Written by: Marietjie du Plessis
Legal Compliance Audits: Why Having Safety Documents Is Not the Same as Being Compliant
Many organisations believe they are compliant with health and safety legislation simply because policies and procedures exist.
However, during legal compliance audits it often becomes clear that documentation alone does not demonstrate compliance.
Auditors are not only looking for formal documentation or safety files, they are looking for evidence that these systems are implemented, monitored, and maintained.
Under the Occupational Health and Safety Act 85 of 1993, employers have a legal duty to ensure that workplaces are safe and without risk to the health of employees as far as reasonably practicable.
So, the key question becomes:
Can your organisation demonstrate compliance during a legal compliance audit?
In this first post of a three-part series, we explore what compliance really means and what auditors typically look for when assessing organisations.
How Companies Can Demonstrate Compliance During Legal Compliance Audits
Understanding What Compliance Really Means
Legal compliance audits are an important mechanism to determine whether organisations are meeting their obligations under health and safety legislation. In South Africa, employers carry a legal responsibility to ensure that workplaces are safe and without risk to the health of employees as far as reasonably practicable, as outlined in the Occupational Health and Safety Act 85 of 1993.
Many organisations believe they are compliant because policies and procedures exist on paper. However, during legal compliance audits it often becomes evident that documented systems are not always fully implemented in practice. Demonstrating compliance requires more than documentation, it requires clear evidence that health and safety systems are actively functioning within the organisation.
1. Understanding What Compliance Really Means
Compliance is not simply about having governance documentation in place. Auditors typically assess whether the organisation can demonstrate that legal requirements are implemented, monitored, and maintained.
In essence, compliance must be supported by evidence.
During a legal compliance audit, auditors will generally evaluate three key aspects:
- Whether the required systems and documentation exist
- Whether these systems are implemented in daily operations
- Whether the organisation maintains records that demonstrate ongoing compliance
When these three elements align, companies are in a stronger position to demonstrate compliance effectively.
2. Evidence Auditors Typically Look For
Legal compliance audits focus heavily on objective evidence. Auditors will often review documentation and observe workplace practices to determine whether legal requirements are being met.
Typical areas evaluated during an audit include:
- Legal appointments (such as Section 16(2) appointees, supervisors, and SHE representatives)
- Risk assessments identifying workplace hazards and control measures
- Training and competency records demonstrating that employees are adequately trained
- Inspection and maintenance records for equipment, machinery, and facilities
- Incident reporting and investigation records
- Functionality of SHE committees, including meeting minutes and action tracking
- Monitoring programmes, where applicable, such as exposure monitoring or heat stress assessments
These records help demonstrate that safety management processes are not only designed but are also actively implemented.
Frequently Asked Questions
What do auditors look for in a legal compliance audit?
Auditors evaluate whether health and safety systems are formally documented, actively implemented in daily operations, and consistently maintained through record-keeping. They look for objective evidence, such as legal appointments, risk assessments, and training records, to verify that the organization meets its legislative obligations.
Is having a safety file enough for OHS compliance?
No, having a safety file or documentation alone does not demonstrate compliance. Auditors require proof that the policies within the file are functioning in practice. You must show that systems are monitored and that employees follow the procedures established in your formal governance documentation.
Why is the OHS Act 85 of 1993 important for audits?
The Act establishes the legal responsibility for employers to provide a safe working environment as far as reasonably practicable. During an audit, this legislation serves as the benchmark for determining if an employer is meeting their duty of care through implemented and maintained safety systems.
What are legal appointments in the context of an audit?
Legal appointments refer to the formal designation of roles like Section 16(2) appointees, supervisors, and SHE representatives. Auditors review these to ensure that specific safety responsibilities have been legally assigned and that those individuals are fulfilling their statutory duties within the organization’s safety framework.
