REFERENCE REVISION PAGE

SOUTH AFRICA REGION

SERVICES H&S 019 5 1 OF 13
HEALTH & SAFETY SYSTEM OPERATIONAL ORIGINATOR H&S MANAGER
PROCEDURE
CONTROL OF RECORDS
DESIGNATION PRINT NAME SIGNATURE DATE

COMPILED BY H&S OFFICER S THERON Original Signed 2/08/2012

(SYSTEMS)

REVIEWED BY SNR H&S OFFICER J S D CRONJÉ Original Signed 2/08/2012

AUTHORISED BY H&S MANAGER J SODEN Original Signed 2/08/2012

TABLE OF CONTENTS PAGE ADDENDA PAGE

1. PURPOSE 2 ANNEXURE 1 – RECORD MATRIX 6
2. SCOPE 2 ANNEXURE “X” – DEFINITIONS AND ABBREVIATIONS 7 - 11
3. DEFINITIONS AND 2 ANNEXURE “XX” - REFERENCES 12
ABBREVIATIONS
4. REFERENCES 2 RECORD OF AMENDMENTS 13
5. RESPONSIBILITY / 2
ACCOUNTABILITY
6. CONTROL OF RECORDS 3
7. TRAINING 5
8. RECORDS APPLICABLE TO 5
THIS PROCEDURE

REVISION DESCRIPTION OF REVISION DATE

5 REVISION DUE TO AUDIT REQUIREMENTS 2 AUG 2012

(Original, approved copy filed at the H&S Department)

Uncontrolled if printed. Only up-to-date on the intranet.

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1. PURPOSE

This procedure is developed to assist with the common understanding of the document control
procedure. The control and management of H&S and SA Region Services Risk Management System
related documentation relates to:

• The approval of documents for adequacy prior to issuing;

• The review and update of the documents as required and the identification of the document
status e.g. revision number and whether controlled, uncontrolled or obsolete.

The maintenance of the relevant versions of applicable documents at appropriate locations.

2. SCOPE

This procedure applies to all identified records as stated in the SARSSS procedures, in hard copy or
electronic format, within SA Region Services.

3. DEFINITIONS AND ABBREVIATIONS

Refer to Annexure “X”

4. REFERENCES

Refer to Annexure “XX”

5. RESPONSIBILITY / ACCOUNTABILITY

DESIGNATION RESPONSIBILITIES AND ACCOUNTABILITIES

• Ensure that adequate resources are available to facilitate a record control
process
H&S Manager
• Managing documentation & records keeping

• Responsible for the management of records, identification, storage, protection,

retrieval, retention, and disposal of records at SARSSS.
• Conduct a document and data survey to identify what records must be kept,
where, how long and in what format it must be filed.
• Ensure records are secure and protected against fire where required, pestilence
and unauthorized access as determined in the document and data survey.
• Identify the records that need to be kept in terms of Legal requirements,
H&S Officer
OHSAS requirements as well as any document referred to by any other
(Systems)
procedure required to be controlled.
• Audit records not kept in the legal admin centre for any reason
• Identify and list all records of external origin relevant to the Safety Management
System.
• Take responsibility of all records in the H&S Department to prevent inadvertent
access.

• Conduct inspections to verify that records are being kept and managed
Snr. H&S Officer according to this procedure

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 DESIGNATION RESPONSIBILITIES AND ACCOUNTABILITIES
• Ensure availability of resources to implement the OH&S programme
• Ensure that analysis is made of information pertinent to OH&S
• Compare information with objectives, evaluate effectiveness of controls and
Management where targets are not met change controls to achieve desired results
Representative • 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

6. CONTROL OF RECORDS

6.1 Records storage requirements

Records shall be kept in a safe, secure environment that is:
a) Protected from moisture and pests.
b) Prevents unauthorized access.
The main focus is to identify the records, store it properly, protect the records from elements,
ensure that they can be accessed easily, and remain legible, identifiable and traceable. Identified
documents will be kept at the H&S department.

6.2 SA Region Services Safety System Records

The following are examples of records not limited to that should be kept in terms of the SARSSS
For full detail refer to the record matrix kept at the H&S department. (Annexure 1 example)
-
Pre-use inspection checklists (e.g. double drum winch, mono winch, etc.) *
-
Logbooks *
-
Crane Logbooks
-
Employee personal files (containing training records, induction documents, etc.) *
-
DME correspondence (Permits, exemptions, Section 54 notifications, permissions, etc)
-
Issue based risk assessments
-
Mine Responsibility plans*
-
Technical Inspections / Evaluations*
-
Legal appointments
-
Incident reports
-
Occupational Hygiene Measurements (airborne pollutants, noise, illumination, vibration,
ergonomics, radiation and thermal stress)
- Occupational Hygiene Measurements (other)*
- Month end reports
- Annual Medical Report*
- Quarterly/Annual H&S report
- Hazard identification
- Calibration and maintenance of H&S equipment*
- Records of corrective and preventative action
- Audit reports
- NNR documentation and all relevant radiation documentation
- Occupational Health & Safety minutes
- Management review*
- Reports on emergency response*
- PPE maintenance records*
* Records kept by disciplines and not the H&S department

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6.2.1 Storing and archiving of records:
6.2.1.1 Records will be stored in both electronic and hardcopy formats “back-up” where possible at the
H&S Department. Some records e.g. archived mine responsibility plans are kept at the surface
survey department. Training and personal records will be kept at Training department (ATDS).
6.2.1.2 No record may leave the H&S Department unless with permission form the H&S Officer
(Systems) and H&S Manager. Before the record may be removed, it must be signed out in the
legal admin control book.
6.2.1.3 The retention time and archiving period of these records may be depicted on record, or
relevant procedure. Where it is not stated, records should be stored as a minimum for 1 year
and archived for a minimum of 3 years where after it will be destroyed via paper recycling.
6.2.1.4 The H&S Officer (Systems) will keep record of all archived document identified in the Data
control survey sheet.
6.2.1.5 The records of workplace inspections reports conducted are kept in the H&S department office.
6.2.1.6 All the incident investigation report records are kept in the H&S department.

