well you are going towards achieving your stated
health and safety objectives or goals. In health and safety management, your goals will be
to:

- Meet the legal requirements or standards applying to your workplace; and
- Ensure the workplace, as far as practicable, is safe and without risks to health.
You can evaluate a single part of your health and safety management system (e.g. training)
or the entire system. The employer’s primary objective should be to meet legal obligations to
provide and maintain so far as practicable, a working environment that is safe and without
risks to health accordance with the Occupational Health and Safety Act.
To evaluate your health and safety performance, you will need to look at you health and
safety policy and what you are doing to achieve your objectives, and how well you are
doing it.
Your policy might state this will be achieved through:

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- effective management with commitment and personal involvement at all levels
of the organisation;

- work planning and control, so hazardous situations and conditions are avoided;
- facilities, equipment, education and training, to ensure healthy and safe working

conditions and methods; and
- teamwork and effective two-way communication as an integral part of every

job.

To evaluate your system against these objectives, you firstly have to look at what programs or
strategies have been developed to meet the objectives. For example, are you providing
training? If you are, you need to evaluate how well the training is contributing to “healthy
and safe working conditions and methods”. Other more specific objectives relate to
strategies, commitment, roles and functions, and the environment within the workplace.
Part of the evaluation against these goals will be to audit whether the arrangements have
been made as proposed. For example, are health and safety strategies developed each
year? Evaluation will also include assessing how well the arrangements are working to
achieve the objectives.

B. DEVELOPING A PROTOCOL FOR EVALUATION;
Look for long-term as well as short-term measures of your performance. You will need
measures to look at your overall management of health and safety, and to look at individual
strategies and programs. To evaluate your overall management system, or any specific
aspect of it, you will need to use a range of measures. Short term measurements, long term
indicators, quantitative measures, qualitative measures as well as measures of timeliness will
be required. You need to choose measures that will tell you about the program or activity
you are evaluating.

For example, if your objective is to reduce the number of lost time injuries, then you can use
your injury and illness records to measure if this is being achieved, and by how much
(quantitative measures). If your policy states that “a high level of health and safety
awareness will be fostered at all levels”, then you will have to work out what would show you
this is being achieved. You may have to look at health and safety committee minutes, at a
record of issues raised, or you may talk to employees about their awareness of health and
safety (qualitative measures). If you wish to evaluate your aim “to plan and control work so
hazardous situations and conditions are avoided”, then you need to look at, and follow,
aspects affecting this strategy. For example:

- your system for workplace inspections, corrective actions, reporting and follow-
up (hazard identification, risk assessment and risk control);

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- your system for developing and reviewing work procedures and instructions;
- your investigation and follow up of accidents, incidents and near-misses;
- your injury and illness records; and
- your system for checking all new and changed plant, equipment, substances or

processes in the workplace.

Some short term measures include:
- an assessment of whether your plans are being implemented;
- the proportion of health and safety grievances which were resolved successfully
at shop-floor level; and
- any reduction in the number of health and safety grievances.

Some long-term measures?
These may include:

- injury and illness rates;
- incidence of gradual onset injuries; and
- the hidden costs of injury and illness.
Other quantitative measures?
You can get them from your health and safety records. They could include:
- the number of incidents;
- the number of employees trained;
- the number of work procedures developed or reviewed; and
- the number of hazards identified and eliminated.
What about qualitative measures?
Qualitative measures are helpful in analyzing the success and failure of particular strategies.
Qualitative measures in the workplace could include:
- the types of issues being raised by employees and health and safety

representatives;
- employees’ level of awareness of the health and safety policy;
- how the health and safety performance is being taken into account in the

performance assessment of supervisors and managers; and evidence that
management is leading by example.
-
Some measure of timeliness?
An important aspect of effectiveness is whether the activity happened in a timely way.
Measures of this could include:
- Whether the training timetable is being followed;
- Whether the timetable for implementing the strategies is being observed;

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- The response time for corrective action on inspections; or
- Maintenance requests being handled promptly.
You need to plan the measures you will use when you set up programs or strategies. For
example, you may need to establish ways of collecting records about injuries and illnesses.
This could include setting up a first aid register as well as a procedure to make sure
Workplace Injury and Illness Recording forms are completed.

C. THE CRITERIA FOR CONDUCTING THE EVALUATION;

The following are examples of methods that can be used to evaluate OH&S performance:
▶ Results of hazard identification, risk assessment and risk control processes
▶ Systematic workplace inspections using checklists
▶ OH&S inspections: for example, on a “walk through” basis
▶ Prior evaluations of new plant, equipment, materials, chemicals, technologies, processes,
procedures or work patterns
▶ Inspections of specific machinery and plant to check that safety related parts are fitted
and in good condition
▶ Safety sampling: examining specific aspects of OH&S
▶ Environmental sampling: measuring exposure to chemical, biological or physical agents
(e.g. noise, volatile organic compounds, legionella) and comparing with recognized
standards
▶ Availability and effectiveness of use of personnel with recognized OH&S experience or
formal qualifications
▶ Behavior sampling: assessing workers’ behavior to identify unsafe work practices that might
require correction
▶ Analysis of documentation and records
▶ Benchmarking against good OH&S practices in other organizations
▶ Surveys to determine employee attitudes on the OH&S management system, OH&S
practices, and employee consultation processes.
Organizations need to decide what to carry out an evaluation and how often evaluation
should take place based on the level of risk. The frequency of plant or machinery inspections
may be defined by law (e.g. for air receivers, steam plant, lifting equipment). Routine OH&S
evaluation of processes, workplaces and practices should be carried out according to a
documented evaluation schedule by managers.

D. PROCESS FOR COLLECTING THE RELEVANT DATA;

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How this information will be collected, how often it will be collected, and who will collect it
will depend on the program or strategy being evaluated and the types of measures you are
collecting. You will probably use a checklist when you are auditing the system, or measuring
if certain activities have been completed against a fixed time schedule. Some possible
questions to ask are:

 Do the injury and illness recording procedures meet the requirements of the
Occupational Health and Safety Act?

 Are all incidents, illness and injury, and near misses;
- Recorded
- Investigated
- reported if required
- analyzed for trends, and
- Reported to employees?

If you are measuring performance against specified targets, for example reducing numbers
of injuries, you could use information from your health and safety records. This could include
reports on:

- the frequency of incidents and dangerous occurrences;
- average lost time; and
- Costs.
If you are evaluating the effectiveness of your information and communication strategy, you
could collect qualitative information from:
- discussion with health and safety representatives and employees;
- health and safety committee minutes;
- issues raised and resolved logbook; or
- Interviews, questionnaires or observations.
In all cases, information should be obtained by speaking directly to the people doing the
task which is being evaluated.

