United Kingdom Environment, Health & Safety Profile and

UNITED KINGDOM ESH AUDIT PROTOCOL

Copyright 2014 by The Isosceles Group

United Kingdom Environment, Health & Safety

Profile and Checklist

April 2013

Prepared by

The Isosceles Group 50 Congress Street Boston, MA 02109



CONTENTS

Environmental Laws and Regulations ................................................................................. 3 Occupational Health and Safety Laws and Regulations ...................................................... 5

ENVIRONMENTAL PROFILE QUESTIONS .............................................................................. 7

General Environmental Requirements ............................................................................. 8 Air Quality/Emissions ..................................................................................................... 11 Wastewater Discharges ................................................................................................. 16 Hazardous Waste Management .................................................................................... 18 External Emergency Planning ....................................................................................... 21

HEALTH AND SAFETY PROFILE QUESTIONS ..................................................................... 26

General Occupational Health and Safety Requirements ................................................ 27 Health and Safety Representatives and Committees ..................................................... 32 Worker Right-to-Know/Hazard Communication ............................................................. 35 Employee Medical and Well-Being Requirements ......................................................... 36 Work Environments and Controls .................................................................................. 38 Machinery, Equipment and Controls .............................................................................. 41 Industrial Hygiene and Exposure Limits ......................................................................... 43 Internal Emergency Response Requirements................................................................ 46

ATTACHMENT A – Air Quality Limit Values ......................................................................... 49

ATTACHMENT B – Hazardous Waste Substances and Properties ..................................... 50

ATTACHMENT C – Disposal of Polychlorinated Biphenyls (PCBs) ................................... 51

ATTACHMENT D – Minimum Requirements under Directive 90/270/EEC for Display

Screens ................................................................................................................................... 52

ATTACHMENT E – Requirements Associated with Representatives of Employee Safety 53



Environmental Laws and Regulations

Applicable United Kingdom environmental laws and regulations are presented in Table 1.

These regulations are available online at the following web sites:

• National Archives: http://www.legislation.gov.uk/all?theme=environment.

• Defra’s Environment Section: http://www.defra.gov.uk/environment/.

Table 1

United Kingdom Environmental Legislation

Topic Area and Legislation Title Promulgated

General Environmental

• Environmental Protection Agency, 1990 1990

Environment Act, 1995 1995

Town and Country Planning (Environmental Impact Assessment)

(England and Wales) Regulations, 1999, as amended 1999

Environmental Permitting (England and Wales) Regulations, 2010 2010

Environmental Permitting (England and Wales) (Amendment)

Regulations, 2010 2010

Air Quality

Dark Smoke (Permitted Periods) Regulations, 1958 1958

Clean Air (Emission of Dark Smoke) (Exemption) Regulations, 1969 1969

Clean Air Act, 1993 1993

Sulphur Content of Liquid Fuels (England and Wales) Regulations, 2007 2007

Smoke Control Areas (Authorised Fuels) (England) Regulations, 2008 as

amended 2008

Air Quality Standards Regulations, 2010 2010

Water and Wastewater

Trade Effluents (Prescribed Processes and Substances) Regulations,

1989 1989

Trade Effluents (Prescribed Processes and Substances) (Amendment)


Water Industry Act, 1991 1991

Water Resources Act, 1991 1991

Trade Effluents (Prescribed processes and Substances) Regulations,

1992 1992

Urban Waste Water Treatment (England and Wales) Regulations, 1994 1994

Water Industry Act, 1999 1999

Urban Waste Water Treatment (England and Wales) (Amendment)


Water Act, 2003 and its predecessors (1989, 1983, and 1973) 2003

Water Environment (Water Framework Directive) (England and Wales)


http://www.legislation.gov.uk/all?theme=environment

http://www.defra.gov.uk/environment/




Hazardous and Non-Hazardous Waste Handling and Disposal

Controlled Waste Regulations, 1992 1992

Hazardous Waste (England and Wales) Regulations, 2005 2005

List of Waste (England) Regulations, 2005 2005

Waste Management (England and Wales) Regulations 2006 2006

Hazardous Waste (England and Wales) (Amendment) Regulations 2009 2009

Waste (England and Wales) Regulations, 2011 2011

Chemical Substance Management and Control

Planning (Hazardous Substances) Act 1990 1990

Planning (Hazardous Substances) Regulations 1992 1992

Radioactive Substances Act, 1993 1993

Planning (Control of Major-Accident Hazards) Regulations 1999 1999

Environmental Protection (Disposal of Polychlorinated Biphenyls and

other Dangerous Substances) (England and Wales) Regulations, 2000 2000

Control of Asbestos Regulations, 2006 2006

Waste Electrical and Electronic Equipment Regulations, 2006 2006

Waste Electrical and Electronic Equipment (Waste Management

Licensing) (England and Wales) (Amendment) Regulations, 2007 2007

Waste Electrical and Electronic Equipment (Amendment) Regulations,

2007 2007

Batteries and Accumulators (Placing on the Market) Regulations, 2008 2008

REACH Enforcement Regulations, 2008 2008

Restriction of the Use of Certain Hazardous Substances in Electrical and

Electronic Equipment Regulations, 2008 2008

Restriction of the Use of Certain Hazardous Substances in Electrical and

Electronic Equipment (Amendment) Regulations, 2009 2009

Waste Batteries and Accumulators Regulations, 2009 2009

Ozone-Depleting Substances (Qualifications) Regulations, 2009 2009


2009 2009

Waste Electrical and Electronic Equipment (Amendment) (No.2)



2010 2010

Environmental Protection (Controls on Ozone-Depleting Substances)


Environmental Noise

Control of Pollution Act, 1974 1974

Noise and Statutory Nuisance Act, 1993 1993

Noise Act, 1996 1996

Cleaner Neighbourhoods and Environment Act, 2005 2005

Environmental Noise (England) Regulations, 2006 2006




Environmental Noise (England)(Amendment) Regulations, 2008 2008

Environmental Noise (England) (Amendment) Regulations, 2009 2009

Environmental Noise (England) (Amendment) Regulations, 2010 2010

Remediation

Contaminated Land (England) Regulations, 2006 2006

Circular 01/2006 on Contaminated Land 2006

Environmental Damage (Prevention and Remediation) Regulations, 2009 2009

External Emergencies

Control of Major Accident Hazards Regulations, 1999 2005

Control of Major Accident Hazards (Amendment) Regulations, 2005 2005



Occupational Health and Safety Laws and Regulations

A listing of applicable United Kingdom health and safety laws and regulations is presented in

Table 2. The regulations can be accessed online at the following websites:

Table 2

United Kingdom Occupational Health and Safety Legislation


General

Health and Safety at Work etc. Act 1974, as amended 1974

Employers’ Health and Safety Policy Statements (Exception)


Reporting of Injuries, Diseases and Dangerous Occurrences Regulations,

1995 (RIDDOR) 1995

Management of Health and Safety at Work Regulations 1999 1999

Management of Health and Safety at Work (Amendment) Regulations

2006 2006

Health and Safety Representatives and Committees

The Safety Representatives and Safety Committees Regulations 1977

(as amended) 1977

The Health and Safety (Consultation with Employees) Regulations 1996

(as amended) 1996

Worker Right-To-Know

The Health and Safety Information for Employees Regulations, 1989 1989

Health and Safety (Training for Employment) Regulations, 1990 1990

Health and Safety (Safety Signs and Signals) Regulations, 1996 1996

Employee Medical and Well-Being

The Health and Safety (First-Aid) Regulations 1981 1981




Work Environments

Workplace (Health, Safety and Welfare) Regulations, 1992 1992

The Confined Spaces Regulations, 1997 1997

Machinery and Equipment

Lifting Operations and Lifting Equipment Regulations, 1998 1998

Electrical Safety

Electricity at Work Regulations, 1989 1989

Industrial Hygiene

Control of Substances hazardous to Health Regulations, 2002, as

amended 2002

Control of Noise at Work Regulations, 2005 2005

Regulation No. 2739 on the Control of Asbestos Regulations, 2006 2006

Personal Protective Equipment

The Personal Protective Equipment at Work Regulations 1992 1992

Internal Emergency and Fire Prevention and Safety

Fire Safety and Safety of Places of Sport Act, 1987 1987

Fire Precautions (Factories, Offices, Shops and Railway Premises)

Order, 1989 1989

Fire Precautions (Workplace) Regulations, 1997 1997

Management of Health and Safety at Work Regulations, 1999 1999

Fire Precautions (Workplace) (Amendment) Regulations, 1999 1999

Management of Health and Safety at Work and Fire Precautions

(Workplace) (Amendment) Regulations, 2003 2003

Ergonomics

The Health and Safety (Display Screen Equipment) Regulations 1992 1992

Manual Handling Operations Regulations, 1992 1992



ENVIRONMENTAL PROFILE QUESTIONS

Questions for this Profile were based on the various laws and regulations presented earlier that

were readily available and translated. Questions were categorized under one or more of the

following titles:

• General Environmental Requirements.

