The mining and quarrying compliance checklist for South African operations

A mine or quarry that can produce its mineral right, its mandatory codes of practice, its medical surveillance and occupational disease records, and its transformation reporting against the Mining Charter's residual undertakings is covering the ground a DMPR inspection or an investor due diligence will check first.

Reviewed by TefCo Compliance Research — last verified 15 September 2026.

In short

A valid mining or prospecting right, correctly reflected against the current rights administration system, is the foundation document.
Mandatory codes of practice under the Mine Health and Safety Act must be site-specific, not generic.
Medical surveillance and occupational disease records need to be kept per employee, not aggregated.
The 2018 Mining Charter's prescriptive, sanction-backed clauses were set aside by the courts in 2021 — treat it as policy guidance, not binding law, when building a compliance file.

Rights and licensing file

Current mining right, prospecting right, mining permit or quarry permit under the Mineral and Petroleum Resources Development Act 28 of 2002.
Environmental authorisation and approved environmental management programme for the operation.
Confirmation of which system — SAMRAD or the department's new cadastre — currently governs applications and renewals in the relevant province.
Notarial deed of cession or registration documents for the right, where applicable.
Social and Labour Plan submitted and reported against, where required for the right held.

Mine health and safety file

Mandatory codes of practice required under the Mine Health and Safety Act 29 of 1996, tailored to the specific mine's risk profile.
Health and safety policy established by the manager as required under the Act.
Records of risk assessment and occupational hygiene measurements.
Medical surveillance records for exposed employees, kept per employee.
Reportable occupational disease records and evidence of reporting to the Principal Inspector of Mines.
Records of health and safety training provided to employees.
Evidence of tripartite health and safety committee structures where applicable.

Codes of practice copied from another operation without adjusting for the specific mine's conditions are a common inspection finding — the Act requires the manager to assess and respond to the mine's own risk profile.

Transformation and reporting file

Ownership, procurement, employment equity and skills development records kept against whatever transformation commitments currently apply to the right.
Annual compliance reporting to DMPR on the right's conditions.
Records distinguishing binding statutory conditions from Mining Charter policy commitments, given the 2021 court ruling on the Charter's legal status.

Frequently asked

Is the 2018 Mining Charter still enforceable as law?

The Gauteng High Court ruled in September 2021 that the 2018 Mining Charter is policy, not binding subordinate legislation, and set aside a number of its prescriptive and sanction-backed clauses. Operators should still track it as a policy expectation but distinguish it from binding statutory conditions attached to their actual right.

Does a small quarry need the same codes of practice as a large underground mine?

The codes of practice requirement applies, but the content must be tailored to the mine's own risk profile and operational circumstances — a quarry's code of practice will look different from an underground mine's, not absent altogether.

Who receives occupational disease reports?

The office of the Principal Inspector of Mines, under the reporting regulations made under the Mine Health and Safety Act 29 of 1996.

Sources

TefCo Corporate Compliance (Pty) Ltd is a compliance management platform, not a legal, tax or advisory firm. This guide is general information, not advice. Fees, dates and thresholds change — confirm current figures with the regulator before you rely on them.