How often should you collect information?

How often you collect this information will vary according to the nature of the measures, and
the system or strategy you are evaluating. For example, some indicators relating to training
will need to be assessed at the end of every training course. The overall performance of your
health and safety management system may only need to be assessed annually.
Whatever your timetable, you need to continue to collect information on the measurements
regularly, so trends and changes can be identified.

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Who should collect the information?
The role or function of collecting the information should be clearly allocated. In specific
locations, supervisors or managers can collect information on the areas under their control.
Small workgroups or teams can collect information on their own area. The manager whose
role or function includes implementing a health and safety system or plan in that area may
also do the evaluation. They would do this in the same way they would evaluate and report
on sales or costs in their area. The health and safety committee and health and safety
representatives should be involved in evaluation. This may include a role in collecting and
providing information. In larger organisations you may want or need external assistance to
evaluate overall policy or management systems.

E. DATA ANALYSIS AND INTERPRETATION METHODS;

You need to analyze these measurement records. You need to understand the information
so it can be used to identify improvements to your health and safety management system as
well as particular strategies. The measurements you have collected will show whether a
strategy is achieving its objective, or if performance is up to the standard you set. If you have
not achieved your objective, then you need to look at the information you have collected to
determine the reasons. This will help you to arrange improvements or changes to the
objective or strategy. If performance is not up to your standard in a particular area, you may
choose to develop a strategy to improve it. There is a number of questions you may need to
ask as you analyze the data and methods:

- Was the objective realistic and achievable?
- Is the objective relevant to current technology and values?
- Was the strategy implemented as planned?
- Was there adequate training, information and understanding of the strategy?
- Were there resources available to implement the strategy?
- Did work organisation allow the strategy to work?
- Was responsibility for implementing the strategy allocated?
- Are the responsibilities understood?
- Did the information you collect accurately measure performance of the

strategy?
Use the information you get from this analysis to fine tune your strategies, to reset your
standards.

F. REPORTING PROCESSES AND FORMATS.

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Once you have identified improvements to your health and safety system, you should make
the results known and implement corrective action. Follow-up corrective action must be
taken promptly to demonstrate management commitment to health and safety.

New or improved strategies should be implemented and then the evaluation process will
begin again, using any lessons, mistakes and achievements to help
the process.

DESCRIBE THE PROCESSES FOR DEFINING AND IMPLEMENTING CORRECTIVE ACTIONS:

The seven-step process with OHSAS 18001
It is good to remember that the process for corrective and preventive actions, like any
process, is not dependent on any specific tool. This process can be done using a computer
program, forms stored electronically on the computer, or even paper forms – it is important
to identify the root cause of a problem and make sure that it does not happen again, not
how you store the data. Below is an example of the process as it would be used for an OH&S
problem:

Step 1) Define the problem: It is best to use a “should be” and “as found” statement for your
problem definition. If you can’t identify what the situation should be, then it might be that
you are not identifying a real problem. For example; should be: Personal protective
equipment (PPE) is to be worn when dispensing chemicals under the fume hood.
Or
As found: In an audit of the process, 3 out of 5 operators admitted that they did not use PPE
during this operation.

Step 2) Define the problem scope: Let’s say that an investigation of similar processes did not find
other examples where PPE was not used as directed; however, other fume hood stations
using this same chemical dispensing process also had examples of PPE not being worn. This
means it is not a problem with all PPE usage, but for this operation only.

Step 3) Contain the problem: This is the step where you solve the immediate problem, such as re-
training all operators in the PPE needed or placing signs as reminders of what to wear. This will
help in the short term, but you must make sure the problem does not return.

Step 4) Search for the root cause: This is the hardest part of corrective action: finding the source of
the problem. Without finding the root cause of the problem, any fix you put in place can be
short lived or ultimately fail. Many methods exist to do this. One useful method is the fishbone

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diagram as shown below, listing all the potential causes for the problem, which can then be
reviewed and eliminated until the final cause is revealed.

Step 5) Plan the corrective action: in our example the plan may be decided for this cause was to
install a board that was clearly visible where the PPE needed for the job is always placed. In
this way, it is clear what PPE is needed, and the chance of misplacing the PPE is reduced
because it has an identified home when the task is complete.

Step 6) Implement your plan: For the above example, the implementation may involve getting
the boards, putting them in place, and updating the employee training to show where the
PPE is to be kept.

Step 7) Make sure the plan works with follow-up actions: This is where companies often fail. It is
important to review the process after the plan has been implemented to make sure that it
has worked. In this case, the follow-up is to verify in the next few audits if the PPE is being
returned to the location and people are using it. If there are repeated findings of the
problem, then you need to return to the root cause analysis to review other potential causes,
because you have obviously missed the root cause with your corrective action.

Address the biggest problems
Your OH&S management system is there to improve your workplace health & safety, and
properly addressing problems is the best way to improve. With health & safety, it is better to
identify corrective and preventive actions for situations where an injury was avoided, often
called a “near miss,” than to wait for an injury to happen.
A.THE TYPICAL MANAGEMENT PROCESSES FOR IMPLEMENTING RECOMMENDATIONS;
OHSAS 18001 requires that, Top management review the organization’s OH&S Management
System, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness.
Reviews shall include assessing opportunities for improvement and the need for changes to

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the OH&S Management System, including the OH&S policy and OH&S objectives. Records of
the management reviews shall be retained.

Input to management reviews shall include:
a) Results of internal audits and evaluations of compliance with applicable legal
requirements and with other requirements to which the organization subscribes
b) The results of participation and consultation
c) Relevant communication(s) from external interested parties, including complaints
d) The OH&S performance of the organization
e) The extent to which objectives have been met
f) Status of incident investigations, corrective actions and preventive actions
g) Follow-up actions from previous management reviews
h) changing circumstances, including developments in legal and other requirements related
to OH&S and
i) Recommendations for improvement.

The outputs from management reviews shall be consistent with the organization’s
commitment to continual improvement and shall include any decisions and actions related
to possible changes to:
a) OH&S performance
b) OH&S policy and objectives
c) Resources and
d) Other elements of the OH&S Management System.

Relevant outputs from management review shall be made available for communication and
consultation Top management should review the operation of the OH&S Management
System to assess whether it is being fully implemented and remains suitable for achieving the
company’s stated OH&S policy and OH&S objectives. The review should also consider
whether the OH&S policy continues to be appropriate. It should establish new or updated
OH&S objectives for continual improvement, appropriate to the coming period, and
consider whether changes are needed to any elements of the OH&S Management system.

