OPERATIONS MANAGEMENT AND

SUPERVISION

Formative Assessment

Module # 226302001-KM-05,
NQF Level level 5
Notional hours 60
Credit(s) Cr 6
Curriculum 226302001
Code
SAQA QUAL ID 99714
Qualification Occupational Certificate: Safety, Health and Quality
Title Practitioner (Occupational Health and Safety
Practitioner): L5-256 credits
CONTACT INFORMATION:

Name
Contact Address
Telephone (H)
Telephone (W)
Cellular

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TABLE OF CONTENTS

PURPOSE OF THE QUALIFICATION..................................................................................6

QUALIFICATION RULES........................................................................................................8
EXIT LEVEL OUTCOMES.....................................................................................................10
ENTRY REQUIREMENTS:....................................................................................................11
ARTICULATION OPTIONS.................................................................................................. 12
ASSESSMENT REQUIREMENTS.......................................................................................13
PROVIDER ACCREDITATION REQUIREMENTS FOR THE MODULE:.....................14
Grounds for Appeal............................................................................................................ 21
Reasons for Appeal............................................................................................................ 22
SECTION 1: KM-05-KT01: Theories, concepts and principles of
strategic planning and how this applies to occupational health and
safety management. (Intermediate) (25%)..............................................................24
SECTION 2: KM-05-KT02: Learning and development process and
cycle and how this is used to improve the effectiveness of
occupational health and safety (Intermediate) (25%).........................................28
SECTION 3: KM-05-KT03: Concepts and principles of change
management and how to apply these principles when implementing
new systems. (Intermediate) (25%)............................................................................31
SECTION 4: KM-05-KT04: Concepts, principles and leading practices
associated with continuous improvement (Intermediate) (25%)....................35

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About the Formative Assessment:

Purpose The purpose of this Formative Assessment is to evaluate

learners understanding on the outcomes and prepare the
learner for the summative assessment. This will show that the
learner is ready to be assessed.
Context This assessment represents the Formative Assessment
component and should be completed in the classroom/training
room.

Resources The following are resources needed for this assessment:

1. Learner Guide; and

2. Assessment Preparation.

Instructions Facilitators will be required to:

to Facilitators  Explain the completion of the Formative Assessment to
each learner; and

 Interview the learner on similar questions, should he/she

not be able to write.

Instructions Learners will be required to:

to Learners  Complete the Formative Assessment as per the
instructions;

 Ensure that all questions are completed;

 Ensure that the completion of the workbook is their own

work;

 Ensure that all annexure are attached to the workbook

and clearly referred to;

Assessment Learners are required to complete this assessment within the

Time allocated time frame/hours.

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PURPOSE OF THE QUALIFICATION

Purpose:
The purpose of this qualification is to prepare a learner to operate as an
Occupational Health and Safety Practitioner.

An Occupational Health and Safety Practitioners serve as a facilitator and advisor

to employees and management regarding safety and health aspects in the
workplace including the monitoring and inspecting of the workplace and the
recording and investigation of incidents and accidents. They also implement and
maintain Occupational Health and Safety systems in order to ensure a safe and
healthy work environment.

A qualified learner will be able to:

Inspect work places and environments to identify the occupational health and
safety hazards and determine the risks associated with the work.
Facilitate and support actions to eliminate or control hazards in order to minimise
risks in a designated work area.
Represent the needs of employees with regard to Occupational Health and Safety
matters.
Participate in the planning and implementation of operational Occupational Health
and Safety Management Systems.
Monitor and continually improve the effectiveness of operational Occupational
Health and Safety systems.

Rationale:
Occupational Health and Safety is a core element for the success of all enterprises
globally. The right to work in a safe and healthy environment is entrenched in the
South African Constitution. The accountability for Occupational Health and safety
is shared by all stakeholders and there are well established global practices and
processes for ensuring Occupational Health and Safety. Over the years the
development and implementation of these systems have become a science on its

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own. Line managers are trained in these processes and a cadre of specialised
employees has been established to develop, implement and monitor the effective
use of these global best practices.