6.3 Disposal of records

6.3.1 A register will be kept of all records disposed of at the H&S Department.
6.3.2 All records will be disposed of in the following manner:
• Records defined / classified as confidential by the HOD by means of archiving.
• All other records will be sent to waste paper recycling.

6.4 H&S Department records audit / census

6.4.1 The H&S Department will conduct an audit / census to determine compliance to:
• Identification of records.
• Storage of records.
• Protection of records.
• Retrieval of records.
• Retention of records.
• Disposal of records.
• Legal requirement
• Confidentiality
• Access
• Responsible person

The document / record census will identify the level of confidentiality with regards to those
records.

Confidential documents:
• Will be managed by the H&S Officer (Systems) – approved by H&S Manager.
• Will be stored in a locked cabinet and facility
• Will be destroyed by virtue of shredding, following approval by the H&S Manager.
• Will be removed from storage only on approval from the H&S Manager.

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 6.5 Monitoring and Auditing

The records system shall be monitored by the Snr. H&S Officer. The system shall be audited /
reviewed on an annual basis to confirm relevance and consider whether changes are required.

7. TRAINING

It is the responsibility of SA Region Services management to ensure that person/s are suitably trained
and found competent to carry out their duties. Training records of all employees, including contractors,
are kept in the Training department (ATDS) and a copy at HOD’s as record of proof.

8. RECORDS APPLICABLE TO THIS PROCEDURE

The following records are applicable to this procedure and shall be maintained:

Retention Time (yrs)

Records Location
Life Period Archiving
Register of records stored Responsible HOD / H&S Department 2 5
Register of records archived Legal Administration Department 2 5
Register of records destroyed H&S Department 2 5

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 Annexure 1

DATE:
DEPARTMENT:

High Cabinet and facility locked

Medium Cabinet locked
Low Cabinet not locked

Confidentiality /
Security Level MANAGER
TYPE OF RESPONSIBLE LOCATION OF RETENTION METHOD OF
NO NAME OF RECORD DEPARTMENT WHERE LOCATED High AUTHORISING
RECORD PERSON COPY RETAINED TIME DISPOSAL
Medium DISPOSAL
Low
1 Pre-use inspections Inspection Departments Supervisors Specific Department Low Specific Department 6 months Recycle H&S Manager
Safety Officers legal
2 inspection reports Inspection Health & Safety H&S Officers H&S Department Low Store room 12 months Recycle H&S Manager
3 Logbooks Inspection Departments Supervisors Specific Department Low Specific Department 12 Months Recycle H&S Manager
4 Crane Logbooks Inspection Departments Supervisors Specific Department Low Specific Department 40 Years Recycle H&S Manager
H&S Officer Systems / Snr.
5 WITW Meeting minutes Minutes Health & Safety H&S Officer H&S Department Low Filing Cabinet 12 months Recycle H&S Manager
6 Training records Training Training Training Manager Training Department Low Training Department 40 Years Recycle H&S Manager
7 Achievements Statistics Health & Safety H&S Officer Systems H&S Department Low Electronic 24 months Recycle H&S Manager
8 Injury Stats Statistics Health & Safety H&S Officer Systems H&S Department Low Electronic 40 Years Recycle H&S Manager
Leading and lagging
9 Monthly reports indicators Health & Safety Snr. H&S Officer H&S Department Low Electronic 12 months Recycle H&S Manager

10 Hierarchy Statistics Health & Safety H&S Officer Systems H&S Department Low Electronic / Filing cabinet 40 Years Recycle H&S Manager
11 LTIFPD Statistics Health & Safety H&S Officer Systems H&S Department Low Electronic 40 Years Recycle H&S Manager
12 Planned task observations Observation Departments HOD's / Supervisor Specific Department Low Specific Department 12 months Recycle H&S Manager
13 RPM Log Books Inspection Departments RPM / Supervisor Specific Department Low Specific Department 40 Years Recycle H&S Manager
Procedures and NNR
14 Radiation File Audits Health & Safety RPM / Supervisor H&S Department Low Specific Department 40 Years Recycle H&S Manager

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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
Occupational Health and Safety hazards, which include airborne pollutants, noise, illumination, vibration,
ergonomics, radiation, as well as thermal stress.

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 SARSSS performance.

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

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

SARSSS PERFORMANCE
Measurable results of SA Region 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 Region 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 Region 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.

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.

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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 Region 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
SARSSS - Southern Africa Region Services Safety System
NNR - National Nuclear Regulator

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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 Region 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
Purpose, Definitions and Abbreviations,
H&S 019 - Revision 3 References, Confidentiality issue, Back-up 4 June 2009

H&S 019 – Revision 4 Name Changes 1 October 2009

H&S 019 – Revision 5 Name Changes and audit requirements 2 August 2012

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