H e a lt h a n d S a f e t y Man a g e m e n t S h o p r

HEALTH AND SAFETY MANAGEMENT SYSTEM

COMPANY STANDARD PROCEDURE Safety, Health and Environment –Legal Appointments

Form No: SPRO 09.00 Rev. No. 2 Date: 18/12/2019 Page: 1 of 10

Shoprite Group

Health and Safety Management

Document Properties: Entity Shoprite Group Document Owner Group Health and Safety Manager Document Name Health and Safety Governance Procedure (Legal Appointments) Document Path Google Team Drive Classification Internal Version Control:

Date Adjustment Authors Version 2018/10/31 First draft Jacques Botha V1 – Revision 1 2019/12/18 Revision 2 Jacques Botha V2 – Revision 2




TABLE OF CONTENT

REF CONTENT PAGE

1 INTRODUCTION 3 OF 10

2 TERMS AND DEFINITIONS 3 OF 10

3 RESOLUTION BY THE BOARD OF DIRECTORS 4 OF 10

4 LEGAL REVIEW AND APPROVAL 4 OF 10

5 GENERAL ADMINISTRATION 4 OF 10

6 HEALTH AND SAFETY APPOINTMENT TYPES 5 OF 10

7 HEALTH AND SAFETY DELEGATION FRAMEWORK 6 OF 10

9 HEALTH AND SAFETY DEPLOYMENT FRAMEWORK 7 OF 10

10 HEALTH AND SAFETY APPOINTMENT REPOSITORY 8 OF 10

TABLE 1 - EXAMPLE OF APPOINTMENT CATEGORIES 9 OF 10

DIAGRAM 1 - BASIC GROUP DELEGATION FRAMEWORK 10 OF 10




1. INTRODUCTION:

This procedure outlines the framework for all health and safety legal appointment letters within the Shoprite Group as required by relevant health and safety legislation.

2. TERMS AND DEFINITIONS:

2.1. Position of operational control: The “position of operational control” refers to the status of being in a position to exercise control over a situation, condition or behaviour at source. A person at the point of operational control would refer to the most senior person based at the specific location where the control is to be exercised.

2.2. Position of influence:

The “position of influence” refers to the status of being in a position to influence the control being exercised at the point of operational control, whereas such influence can be to enable or restrict.

2.3. Statutory appointment letter: Statutory appointments are those written appointments made by an Employer as imposed by relevant health and safety legislation where the modal auxiliary verb used is either “shall” or “must”. Statutory appointment letters will also include any appointment made at the discretion of the Employer where in the prescription, the modal auxiliary verb is “may”.

2.4. Non-statutory appointment letter:

Non-statutory appointments are those written appointments made by an Employer to communicate or assign health and safety responsibility that is not based on any legal prescription.

2.5. Functional appointment letter:

Functional appointment letters refer to those statutory and non-statutory health and safety appointments that must be made within each workplace to comply with the minimum delegation and communication requirements.

2.6. Sector specific appointment letter: Sector specific appointment letters refer to those statutory and non-statutory health and safety appointments that will only become relevant in a certain industry or when a specific activity is being performed.

2.7. External specialist appointment letter: External specialist appointment letters refer to those statutory and non-statutory health and safety appointments that will only become relevant when a competent external (third-party) is appointed by the Employer to fulfill a specific task. These normally relate to the appointment of Authorised Inspection Authorities (“AIA”).




2.8. Fixed position delegation: Fixed position delegation refers to health and safety appointments being assigned to a specific occupation or position held by “default”. Fixed position delegation is used to attain the following efficiency:

● Health and safety appointments can be included as a condition of employment,

● Refresher training associated to any appointment can be easily tracked and performed at scheduled intervals,

● Assurance that sufficient person(s) have been appointed per workplace (store/branch/distribution centre),

● Provides coverage across the workplace (store/branch/distribution centre) insofar as a prescribed quota is concerned.

2.9. General delegation:

General delegation refers to health and safety appointments being assigned to any person under the control of a person appointed as a 16.2 Statutory. This delegation may be used in cases where fixed delegation has not been prescribed or in cases where the fixed delegation may not be sufficient for a specific workplace.

3. RESOLUTION BY THE BOARD OF DIRECTORS:

The health and safety appointment framework and strategy of the Shoprite Group shall be approved by the board. The resolution of the board shall bind all Shoprite Group employees in terms of the health and safety appointment framework. A copy of the resolution made by the board shall be kept with the Group Health and Safety Manager and may be presented to any Regulator upon request.

