SOUTHERN AFRICA REFERENCE REVISION PAGE

DIVISIONAL SERVICES
H&S 028 1 1 OF 14
HEALTH & SAFETY SYSTEM OPERATIONAL ORIGINATOR H&S MANAGER
PROCEDURE
CONTINUOUS RISK ASSESSMENT
DESIGNATION PRINT NAME SIGNATURE DATE

COMPILED BY SNR H&S OFFICER E JUNGMANN Original Signed 05/10/2009

REVIEWED BY SNR H&S OFFICER R TUPPER Original Signed 05/10/09

AUTHORISED BY H&S MANAGER J SODEN Original Signed 05/10/09

TABLE OF CONTENTS PAGE ADDENDA PAGE

1. PURPOSE 2 ANNEXURE “X” – DEFINITIONS AND ABBREVIATIONS 8 – 12
2. SCOPE 2 ANNEXURE “XX” - REFERENCES 13
3. DEFINITIONS AND 2 RECORD OF AMENDMENTS 14
ABBREVIATIONS
4. REFERENCES 2
5. RESPONSIBILITY / 2
ACCOUNTABILITY
6. HAZARD IDENTIFICATION 4
RISK ASSESSMENT PROCESS
7. SUPERVISOR DUTIES 5
8. WORKPLACE H&S REP 7
DUTIES
9. FULL TIME H&S REP DUTIES 7
10. VISIBILITY TOURS 7
11. STOP, THINK AND GO 7
PROCESS
12. LEVELS OF CONTROL 7

REVISION DESCRIPTION OF REVISION DATE

1 REVISION DUE TO SEPTEMBER ’09 AUDIT REQUIREMENTS 1 OCTOBER‘09

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1. PURPOSE

The objective of this guideline is to provide guidance to employees within SA Divisional Services on
how to follow the continuous risk assessment process.

2. SCOPE

The scope of this procedure is limited to the continuous risk assessment and includes but not limited
to the following types of risk assessments to be conducted,
• Pre use inspection
• Daily inspection
• Planned task observation
• Safety Officer’s inspection
• Visibility tours
The above could be formal or informal inspections

3. DEFINITIONS AND ABBREVIATIONS

Refer to Annexure “X”

4. REFERENCES

Refer to Annexure “XX”

5. RESPONSIBILITY / ACCOUNTABILITY

DESIGNATION RESPONSIBILITIES AND ACCOUNTABILITIES

HOD • Ensure that a procedure is established, implemented and maintained
dealing with the recording of actual and potential non-conformities and for
taking corrective action and preventative action.
H&S Manager • Develop a system to identify, access, record all non-conformances and
device actions, and make available these records.
• Ensure information is distributed to HOD’S where they in turn together with
their MANCOM members will analyze the information and revise
procedures and standards as and when required.
Senior H&S Officer • Ensure that a HS officer inspects working places and machinery at such
interval not exceeds 90 days to identify non-conformances.
• Monitor compliance to the SADSSS through analysing the critical few.
• Determine the potential impacts / incident and requirements regarding non-
conformances, including relevance to significant hazards and communicate
to relevant persons e.g. managers and peril owners.
• Monitor the updating of rectification of non-conformances relating to the
significant hazards on the IRMS system

H&S Officer • Inspects working places and machinery at such interval not exceeds 90
days to identify non-conformances.
• Follow–up on non-conformances recorded by him and supervisors ensuring
corrective and preventative action taken was appropriately completed.
Community Manager • Review analysis of the critical few non-conformances done by the HOD’S in
Engineer their respective sections.
Properties Manager

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Training Manager • Monitor compliance to all action plans whereby the non-conformances are
Environmental adequately addressed through either corrective action or preventive action.
Manager
HOD’S • Analyze the information obtained from relevant supervisors regarding non-
conformances.
Supervisor • Set direction to manage own section.
• Inspect workplaces daily and record nonconformities and manage
corrective and preventive actions.
• Comply with rectification / completion of corrected and/or preventative
action plans.
Workplace Health & • Report to the person in control of the working place or machinery any threat
Safety or potential threat to the health and safety.
Representative
Full Time Health & • React on complaints regarding non-conformances reported in workplaces.
Safety
Representative
Management • Ensure availability of resources to implement the OH&S programme
Representative • Ensure that analysis is made of information pertinent to OH&S
• Compare information with objectives, evaluate effectiveness of controls and
where targets are not met change controls to achieve desired results
• Ensure information is distributed and communicated to employees relevant
to the work they perform
• Ensure that personnel are aware of applicable legal and other requirements
• Ensure H&S Officer (Systems) keep and maintain records