• Air Quality/ Emissions.

• Wastewater Discharges.

• Water Resources.

• Hazardous Waste Management.

• Solid (Non-Hazardous) Waste Management.

• Radioactive Materials Handling and Disposal.

• Hazardous/ Dangerous Substances Compliance Programs.

• Environmental Noise.

• Tank Storage Management.

• Remediation.

• Property Transactions/ Due Diligence.

• External Emergency Planning.



General Environmental Requirements

No. General Environmental Requirements Checklist Questions Regulatory

Citation

1.1 Does the facility carry out any of the following or other

“prescribed processes” and if so, has it obtained approval

(permit) of such activity prior to its initiation?

• Carbonization and associated processes;

• Gasification and associated processes;

• Combustion processes (where the net rated thermal input is not less than 0.4 megawatts);

• Petroleum processes;

• Iron and steel;

• Non-ferrous metals;

• Smelting processes;

• Cement and lime manufacture and associated processes;

• Processes involving asbestos;

• Other mineral fibers;

• Other mineral processes;

• Glass manufacture and production;

• Ceramic production;

• Petrochemical processes;

• The manufacture and use of organic chemicals;

• Acid processes;

• Processes involving halogens;

• Inorganic chemical processes;

• Chemical fertilizer production;

• Pesticide production;

• Pharmaceutical production;

• The storage of chemicals in bulk;

• Incineration of wastes;

• Recovery processes;

• The production of fuel from waste;

• Paper and pulp manufacturing processes;

• Di-isocyanale processes;

• Tar and bitumen processes;

• Processes involving uranium;

• Coating processes and printing;

• The manufacture of dyestuffs, printing ink and coating materials;

Environmental Protection

Act, 1990, Art. 6




Citation

• Timber processes;

• Processes involving rubber; and

• The treatment and processing of animal or vegetable matter.

Regulatory Note - The details of each of these activities and to

what extent they are “prescribed” is listed in detail in the

following regulations and its amendments:

• The Environmental Protection (Prescribed Processes and Substances) Regulations 1991;

• The Environmental Protection (Prescribed Processes and Substances) (Amendment) Regulations 1992;


• The Environmental Protection (Prescribed Processes and Substances) (Amendment) (No. 2) Regulations 1993;

• The Environmental Protection (Prescribed Processes and Substances Etc.) (Amendment) Regulations 1994;

• The Environmental Protection (Prescribed Processes and Substances Etc.) (Amendment) (No. 2) Regulations 1994;


• The Environmental Protection (Prescribed Processes and Substances Etc.) (Amendment) (Petrol Vapour Recovery) Regulations 1996; and

• The Environmental Protection (Prescribed Processes and Substances) (Amendment) (Hazardous Waste Incineration) Regulations 1998.

These are accessible from the National Archives legislation.gov

website at:

http://www.legislation.gov.uk/all?title=prescribed%20process.

1.2 If the facility has any “prescribed processes” and a permit for

such activities, were there any “conditions” outlined in the permit

and have they all been implemented as requested?


Act, 1990, Art. 7

http://www.legislation.gov.uk/all?title=prescribed%20process




Citation

1.3 Has the facility had an environmental impact assessment (EIA)

performed on it prior to initiation of operation and had it

approved by the authorities, and if so, did the approval contain

any additional requirements and were they implemented?

Town and Country

Planning (Environmental

Impact Assessment)

(England and Wales)

Regulations

1.4 If the facility has not had an EIA performed, does it fit any of the

business activities listed in Schedules 1 or 2 of this regulation,

and if so, has it made a determination that it does not require an

EIA, either through a separate exemption from the authorities or

through other environmental permits, etc.?

The Schedules due to size and formats could not be included in

this report, but are available online at:

http://www.legislation.gov.uk/uksi/1999/293/made.

Town and Country

Planning (Environmental

Impact Assessment)

(England and Wales)

Regulations

http://www.legislation.gov.uk/uksi/1999/293/made



Air Quality/Emissions

No. Air Quality/Emissions Requirements Checklist Questions Regulatory

Citation

1.5 If the facility has any smoke stacks that are being used, does

the facility limit the emission of dark smoke to not longer than 10

minutes in the aggregate in any period of 8 hours; or, if soot-

blowing is carried out within any such period, for not longer than

14 minutes in the aggregate in that period?

Regulatory Note - These limits of 10 minutes and 14 minutes

shall be increased in the case of a chimney serving 2 furnaces

to 18 minutes and 25 minutes respectively, in the case of a

chimney serving 3 furnaces to 24 minutes and 34 minutes

respectively, and in the case of a chimney serving 4 or more

furnaces to 29 minutes and 41 minutes respectively.

Exemptions: The rules for dark smoke and smoke control

areas in this and following questions does not apply to any

process which is a “prescribed process” under the

Environmental Protection Act, 1990, from the date which the

determination for that process is made.

Dark Smoke (Permitted

Periods) Regulations,

1958, Art. 3

1.6 If emitting dark smoke, does the facility prevent the continuous

emission of dark smoke, caused otherwise than by soot-blowing,

for a period exceeding 4 minutes; or the emission of black

smoke for more than 2 minutes in the aggregate in any period of

30 minutes?

Regulatory Note - The Clean Air (Emission of Dark Smoke)

(Exemption) Regulations, 1969, allows for the emitting of dark

smoke caused by the burning of any matter prescribed in

column (1) of Schedule 1 (see charts below), if the facility

complies with the conditions specified in column (2) against that

matter, be exempted from section 1(1) of the Clean Air Act

(which prohibits the emission of dark smoke from industrial or

trade premises).

Dark Smoke (Permitted

Periods) Regulations,

1958, Art. 4




Citation

1.7 Does the facility prohibit or prevent the emission of dark smoke

from its operation through any chimney, including those served

by a furnace of any fixed boiler or industrial plant, unless

authorized by permit or by exemption under another regulation?

Regulatory Note – In this Act “dark smoke” means smoke

which, if compared in the appropriate manner with a chart of the

M1type known on July 5, 1956 (the date of the passing of the

Clean Air Act 1956) as the Ringelmann Chart, would appear to

be as dark as or darker than shade 2 on the chart.

Clean Air Act, 1993, Art. 1

1.8 Does the facility prohibit or prevent the emission of dark smoke

from any industrial or trade premises for any reason unless

authorized by permit or by exemption under another regulation?





Citation

1.9 If the facility has a furnace, does it prevent it from being used for

the following if in a building, unless exempted by the local

authority?

• To burn pulverized fuel; or

• To burn, at a rate of 45.4 kilograms or more an hour, any other solid matter; or

• To burn, at a rate equivalent to 366.4 kilowatts or more, any liquid or gaseous matter, unless the furnace is provided with plant for arresting grit and dust which has been approved by the local authority or which has been installed in accordance with plans and specifications submitted to and approved by the local authority, and that plant is properly maintained and used.


1.10 If the facility has a furnace served by a chimney, or has a fixed

boiler or industrial plant, does it ensure that does not knowingly

cause or permit a furnace to be used in the building for the

following?