4. LEGAL REVIEW AND APPROVAL:

The health and safety appointment framework and strategy of the Shoprite Group shall be reviewed by a legal practitioner. The review shall be documented and a copy hall be kept with the Group Health and Safety Manager and may be presented to any Regulator upon request.

5. GENERAL ADMINISTRATION:

The Shoprite Group health and safety appointment letters are subject to the following administrative requirements:

5.1. Appointment titles:

Each health and safety appointment letter will be assigned a title relevant to the content and intent of the assignment. The intent of the title is to appropriately identify the health and safety appointment letter and does not change any person(s) condition of employment, position, title or remuneration.

5.2. Legal referencing:

Each health and safety appointment letter used in South Africa will be assigned a legal reference. All health and safety appointment letters used in any country other than South Africa will not be assigned a legal reference however the “title” to the health and safety appointment letter will remain.




5.3. Prescribed form: The “APP.00” numbering system will apply to all health and safety appointment letters.

5.4. Delegation and acceptance:

Where fixed health and safety delegation has been applied by the Group in terms of this safety standard, delegation will be, by virtue of the resolution approved by the Board, and acceptance will be through written acceptance on the prescribed appointment letter by the delegate. In this case, only the person receiving the appointment letter shall sign the prescribed appointment letter. Where fixed health and safety delegation have not been applied by the Group in terms of this safety standard, delegation will be by virtue of written delegation on the prescribed appointment letter and acceptance will be through written acceptance on the prescribed appointment letter by the delegate. In this case, both the person initiating the health and safety appointment and receiving the appointment shall sign the letter.

5.5. Record retention:

All health and safety appointment letters shall be kept for a period of three years after its expiry.

5.6. Appeal:

A person may lodge an appeal to the Group Health and Safety Manager in writing. The appeal will be considered by the Group Risk Forum after which a written feedback will be delivered.

6. HEALTH AND SAFETY APPOINTMENT TYPES:

The following framework developed by the Shoprite Group determines the control and category of each health and safety appointment within its delegation framework:

6.1. Position of operational control and position of influence:

The Shoprite Group recognise both positions and have therefore designed a legal appointment framework where delegation in terms of health and safety at the workplace (e.g. distribution centre, office or store as the case may be) can only be done by a person with operational control.

6.2. Statutory legal appointment letters:

The Shoprite Group will comply with all relevant legal appointment letters in the interests of occupational health and safety.

6.3. Non-statutory legal appointment letters:

The Shoprite Group has identified areas of non-statutory delegation to manage health and safety risk. This form of delegation also serves as a source of written health and safety communication and instruction.




6.4. Functional, sector specific and external specialist appointment letters: The Shoprite Group structured its health and safety legal appointment framework into categories of functional, sector specific and external specialist appointments to simplify its delegation instructions to the various Group subsidiaries.

Table 1 provides an example of how the health and safety appointment letters have been categorised according to the abovementioned framework.

7. HEALTH AND SAFETY APPOINTMENT DELEGATION FRAMEWORK:

The Shoprite Group will use both “fixed position delegation” and “general delegation” as part of its health and safety appointment deployment strategy:

7.1. Fixed position delegation:

The Shoprite Group will apply fixed position delegation to the following health and safety appointments:

7.1.1.Section 16.1 business unit appointment letter (“APP 01.00”): This

health and safety appointment may only be applied to a Chief Operating Officer, General Manager or any other similar role that report directly into the Group Chief Executive Officer.

7.1.2.Section 16.2 statutory appointments (APP 02.00, APP 03.00, APP 04.00”): This health and safety appointment may only be applied to a person in a position of operational control such as a Distribution Centre Manager, Branch Manager or similar.

7.1.3.Section 16.2 non-statutory appointment (APP 06.00, APP 07.00, APP 08.00”): This health and safety appointment may only be applied to a person in a position of influence. This would be a person appointed in a senior position to the 16.2 statutory delegate within the normal chain of command. It includes Divisional Manager, Deputy Divisional Manager, Regional Manager or similar.

7.1.4.Section 8 appointment (“APP 09.00”): This health and safety appointment may only be applied to a position that is stationed at the workplace and reports into a Section 16 statutory delegate. It includes Sales Floor Managers, Admin Managers, Controllers or similar.