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6. HAZARD IDENTIFICATION RISK ASSESSMENT PROCESS

Hazard Identification Risk Assessment (HIRA) Process

Planned
Planned
inspection
inspection
Develop
Developa a
PlanPlan
task task
planplan
to –– Implement the Follow-up. Sign off on IRMS
Observations
Observations
Evaluate the Terminate
Terminate Evaluate the plan by
Emergency
BBSOdrills risk in each Treat
Treat resources implementing Monitor the Evaluate the
Identify the exposure – Transfer –
Transfer needed and controls and status outcome – if not
Accident
Emergency / drills Hazard assess the Tolerate(x)
Tolerate what to be inspect for pertaining to the required
incident magnitude equipped with effectiveness likelihood
completionand of result, then whole
investigation
Accident / Determine to achieve a and adherence consequence
the hazard process to be
incident the controls tolerable risk to compliance. as on the
identified redone.
investigation
Group meetings
required level. EWRM risk
Group gs matrix

Supervisors
Shiftboss
Inform the Training HS Officer when
and Development visiting
Foreman
workplace
department
HS
Senior
Officer
Official
when
IRMS visit
whenworkplace
visiting
workplace
Peril Committees
Management Mine Overseer
Senior Official
Management when visit
workplace

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7. SUPERVISOR DUTIES

Planned Inspections and actions:

• Planned inspections are a scheduled process through which substandard conditions in the
workplace and surrounding areas can be identified.
• An inspection team consisting of the supervisor or alternate and safety representative will
conduct such inspection in the following manner,
• Use the relevant planned inspection checklist available i.e. workshop/office inspection list,
which serves as a guide when doing the inspection.
• On completion the supervisor will put action plans in place to rectify all non conformances
identified.
• “A” hazards will be rectified immediately or within the same day.
• All inspection results will be recorded and available in the supervisor’s office for audit
purposes.

Planned task observations

• Planned task observation is the process whereby the employee is observed to test his/her
compliance/knowledge of the written procedure/guideline
• The planned task observation checklist is derived from the procedure/guideline for a specific
task
• PTO’s are conducted by the supervisor on all critical tasks performed by his workers in the
workplace as identified through the baseline risk assessment process.
• Non conformances to be rectified immediately.
• Where non conformities prevail the employee needs to be scheduled for retraining.

Pre-use inspections

• All units must be visually examined together with the pre-use inspection checklist and any
defects noted must be recorded on the pre-use inspection checklist. Defects identified must
be reported to the relevant supervisor and must also be rectified.
• If a critical defect (A hazard) is identified, such equipment will be removed from service until
such defect has been rectified.
• On a monthly basis all unit pre-use inspection checklists will be collected and the critical few
deviations noted on the pre-use inspection checklists will be addressed and actioned.

CRA Evaluation

• The Health and Safety department will on a monthly basis evaluate the following:

Were CRA targets met? (Compliance)

Do summary documents submitted address the required needs? (Quality)
• The Health and Safety Officer will evaluate 10% of the documentation for compliance and
quality.

Engineering Foremen - Legals

The Engineering Foreman is responsible for legals to be conducted on machinery and equipment
being used. These records of inspections and test are made in the equipment/machinery
logbooks.

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 Equipment Logbook contents:
a) All handheld equipment
b) Ladder inspections
c) Extension Lead inspections

Site specific logbooks

a) Earth leakages
b) Cutting torch logbooks
c) Chain block logbooks
d) Welding equipment
e) Small hoist recording logbook
f) Mini substation logbook
g) Overhead crane logbook

Supervisor’s planned inspections

• Perform planned inspections as per inspection schedule and action deficiencies observed.
• Prepare a list of all structures/areas in your area of responsibility to be inspected.
• Plan the entire area of your area of responsibility ensuring all structures can be inspected
within a quarter (ensuring sufficient inspections during every safety month being from the 20th
of each month until the 19th of the following month to legally cover all areas of responsibility
quarterly).
• Obtain the planned inspection checklist, which serves as a guide when doing the inspection.