• To burn pulverized fuel; or

• To burn, at a rate of 45.4 kilograms or more an hour, any other solid matter; or

• To burn, at a rate equivalent to 366.4 kilowatts or more, any liquid or gaseous matter, any liquid or gaseous matter, unless the height of the chimney serving the furnace has been approved for the purposes of this section and any conditions subject to which the approval was granted are complied with.

Clean Air Act, 1993, Art.

14

1.11 If the facility has a chimney for emitting smoke and other air

emissions from a furnace, boiler, or other industrial plant has it

sought out and obtained an approval of the chimney’s height

from the local authority?


15

1.12 If the facility ha other chimneys other than one serving a

furnace, for carrying smoke, grit, dust, or gases from the

building, has it obtained approval from the local authority for that

chimney prior to its use?


16




Citation

1.13 Does the facility know if it is located in a designated “smoke

control area” and if it is, does it ensure that no smoke, grit, dust,

or gases from its operations are emitted, unless otherwise

exempted or allowed by permit?


19

1.14 Does the facility only use authorized fuels if located in a

designated “smoke control area,” unless otherwise exempted or

allowed by permit?

Regulatory Note - Authorized fuels are designated by

regulations by area (e.g., the Smoke Control Areas

(Authorised Fuels) (England) (Amendment) Regulations,

2010). A complete list of authorized fuels is updated and

available online at:

http://smokecontrol.defra.gov.uk/fuels.php.


23

1.15 If the facility produces energy or steam onsite and it has a

generator, furnace, or boiler with a rated thermal input above the

threshold levels (see below), does the facility have a permit (or

approval) from the Environment Agency or the local authority?

Regulatory Note - A facility needs a Part A (1) environmental

permit for:

• Appliances with an aggregated rated thermal input of 50 megawatts (MW) or more

• Appliances burning waste oil, recovered oil or any fuel manufactured from waste, with a rated thermal input of 3 to 50MW - unless it is part of a Part A (2) or Part B activity.

A facility needs a Part B environmental permit for:

• Appliances with a rated thermal input of 20 to 50MW

• Appliances burning waste excluded from the Waste Incineration Directive (WID) with a rated thermal input of 0.4 to 3MW.

Part A (1) is regulated by the Environment Agency and Part B by

the local authority.


Act, 1990, Art. 6,

and

Environmental Permitting

(England and Wales)

Regulations 2010,

Schedule 1

http://smokecontrol.defra.gov.uk/fuels.php




Citation

1.16 If the facility plans to install and use a new furnace in a building,

fixed boiler, or industrial plant, or if the facility plans to make

changes to an existing furnace, has the facility obtained

approval of the furnace plans and specifications from the local

authority prior to implementation?

Local Authority Rules

1.17 Does the facility not use any heavy fuel oil which has a sulfur

content exceeding 1%?

Regulatory Note - This requirement shall not apply to the use

of heavy fuel oil in the following circumstances:

(a) In a new plant which is operated in accordance with a permit which contains a condition that emission limit values for sulfur dioxide are at least as stringent as those set out for such plant in Annex IV to Directive 2001/80/EC of the European Parliament and of the Council on the limitation of emissions of certain pollutants into the air from large combustion plants;

(b) In an existing plant which:

(i) Until December 31, 2007, is operated in accordance with a permit which contains a condition which prohibits the emissions of sulfur dioxide from the plant exceeding 1,700 mg/Nm3 at an oxygen content in the flue gas of 3% by volume on a dry basis; or

(ii) On or after January 1, 2008, is operated in accordance with a permit which contains a condition that emission limit values for sulfur dioxide are at least as stringent as those set out for new plants in Part A of Annex IV to Directive 2001/80/EC;

(c) In a combustion plant, other than a new or existing plant to which sub-paragraphs (a) or (b) apply, which is operated in accordance with a permit which contains a condition which prohibits the emissions of sulfur dioxide from the plant exceeding 1,700 mg/Nm3 at an oxygen content in the flue gas of 3% by volume on a dry basis; or

(d) In combustion plants forming part of a refinery other than:

(i) A new plant to which paragraph (a) applies; or

(ii) An existing plant to which sub-paragraph (b)(ii) applies; and

(e) Where the combustion plants are operated in accordance with a permit which contains a condition that their monthly average of emissions of sulfur dioxide averaged over all plants in the refinery, irrespective of the fuel or fuel

Sulphur Content of Liquid

Fuels (England and

Wales) Regulations 2007,

Art. 4




Citation

combination used, does not exceed 1,700 mg/Nm3.

Regulatory Note - Schedule 1 (sulfur content of liquid fuels

permits) has effect for this requirement (at link below):


Wastewater Discharges

No. Wastewater Discharge Requirements

Checklist Questions

Regulatory

Citation

1.18 Does the facility generate any wastewater discharges other than

normal sanitary sewerage discharges, and if so, are they

included in any operating environmental permit or local

sewerage authority’s requirements?

1.19 If the facility has any wastewater discharges with any of the

following substances (Schedule 1) at a concentration greater

than the background concentration or a trade effluent deriving

from a process of a description mentioned in Schedule 2 where

either asbestos or chloroform would be present in the effluent in

a concentration greater than the background concentration, has

it obtained prior consent for such discharges and if so are there

any restrictions or discharge limits that apply and are they met?

Schedule 1 substances are:

• Mercury and its compounds;

• Cadmium and its compounds;

• gamma-Hexachlorocyclohexane;

• DDT;

• Pentachlorophenol and its compounds;

• Hexachlorobenzene;

• Hexachlorobutadiene;

• Aldrin;

• Dieldrin;

Trade Effluents

(Prescribed Processes

and Substances)

Regulations, 1989, Art. 3

& 4, as amended in 1990




No. Wastewater Discharge Requirements

Checklist Questions

Regulatory

Citation

• Endrin;

• Carbon Tetrachloride;

• Polychlorinated Biphenyls;

• Dichlorvos;

• 1, 2-Dichloroethane;

• Trichlorobenzene;

• Atrazine;

• Simazine;

• Tributyltin compounds;

• Triphenyltin compounds;

• Trifluralin;

• Fenitrothion;

• Azinphos-methyl;

• Malathion; and

• Endosulfan.

Schedule 2 processes are:

• Any process for the production of chlorinated organic chemicals;

• Any process for the manufacture of paper pulp;

• Any process for the manufacture of asbestos cement;

• Any process for the manufacture of asbestos paper or board; and

• Any industrial process involving the use in any 12 month period of more than 100 kilograms of the product resulting from the crushing of asbestos ore.

1.20 If the facility generates wastewater (either as sanitary and/or

trade effluent) are they only discharged to the local sewerage

system with the consent of the local sewerage operator’s

consent?

Water Industry Act 1991,

Art. 118

1.21 Does the facility ensure that all discharges of any effluent into a

public sewer are only accomplished by means of a drain or

sewer?

Water Industry Act 1991,

Art. 118



Hazardous Waste Management

No. Hazardous Waste Management Checklist Questions Regulatory

Citation

1.22 Does the facility prohibit the depositing of controlled waste or

extractive waste, or knowingly cause or knowingly permit

controlled or extractive waste to be deposited in or on any land

unless an environmental permit authorizing the deposit is in

force and the deposit is in accordance with the license?

Regulatory Note - “Controlled waste” means household,

industrial and commercial waste or any such waste.

The above requirement does not apply in relation to a waste

operation that is an exempt waste operation, and does not apply

in relation to the carrying on of any of the following activities:

• The disposal of liquid waste under a consent under Chapter 2 of Part 3 of the Water Resources Act 1991;

• A waste operation which is or forms part of an operation which:

─ Is the subject of a license under Part 2 of the Food and Environment Protection Act 1985; or

─ By virtue of an order under section 7 of that Act, does not require such a license; and

• The disposal of agricultural waste in or on land under an authorization under regulation 18 of the Groundwater Regulations 1998.