7.1.5.First aid team member appointment (“APP 17.00”):This health and safety appointment may only be applied to a person that is based permanently at a workplace. This appointment letter may be fixed to a position should an agreement in writing be documented by the following departments (Operations, Human Resources and Health and Safety) and such an agreement shall form an appendix to this Group Procedure.

7.1.6.Fire team member appointment (“APP 18.00”): This health and safety appointment may only be applied to a person that is based




permanently at a workplace. This appointment letter may be fixed to a position should an agreement in writing be documented by the following departments (Operations, Human Resources and Health and Safety) and such an agreement shall form an appendix to this Group Procedure.

7.1.7.Emergency controller appointment (“APP 14.00”) : This health and safety appointment may only be applied to a person in a position of operational control and apply to the role of Distribution Centre Manager, Return Centre Manager, Branch/Store Manager, Properties Manager or similar.

7.1.8.Stacking supervisor appointment (“APP 21.00”) : This health and safety appointment may only be applied to a person in a position of operational control and apply to the role of Distribution Centre Manager, Return Centre Manager, Branch/Store Manager or Similar.

7.1.9.Incident investigator (“APP 13.00”): This health and safety appointment has been fused with the appointment of the health and safety representative. All nominated health and safety representatives will by default fulfil the role of health and safety incident investigator at each workplace.

7.1.10. Health and safety representative (“APP 13.00”): Notwithstanding the nomination obligation in terms of the Occupational Health and Safety Act (Act 85 of 1993), this appointment may become a fixed based on the agreement(s) made with the registered and relevant trade union and such communications have been documented in writing.

7.1.11. Facilities supervisor (“APP 19.00”): This appointment letter shall be fixed to a person appointed as a Facilities Manager and that holds the responsibility of managing the integrity of infrastructure.

7.2. General delegation:

The Shoprite Group will allow general delegation at the discretion of the appointed 16.2 Statutory delegates. General delegation may not be used to alter the fixed delegation framework of the Group. General delegation will mostly apply to offices and training facilities.

The basic outline of the key health and safety delegation to the point of operational control have been provided in Diagram 1.

8. HEALTH AND SAFETY APPOINTMENT DEPLOYMENT FRAMEWORK:

The following deployment strategy will be applied by the Shoprite Group:

8.1. Where fixed health and safety delegation have been applied by the Group, deployment of the health and safety appointment letters will be during on-boarding or promotion of the delegate. The health and safety appointment letter(s) will be signed with all other documents of employment and facilitated through the Human Resources Department. The signed




appointment letter will be placed on the personnel file (relevant electronic platform) kept with the Human Resources Department and a copy will be given to the delegate to upload onto the WorkTrainer compliance platform.

8.2. Where general delegation is done, it is the responsibility of the person

making the health and safety appointment letter to ensure that all prescribed fields have been completed correctly and signed by both parties. It is also the responsibility of the person making the appointment to ensure that the completed appointment letter is captured onto the WorkTrainer on-line compliance tool and a copy is sent to the Human Resources Department.

9. HEALTH AND SAFETY APPOINTMENT REPOSITORY:

The Shoprite Group shall keep a register of all health and safety appointment letters available in its repository on SSF 00.00 (“Control of Health and Safety Master Documents Register”).




Table 1 - Example of appointment categories

Ref: Appointment Type: Statutory Type: Category Type:

A.1 Business unit 16.1 Statutory Functional

A.2 16.2 Statutory Statutory Functional

A.3 16.2 Non-statutory Non - Statutory Functional

A.4 Section 8 assignment Non - Statutory Functional

A.5 Risk assessor Statutory Functional

A.6 Incident investigator Statutory Functional

A.7 Health and safety representative Statutory Functional

A.8 First aid team member Statutory Functional

A.9 Fire team member Statutory Functional

A.10 Committee chairperson Statutory Functional

A.11 Emergency controller Non - Statutory Functional

A.12 Evacuation officer Non - Statutory Functional

A.13 Fall protection plan developer Statutory Sector specific

A.14 MHE operator Non - Statutory Sector specific

A.15 Man cage attendant Statutory Sector specific

A.16 Facilities supervisor Non - Statutory Functional

A.17 Stacking supervisor Statutory Sector specific

A.18 Principal contractor Statutory External

A.19 GMR 2 Statutory Sector specific

A20 Waste control officer Statutory Sector specific

A.21 Air pollution control officer Statutory Sector specific

A.22 Pressure equipment inspector Statutory External

A.23 Lifting tackle inspector Statutory External




Diagram 1 - Group delegation framework (Key delegation to point of operational control)