Typical inputs to be reviewed:
▶ Accident statistics
▶ Results of internal and external OH&S management system audits
▶ Corrective actions carried out to the system since the previous review
▶ Reports of emergencies (actual or exercises)
▶ Report from the management appointee on the overall performance of the system

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▶ Reports from individual line managers on the effectiveness of the system locally
▶ Reports of hazard identification, risk assessment and risk control processes.

Process
Reviews should be carried out by top management on a regular basis (e.g. annually).
The frequency of such reviews should be commensurate with the age and development of
the system, i.e. a relatively new and untested system
may be reviewed quarterly, whilst a tried and tested system which has demonstrated its
effectiveness may only need to be reviewed annually.
The review should focus on the overall performance of the OH&S Management System and
not on specific details, since these should be handled by the normal means within the OH&S
Management System.

Interpretation
In planning for a management review, consideration should be given to the following:
▶ The topics to be addressed
▶ Who should attend (managers, OH&S specialist advisors, other personnel)
▶ Responsibilities of individual participants in respect of the review
▶ Information to be brought to the review
The review should address:
▶ Suitability of current OH&S policy
▶ Setting or updating of OH&S objectives for continual improvement in the forthcoming
period
▶ Adequacy of current hazard identification, risk assessment and risk control processes
▶ Current levels of risk and the effectiveness of existing control measures
▶ Adequacy of resources (financial, personnel, material)
▶ The effectiveness of the OH&S inspection process
▶ The effectiveness of the hazard reporting process
▶ Data relating to accidents and incidents that have occurred
▶ Recorded instances of procedures not being effective
▶ Results of internal and external OH&S Management System audits carried out since the
previous review and their effectiveness
▶ The state of preparedness for emergency
▶ Improvements to the OH&S Management System (e.g. new initiatives to be introduced or
expansion of existing initiatives)
▶ Output of any investigations into accidents and incidents
▶ An assessment of the effects of foreseeable changes to legislation or technology.

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The management appointee should report to the meeting on the overall performance of the
OH&S Management System.
Partial reviews of the OH&S Management System performance should be held at intervals
that are more frequent, if required.

Typical outputs:
▶ Minutes of the review
▶ Revisions to the OH&S policy and OH&S objectives
▶ Specific corrective actions for individual managers, with target dates for completion
▶ Specific improvement actions, with assigned responsibilities and target dates for
completion
▶ Date for review of corrective action
▶ Areas of emphasis to be reflected in the planning of future internal OH&S Management
System audits.

B.CONSEQUENCES WHEN RECOMMENDATIONS ARE NOT IMPLEMENTED;

Competing priorities, budget limitations and other factors may prevent managers from
implementing agreed actions in the agreed timeline or as previously designed to mitigate
the risk. The purpose of follow up is to ensure that management has implemented the action,
and that it has addressed the issue. In practice, this is often easier said than done! Managers
who do not implement agreed actions arising from internal audit findings expose the
organisation to risk. Following up on your actions helps to prevent this becoming an issue.

Arrangements need to be clear on:
• how outstanding recommendations/management actions will be tracked
• how resolution will be reported and validated
• what follow up action might be needed (this may also link to the nature of the risks/findings
identified by internal audit – with high risk areas having more internal audit resource or input
as
part of the follow up)
• how this will be carried out in order to provide assurance that identified risks are being
appropriately addressed.

The degree of follow-up activity may be influenced by the size and nature of the risk
identified

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C. MECHANISMS TO MONITOR THE EFFECTIVE IMPLEMENTATION OF RECOMMENDATIONS;

Top management shall review the organization’s OH&S Management System, at planned
intervals, to ensure its continuing suitability, adequacy and effectiveness. Reviews shall
include assessing opportunities for improvement and the need for changes to the OH&S
Management System, including the OH&S policy and OH&S objectives. Records of the
management reviews shall be retained.

Input to management reviews shall include:
a) Results of internal audits and evaluations of compliance with applicable legal
requirements and with other requirements to which the organization subscribes
b) The results of participation and consultation
c) Relevant communication(s) from external interested parties, including complaints
d) The OH&S performance of the organization
e) The extent to which objectives have been met
f) Status of incident investigations, corrective actions and preventive actions
g) Follow-up actions from previous management reviews
h) changing circumstances, including developments in legal and other requirements related
to OH&S and
i) Recommendations for improvement.
The outputs from management reviews shall be consistent with the organization’s
commitment to continual improvement and shall include any decisions and actions related
to possible changes to:
a) OH&S performance
b) OH&S policy and objectives
c) Resources and
d) Other elements of the OH&S Management System.
Relevant outputs from management review shall be made available for communication and
consultation.

In planning for a management review, consideration should be given to the following:
▶ The topics to be addressed
▶ Who should attend (managers, OH&S specialist advisors, other personnel)
▶ Responsibilities of individual participants in respect of the review
▶ Information to be brought to the review

The review should address:
▶ Suitability of current OH&S policy

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▶ Setting or updating of OH&S objectives for continual improvement in the forthcoming
period
▶ Adequacy of current hazard identification, risk assessment and risk control processes
▶ Current levels of risk and the effectiveness of existing control measures
▶ Adequacy of resources (financial, personnel, material)
▶ The effectiveness of the OH&S inspection process
▶ The effectiveness of the hazard reporting process
▶ Data relating to accidents and incidents that have occurred
▶ Recorded instances of procedures not being effective
▶ Results of internal and external OH&S Management System audits carried out since the
previous review and their effectiveness
▶ The state of preparedness for emergency
▶ Improvements to the OH&S Management System (e.g. new initiatives to be introduced or
expansion of existing initiatives)
▶ Output of any investigations into accidents and incidents
▶ An assessment of the effects of foreseeable changes to legislation or technology.

The management appointee should report to the meeting on the overall performance of the
OH&S Management System.
Partial reviews of the OH&S Management System performance should be held at intervals
that are more frequent, if required.

D. CLOSE OUT REPORTS.

The content of the final OH&S Management System audit report should be clear, precise and
complete. It should be dated and signed by the auditor. It should, depending on the case,
contain the following elements:
▶ The OH&S Management System audit objectives and scope
▶ The particulars of the OH&S Management System audit plan, identification of the members
of the auditing team and the audited representatives, dates of audit and identification of
the areas subject to audit
▶ The identification of reference documents used to conduct the OH&S Management System
audit (e.g. BS OHSAS 18001, OH&S management handbook)
▶ Details of identified non-conformance
▶ The auditor’s assessment of the degree of conformity with OHSAS 18001
▶ The ability of the OH&S Management System to achieve the stated OH&S management
objectives

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▶ The distribution of the final OH&S Management System audit report.
The results of OH&S Management System audits should be fed back to all relevant parties as
soon as possible, to allow corrective actions to be taken. An action plan of agreed remedial
measures should be drawn up together with identification of responsible persons, completion
dates and reporting requirements. Follow up monitoring arrangements should be established
to ensure satisfactory implementation of the recommendations. Confidentiality should be
considered when communicating the information contained within the OH&S Management
System audit reports.