Planned task observations

• PTO’s are conducted by the Supervisor on all critical tasks performed by his workers in the
workplace as identified during the baseline risk assessment process
• Require planned task observations to be performed as per the target set by the HOD for the
month.
• The critical tasks must be covered in the workplace.

Accident Investigations
• All incidents being work-related events in which an injury or ill health (regardless of severity)
or fatally occurred will be investigated and completed in an accident investigation form being
provided for.
• It will be required of the supervisor to investigate high potential incident where no injury, ill
health, or fatality occurs that may also be referred to as a “near miss”, “close-call”, or
“dangerous occurrence”.

8. WORKPLACE HEALTH AND SAFETY REPRESENTATIVE DUTIES

• The Workplace Health and Safety Representative interact with the workers daily at the Green area
meetings and within the workplace.
• The Representative may address and listen to the employees in the Green area meetings on
health and safety matters.
• The Representative will engage the supervisor on matters reported by him related to issues being
potential hazards and risks to health and safety.
• The workplace Health and Safety Representative will record the safety and health issues in his
report book and report it to the Supervisor.
• Any complaint raised is recorded combined with a suggested action plan from all the workers. It will
be communicated to the relevant supervisors.

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9. FULL TIME HEALTH AND SAFETY REPRESENTATIVE DUTIES

The Full Time Health and Safety Representative at random or when receiving complaints will inspect a
workplace. Any nonconformity observed will be discussed, actioned and recorded and such issues will
be reported to the respective section head /Engineer and HS Department.

10. VISIBILITY TOURS

Visibility tours are conducted by management and non conformities identified will be communicated to
the relevant supervisor for corrective action. These findings of the audit will be captured to ensure the
recommendations are actioned. The manager conducting the visibility tour can select various
employees to accompany him / her on this tour.

11. STOP, THINK & GO PROCESS

The stop, think & go process applies to all within SA Divisional Services.

Information booklets containing the Stop, Think & Go are handed out to all employees including
contractors.
Employees are also coached on the principles by the Health and Safety department.

12. LEVELS OF CONTROL

If new or improved controls are required, they should be prioritized and determined in accordance
with the principle of the elimination of hazards where practicable, followed in turn by risk reduction
(either by reducing the likelihood of occurrence or potential severity of injury or harm), with the
adoption of personal protective equipment (PPE) as a last resort (i.e. the hierarchy of controls)

The following provides examples of implementing the hierarchy of controls:

a) Elimination – modify a design to eliminate the hazard, e.g. introduce mechanical lifting devices to
eliminate the manual handling hazard.
b) Substitution – substitute a less hazardous material or reduce the system energy (e.g. lower the force,
amperage, pressure, temperature, etc.)
c) Engineering Controls – machine guarding, interlocks, sound enclosures, etc.
d) Signage, warnings, and/or administrative controls – install alarms, safety procedures, equipment
inspections, access controls
e) Personal protective equipment – safety glasses, hearing protection, face shields, safety harnesses
and lanyards, respirators and gloves
In applying the hierarchy consideration should be given to the relative costs, risk reduction benefits,
and reliability of the available options.

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 Annexure X

DEFINITIONS AND ABBREVIATIONS

DEFINITIONS:

DOCUMENT
Information and its supporting medium (The medium can be paper, magnetic, electronic or optical computer
disc, photograph or master sample, or a combination thereof.)

RECORD
Document stating results achieved or providing evidence of activities performed

CONTROLLED DOCUMENT
Any document that needs to be controlled in terms of its distribution and use, such as the Policy and
documented procedures. These documents are either signed in original ink and/or signed for on a
distribution list. These documents will be signed off after evaluation has been done to determine that they
are adequate for purpose. The document will be signed off by the relevant members as depicted on the
distribution list.
Once copies are printed of the database, they are considered to be “uncontrolled”.

OBSOLETE DOCUMENTS
Documents that have been replaced by later revisions or those that is no longer relevant or valid, and has
been cancelled from the system. These documents will be identified either by crossing them out and writing
obsolete or rubber stamp obsolete document.

