Preparing a compliance survey what is it and how does it work
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Preparing a Compliance Survey What is it and how does it work?. Robin Jones President South African Institute of Occupational Safety and Health. What is a Compliance Survey?. The Best way to start is to Eliminate all the things that are not part of this Compliance survey

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Preparing a Compliance Survey What is it and how does it work?

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Preparing a compliance survey what is it and how does it work

Preparing a Compliance SurveyWhat is it and how does it work?

Robin Jones

President

South African Institute of Occupational Safety and Health


What is a compliance survey

What is a Compliance Survey?

The Best way to start is to Eliminate all the things that are not part of this Compliance survey

Hazard Identification and Risk Assessment (HIRA)

Written Safe Operating Procedures (WSOP)

Planned Job Observation(PJO)

Critical Task Analysis (CTA)

Part of an ISO Audit

Plus -- you may have other procedures in your workplace

These are the processes which were required in the beginning and lead on to a Compliance Survey


This leads to the question what is a compliance survey

This leads to the question, “What is a Compliance Survey?”

There may be different definitions but this is my interpretation

“It is a systematic examination of a management procedure to gauge the effective compliance of the procedure. The survey is both objective and subjective and intended to be unbiased


Does management have to do these compliance surveys

Does Management have to do these Compliance Surveys?

If you are asking is this written into the Occupational Health and Safety Act , in general terms the answer is YES. (more later)

If your management wants to ensure that the business is running smoothly, profitably, efficiently and legally then this is one of the tools that management can use.


Wise early advice from a dol inspector

Wise (early) advice from a DoL Inspector

“When investigating an accident and determining management’s responsibility for “negligence” in non-compliance of the OHSAct, we ask 3 questions.

1. Could the event have been foreseen?

2. Could something have been done to prevent the said accident?

3. Was anything actually done to prevent the said accident?

If management fail this test, it implies “wilful negligence” and that is a serious offence.”


Let s consider this scenario

Let’s consider this scenario.

A serious accident (fatality?) occurs at your workplace and in line with the requirements of the OHSAct, Section 27 (2) you report the accident to the DoL.

You are not really worried as you have done all your homework (HIRA) and many documents are in place (WSOPs, PJOs, Letters of appointment, Training records, etc)

A visit by an Inspector, followed by a formal enquiry uncovers an “Oops!”

In the pressures of production certain documents are not fully completed by responsible staff.

You hear such excuses as “we’ve done that job many times before, no-one got hurt before, a competent artisan was doing the job, ........ And so on and on..... “


How does the oops effect management

How does the Oops! effect management?

Section 37 (1) “Whenever an employee does or does not do any act which it would be an offence in terms of this Act for the employer of such employee .... To do or omit to do, then unless it is proved that—

(a) In doing or omitting to do that act the employee was acting without the connivance or permission of the employer .....

(b) It was not under any condition or in any circumstance within the scope of the employee to do or omit to do an act ........ and..

(c) All reasonable steps were taken by the employer .... to prevent any act or omission of the kind in question, then

The employer himself shall be presumed to have done or omitted to do such act


Does management have to do these compliance surveys1

Does Management have to do these Compliance Surveys?

In an earlier slide I asked this question

“If you are asking is this written into the Occupational Health and Safety Act , in general terms the answer is YES.”

Here is the answer

Section 37 (1) {and much further down it says}

......and the fact that he (the employer or user ) issued instructions forbidding any act or omission of the kind in question shall not, in itself, be accepted as sufficient proof that he took all reasonable steps to prevent the act or omission..........


How do you set up the compliance survey

How do you set up the Compliance Survey?

You may have various process procedures

For example:-

Isolation/Lockout Permit

Hot work Permit

Vessel Entry Permit

Excavation Permit

Work on Radio-active device

Working at Heights Permit

Other

Select any one for a start --- the others can come later


Explain the step by step process for a compliance survey

Explain the step by step process for a Compliance Survey

Select a Document e.g. Isolation/Lockout Permit

List all the questions on the permit

Decide on a weighting system (if necessary)

Conduct a physical inspection of the permits

Transfer the data to an analysis sheet

Highlight the deficiencies

Prepare a report for Management

For the purpose of this explanation the foreman plays a key role


Explain the step by step process for a compliance survey1

Explain the step by step process for a Compliance Survey

Select a Document e.g. Isolation/Lockout Permit

List all the questions on the permit

Decide on a weighting system (if necessary)

Conduct a physical inspection of the permits

Transfer the data to an analysis sheet

Highlight the deficiencies

Prepare a report for Management

For the purpose of this explanation the foreman plays a key role


Explain the step by step process for a compliance survey2

Explain the step by step process for a Compliance Survey

Select a Document e.g. Isolation/Lockout Permit

List all the questions on the permit

Decide on a weighting system (if necessary)

Conduct a physical inspection of the permits

Transfer the data to an analysis sheet

Highlight the deficiencies

Prepare a report for Management

For the purpose of this explanation the foreman plays a key role


Explain the step by step process for a compliance survey3

Explain the step by step process for a Compliance Survey

Select a Document e.g. Isolation/Lockout Permit

List all the questions on the permit

Decide on a weighting system (if necessary)

Conduct a physical inspection of the permits

Transfer the data to an analysis sheet

Highlight the deficiencies

Prepare a report for Management

For the purpose of this explanation the foreman plays a key role


Preparing a compliance survey what is it and how does it work

EXAMPLE 1


Preparing a compliance survey what is it and how does it work

EXAMPLE 2


Explain the step by step process for a compliance survey4

Explain the step by step process for a Compliance Survey

Select a Document e.g. Isolation/Lockout Permit

List all the questions on the permit

Decide on a weighting system (if necessary)

Conduct a physical inspection of the permits

Transfer the data to an analysis sheet

Highlight the deficiencies

Prepare a report for Management

For the purpose of this explanation the foreman plays a key role


Explain the step by step process for a compliance survey5

Explain the step by step process for a Compliance Survey

Select a Document e.g. Isolation/Lockout Permit

List all the questions on the permit

Decide on a weighting system (if necessary)

Conduct a physical inspection of the permits

Transfer the data to an analysis sheet

Highlight the deficiencies

Prepare a report for Management

For the purpose of this explanation the foreman plays a key role


Preparing a compliance survey what is it and how does it work

What does this sheet highlight?

90% Target


Preparing a compliance survey what is it and how does it work

Put in some colour and it all becomes clearer


Explain the step by step process for a compliance survey6

Explain the step by step process for a Compliance Survey

Select a Document e.g. Isolation/Lockout Permit

List all the questions on the permit

Decide on a weighting system (if necessary)

Conduct a physical inspection of the permits

Transfer the data to an analysis sheet

Highlight the deficiencies

Prepare a report for Management

For the purpose of this explanation the foreman plays a key role


Conclusion

Conclusion

If I was asked what is Management’s function, I could say,

“Make money, lot’s of it!”

While making all this money, management have to comply with Legal and Financial requirements and Moral obligations

(Don’t forget the King Reports)

One of the ways to make money is to ensure that no losses occur (accidents, incidents, prosecutions, production stoppages, or any host of other reasons to lose money.

A Compliance Survey is just one more tool in the Management Toolbox


Thank you for your patience

Thank you for your patience

Any questions?


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