DESCRIBE THE CRITERIA FOR WELL-DESIGNED OHS POLICIES, PROCEDURES AND STANDARDS.

The Occupational Health and Safety Act, Act 85 of 1993, requires the employer to provide
and maintain as far as reasonable and practical a work environment that is safe and without
risk to the health of employees. Section 7 of the Act provides direction to employers
concerning the health and safety policy of the organization.

OHSAS 18001 requirement

Following the success of ISO 14001 (Environmental Management Systems) and ISO 9001
(Quality Management Systems), and in response to a demand for a recognisable OHS
Management System ‘standard’ against which organizations could be assessed and
certificated, OHSAS (Occupational Health and Safety Assessment Series) 18001:1999 and the
accompanying guide OHSAS 18002:2000 were published. Reviewed and revised in 2007,
OHSAS 18001 is now fully compatible with ISO 9001 and ISO 14001 in order to facilitate the
integration of quality, environmental and occupational health and safety management
systems by organizations, should they wish to do so.

OHSAS 18001 policy requirements are based upon similar intentions as those enshrined within
the Occupational Health and Safety Act, Act 85 of 1993, that Top management shall define
and authorize the organizations OH&S policy and ensure that within the defined scope of its
management system it:

a) is appropriate to the nature and scale of the organization’s OH&S risks
b) Includes a commitment to prevention of injury and ill health and continual improvement in

OH&S management and OH&S performance
c) Include a commitment to at least comply with applicable legal requirements and with

other requirements to which the organization subscribes that relate to its OH&S hazards;
d) provides the framework for setting and reviewing OH&S objectives

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e) is documented, implemented and maintained
f) is communicated to all persons working under the control of the organization with the
intent that they are made aware of their individual OH&S obligations
g) is available to interested parties and
h) is reviewed periodically to ensure that it remains relevant and appropriate to the
organization.

OHSAS 18001 places a number of mandatory requirements upon your organization with
regards to the effective development, issue, maintenance and communication of an OH&S
policy. What does this mean?

 Top management authorizing the policy
 The inclusion of overall health and safety objectives supported by a commitment to

improving health and safety performance
 Include a commitment to continual improvement
 Include a commitment to at least comply with applicable legislation and with other

requirements to which the organization subscribes that relate to its OH&S hazards
 Be documented, implemented and maintained
 Be communicated to all persons working under the control of the organization with

the intent that they are made aware of their individual OH&S obligations
 Include a commitment to prevention of injury and ill health
 Be reviewed periodically to ensure that it remains relevant and appropriate to the

organization communicating the policy commitments of OHSAS 18001.
 Consider your legal obligations under the Occupational Health and Safety Act, Act

85 of 1993,

The health and safety policy statement can be brief, but it should mention:
1) A description of the organization
2) Recognize the need to comply with minimum standard legislation of the Occupational

Health and Safety Act
3) Recognize the priority of safety in relation to other organizational goals and policies
4) Acknowledge the right of every employee to work in a safe and healthy environment
5) Stipulates that management is accountable for occupational health and safety

programs and management's commitment to providing a safe and healthy work
environment by eliminating or minimizing the hazards that can cause accidents and
injuries
6) The organization’s basic health and safety philosophy (statement of health and safety
principles and goals)
7) The general responsibilities of all employees

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8) That health and safety shall not be sacrificed for expediency
9) That unacceptable performance of health and safety duties will not be tolerated
10) Encourage co-operation with unions and workers to involve all employees in

implementing the health and safety policy into practice
11) The policy date
12) Be signed by the chief executive officer
13) Be visibly displayed for all workers to see
14) Review date of the policy

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FORMATIVE ASSESSMENT -ONE
 KT0101 Identify and describe the various monitoring tools used in occupational health

and safety management: a. Inspection schedules and checklists; b. Critical equipment
lists; c. Measuring equipment list; d. Measurement procedures and statistical trends; e.
Calibration schemes and records; f. Maintenance system activities and results; g.
Completed checklists (system audit outputs); h. Evidence of risk profiles and non-
conformance reports. (NQF Level: 5)
 KT0102 Describe the evaluation processes used in occupational health and safety: a.
What must be evaluated; b. Developing a protocol for evaluation; c. The criteria for
conducting the evaluation; d. Process for collecting the relevant data; e. Data analysis
and interpretation methods; f. Reporting processes and formats. (NQF Level: 5)
 KT0103 Describe the processes for defining and implementing corrective actions: a. The
typical management processes for implementing recommendations; b. Consequences
when recommendations are not implemented; c. Mechanisms to monitor the effective
implementation of recommendations; d. Close out reports. (NQF Level: 5)
 KT0104 Describe the criteria for well-designed OHS policies, procedures and standards.
(NQF Level: 5)

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4.2.2. KM-04-KT02:
Structure of the regulatory requirements regarding occupational health

and safety and how it links to the occupational health and safety
management system. (Advanced)

KT0201 Explain the role and function of a legal register in facilitating
KT0202 legal compliance. (NQF level 5)
Explain the different levels of regulatory requirements (Laws,
KT0203 Conventions, treaties, policies, procedures, codes etc): a.
International b. National; c. Provincial d. Local e. Organisational
(NQF Level: 5)
Explain and give examples of the origin and structure of
legislation: a. How laws originate; b. Different types of legislation;
c. Principles of prosecution; d. Basic legal liability; e. Basic rule
for the interpretation of legislation. (NQF Level: 5)

EXPLAIN THE ROLE AND FUNCTION OF A LEGAL REGISTER IN FACILITATING LEGAL COMPLIANCE.
A legal register is a list of legal instruments, whether legislation, regulation or otherwise, which
apply uniquely to a given operation. It is a legal library that is organized into specific legal
provisions applicable to a specific company for specific operating units/ sites or for a
company as a whole. It is a general interpretation of the applicable legal provisions, which
states, in layman’s terms what the company has to do to meet the specific requirement set
out in each specific section, subsection, paragraph and sub - paragraph. It is thus, not only a
copy of the relevant legislation and other requirements, but also identification of which legal
provisions apply in which set of conditions, and the interpretation of the identified legal
provisions.