Act, 1990, Art. 33

1.23 Does the facility prohibit the submitting of a controlled waste, or

knowingly cause or knowingly permit controlled waste to be

submitted, to any listed operation (other than an operation within

the meaning of the previous question) that is carried out in or on

any land, or by means of any mobile plant, and is not carried out

under and in accordance with an environmental permit?

Regulatory Note - The above requirement does not apply in

relation to a waste operation that is an exempt waste operation,

and does not apply in relation to the carrying on of any of the

following activities:





Act, 1990, Art. 33




Citation



1.24 Does the facility prohibit the treating, keeping, or disposing of

controlled waste or extractive waste in a manner likely to cause

pollution of the environment or harm to human health?

Regulatory Note - The above requirement does not apply in

relation to a waste operation that is an exempt waste operation,

and does not apply in relation to the carrying on of any of the








Act, 1990, Art. 33

1.25 Does the facility if it imports, produces, carries, keeps, treats, or

disposes of controlled waste or, as a broker, has control of such

waste, take all such measures applicable to them in that

capacity as are reasonable in the circumstances as follows?

• Prevent any contravention by any other person of the requirements to article 33 as provided the aforementioned questions;

• Prevent any contravention by any other person of regulation 6 of the Pollution Prevention and Control (Scotland)

Regulations 2000 or of a condition of a permit granted under regulation 7 of those Regulations;

• Prevent any contravention by any other person of regulation 9 of the Pollution Prevention and Control (England and Wales) Regulations 2000 or of a condition of a permit granted under regulation 10 of those Regulations;


Act, 1990, Art. 34




Citation

• Prevent the escape of the waste from his control or that of any other person; and

• On the transfer of the waste, to secure:

─ That the transfer is only to an authorized person or to a person for authorized transport purposes; and

─ That there is transferred such a written description of the waste as will enable other persons to avoid a contravention of that section or any condition of a permit granted under regulation 7 of those Regulations or any condition of a permit granted under regulation 10 of those regulations] and to comply with the duty under this subsection as respects the escape of waste.

1.26 Does the facility have any substances (as waste) as listed in

Schedules 1 through 3 of this regulation or is listed in the List of

Waste (England) Regulations, 2005 that would make this

facility a generator of hazardous wastes and therefore subject to

these regulations?

Regulatory Note - The Schedules are included in this report as

Attachment B. The list of wastes is too large to include in this

report, but is available online at:


Hazardous Waste

(England and Wales)

Regulations 2005, Art. 3 &

6




External Emergency Planning

No. External Emergency Planning Checklist Questions Regulatory

Citation

1.27 Does the facility have any dangerous substances listed in

column 1 of Parts 2 or 3 of Schedule 1 present in a quantity

equal to or exceeding the quantity listed in the entry for that

substance in column 2 of those Parts, and if so, then the

requirements of these regulations apply, except that regulations

7 to 14 (requiring safety reports and emergency plans) shall only

apply to an establishment where such a dangerous substance is

present in a quantity equal to or exceeding the quantity listed in

the entry for that substance in column 3 of those Parts?

Regulatory Note – The presence of dangerous substances

shall not include the presence of dangerous substances in the


(a) The transport of those substances and their intermediate

temporary storage by road, rail, inland waterways, sea or air,

including their loading and unloading and transport to and from

another means of transport at docks, wharves and marshalling

yards; or

(b) The transport of those substances in a pipeline or pumping

station.

Schedule 1 is available at:

http://www.legislation.gov.uk/uksi/2005/1088/schedule/1/made.

Control of Major Accident

Hazards (Amendment)


1.28 Does the facility take all measures necessary to prevent major

accidents and limit their consequences for persons and the

environment?


Hazards (Amendment)


1.29 Does the facility without delay but at all events within 3 months

after the establishment becomes subject to this regulation

prepare, and thereafter keep, a document setting out its policy

with respect to the prevention of major accidents (in these

regulations referred to as a “major accident prevention policy

document”), and implement such policy?


Hazards (Amendment)


http://www.legislation.gov.uk/uksi/2005/1088/schedule/1/made




Citation

Regulatory Note – The policy referred to in this question shall

be designed to guarantee a high level of protection for persons

and the environment by appropriate means, structures and

management systems.

1.30 Does the major accident prevention policy document take

account of the principles specified in paragraphs 1 and 2 of

Schedule 2 (listed below) and include sufficient particulars to

demonstrate that the operator has established a safety

management system which takes account of the principles

specified in paragraphs 3 and 4 of that Schedule?

Regulatory Note – Schedule 2 references:

2. For the purpose of implementing the operator’s major accident prevention policy and safety management system account shall be taken of the following elements. The requirements laid down in the major accident prevention policy document should be proportionate to the major accident hazards presented by the establishment.2. The major accident prevention policy should be established in writing and should include the operator’s overall aims and principles of action with respect to the control of major accident hazards.

3. The safety management system should include the part of the general management system which includes the organizational structure, responsibilities, practices, procedures, processes and resources for determining and implementing the major accident prevention policy.

4. The following issues shall be addressed by the safety management system:

a. Organization and personnel—the roles and responsibilities of personnel involved in the management of major hazards at all levels in the organization. The identification of training needs of such personnel and the provision of the training so identified. The involvement of employees and, where appropriate, sub-contractors;

b. Identification and evaluation of major hazards—adoption and implementation of procedures for systematically identifying major hazards arising from normal and abnormal operation and the assessment of their likelihood and severity;

c. Operational control—adoption and implementation of procedures and instructions for safe operation, including maintenance of plant, processes, equipment and


Hazards (Amendment)





Citation

temporary stoppages;

d. Management of change—adoption and implementation of procedures for planning modifications to, or the design of new installations, processes or storage facilities;

e. Planning for emergencies—adoption and implementation of procedures to identify foreseeable emergencies by systematic analysis and to prepare, test and review emergency plans to respond to such emergencies;

f. Monitoring performance—adoption and implementation of procedures for the on-going assessment of compliance with the objectives set by the operator’s major accident prevention policy and safety management system, and the mechanisms for investigation and taking corrective action in the case of non-compliance. The procedures should cover the operator’s system for reporting major accidents or near misses, particularly those involving failure of protective measures, and their investigation and follow-up on the basis of lessons learnt; and

g. Audit and review—adoption and implementation of procedures for periodic systematic assessment of the major accident prevention policy and the effectiveness and suitability of the safety management system; the documented review of performance of the policy and safety management system and its updating by senior management.

1.31 In the event of the modification of the establishment or

installation, the process carried on there, or the nature or

quantity of dangerous substances present there which could (in

each case) have significant repercussions with respect to the

prevention of major accidents, has the facility reviewed and

where necessary revise the major accident prevention policy

document?


Hazards (Amendment)


1.32 Does the facility notify the competent authority of the information

specified in Schedule 3 and listed below within a reasonable

period of time prior to the start of the operation of an

establishment or prior to the start of construction of an

operation?

• Name and address of the operator;

• Address of the establishment concerned;


Hazards (Amendment)





Citation

• Name or position of the person in charge of the establishment;

• Information sufficient to identify the dangerous substances or category of dangerous substances present;

• Quantity and physical form of the dangerous substances present;

• Description of the activity or proposed activity of the installation concerned;

• Details of the elements of the immediate environment liable to cause a major accident or to aggravate the consequences thereof.

Regulatory Note – A facility in operation by February 3, 2000

shall send to the competent authority a notification containing

the information specified in Schedule 3, unless already

contained (and still valid) in a prior notification.

Where these time requirements do not apply, the operator of the

establishment shall send to the competent authority a

notification containing the information specified in Schedule 3

within 3 months after the establishment becomes subject to this

regulation.

1.33 Does the facility notify the competent authority forthwith in the

event of any of the following conditions?