UNCONTROLLED DOCUMENTS
Any documents that have not been issued under the circumstances under “controlled documents” are
categorised as uncontrolled. This includes, but may not be limited to:
• Documents that do not need to be controlled such as the monthly safety topic.
• Documents not distributed by the authorised person as per the procedures “authority and
responsibility” table and signed for by the recipient.
• Documents printed from the electronic database. (Watermarked “uncontrolled document)
• Documents duplicated or photocopied from controlled documents.
• Photocopies of the Occupational Health and Safety policy as issued to the public or other
Interested and Affected Parties

It is not possible to judge from an uncontrolled copy whether it is the latest version. It is the responsibility of
the person holding the documentation to ensure that (s) he has the latest version.

INJURY
Physical harm or damage

OCCUPATIONAL HEALTH AND SAFETY

Conditions and factors that affect, or could affect the health and safety of employees or other workers
(including temporary workers and contractor personnel), visitors, or any other person in the workplace

OH&S MANAGEMENT SYSTEM

Part of an organization’s management system used to develop and implement its OH&S policy and manage
its OH&S risks

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SEVERITY / CONSEQUENCE
Outcome of an event. There may be one or more consequences from an event. May be
expressed qualitatively or quantitatively may range from positive to negative (Speculative).

FREQUENCY
Occurrence per unit time, (May be expressed qualitatively or quantitatively).

EXPOSURE
How often and for how long employees are exposed to a hazard/s.

LIKELIHOOD
Means the chance of an event occurring.

DUE DILIGENCE
Taking reasonable care to protect the health and safety of all employees. Provide equipment,
maintain the equipment, use equipment as prescribed, provide information relating to the
equipment, and provide competent supervision.

INCIDENT
An undesired event which under slightly different circumstances could result in harm to people.
Damage to property or loss to process or an undesired event that could or does result in a loss.

RISK MATRIX
A Risk index can be determined by plotting likelihood and severity indices on the y and x-axis
respectively and then using them to obtain a risk ranking.

HIRA
Process of recognizing that a hazard exists and defining its characteristics
• H = HAZARD
Anything around us that we can see as well as those energy sources we cannot see e.g. Gas and
radiation that can cause harm
• I = IDENTIFICATION
Identify the significant hazards (Process and recognition)
• R = RISK
Risk imagining (Likelihood and consequence if risk materializes)
• A = ASSESSMENT
Determine the magnitude of the risk if materialized

ROUTINE ACTIVITY
An activity which is performed on a regular basis (day to day)

NON ROUTINE
An activity performed on an adhoc basis

ACCOUNTABILITY
Principle that, individuals, organizations, and the community are responsible for their actions and may be
required to explain them to others.

RESPONSIBLE
Liable to be called to respond to a person for issues to be done.

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ILL HEALTH
Identifiable adverse physical or mental condition arising from and/or made worse by a work activity and/or
work-related situation.

INTERESTED PARTIES
Person or group, inside or outside the workplace, concerned with or affected by the SADSSS performance.

NONCONFORMITY
Non-fulfilment of a requirement – can be any deviation from:
Relevant work standards, practices, procedures, legal requirements.

SADSSS OBJECTIVES
SADSSS goals, in terms of OHS performance, that SA Divisional Services sets itself to achieve. Objectives
are quantified wherever practical.

SADSSS PERFORMANCE
Measurable results of SA Divisional Services management of its risks.
Note: Performance measurement includes measurement the effectiveness of controls.

OHS POLICY
Overall intention and direction which will be followed for the management of health and safety.

RECORD
Document stating results achieved or providing evidence of activities performed

HAZARD
A condition or practice with the potential to cause harm, or exposure to danger. (Immediate Causes,
Substandard Act or Substandard Condition)

RISK ASSESSMENT
Process of evaluating the risk(s) arising from a hazard(s), taking into account the adequacy of any existing
controls, and deciding whether or not the risk(s) is acceptable

PREVENTATIVE ACTION
Action to eliminate the cause of a potential nonconformity or other undesirable potential situation.

CORRECTIVE ACTION
Action taken to rectify a non-conformance or deviation

CONTINUAL IMPROVEMENT
To constantly improve on current Health and Safety standards

PROCEDURE
Specified way to carry out an activity or a process.

RISK ASSESSMENT
Process of evaluating the risk arising from a hazard, taking into account the adequacy of any existing
controls, and deciding whether or not the risk is acceptable.

WORKPLACE
Any physical location in which work related activities are performed under the control of SA Divisional
Services.