Legal registers are often used as part of the management systems aligned with legal
international standards such as ISO 14001 and OGSAS 18001in the domains of environment
and health and safety (EHS). An EHS legal register contains all EHS legal provisions applicable
to the specific company and its business units/ sites.
A good legal register kept up – to – date:

 Daily as the applicable legal provisions change.

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 Annually, on review of how the operational activities and other attributes of each
business unit/ site of the company have changed.

Notification of changes in the applicable legal provisions should be communicated, daily to
the people within the company who are tasked with maintaining compliance the OHS law
at the company, on a business unit or site – specific basis.
All companies have a legal obligation to comply the existing legislation. In addition, a
number of H & S management standards require companies to identify, maintain and
update a list of relevant legislations.

EXPLAIN THE DIFFERENT LEVELS OF REGULATORY REQUIREMENTS (LAWS, CONVENTIONS,
TREATIES, POLICIES, PROCEDURES, AND CODES ETC):
The Legislative framework that informs the development and implementation of the OHS
Policy are:

Legal frameworks International organization of standards

 Constitution of the RSA, Act 108 of  WHO Global Strategy on
1996 Occupational Heath for All

 Public Service Act, 1994 as  WHO Global Worker’s Plan 2008-
Amended & Regulations 2017

 Occupational Health and Safety  ILO Décent Work Agenda 2007-
Act 85 of 1993 2015

 Employee Health and Wellness  ILO Promotional Framework for
Strategic Framework for the Public Occupational Safety Convention
Service 2006

 Disaster Management Act, No. 57  United Nations Convention on the
of 2002 Rights of People with Disabilities

 Basic Conditions of Employment  United Nations Millennium
Act 75 of 1997 Declaration and its Development
Goals (MDGs)
 Employment Equity Act 55 of 1998
 The International Convention on
 Labour Relations Act, 66 of 1995 Population Development 1994
(+10)
 Promotion of Equality and
Prevention of Unfair Discrimination  World Summit on Sustainable
Act, 4 of 2000 Development, Johannesburg 2002

 WHO Commission on social
determinants of health

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 Compensation for Occupational
Diseases and Injuries Act, No.130 of
1993

 Mental Health Care Act No 17,
2002

 The Medical Schemes Act, No. 131
of 1998

 Tobacco Products Control
Amendment Act No. 12, 1999

A.INTERNATIONAL
Since 1950, the International Labour Organization (ILO) and the World Health Organization
(WHO) have shared a common definition of occupational health and safety. It was adopted
by the Joint ILO/ WHO Committee on Occupational Health and Safety at its first session in
1950 and revised at the 12th Session in 1995. The definition is as follows:
“The main focus in occupational health and safety is on three objectives;
(i) The maintenance and promotion of workers’ health and working capacity;
(ii) The improvement of working environment and work to become conducive to safety

and health;
(iii) Development of work organizations and working cultures in a direction which

supports health and safety at work and in doing so promotes a positive social
climate and smooth operation and may enhance productivity of the undertakings”.

Joint ILO/ WHO Committee on Occupational Health and Safety

The International Labour Organization (ILO) has adopted more than 40 standards specifically
dealing with occupational safety and health, as well as over 40 codes of practice. The
Occupational Health and Safety Convention, 1981 (No. 155) concerning Occupational
Safety and Health and the Working Environment was adapted at Geneva 67th ILO
Conference (22 June 1981) and put in force on August 11, 1983. In 2002, an additional
protocol was adopted to this convention. The purpose of International Labour Organization
Convention No. 155: Occupational Safety and Health, 1981 is to ensure ratifying states
formulate, implement and periodically review a coherent national policy on occupational
safety and health in the work environment following consultation with the most
representative organisations of employers and workers. The aim of the policy is to prevent
workplace accidents and injury to health by minimizing, as far as possible, the causes of
hazards inherent in the work environment.

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Features of the Convention
The Convention:

 moves from prescriptive, industry-specific regulation, to a legislative framework
covering all employers, employees and workplaces

 imposes general duties on employers, employees and others to ensure workplace
safety

 Establishes workplace arrangements for employee participation in safety issues.

Article 11 of the Convention requires the progressive implementation of certain functions as
part of the national policy, namely:

- the determination of conditions governing the design, construction, layout and
safety of workplaces

- the determination of prohibited work processes and substances
- the establishment of procedures for the notification of industrial accidents and

diseases by employers and insurers and the production of annual statistics
- the holding of inquiries into serious occupational accidents
- The annual publication of information on measures taken in pursuance of the

national policy.

In 2001, the International Labour Organization ( ILO) published ILO-OSH 2001, also titled “
Guidelines of occupational safety and health management systems” to assist organizations
with introducing OSH management systems. These guidelines encourage continual
improvement in employee health and safety, achieved via a constant process of policy,
organization, planning and implementation, evaluation, and action for improvement, all
supported by constant auditing to determine the success of OHS actions.

B. NATIONAL;
In South Africa, the Department of Labour is responsible for occupational health and safety
inspection and enforcement in commerce and industry apart from mining and energy
production, where the Department of Mineral Resources is responsible. The main statutory
legislation of Health and Safety in the jurisdiction of the Department of Labour is Act No. 85
of 1993: Occupational Health and Safety Act as amended by Occupational Health and
Safety Amendment Act No. 181 of 1993.

Regulations to the OHS Act include:
 General Administrative Regulations, 2003

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 Certificate of Competence Regulations, 1990
 Construction Regulations, 2014
 Diving Regulations, 2009
 Driven Machinery Regulations, 1998
 Environmental Regulations for Workplaces, 1987
 General Machinery Regulations, 1988
 General Safety Regulations, 1985
 Noise Induced Hearing Loss Regulations, 2003
 Pressure Equipment Regulations, 2004.
 Explosive Regulations, 2003
 Major Hazard Installation Regulations, 1993

The OHS Act 85 of 1993 is a legislation that binds everyone in South Africa, passed by
parliament to provide for the health and safety of persons at work and for the health and
safety of persons in connection with the use to plant and machinery, the protection of
persons other than persons at work against hazards to health and safety arising out of or in
connection with the activities of persons at work; to establish and adversary council for
occupational health and safety; and to provide the matters connected therewith.

The Occupational Health and Safety Act are supported by subordinate legislation,
regulations and codes of practice, which provide practical guidelines on how to manage
health and safety issues. In terms of the Act, we all have obligations that we must comply
with. Twenty one sets of regulations form an inseparable part of the Occupational Health
and Safety Act. These regulations provide specifications and requirements pertaining to the
area they govern. Some examples of these regulations are:

 General Administrative Regulations, 2003
These regulations in general refer to sanitary facilities, toilets, bathrooms, showers,
dining facilities, drinking water, certain prohibitions as well as the conditions of these
facilities that form part of the work environment.