• There being any significant increase in the quantity of dangerous substances notified:

─ Under this regulation, or

─ In the report referred to in aforementioned questions;

• There being any significant change in:

─ The nature or physical form of the dangerous substances so notified,

─ The processes employing them, or

─ Any other information notified to the competent authority under this regulation in respect of the establishment;

• Modification of the establishment or an installation which could have significant repercussions with respect to the prevention of major accidents;

• Regulation 7 ceasing to apply (i.e., quantities of substances are no longer below column 3 of Schedule 1 thereby


Hazards (Amendment)





Citation

requiring a safety report) to the establishment by virtue of a change in the quantity of dangerous substances present there; or

• Permanent closure of an installation in the establishment.

1.34 Does the facility have dangerous substances present in a

quantity equal to or exceeding the quantity listed in the entry for

that substance in column 3 of Schedule 1?

Regulatory Note – When exceeding column 3 quantities, the

facility must comply with articles (aka regulations) 7 to 14

(requiring safety reports and emergency plans) of these

Regulations.

Schedule 1 is available online at:



Hazards (Amendment)


1.35 Has the facility sent a “safety report” to the competent authority

containing specified information (listed below), to revise that

report in specified circumstances, and not to start the

construction or operation of the establishment until it has

received from the competent authority the conclusions of its

examination of the report?

Explanatory Note – The safety report shall contain information

which is sufficient for the purpose specified in paragraph 3(a) of

Part 1 of Schedule 4 and comprising at least such of the

information specified in Part 2 of that Schedule as is relevant for

that purpose. Schedule 4 is available online at:


Regulatory Note – This regulation applies when the facility has

dangerous substances present in a quantity equal to or

exceeding the quantity listed in the entry for that substance in

column 3 of Schedule 1, available online at:



Hazards (Amendment)







HEALTH AND SAFETY PROFILE QUESTIONS

Questions for this Profile were based on the various laws and regulations presented

earlier that were readily available and translated. Questions were categorized under one

of the following titles:

• General Occupational Health and Safety Requirements.

• Health and Safety Representatives and Committees.

• Worker Right-to-Know/Hazard Communication.

• Employee Medical and Well-Being Requirements.

• Work Environment and Controls.

• Machinery, Equipment, and Controls.

• Electrical Safety.

• Chemical and Substance Management.

• Industrial Hygiene and Exposure Limits.

• Personal Protection Equipment.

• Internal Emergency Response Requirements.

• Ergonomics and Work Organization.



General Occupational Health and Safety Requirements

No. General Occupational Health and Safety Requirements Checklist

Questions

Regulatory

Citation

2.1 Does the facility ensure, so far as is reasonably practicable, the

health, safety and welfare at work of all his employees and in

particular the following actions?

• The provision and maintenance of plant and systems of work that are, so far as is reasonably practicable, safe and without risks to health;

• Arrangements for ensuring, so far as is reasonably practicable, safety and absence of risks to health in connection with the use, handling, storage and transport of articles and substances;

• The provision of such information, instruction, training and supervision as is necessary to ensure, so far as is reasonably practicable, the health and safety at work of his employees;

• So far as is reasonably practicable as regards any place of work under the employer’s control, the maintenance of it in a condition that is safe and without risks to health and the provision and maintenance of means of access to and egress from it that are safe and without such risks; and

• The provision and maintenance of a working environment for his employees that is, so far as is reasonably practicable, safe, without risks to health, and adequate as regards facilities and arrangements for their welfare at work.

Health and Safety at Work

etc. Act 1974, as

amended, Art. 2

2.2 Does the facility or its owner if it has five or more employees

prepare and as often as may be appropriate revise a written

statement of their general policy with respect to the health and

safety at work of its employees and the organization and

arrangements for the carrying out of that policy?

Regulatory Note: The minimum number of employees was

established by the Employers' Health and Safety Policy

Statements (Exception) Regulations, 1975; amending the

Health and Safety at Work etc. Act, 1974.


etc. Act 1974, as

amended, Art. 2




Questions

Regulatory

Citation

2.3 Does the facility make all employees aware of the company’s

general policy with respect to the health and safety at work of

its employees and the organization and arrangements for the

carrying out of that policy, along with any revisions?


etc. Act 1974, as

amended, Art. 2

2.4 Does the facility operate its business and workplace in such a

way as to ensure, so far as is reasonably practicable, that

persons not in its employment who may be affected thereby are

not thereby exposed to risks to their health or safety and inform

them of such risks?


etc. Act 1974, as

amended, Art. 3

2.5 Does the facility use the best practicable means for preventing

the emission into the atmosphere from the premises of noxious

or offensive substances and for rendering harmless and

inoffensive such substances as may be so emitted?

Regulatory Note: The foregoing provisions of this section shall

not apply in relation to any process which is a “prescribed

process” as from the date which is the determination date for

that process. For the purposes of this section, the

“determination date” for a prescribed process is:

• In the case of a process for which an authorization is granted, the date on which the enforcing authority grants it, whether in pursuance of the application or, on an appeal, of a direction to grant it;

• In the case of a process for which an authorization is refused, the date of the refusal or, on an appeal, of the affirmation of the refusal.


etc. Act 1974, as

amended, Art. 5

2.6 If the facility designs, manufactures, imports, or supplies any

article for use at work or any article of fairground equipment,

does it ensure that the article(s) meet the following conditions?

(a) Ensure, so far as is reasonably practicable, that the article is so designed and constructed that it will be safe and without risks to health at all times when it is being set, used, cleaned or maintained by a person at work;

(b) Carry out or arrange for the carrying out of such testing and examination as may be necessary for the performance of the duty imposed by paragraph (a);


etc. Act 1974, as

amended, Art. 6.1




Questions

Regulatory

Citation

(c) Take such steps as are necessary to secure that persons supplied by that person with the article are provided with adequate information about the use for which the article is designed or has been tested and about any conditions necessary to ensure that it will be safe and without risks to health at all such times as are mentioned in paragraph (a) above and when it is being dismantled or disposed of; and

(d) Take such steps as are necessary to secure, so far as is reasonably practicable, that persons so supplied are provided with all such revisions of information provided to them by virtue of the preceding paragraph as are necessary by reason of its becoming known that anything gives rise to a serious risk to health or safety.

Regulatory Note: Fairground equipment means any

fairground ride, any similar plant which is designed to be in

motion for entertainment purposes with members of the public

on or inside it or any plant which is designed to be used by

members of the public for entertainment purposes either as a

slide or for bouncing upon, and in this definition the reference to

plant which is designed to be in motion with members of the

public on or inside it includes a reference to swings, dodgems

and other plant which is designed to be in motion wholly or

partly under the control of, or to be put in motion by, a member

of the public.

2.7 Does the facility that undertakes the design or manufacture of

any article for use at work or of any article of fairground

equipment, carry out or arrange for the carrying out of any

necessary research with a view to the discovery and, so far as

is reasonably practicable, the elimination or minimization of any

risks to health or safety to which the design or article may give

rise?


etc. Act 1974, as

amended, Art. 6.2

2.8 Does the facility that erects or installs any article for use at work

in any premises where that article is to be used by persons at

work or who erects or installs any article of fairground

equipment to ensure, so far as is reasonably practicable, that

nothing about the way in which the article is erected or installed

makes it unsafe or a risk to health at any such time as is

mentioned in paragraph (a) of subsection (1)?

Regulatory Note: Paragraph (a) of subsection (1) states:

“Ensure, so far as is reasonably practicable, that the article is

so designed and constructed that it will be safe and without


etc. Act 1974, as

amended, Art. 6.3




Questions

Regulatory

Citation

risks to health at all times when it is being set, used, cleaned or

maintained by a person at work.”

2.9 If the facility manufactures, imports, or supplies any substance,

does it ensure the following?