This qualification is aimed at building the competence levels of this cadre of

employees. The qualification also covers the work that will be done by the
legislated Occupational Health and Safety (OHS) representatives. This qualification
meets a critical need in the industry. It is aligned with the National Development
Strategy and it will enable employees from the different technical work areas to
embark on a career path in Occupational Health and Safety Management. All
organisations in South Africa require the services of at least one Occupational
Health and Safety Practitioner. The training for this cadre of employees is
currently fragmented and done through a series of short courses. This qualification
will standardise the training and will enhance the levels of compliance in this area.

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QUALIFICATION RULES

This qualification is made up of the following compulsory Knowledge,

Practical Skill and Workplace Learning Modules:
Knowledge Modules:
226302001-KM-01, Fundamentals of Occupational Health and Safety, Level 2, 9
Credits.
226302001-KM-02, Fundamentals of Communication, Level 3, 6 Credits.
226302001-KM-03, Occupational Health and Safety applications, Level 4, 17 Credits.
226302001-KM-04, Occupational Health and Safety Management, Level 5, 38
Credits.
226302001-KM-05, Operations Management and Supervision, Level 5, 6 Credits.
Total number of credits for Knowledge Modules: 76.

Practical Skill Modules:

226302001-PM-01, Represent the needs of employees regarding Occupational
Health and Safety matters, Level 3, 8 Credits.
226302001-PM-02, Inspect work places, identify hazards and risks and take
immediate action to ensure health and safety in the workplace, Level 3, 4 Credits.
226302001-PM-03, Consult with employees and raise their needs and issues at,
Level 2, 4 Credits.
226302001-PM-04, Inspect work places and environments to identify the
occupational health and safety hazards and determine the risks associated with the
work, Level 4, 16 Credits.
226302001-PM-05, Coordinate the work activities of Occupational Health and Safety
representatives, Level 4, 6 Credits.
226302001-PM-06, Develop a risk profile and legal register for a designated work
area, Level 5, 6 Credits.
226302001-PM-07, Establish, maintain and improve the health and safety
documentation and reporting systems, controls and processes, Level 5, 4 Credits.
226302001-PM-08, Advise on the establishment maintenance and improvement of
emergency response and preparedness, Level 5, 8 Credits.

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226302001-PM-09, Manage the effectiveness of operational Occupational Health
and Safety systems, Level 5, Credits 6.
Total number of credits for Practical Skill Modules: 62.

Work Experience Modules:

226302001-WM-, Exposure to the workplace examination processes, Level 2, 12
Credits.
226302001-WM-02, Exposure to the processes of representing the Occupational
Health and Safety needs of employees, Level 3, 4 Credits.
226302001-WM-03, Exposure to Occupational Risk Management processes, Level 4,
12 Credits.
226302001-WM-04, Exposure to the processes of selecting, appointing and
managing Occupational Health and Safety representatives, Level 4, 8 Credits.
226302001-WM-05, Exposure to the processes of developing and implementing
Occupational Health and Safety systems, Level 5, 48 Credits.
226302001-WM-06, Exposure to the processes of monitoring and improving
Occupational Health and Safety systems, Level 5, 34 Credits.
Total number of credits for Work Experience Modules: 118.

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EXIT LEVEL OUTCOMES
1: Facilitate and support actions to eliminate or control hazards in order to minimise
risks in a designated work area.
2: Participate in the planning and implementation of operational Occupational
Health and Safety Management Systems.
3: Monitor and continually improve the effectiveness of operational Occupational
Health and Safety systems.

Occupation Regulation
All trades are regulated by the Department of Higher Education and Training (DHET)
through the National Artisan Moderation Body (NAMB). To become a qualified
artisan you have to pass a trade test at a national trade test centre that is
accredited by the Quality Council for Trades and Occupations (QCTO). All national
trade test centres are quality assured and recommended for accreditation by the
NAMB.

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ENTRY REQUIREMENTS:

Recognition of Prior Learning (RPL):

RPL for access to the external integrated summative assessment: Accredited
providers and approved workplaces must apply the internal assessment criteria
specified in the related curriculum document to establish and confirm prior learning.
Accredited providers and workplaces must confirm prior learning by issuing a
statement of result or certifying a work experience record.

RPL for access to the qualification:

Accredited providers and approved workplaces may recognise prior learning against
the relevant access requirements.

Entry Requirements:
A Level 4 qualification with Mathematical Literacy.

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ARTICULATION OPTIONS

Horizontal Articulation:
National Diploma: Occupational Safety, Level 5 (ID 79808).