 General Safety Regulations, 1986
These regulations refer to general health and safety matters or requirements set for
the work environment.
These regulations shall apply to employees, self employed person and users who
have on their premises either permanently or temporarily, a major hazard insallation
or a quantity of substances which may pose a risk that could affect the health and
safety of employees and the public.

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These regulations shall apply to any employer, self employed person or user who
operates an explosives workplace for the purpose of manufacturing, testing, storing
or using explosives.
Construction Regulations, 2014
These regulations shall apply to all persons involved in construction work.

2. The Occupational Health and Safety Policy (OHS)
The primary objective of the policy is to reduce the number of work-related accidents and
diseases in South Africa. This requires the adoption and implementation of a culture of
prevention by government, employers and workers. The effective prevention of work-related
accidents and ill-health will have enormous social and economic benefits. These include
improvements in productivity and competitiveness and the quality of life of the working
population. The effective management of many safety hazards will contribute to improved
levels of public safety. The effective control at source in workplaces of hazardous substances
will improve levels of public health and minimize environmental pollution.

Policy principles

In order to ensure that a national OHS policy is comprehensive, measures should be taken to
ensure tripartite participation, which is to say participation by government, employers’ and
workers’ organizations, in its formulation, practical implementation and review. There must be
coherence in terms of policy content, as well as during implementation. Although the
substance and approach of these policies can vary according to national conditions and
practice, there are nevertheless some basic features that are generally desirable: these are
summarized below (Alli, 2008):

Key features of a national policy on occupational safety and health
• The formulation of the policy should reflect tripartite participation, i.e. there should be
inputs from employers’ and workers’ organizations as well as from government and others
involved in the area of occupational safety and health.
• The policy should be consistent with national development objectives and policies as a
whole.
• The policy should promote the right of workers to decent, safe and healthy working
conditions and environment.
• The policy should include ways of promoting adequate public awareness and eliciting
political endorsement at the highest level of government.
• The policy should promote the development of a national preventive safety and health
culture that includes information, consultation and training.

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• The policy should include a plan for mobilizing the necessary institutional and financial
resources.
• Coordination among all concerned institutions should be fostered as an inherent element
of the policy.
• All available means of action should be used consistently.
• The policy should encourage voluntary compliance at enterprise level.
• The policy should be reviewed regularly.

The core principles informing the policy are -
● Universal coverage – OHS legislation must cover workers and employers in all sectors of the
economy and in all forms of employment relationships;
● Universal application of core rights and duties – the core rights and duties of employers and
workers must be spelt out in legislation;
● The prioritization of prevention and the promotion of a culture of prevention – all accidents
and health incidents are preventable;
● Appropriate and fair compensation and rehabilitation benefits – the provision of
meaningful, accessible and equitable compensation and rehabilitation to workers in all
sectors of the economy and in all forms of employment relationships;
● Application of the “polluter pays” principle - employers bear the cost of accidents and
disease in their workplaces, including the cost of medical treatment, compensation and
rehabilitation.

C. PROVINCIAL
The provincial policy on Occupational Health and Safety is formulated under provincial
legislature which is the provincial council. The law-makers are the members of provincial
council representing the interest of local authorities and areas around the province.

D. LOCAL

The local policy on Occupational Health and Safety is developed by decentralized
government structures such as district, town and city-councils driven by the elected officials.
The law-makers are Councilors elected by residence in local elections and they represent
the interest of local residents in villages and townships. By-laws are passed by municipal
councils. Such councils can also promulgate original legislation, however, because they are
representative and deliberative legislative bodies.

E. ORGANISATIONAL
Organizational policy on Occupational Health and Safety is shaped by organizational
mission and vision. The key decision-makers propagating such policies are directors, trustees

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and other members of the management board. For any Health and Safety Management
System to be effective, management must show leadership and commitment to the
program. The first step in accomplishing this is to put the organization's expectations around
health and safety into writing by developing a Health and Safety Policy.
An organization's Health and Safety Policy should contain:

 A declaration of management’s commitment to health and safety
 Overall goals and objectives of the health and safety program
 General health and safety responsibilities of management, workers, contractors and

visitors while at the work site
 A requirement to comply with applicable government legislation, and
 A requirement to comply with the organization’s own health and safety standards
Employees (such as members of the Health and Safety Committee) should be involved in
writing the policy, and the senior-operating officer must indicate the commitment of
management by signing and dating the document. Ensure all employees are aware of the
policy’s contents by prominently posting it throughout the work site, and inserting a copy in
the Health and Safety Manual. The policy should also be reviewed during orientations with
new and transferred employees, and any contractors doing work for the organization.

EXPLAIN AND GIVE EXAMPLES OF THE ORIGIN AND STRUCTURE OF LEGISLATION:

A. HOW LAWS ORIGINATE:
A1. Introduction:
Merriam-Webster website defines Law as a binding custom or practice of a community or a
rule of conduct or action prescribed or formally recognized as binding and enforced by a
controlling authority.

Barratt & Snyman (2010) explained how Laws in South Africa premised on Roman Dutch Law
due to the colonial legacy brought by Dutch Settlers in the seventeenth century and the
occupation of the land by the British in 1806 Ever since, South African law has been based on
this European heritage.

The South African Constitution of 1996 is now the supreme law of the land and provides for
separation of the three arms of government; The Legislature, The Executive and The Judicial.
It also brings the element of federal government where the nine provinces of the country run
provincial governments able to pass laws on certain minor and local matter such as
education, health and housing. However, provincial governments however are involved in

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national government law formulation through their participation in The National Council of
Provinces also known as The Second House of Parliament.

Before discussing the steps of law formulation, it is important to understand the difference
between a policy and a law. A policy outlines what a government ministry hopes to achieve
and the methods and principles it will use to achieve them. It states the goals of the ministry.
A policy document is not a law but it will often identify new laws needed to achieve its goals.
On the other hand, Laws set out standards, procedures and principles that must be followed.

A2. Sources of Laws:
According to Barratt & Snyman (2010), South Africa has multiple sources of law with the main
ones summarized below:
(i) National Constitution:
The South African Constitution of 1996 which is the supreme law of the land upon all other
laws are matched. It is applied by all arms of government and hence any violation of such is
heard by the highest court in the land, The Constitutional Court.

(ii) Legislation:
These are laws made from time to time by the Legislatures at different levels; National,
Provincial and Local District, City or Town

(iii) Judicial Precedent:
This is a principle that binds the junior courts to uphold decisions of superior courts as the
general rule to be applied in other similar cases. This means that the laws and principles
applied to a specific situation should be likewise be applied to similar future situations. This is
also known as Case Law.