(a) Ensure, so far as is reasonably practicable, that the substance will be safe and without risks to health at all times when it is being used, handled, processed, stored or transported by a person at work or in premises to which section 4 (see note below) above applies;

(b) Carry out or arrange for the carrying out of such testing and examination as may be necessary for the performance of the duty imposed on him by the preceding paragraph

(c) Take such steps as are necessary to secure that persons supplied by that person with the substance are provided with adequate information about any risks to health or safety to which the inherent properties of the substance may give rise, about the results of any relevant tests which have been carried out on or in connection with the substance and about any conditions necessary to ensure that the substance will be safe and without risks to health at all such times as are mentioned in paragraph (a) above and when the substance is being disposed of; and

(d) Take such steps as are necessary to secure, so far as is reasonably practicable, that persons so supplied are provided with all such revisions of information provided to them by virtue of the preceding paragraph as are necessary by reason of its becoming known that anything gives rise to a serious risk to health or safety.

Regulatory Note: It shall be the duty of any person who

undertakes the manufacture of any substance, to carry out or

arrange for the carrying out of any necessary research with a

view to the discovery and, so far as is reasonable practicable,

the elimination or minimization of any risks to health or safety to

which the substance may give rise at all such times as are

mentioned in paragraph (a) above.

Nothing in the preceding provisions of this section (6) shall be

taken to require a person to repeat any testing, examination or

research which has been carried out otherwise than by him or

at his instance, in so far as it is reasonable for him to rely on the

results thereof for the purposes of those provisions.


etc. Act 1974, as

amended, Art. 6.4 - 6.6




Questions

Regulatory

Citation

“Section 4” as referenced in bullet (a) refers to a clause that

relates to a business or facility that makes provisions or allows

non-employees to use the premise or portion thereof as a place

of work or a place for these non-employees to use materials

and substances located there for their use.

2.10 Does the facility not intentionally or recklessly interfere with or

misuse anything provided in the interests of health, safety or

welfare in pursuance of any of the relevant statutory provisions

of the UK?


etc. Act 1974, as

amended, Art. 8

2.11 Does the facility ensure that it does not levy or permit to be

levied on any employee of theirs any charge in respect of

anything done or provided in pursuance of any specific

requirement of the relevant statutory provisions?


etc. Act 1974, as

amended, Art. 9



Health and Safety Representatives and Committees

No. Health and Safety Representatives and Committees Checklist

Questions

Regulatory

Citation

2.12 Which regulations apply to the facility based on the type of

employees who work or are employed at the operation,

following the chart shown below?

2.13 If the facility has employees who are union members or are

otherwise not represented by the safety representatives under

the 1977 Regulations, does the facility consult with these

employees in good time on matters relating to their health and

safety at work and, in particular, with regard to the following

items?

• The introduction of any measure at the workplace which may substantially affect the health and safety of those employees;

• Arrangements for appointing or, as the case may be, nominating persons in accordance with regulations 6(1) and 7(1)(b) of the Management of Health and Safety at Work Regulations 1992(5);

• Any health and safety information the facility is required to provide to those employees by or under the relevant statutory provisions; and

The Health and Safety

(Consultation with

Employees) Regulations

1996, Art. 3




Questions

Regulatory

Citation

• The planning and organization of any health and safety training the facility is required to provide to those employees by or under the relevant statutory provisions; and

• The health and safety consequences for those employees of the introduction (including the planning thereof) of new technologies into the workplace.

2.14 Is the consultation performed directly with the employees or in

respect of any group of employees, with one or more persons

in that group who were elected by the employees in that group

at the time of the election, to represent that group for the

purposes of such consultation (and any such persons are in

these Regulations referred to as “representatives of employee

safety”)?


(Consultation with


1996, Art. 4

2.15 If employees are represented by one or more representatives

of employee safety, does the facility inform the employees who

are represented by those representatives of the names of those

representatives, and the group of employees represented by

those representatives?


(Consultation with


1996, Art. 4

2.16 Does the facility not consult with persons as a representative of

employee safety if they meet the following conditions?

• That person has notified the employer that he does not intend to represent the group of employees for the purposes of such consultation;

• That person has ceased to be employed in the group of employees which he represents;

• The period for which that person was elected has expired without that person being re-elected; or

• That person has become incapacitated from carrying out his functions under these regulations.


(Consultation with


1996, Art. 4

2.17 When the facility discontinues consultation with a person as a

representative of employee safety, does it inform the

employees in the group concerned of that fact?


(Consultation with


1996, Art. 4




Questions

Regulatory

Citation

2.18 If the facility has normally been consulting representatives of

employee safety but decides to consult employees directly,

does the facility inform the employees and the representatives

of that fact?


(Consultation with


1996, Art. 4

2.19 Does the facility if it consults with employees directly, make

available to those employees such information, within the

facility’s knowledge, as is necessary to enable them to

participate fully and effectively in the consultation?


(Consultation with


1996, Art. 5

2.20 When the facility consults with the representatives of employee

safety does it make available to those representatives such

information, within the facility’s knowledge the following?

• Information necessary to enable them to participate fully and effectively in the consultation and in the carrying out of their functions under these Regulations; and

• Information contained in any record which the facility is required to keep by regulation 7 of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995(6) and which relates to the workplace or the group of employees represented by those representatives.


(Consultation with


1996, Art. 5



Worker Right-to-Know/Hazard Communication

No. Worker Right-to-Know/Hazard Communication Checklist

Questions

Regulatory

Citation

2.21 Does the facility make all employees aware of the company’s

general policy with respect to the health and safety at work of its

employees and the organization and arrangements for the

carrying out of that policy, along with any revisions?


etc. Act 1974, as

amended, Art. 2

2.22 Does the facility operate its business and workplace in such a

way as to ensure, so far as is reasonably practicable, that

persons not in its employment who may be affected thereby are

not thereby exposed to risks to their health or safety and inform

them of such risks?


etc. Act 1974, as

amended, Art. 3

2.23 Does the facility, in relation to each of his employees, ensure

that the approved poster is kept displayed in a readable

condition at a place which is reasonably accessible to the

employee while he/she is at work, and in such a position in that

place as to be easily seen and read by that employee; or give to

the employee the approved leaflet?

Explanatory Note: “The approved poster” or “the approved

leaflet” means, respectively, a poster or leaflet in the form

approved and published for the purposes of these Regulations

by the Health and Safety Executive, as revised from time to

time.

Regulatory Note: An employer shall be treated as having

complied with requirement from the date these Regulations

come into force or the date the employee commences

employment with him/her (if later) if he/she gives to the

employee the approved leaflet as soon as is reasonably

practicable after that date.

Health and Safety

Information for Employees

Regulations 1989, Art. 4

2.24 Does the facility who gives to his/her employee a leaflet give

with the leaflet a written notice containing the name of the

enforcing authority for the premises where the employee works,

and the address of the office of that authority for the area in

which those premises are situated; and the address of the office

of the employment medical advisory service for the area in

which those premises are situated?

Health and Safety

Information for Employees


and 5



No. Worker Right-to-Know/Hazard Communication Checklist

Questions

Regulatory

Citation

Explanatory Note: “Employment medical advisory service”

means the employment medical advisory service referred to in

section 55 of the Health and Safety at Work etc. Act, 1974.

The enforcing authority for premises refers to the enforcing

authority which has responsibility for the enforcement of section

2 of the 1974 Act in relation to the main activity carried on in

those premises.

Employee Medical and Well-Being Requirements

No. Employee Medical and Well-Being Requirements Checklist

Questions

Regulatory

Citation

2.25 Does the facility ensure that its employees are provided with

health surveillance as is appropriate with regard to the risks to

their health and safety which were identified by the workplace

health risk assessment?

Management of Health

and Safety at Work


2.26 Does the facility ensure that any necessary contacts with

external services are arranged, particularly as regards first-aid,

emergency medical care and rescue work?

Management of Health

and Safety at Work


2.27 Does the facility provide, or ensure that there are provided, such

equipment and facilities as are adequate and appropriate in the

circumstances for enabling first-aid to be rendered to their

employees if they are injured or become ill at work?

Regulatory Note: In these Regulations, unless the context

otherwise requires, “first-aid” means:

• In cases where a person will need help from a medical practitioner or nurse, treatment for the purpose of preserving life and minimizing the consequences of injury and illness until such help is obtained; and

• Treatment of minor injuries which would otherwise receive no treatment or which do not need treatment by a medical practitioner or nurse.