Vertical Articulation:
This is a new qualification. There are no cognate qualifications developed at Level 6
at present on the OQSF.

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ASSESSMENT REQUIREMENTS
Integrated Formative Assessment:
The skills development provider will use the curriculum to guide them on the
stipulated internal assessment criteria and weighting. They will also apply the scope
of practical skills and applied knowledge as stipulated by the internal assessment
criteria. This formative assessment leads to entrance into the integrated external
summative assessment.

Integrated Summative Assessment:

An external integrated summative assessment, conducted through the relevant
QCTO Assessment Quality partner is required for the issuing of this qualification.
The external integrated summative assessment will focus on the exit level
outcomes and associated assessment criteria. The external assessment model
requires that the external assessment will be conducted through a combination of a
written assessment and practical task at an accredited trade test centre. The
written examination will be concluded at an accredited trade test centre and
marked by registered assessors. Practical tasks will also be assessed by registered
assessors. The combination of the written and practical assessment will be
conducted over a period of two working days.

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PROVIDER ACCREDITATION
REQUIREMENTS FOR THE
MODULE:

Providersmusthaveaccessto:

a. Backupfacilitators;

b.A
physicaladdressandaccesstoproperlecturefacilities,audiovisualaidsandequipment
with appropriatecontingencies;

[Link]/learnerratioshouldnotexceed1:15;

[Link],andergonomicrequirementstocaterforthenu
mberof learners.

[Link]
ources asstipulatedinthemodulespecifications.

f.
Appropriatelearningresourcesmustbeavailableandaccessibletomeettherequirement
sasset out inthecurriculum.

[Link]
learnersmustbeprovidedwitheasyaccesstotherequiredlearningmaterialsandresource
s.

[Link]
learnersandmonitorthe progressofthe learners.

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[Link]
placetoreviewandmanagethe progressof learnersand
learnersmusthaveaccesstotheirprogressreports.

j.
ProvidersmustbeabletoaccessandcomplywithreportingrequirementsassetbytheExt
ernal assessmentQualityPartner.

HumanResourceRequirements:

Facilitatorsoflearningmust:

[Link]
levelofatleastNQF3 or equivalent;

[Link] experience;

[Link] in possessionof
arecognisedAdultLearningqualificationatthelevelofatleastaFacilitator Certificate.–
or provethisthroughrelevantrecognitionof priorlearning.

[Link] in placeto
conductlearnerassessmentsinafairand equitablemanner.

LegalRequirements:

Theprovidersmustproveanacceptablearrangementof co-
operationwithrecognisedemployersto
facilitatethepracticalskillsandassistlearnerstogetexposuretotheworkexperiencecom
ponents;

[Link];

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[Link].

PRE-ASSESSMENT MEETING CHECKLIST

Points Facilitator/Assessor must cover in the initial meeting with the

learner - Please tick
Item Points to be covered Tick
1 Welcomethe candidate and put them at ease
2 Explain the purpose of the meeting (why you are there and
how long the meeting will take)
3 Explain the
 NQF

 Credits

 Certification process

 Learning pathways

4 Explain
 Who is involved in the assessment and their role (learners,
coach, assessors, managers, moderators)

 Principles of assessment (fairness, confidentiality, validity,

sufficiency)

5 Explain the assessment process?

 Check learner readiness for assessment (logbook / self
assessment)

 Assessment contract to be completed

 Preparation of learner (this meeting)

 The assessment (observation and knowledge questionnaire)

 Judgement of the evidence

 Outcome of assessment (competent, not yet competent,

need further evidence)

6 Give Learner copies of the following documentation and

explain each document
 The Assessment Guide which includes

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Item Points to be covered Tick
o Assessment contract

o Assessment plan

o Observation checklist

o Knowledge checklist

7 Discuss the assessment plan (complete the assessment plan

document)
 Allow the learner to participate in the decisions made

 Agree on dates, time and venue for the assessment and

feedback

 Agree on evidence the learner can submit

 Agree and explain the assessment methods

 Identify and discuss special assessment needs of the

candidate

 Identify and eliminate unfair barriers (language, disability

etc)