(iv) Custom:
The South Africa Constitution recognizes traditional authorities and customs hence upholds
Custom as a source of law. It respects people’s practices, traditions and customs as
exercised by traditional leaders and is binding as long as it is confined to the laws of natural
justice

(v) Indigenous Law:
This is the law of the people and communities which originally living in South Africa pre-
colonial and are believed to be the natural owners or founders of the land before being
displaced by colonialism. These people/ communities have their laws which are distinct to

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the norms of a particular. Its authenticity is based on its adherence to the principles of natural
justice.

(vi) Common Law:
This is the general law used in the modern courts based on Roman-Dutch Law and includes
past judgments and writings of learned authors.

(vii) Written Modern Authors:
This is law derived from academics and other lawyers write books and articles in Law
Journals. These written work become a source of law.

A3. The Process of Enacting Laws:
Laws are based on policy which sets out the goals and planned activities of a ministry and
department but it may be necessary to pass a law to enable government to put in place the
necessary institutional and legal frameworks to achieve their aims. Laws must be guided by
current government policy. Government and parliamentary structures as well as the different
branches of government all play very important roles in the making of laws and policies.
Below is an explanation of the stages of making policies and laws, using a summary of the
stages followed in making law:
Stage 1: Ruling party conference gives vision, goals and direction
Stage 2: Executive (Ministry) draws up policy on an issue
Stage 3: Finalizing a Policy
Stage 4: Developing a Bill
Stage 5: Passing a law
Once a Bill has been tabled, it will be given a number and then released as a Bill and go
through the process of becoming a law through the following:

 The Bill is sent to the National Assembly (NA) who will refer it to the relevant
Portfolio Committee.

 The Portfolio Committee reviews the Bill and asks for public comment
 The NA considers the Bill and then votes on it with the changes the Portfolio

Committee may have made.
 The Bill then goes to the National Council of Provinces (NCOP) where the

appropriate Select Committee in the NCOP considers the Bill.
Once both houses of Parliament have agreed to a final version of a Bill, it will be sent to the
President. The President then signs the Bill and it becomes an Act and law in South Africa.

B. DIFFERENT TYPES OF LEGISLATION;

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Legislation is a term referring to Laws enacted by government either at national, provincial or
local authority level. There are different types of legislation in South Africa, which are:
B1. Area-Based Legislation:
(i) National legislation:
This is the body of rules made by or under national legislature which is the national
parliament. The law-makers are the members of parliament representing the interest of their
constituencies all around the country.

(ii) Provincial Legislation:
This is the body of rules made by or under provincial legislature which is the provincial
council. The law-makers are the members of provincial council representing the interest of
local authorities and areas around the province.

(iii) Local Authorities:
These are rules made by or under local authorities such as district, town and city-councils
often referred to as by-laws. The law-makers are Councilors elected by residence in local
elections and they represent the interest of local residents in villages and townships.

B2. Regulatory-based Legislation:
B1. Panel Legislation: This regulates the criminal law regime

B2. Regulatory Legislation: This regulates the manner in which some public affairs or
institutions are run.

B3. Financial Legislation: This regulates financial matters and institutions in the country

B4. Social Legislation: This deals with the day to day running of the social systems particularly
matters relating to the implementation of economic, social and cultural rights of people

C. PRINCIPLES OF PROSECUTION;
The principle of Prosecution is in line with the Criminal procedure which is divided into three
stages or phrases, namely pre-trial, trial and post-trial.
C1. Pre-Trial:
The following are pre-trial activities of prosecution:

 Arrest;
 Summons (for lower courts only);
 Written notice in terms of section 56 of the CPA (for magistrates' courts only); and

indictment (for the High Court only).

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After arrest, the arrestee is to be brought to the police station. As soon as possible thereafter,
the arrestee must be informed of his right to institute bail proceedings. If an arrestee is not
released, he must be brought before a lower court as soon as reasonably possible, but not
later than 48 hours after the arrest.

C2: Trial

The CPA lists four methods of securing the attendance of an accused person in court. These
bear an important relationship to the constitutional rights of freedom and security of the
person, of freedom of movement and residence, of access to the courts and of the arrested,
detained and accused persons as well as respect of the principles of Natural Justice. The first
hearing shall be on the bail application of the accused.
The general rule is that an accused who has pleaded is entitled to a verdict. This does not
mean that the accused is entitled to a verdict immediately; it means only that proceedings
may not be concluded without reaching a verdict.

C3: POST-Trial

After the trial the last stage is getting the results of the trial, which can be in favor of the
accused (not guilty) or against (guilty)
Sentencing:
If found guilty, the accused will be sentenced according to the gravity of the case. The main
purposes of sentencing are retribution, deterrence, prevention and rehabilitation. In some
ways, sentencing is the most important part of the trial. Until fairly recently, insufficient
attention was given to this stage of proceedings.
Types of sentence
The types of sentence, under section 276 of CPA, are as follows:

 imprisonment;
 periodical imprisonment;
 declaration as a habitual criminal;
 committal to an institution
 a fine;
 correctional supervision and
 imprisonment from which the Commissioner of Correctional Services may place the

prisoner under correctional supervision
 Dangerous criminals may be sentenced to imprisonment for an indefinite period
 A fine should generally be affordable to the accused, even though he may have to sell

some of his assets to pay it. Fines are usually imposed with the alternative of
imprisonment

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Right to Appeal:
The accused has a right to appeal to the High Court against any conviction or sentence or
order of a lower court. In 1997, provisions were introduced to require an accused who
intended to appeal from a lower court to obtain leave to do so from that court, or (if such
leave should be refused) from the High Court by way of petition. This process of leave to
appeal involved an assessment of whether or not the prospects were reasonable that the
High Court would come to a conclusion different from that of the trial court.

D. BASIC LEGAL LIABILITY;
This is the obligation to perform as guided by the Law. To be liable is to be answerable which
is a legal obligation arising from various areas of law such as contracts, torts, taxes or fines
given by government agencies. The liabilities shall be guided by the particular theory of law
e.g. accident of workers in the work-place is guided by The Occupational Health and Safety
Act, 1993. The injured worker will be the claimant seeking to establish or prove the employer’s
liability. Each theory of liability has certain conditions, or elements, that must be proven by
the claimant before liability will be established. The following are some of the key conditions
to be considered:
(1) The defendant had a duty;
(2) The defendant breached that duty;
(3) The defendant's breach caused the injury; and
(4) That injury resulted in recoverable damages.
Illustrated Example:

Scenario
Mr. A is an employee of Company X was involved in a motor vehicle accident while on duty.
He hit another vehicle for Mr. B injuring the owner. Mr. B wants to claim damages from Mr. A.
The Question
The injured party want to claim damages and does not know whether to claim from the
employee (Mr. A) or employer (Company X)?
The Legal Position in South Africa

The general rules here are:
1. An employer can be held liable for the actions of the employee(s).