(First-Aid) Regulations

1981, Art. 2 & 3.1




Questions

Regulatory

Citation

2.28 Subject to paragraphs (3) and (4) below, does the facility

provide, or ensure that there is provided, such number of

suitable persons (also defined below) as is adequate and

appropriate in the circumstances for rendering first-aid to his

employees if they are injured or become ill at work?

Regulatory Note: Paragraphs (3) and (4) of Article 3 are:

(3) Where a person is absent in temporary and exceptional

circumstances it shall be sufficient compliance with that

paragraph if the employer appoints a person, or ensures that a

person is appointed, to take charge of:

(a) The situation relating to an injured or ill employee who

will need help from a medical practitioner or nurse; and

(b) The equipment and facilities provided under Article 3.1

[the preceding question above] throughout the period of any

such absence.

(4) Where having regard to:

(a) The nature of the undertaking; and

(b) The number of employees at work; and

(c) The location of the establishment, it would be adequate

and appropriate if instead of a person for rendering first-aid

there was a person appointed to take charge as in

paragraph (3)(a) and (b), then instead of complying with the

requirements of this question [paragraph (2) of this Article]

the employer may appoint such a person, or ensure that

such a person is appointed.

Suitable persons are those that have:

(a) Such training and has such qualification as the Health

and Safety Executive may approve for the time being in

respect of that case or class of case; and

(b) Such additional training, if any, as may be appropriate in

the circumstances of that case.



1981, Art. 3.2 – 3.4

2.29 Does the facility inform its employees of the arrangements that

have been made in connection with the provision of first-aid,

including the location of equipment, facilities, and personnel?



1981, Art. 4




Questions

Regulatory

Citation

2.30 Does the facility adapt any measure taken in compliance with

the requirements of this regulation to take account of any

employee or group of employees whose health is likely to be

particularly at risk from exposure to noise?

Control of Noise at Work


Work Environments and Controls

No. Work Environment and Controls Checklist Questions Regulatory

Citation

2.31 Is effective and suitable provision made to ensure that every

enclosed workplace is ventilated by a sufficient quantity of fresh

or purified air and includes an effective device to give visible or

audible warning of any failure of the plant where necessary for

reasons of health or safety?

Regulatory Note: This regulation shall not apply to any

enclosed workplace or part of a workplace which is subject to

the provisions of:

(a) Section 30 of the Factories Act 1961;

(b) Regulations 49 to 52 of the Shipbuilding and Ship-Repairing

Regulations 1960;

(c) Regulation 21 of the Construction (General Provisions)

Regulations 1961;

(d) Regulation 18 of the Docks Regulations 1988.

The Workplace (Health,

Safety and Welfare)


2.32 During working hours, is the temperature in all workplaces inside

any building kept at a reasonable level and are there a sufficient

number of thermometers provided to enable persons at work to

determine the temperature in any workplace inside a building?


Safety and Welfare)


2.33 Is a method of heating or cooling prevented from being used

which results in the escape into a workplace of fumes, gas or

vapor of such character and to such extent that they are likely to

be injurious or offensive to any person?


Safety and Welfare)





Citation

2.34 Is lighting maintained as follows at a minimum?

• Every workplace shall have suitable and sufficient lighting.

• The lighting mentioned in bullet (1) shall, so far as is reasonably practicable, be by natural light.

• Without prejudice to the generality of bullet (1), suitable and sufficient emergency lighting shall be provided in any room in circumstances in which persons at work are specially exposed to danger in the event of failure of artificial lighting.


Safety and Welfare)


2.35 Is every workplace and the furniture, furnishings and fittings

therein kept sufficiently clean; and the surfaces of the floors,

walls and ceilings of all workplaces inside buildings are capable

of being kept sufficiently clean; and that as far as is reasonably

practicable, waste materials are not allowed to accumulate in a

workplace except in suitable receptacles?


Safety and Welfare)


2.36 Does every room where persons work have sufficient floor area,

height and unoccupied space for purposes of health, safety and

welfare?

Regulatory Note: It shall be sufficient compliance with this

regulation in a workplace which is not a new workplace (i.e., in

existence prior to 1993), a modification, an extension and which,

immediately before this regulation came into force in respect of

it, was subject to the provisions of the Factories Act 1961, if the

workplace does not contravene the provisions of Part I of

Schedule 1.


Safety and Welfare)


2.37 Is every workstation arranged so that it is suitable both for any

person at work in the workplace who is likely to work at that

workstation and for any work of the undertaking which is likely to

be done there?

Regulatory Note: Without prejudice to the generality of this

question, every workstation outdoors shall be so arranged that:

• So far as is reasonably practicable, it provides protection from adverse weather;

• It enables any person at the workstation to leave it swiftly or, as appropriate, to be assisted in the event of an emergency; and

• It ensures that any person at the workstation is not likely to slip or fall.


Safety and Welfare)





Citation

2.38 Is a suitable seat provided for each person at work in the

workplace whose work includes operations of a kind that the

work (or a substantial part of it) can or must be done sitting?

Regulatory Note: A seat shall not be suitable for the purpose

of paragraph (3) unless it is suitable for the person for whom it is

provided as well as for the operations to be performed; and a

suitable footrest is also provided where necessary.


Safety and Welfare)


2.39 Is every floor in a workplace and the surface of every traffic

route in a workplace made of a construction such that the floor

or surface of the traffic route is suitable for the purpose for which

it is used; and that the floor, or surface of the traffic route, shall

have no hole or slope, or be uneven or slippery so as, in each

case, to expose any person to a risk to his health or safety; and

every such floor shall have effective means of drainage where

necessary?

Regulatory Note: In considering whether a hole or slope

exposes any person to a risk to his health or safety no account

shall be taken of a hole where adequate measures have been

taken to prevent a person falling; and account shall be taken of

any handrail provided in connection with any slope.


Safety and Welfare)


2.40 As far as is reasonably practicable, is every floor in a workplace

and the surface of every traffic route in a workplace kept free

from obstructions and from any article or substance which may

cause a person to slip, trip or fall?


Safety and Welfare)




Machinery, Equipment and Controls

No. Machinery, Equipment and Controls Checklist Questions Regulatory

Citation

2.41 Is the workplace and the equipment, devices, and systems to

which this regulation applies (see questions above), maintained

(including cleaned as appropriate) in an efficient state, in

efficient working order, and in good repair; and are subject to a

suitable system of maintenance?


Safety and Welfare)


2.42 Does the facility ensure that (a) lifting equipment is of adequate

strength and stability for each load, having regard in particular to

the stress induced at its mounting or fixing point; (b) every part

of a load and anything attached to it and used in lifting it is of

adequate strength?

Lifting Operations and

Lifting Equipment


2.43 Does the facility have any lifting equipment for lifting persons

and if so, does it ensure the following?

(a) Is such as to prevent a person using it being crushed, trapped or struck or falling from the carrier;

(b) Is such as to prevent so far as is reasonably practicable a person using it, while carrying out activities from the carrier, being crushed, trapped or struck or falling from the carrier;

(c) Subject to paragraph (2), has suitable devices to prevent the risk of a carrier falling; and

(d) Is such that a person trapped in any carrier is not thereby exposed to danger and can be freed.

(2) Every employer shall ensure that if the risk described in

paragraph (c) cannot be prevented for reasons inherent in

the site and height differences:

(a) The carrier has an enhanced safety coefficient

suspension rope or chain; and

(b) The rope or chain is inspected by a competent

person every working day.


Lifting Equipment


2.44 Does the facility ensure that lifting equipment is positioned or

installed in such a way as to reduce to as low as is reasonably

practicable the risk of the lifting equipment or a load striking a

person; or from a load (i) drifting; (ii) falling freely; or (iii) being


Lifting Equipment





Citation

released unintentionally; and it is otherwise safe?

Regulatory Note: Every employer shall ensure that there are

suitable devices to prevent a person from falling down a shaft or

hoistway.