 Discuss and agree on witness requirements

8 Tell the candidate his/her rights and responsibilities, the

assessment procedures and policies
 How many times they may be assessed

 Appeals process / procedure

 Reassessment policy

9 Ensure the assessment environment is appropriate or make

special arrangements
10 Discuss moderation
11 Allow the learner opportunity to clarify any items discussed

Learner declaration of acceptance of assessment instruments and relevant

documentation: Date:
Learners Name: Signature

Facilitator Name: Signature:

Assessors Name: Signature:

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Special arrangements for assessment
Place
Language
Resources
Barriers

People to be involved with assessment

Learner: Manager:
Trainer: Mentor / Coach:
Assessor: Moderator:

Next steps for learning

Resources required for this assessment

Guidelines to the learner:

Learners Name: ___________________________________

Learner’s signature: Date:

Assessors Name: _________________________________

Assessor’s signature: Date:

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 ASSESSMENT APPEALS PROCEDURE

1. A learner has the right to appeal under the following circumstances

 If the laid down assessment procedures were not followed during
assessments
 If not all evidence available was taken into account during the assessment
 The assessor was not a subject matter expert or did not have a subject
matter expert during the assessment process
 The assessor did not assess according to the performance criteria and
range statement stipulated in the unit standard
 Not all the range items were available for assessment

2. A learner bringing an appeal against a decision of the assessment will lodge

such an appeal with the assessor and the internal moderator within 2 days of
the assessment feedback session.

3. A learner bringing an appeal should complete the “Learner’s Notice of

Assessment Appeal “form before the Appeal Hearing. The form should be
handed to the internal moderator or a representative.

4. Should the internal moderator re-affirm the assessor’ decision, the learner
may appeal to the external verifier within 2 days after the initial moderator’s
feedback session. The external verifier’s decision will be final. Should the
external verifier re-affirm the assessors’ decision, the cost for re-evaluation
will be upon the learner. Should the verifier’s decision differ from the
assessor’s decision, the cost for re-evaluation will be borne by the assessor.

ASSESSMENT APPEAL APPLICATION FORM

LEARNER’S NOTICE OF ASSESSMENT APPEAL

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TO: The Internal Moderator

A meeting with the internal moderator is hereby requested to discuss the outcome
of my assessment.

Internal moderator name

Date of submission:

Name of employee assessed:

Name of Assessor:

Date of feedback session:

Grounds for Appeal

N Tick the applicable ground(s) for appeal Tick

o
1 The assessment did not follow the laid down procedure
2 Not all evidence available was taken into account during the
assessment
3 The assessor was not a subject matter expert nor was a subject matter
expert present during the assessment process
4 The assessment was not according to the performance criteria and the
range statement stipulated in the unit standard
5 Not all the range items were available for the assessment

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Reasons for Appeal

N Please give detailed reasons for the choice(s) above

o
1

Learner’s signature: Date:

Employee witness: Date:

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 INSTRUCTIONS:

The following sections will test your knowledge and you are required to answer all
the questions.

Once you have finished you may obtain feedback from your trainer on the accuracy
of your answer.

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SECTION 1: KM-05-KT01: Theories,
concepts and principles of
strategic planning and how
this applies to occupational
health and safety
management. (Intermediate)
(25%)

Learning Outcome
At the end of this section, learners should cover:

• KT0101 Describe the basic business system; (NQF Level: 6)

• KT0102 Describe the fundamental business planning process and describe the
role of strategy in it; (NQF Level: 6)
• KT0103 Explain what is meant by: Strategy, vision, mission and business
objectives; (NQF Level: 6)
• KT0104 Describe how the fundamental business processes are applied within
the occupational health and safety environment. (NQF Level: 6)
• KT0105 Describe the concepts and principles of integrated value chain
management. (NQF Level: 6)

1Describe the fundamental business planning process and describe the role of
strategy in it
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[Link] facilitator will give a range of OHS related problems in various business
operations be able to: a. Describe the origin and impact of these problems in
relation to the business system; b. Indicate the role that planning played in these
problems and what needs to be changed in the planning processes to prevent
similar problems in the future
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SECTION 2: KM-05-KT02: Learning and
development process and
cycle and how this is used to
improve the effectiveness of
occupational health and
safety (Intermediate) (25%)