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AUDIT
Independent and documented process for obtaining “audit evidence” and evaluating it objectively to
determine the extent to which “audit criteria” are fulfilled.

SAFETY MONTH
Period from the 20th of a particular month up to the 19th of the following month.

EFFORT BASED OBJECTIVES

Objectives set to improve program related issues

EFFECT BASED OBJECTIVES

Objectives set to improve severity or injury rates

MANCOM
Management Committee

EXCO
Executive Committee

SUPERVISOR
Within SA Divisional Services – One who supervise or has charge and direction of i.e. Foreman, Clerk of
works, Training Officer, Residence Manager, Security Officer etc.

EMPLOYEE
Person working under the control of the organisation and includes contractors.

MANAGEMENT REPRESENTATIVE
A Person appointed in writing ensuring that the OH&S management system is established, implemented
and maintained in accordance with this OHSAS Standard;
and ensuring that reports on the performance of the OH&S management system are presented to top
management for review and used as a basis for improvement of the OH&S management system.

VISITOR
Any person who enters the premises of the mine who is not a full time employee or Contractor paid by the
mine

CONTRACTOR
Any person who perform work for the mine and is paid for his/her service.

ACCEPTABLE RISK
Risk that has been reduced to a level that can be tolerated by the organization having regard to its legal
obligations and its own

HEALTH AND SAFETY COMMITTEE

A committee as required by law M H & S Act Section 25(2)

VERIFICATION
Verification is the act of reviewing, inspecting, testing, etc. to establish and document that a product, service,
or system meets the regulatory, standard, or specification requirements.

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VALIDATION
Validation refers to meeting the needs of the intended end-user or customer to
prove the truth or to determine or test the accuracy. Also, validation is the process of checking if something
satisfies a certain criterion.

ABBREVIATIONS:

M H & S Act - Mine Health & Safety Act

MA&R - Mineral Act & Regulations
OHASA - Occupational Health and Safety Act
DMR - Department of Mineral Resources
DOL - Department of Labour
SADS - Southern Africa Divisional Services
ESW - Engineering Services Workshops
WITW - Wellness in the Workplace
H&S - Health and Safety
LTIFPD - Loss Time Injury Free Production Days
IFPD - Injury Free Production Days
AGAH - AngloGold Ashanti Health
TMM - Trackless Mobile Machinery
COP - Code of Practice
ATDS - AngloGold Ashanti Training and Development Services
CRA - Continuous Risk Assessment
SADSSS - Southern Africa Divisional Services Safety System

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 Annexure XX

REFERENCES

• Roles and responsibilities are depicted in each system procedure and updated as and when
required in table format
• OHSAS 18001:2007 (Occupational Health and Assessment Series)
• The Mine Health and Safety Act 29 of 1996
• The Minerals Act 50 of 1991
• Occupational Health and Safety Act (Act 86 of 1993)
• COIDA
• AGA Strategic Objectives
• Implex Legal Register
• ATDS Training Matrix
• AGA RCAT
• Corporate Procedure Directive
• Health and Safety Agreement
• SAR/OESH/P/A/001.01 – AGA Incident reporting
• H&S 004 – Incident investigation
• H&S 006 – Emergency preparedness and response
• H&S 014 – Issue based risk assessment
• H&S 018 – Baseline risk assessment H&S 019 – Control of records
• H&S 023 – Control of documents
• H&S 027 – Competence, training and awareness
• H&S 028 – Continuous risk assessment
• H&S 029 – Communication, participation and consultation
• H&S 030 – Management review
• H&S 031 – Internal audit
• H&S 037 – Management of change
• H&S 055 – SA Divisional Services Scope
• H&S 058 – Legal and other requirements
• H&S 059 – Performance measurement and monitoring
• H&S 060 – Evaluation of compliance
• H&S 061 – Nonconformity, corrective and preventative action
• H&S 065 – Objectives and programme(s)
• H&S 067 – Resources, roles, responsibility, accountability and authority
• H&S 069 – Operational control
• H&S 070 – Documentation
• H&S 071 – H&S Policy

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 RECORD OF AMENDMENTS

PROCEDURE DATE OF
CHANGES TO PROCEDURE
REVISION NUMBER APPROVAL
H&S 028 – Revision 1 Redefine visibility tours (P7 point 10) 1 October 2009

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