2. The employee shall be shall also be held liable for negligence if he caused the accident

The Occupational Health and Safety Act, 1993, requires the employer to bring about and
maintain, as far as reasonably practicable, a work environment that is safe and without risk

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to the health of the workers. This means that the employer must ensure that the workplace is
free of hazardous substances, such as benzene, chlorine and micro organisms, articles,
equipment, processes, etc. that may cause injury, damage or disease. Where this is not
possible, the employer must inform workers of these dangers, how they may be prevented,
and how to work safely, and provide other protective measures for a safe workplace.

However, it is not expected of the employer to take sole responsibility for health and safety.
The Act is based on the principle that dangers in the workplace must be addressed by
communication and cooperation between the workers and the employer. The workers and
the employer must share the responsibility for health and safety in the workplace. Both
parties must pro-actively identify dangers and develop control measures to make the
workplace safe.

E. BASIC RULE FOR THE INTERPRETATION OF LEGISLATION.
The Laws can be interpreted in different ways such as:
Statute Law Interpretation:
Statute Law is written law enacted by a person or a body empowered by the Constitution or
other legislation to do so. The Constitution of South Africa, which has the force of supreme
law, and as such sets the standards and requirements for the construction and construal of
statutes, also provides a definition of statute law, distinguishing between national and
provincial legislation:
1. National legislation:
 "subordinate legislation made in terms of an Act of Parliament"; and
 "legislation that was in force when the Constitution took effect and that is administered by

the national government."

Provincial legislation:
 "subordinate legislation made in terms of a provincial Act"; and
 "legislation that was in force when the Constitution took effect and that is administered by
a provincial government."

There are a large number and variety of statutes in South Africa—including Acts, ordinances,
proclamations, by-laws, rules and regulations. As of 1993, statute law is to be found on all
three levels of government (national, provincial and local), and as such affects every
governmental sphere, and although generally referred to as "public law" may be applicable
to any legal area. Statutes derive binding force from their creators or legislators, who are
empowered by the Constitution, and serve broadly to regulate the modern state. The
Constitution provides a guide on how to read statutes and construe the common law: "When

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interpreting any legislation, and when developing the common law or customary law, every
court, tribunal or forum must promote the spirit, purport and objects of the Bill of Rights.
In general, its function is to promote the public interest.

Hierarchy and status
Before 1994 and the new era of constitutionalism, it was Parliament rather than the
Constitution which enjoyed supremacy. Statutes were divided simply into original legislation
(Acts of Parliament) and subordinate legislation (such as regulations and proclamations).
Now, however, the Constitution is supreme and all other legislation subordinate to it.
Today legislation is divided according to its status and its position in the hierarchy.

Hierarchy
"Hierarchy" is classification of legislation according to the level of government (national,
provincial or local) whereat it is passed. Statutes which prevail over others are "superior" to
them, and superior statutes can be either original or delegated, even within one level of
government. In certain circumstances, however, in certain levels of government, delegated
legislation is always subordinate; likewise the Constitution and are not passed by Parliament,
but are adopted by the Constitutional Assembly which is always supreme, in that any law
inconsistent with it is invalid, and in that the obligations it imposes must be fulfilled.

Citation of legislation
Structure of legislation
The use or consideration of the structure of legislation for the purposes of interpretation is
known as the systematic or contextual method of statutory interpretation.

Long title
The long title is a short summary of the content of the statute.

Preamble
Not every statute has a preamble, but many do. It may be useful in furnishing details of the
circumstances, the background and reasons for the creation of the statute.

Enacting provision
The enacting provision of a statute acknowledges the legislator and authority responsible (be
it national, provincial or municipal).

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Definitions
The definitions of terms or words or concepts in the Act are usually included in an "internal
dictionary," to be found in the opening section of the Act itself.

Purpose and interpretation clauses
Purpose and interpretation causes are mostly to be found in new-order legislation. They state
the purpose of the Act and prescribe how it ought to be interpreted.

Short title and commencement
The short title is usually included in the final section. It is the official "name" of the Act. An
obvious example would be "Interpretation Act 33 of 1957."

Included in the final section also will usually be an indication of the commencement date of
the statute. If no such date is given, it may be found in the relevant gazette.

Schedules
Schedules provide auxiliary detail and other information additional to the text of the Act, as is
the case, for example, in the Constitution, with its seven schedules.

Chapters
Chapters are normally to be found in longer statutes. They are sometimes also called "parts."
They are not usually referred to in citation.

National legislation is cited by its short title and number and this also applies to provincial
legislation, but with reference to the relevant province: for example, "Eastern Cape Provincial
Tender Board Act 2 of 1994." The Constitution is usually cited as "Constitution of the Republic
of South Africa, 1996," while the Interim Constitution is cited as "Constitution of the Republic of
South Africa Act 200 of 1993."

Example of citing a Law:
Section 2(a)(i)(cc),"

1. "2" refers to the section number;
2. "(1) refers to the sub-section;
3. "(a)" refers to the paragraph;
4. "(i)" refers to the sub-paragraph; and
5. "(cc)" refers to the item.
"s 2A" would refer to a new section inserted in terms of an amendment.

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Citation of delegated legislation
Delegated legislation usually has no official short title. Regulations issued by GN R999 GG
174254 of 28 June 1996, under s 56 of Aliens Control Act 96 of 1991, for example, would be
known broadly as "Aliens control regulations."
Proclamations
In the citation of proclamations, one should cite the number and the year of promulgation:
for example, Proclamation R255 [GG 5766 of 7 October] of 1977. Proclamations are divided
into sections, sub-sections and paragraphs.
Regulations
Regulations are promulgated by Government Notices: for example, GN R1412 of 2003, which
issued explosives regulations in terms of the Explosives Act.[34] They are divided into
(individual) regulations, sub-regulations and paragraphs.
By-laws
By-laws are passed by municipal councils. Such councils can also promulgate original
legislation, however, because they are representative and deliberative legislative bodies.
By-laws are divided into sections, sub-sections and paragraphs.
Rules
Examples of rules include the Uniform Rules of the High Court and the Magistrates' Court
Rules. These are divided into (individual) rules, sub-rules and paragraphs.

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