Learning Outcome
At the end of this section, learners should cover:
• KT0201 Explain the typical Learning and development life cycle ADDI; (NQF
Level: 5)
• KT0202 Describe the impact of each element of the learning and development
life cycle on Occupational Health and safety; (NQF Level: 5)
• KT0203 Describe the criteria for effective learning material (NQF Level: 5)

1. Your facilitator will give you various organisational OHS learning and
development needs, competency profiles and descriptions of different learning and
development structures, strategies and resources. Be able to: a. Identify possible
deficiencies in the learning and development processes; b. Describe actions to deal
with the given learning and development challenges
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[Link] the impact of each element of the learning and development life cycle
on Occupational Health and safety

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SECTION 3: KM-05-KT03: Concepts and
principles of change
management and how to
apply these principles when
implementing new systems.
(Intermediate) (25%)

Learning Outcome
At the end of this section, learners should cover:
 KT0301 Define change and give reasons why the implementation of changes in
an organisation must be managed; (NQF Level: 5)
 KT0302 Explain the typical responses of people to change and how they impact
on the effectiveness of implementing changes in organisations. (NQF Level: 5)
 KT0303 Describe a typical change management process and give examples of
what must be done to help people understand and accept change. (NQF Level: 5)
 KT0304 Give examples of the use of change management in relation to
occupational health and safety issues. (NQF Level: 5)

1. Describe a typical change management process and give examples of what must
be done to help people understand and accept change
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2. Give examples of the use of change management in relation to occupational
health and safety issues

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3. Your facilitator will give you various occupational scenarios where new systems
and/or processes are being introduced, use the change management principles to
develop an appropriate programme to ensure the smooth implementation of these
processes.

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SECTION 4: KM-05-KT04: Concepts,
principles and leading
practices associated with
continuous improvement
(Intermediate) (25%)

Learning Outcome
At the end of this section, learners should cover:
• KT0401 Describe what is meant by continuous improvement and how it it
manifests in the plan, do, check, act cycle: a. Comparison with the management
functions (POLC); b. Discuss the principles of effective controls within the
management functions (ISMECC) (NQF Level: 5)
• KT0402 Give examples of continuous improvement processes in various work
places. (NQF Level:5)
• KT0403 Describe the advantages and implications of the effective use of
continuous improvement processes. (NQF Level: 5)
• KT0404 Explain the typical practices associated with continuous improvement
processes: a. Occurrence management; b. Deviation and non-conformance
management; c. Lessons learnt and organisation wide implementation; d.
Modification management; e. Proper commissioning and change management.
(NQF Level: 5)
• KT0405 Explain the importance of standards and specifications in ensuring
continuous improvement (NQF Level: 5)

[Link] examples of continuous improvement processes in various work places

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2. Explain the typical practices associated with continuous improvement processes:
a.
Occurrence management; b. Deviation and non-conformance management; c.
Lessons learnt and organisation wide implementation; d. Modification management;
e. Proper commissioning and change management.
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 SELF-ASSESSMENT

The learner must make use of the following self-evaluation checklist to rate himself
against the learning outcomes of this particular training module in establishing the
level of mastery of the information.
1. Not able to comply
2. Reasonable compliance (Not acceptable for final evaluation)
3. Able to comply fully

OUTCOMES 1 2 3
1
2
3
4

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Learner Signature Date

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Facilitators’ Signature Date

ASSESSMENT FEEDBACK REPORT

FACILITATOR FEEDBACK & REMARKS

ASSESSMENT JUDGEMENT

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 Learner’s Total Mark: Requirements met
Requirements not met

Action/s required:

By when:

LEARNER FEEDBACK & COMMENTS

DECLARATION BY THE FACILITATOR

I ……………………………………………............. (Facilitator) hereby certify that I have

examined the learner workbook and I am satisfied with the evidence provided by
the learner.

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 DECLARATION BY LEARNER

I, …………………………………………………………………….declare that I am satisfied

that the feedback given to me by the Facilitator was relevant, sufficient and done in
a constructive manner. I accept the assessment judgment and have no further
questions relating to this particular assessment event.

Learner Date Facilitator Date

DECLARATION BY THE ASSESSOR

I ……………………………………………............. (Assessor) hereby certify that I have

examined the learner workbook and I am satisfied with the Facilitator Judgment of
this assessment.

Assessor Date Moderator Date

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