Document No. Revision No.

Date Compiled Date of Next Review Custodians

SHE/PRO/4.5.2 01 September 2016 September 2017 SHE Department

EVALUATION OF COMPLIANCE
PROCEDURE

1. Purpose

The purpose of this procedure is to ensure that compliance with relevant SHE legislation and regulations is being
evaluated on a periodic basis for Sedibeng Water.

1.1 This procedure describes the method used by Sedibeng Water during the implementation of its
Compliance Evaluation including planning self-audits, conducting self-audits, and posting the self-audit
reports and follow up of non-conformances using corrective and/or preventive actions.

1.2 The process of compliance evaluation (or auditing) is clearly different than Internal SHE Auditing or
management system audits.

2. Scope

This procedure is responsive to element 4.5.2 Evaluation of Compliance, of the NOSA CMB 253N standard, and
covers the operations of the Sedibeng Water. This procedure is intended to evaluate SHE compliance Sedibeng
Water and track compliance through corrective action implementation.

3. Roles & responsibility

3.1 SHE Manager

Maintaining this procedure;

Implementing, planning, scheduling and maintaining Compliance Evaluations as defined by this
procedure;

Issuing and reviewing Compliance Evaluation reports to the Regional Manager and SHE Team;

Providing education and training to employees that assist in conducting Compliance

Evaluations; Following up on findings and non-conformance(s) to ensure that corrective action
is being taken;

Providing assistance in identifying solutions to problems identified during Compliance

Evaluations;
Keeping informed of the Compliance Evaluation findings and non-conformances and following
up on the corrective actions. Regional Manager should be receiving the necessary information
and recommendations from the SHE Manager to determine the success of the Compliance
Evaluation.

The Management Representative is a Compliance Evaluation Team Leader and elects other
Team members;
Document No. Revision No. Date Compiled Date of Next Review Custodians
SHE/PRO/4.5.2 01 September 2016 September 2017 SHE Department

3.2 The SHE Officer is responsible for;

Ensuring final (or closed) non-conformance and corrective actions are documented and
maintained as objective evidence;

3.3 The Compliance Evaluation Team Leader is responsible for:

Notifying and confirming the scheduled date for the Compliance Evaluation with Sedibeng Water
personnel and the Compliance Evaluation Team members;

Leading the Compliance Evaluation Team decisions and ensuring the documentation is
complete and correct for the Compliance Evaluation;

Conducting a briefing or opening meeting with Sedibeng Water personnel to;

3.4 The Compliance Evaluation Team

Conducting and actively participating in the Compliance Evaluation;

Documenting the findings and non-conformances on the checklist and CAR
Forms SHE/PRO/DOC/4.5.2a Compliance Evaluation Report and SHE/DOC/PRO/ 4.5.3.3a
Corrective Action Request (CAR) form.

3.5 The Sites Supervisors are responsible for:

Cooperating with the Compliance Evaluation Team Leader to ensure that the evaluation is
accomplished when scheduled;
Ensuring that the department is prepared for the Compliance Evaluation;
Accommodating the evaluation team to optimize the efficiency of the evaluation;
Promptly correcting findings identified during the evaluation; and
Documenting corrective action taken and reporting to the team leader;
Ensuring that required internal (daily, weekly, or monthly) inspections are conducted and that
identified deficiencies are addressed promptly.

4. Process

4.1 The Compliance Evaluation of Sedibeng Water is conducted once every calendar year. To conduct the
evaluation, the Compliance Evaluation Team Leader and team members must do the following:

4.1.1 Establish a process, which includes protocols, for the upcoming years evaluation;

4.1.2 Communicate the date(s) of the evaluation to Regional Manager;

4.1.3 Conduct briefing or opening meeting with Sedibeng Water personnel;

4.1.4 Conduct the evaluation;

4.1.5 Prepare a report listing the evaluation findings, including a priority for addressing the issues to the
Sedibeng Water Technical Team. All participants of the evaluation will follow SHE/DOC/PRO/ 4.5.3
Nonconformity, Corrective and Preventive Action procedure;
Document No. Revision No. Date Compiled Date of Next Review Custodians
SHE/PRO/4.5.2 01 September 2016 September 2017 SHE Department

4.1.6 Set a schedule for following up on evaluation findings to ensure their resolution;

5. Review

This procedure will be reviewed on an annual basis.