2.45 Does the facility shall ensure that subject to the following list,

machinery and accessories for lifting loads are clearly marked to

indicate their safe working loads:

• Where the safe working load of machinery for lifting loads depends on its configuration:

─ The machinery is clearly marked to indicate its safe working load for each configuration; or

─ Information which clearly indicates its safe working load for each configuration is kept with the machinery; and

accessories for lifting are also marked in such a way that it is

possible to identify the characteristics necessary for their safe

use; lifting equipment which is designed for lifting persons is

appropriately and clearly marked to this effect; and lifting

equipment which is not designed for lifting persons but which

might be so used in error is appropriately and clearly marked to

the effect that it is not designed for lifting persons?


Lifting Equipment


2.46 Does the facility ensure that every lifting operation involving

lifting equipment is properly planned by a competent person;

appropriately supervised; and carried out in a safe manner?

Regulatory Note: In this regulation “lifting operation” means an

operation concerned with the lifting or lowering of a load.


Lifting Equipment


2.47 Does the facility ensure that before lifting equipment is put into

service for the first time it is thoroughly examined for any defect

unless either the lifting equipment has not been used before; or,

if obtained from the undertaking of another person, it is

accompanied by physical evidence?


Lifting Equipment


2.48 Does the facility ensure that, where the safety of lifting

equipment depends on the installation conditions, it is

thoroughly examined after installation and before being put into

service for the first time; and after assembly and before being


Lifting Equipment





Citation

put into service at a new site or in a new location, to ensure that

it has been installed correctly and is safe to operate?

Industrial Hygiene and Exposure Limits

No. Industrial Hygiene and Exposure Limits Checklist Questions Regulatory

Citation

2.49 Does the facility use the best practicable means for preventing

the emission into the atmosphere from the premises of noxious

or offensive substances and for rendering harmless and

inoffensive such substances as may be so emitted?

Regulatory Note: The foregoing provisions of this section

shall not apply in relation to any process which is a “prescribed

process” as from the date which is the determination date for

that process. For the purposes of this section, the

“determination date” for a prescribed process is:

• In the case of a process for which an authorization is granted, the date on which the enforcing authority grants it, whether in pursuance of the application or, on an appeal, of a direction to grant it;

• In the case of a process for which an authorization is refused, the date of the refusal or, on an appeal, of the affirmation of the refusal.

Health and Safety at

Work etc. Act 1974, as

amended, Art. 5

2.50 Does the facility prohibit the importation into the United

Kingdom, other than from another member State, of the

following substances and articles?

• 2-naphthylamine,

• Benzidine,

• 4-aminodiphenyl,

• 4-nitrodiphenyl, their salts and any substance containing any of those compounds in a total concentration equal to or greater than 0.1 per cent by mass; and

• Matches made with white phosphorus.

Control of Substances

Hazardous to Health





Citation

2.51 Does the facility prohibit any person in its operations from

supplying during the course of or for use at work a substance or

article listed below?

• 2-naphthylamine,

• Benzidine,

• 4-aminodiphenyl,

• 4-nitrodiphenyl, their salts and any substance containing any of those compounds in a total concentration equal to or greater than 0.1 per cent by mass; and

• Matches made with white phosphorus.


Hazardous to Health


2.52 Does the facility prohibit the those substances described in

Column 1 of Schedule 2 to the extent set out in the

corresponding entry in Column 2 of that Schedule?

Regulatory Note: The Schedule could not be included here,

but is available online at:

http://www.legislation.gov.uk/uksi/2002/2677/schedules/made.


Hazardous to Health


2.53 Does the facility prevent the supplying during the course of or

for use at work, benzene, or a substance containing benzene

unless its intended use is not prohibited by item 11 of Schedule

2?

Regulatory Note: The Schedule could not be included here,

but is available online at:

http://www.legislation.gov.uk/uksi/2002/2677/schedules/made.


Hazardous to Health


Regulation Articles 6 to 13 of the Control of Substances Hazardous to Health Regulations, 2002,

discussed in the next several questions are applicable to business and industrial operations, except in the

following situations:

• Where and to the extent that the following Regulations apply, namely:

─ The Coal Mines (Respirable Dust) Regulations, 1975;

─ The Control of Lead at Work Regulations, 2002; and

http://www.legislation.gov.uk/uksi/2002/2677/schedules/made

http://www.legislation.gov.uk/uksi/2002/2677/schedules/made




Citation

─ The Control of Asbestos at Work Regulations, 2002;

• Where the substance is hazardous to health solely by virtue of its radioactive, explosive or flammable properties, or solely because it is at a high or low temperature or a high pressure; and

• Where the risk to health is a risk to the health of a person to whom the substance is administered in the course of his medical treatment.

2.54 If operations or work in the facility is liable to expose any

employee to any substance hazardous to health, has the facility

made a suitable and sufficient assessment of the risk created

by that work to the health of those employees and of the steps

that need to be taken to meet the requirements of these

regulations; and implemented those steps?

Regulatory Note: These substances may be any that are very

toxic, toxic, harmful, corrosive or irritant, including:

• Any preparation (mixture) that is dangerous for supply, as above;

• Any substance which has a Workplace Exposure Limit (WEL);

• Any biological agents used at work;

• Any dust other than one with a WEL at a concentration in air above 10 mg/m3 averaged over 8 hours, or any such respirable dust above 4 mg/m3 over 8 hours; and

• Any other substance that creates a risk to health because of its properties and the way it is used or is present in the workplace.

The current WELs are available online at:

http://www.hse.gov.uk/pubns/priced/eh40.pdf.


Hazardous to Health


http://www.hse.gov.uk/pubns/priced/eh40.pdf



Internal Emergency Response Requirements

No. Internal Emergency Response Requirements Checklist Questions Regulatory

Citation

2.55 Does the facility have a fire certificate, and if so, does it specify

conditions or requirements to be met or maintained. And if so,

are they met?

Regulatory Note: Every fire certificate issued with respect to

any premises shall specify:

• The particular use or uses of the premises which the certificate covers; and

• The means of escape in case of fire with which the premises are provided; and

• The means (other than means for fighting fire) with which the relevant building is provided for securing that the means of escape with which the premises are provided can be safely and effectively used at all material times; and

• The type, number and location of the means for fighting fire (whether in the premises or affecting the means of escape) with which the relevant building is provided; and

• The type, number and location of the means with which the relevant building is provided for giving to persons in the premises warning in case of fire,

• And may, where appropriate, do so by means of or by reference to a plan.

Fire Precautions Act,

1971, Art 1 & 6

2.56 Does the facility fit the description of one of the following places

of operation and if so, has the facility filed for and obtained from

the fire authority a “fire certificate” having submitted the following

information to obtain such a certificate?

Premises Requiring a Fire Certificate:

• Premises constituting, or forming part of, a factory within the meaning of the Factories Act 1961 and premises to which sections 123(1) and 124 of that Act (application to electrical stations and institutions) apply (in this Schedule referred to as “factory premises”);

• Office premises within the meaning of the Offices, Shops and Railway Premises Act 1963, or premises deemed to be such premises for the purposes of that Act (in this Schedule referred to as “office premises”);

• Railway premises within the meaning of that Act of 1963, or premises deemed to be such premises for the purposes of


1971, Art 1, 5, & Schedule

2




Citation

that Act (in this Schedule referred to as “railway premises”); and

• Shop premises within the meaning of that Act of 1963, or premises deemed to be such premises for the purposes of that Act (in this Schedule referred to as “shop premises”).

Certificate Application Information:

• Must specify the particular use or uses of the premises which it is desired to have covered by the certificate; and

• Must give such information as may be prescribed about the premises and any prescribed matter connected with them; and

• If the premises consist of part of a building, must, in so far as it is available to the applicant, give such information as may be prescribed about the rest of the building and any prescribed matter connected with it.

Regulatory Note: Mines are generally excluded from this requirement. These requirements for a fire certificate are further amended by the Fire Precautions (Factories, Offices, Shops and Railway Premises) Order, 1989 discussed below.

2.57 After an application is made for a fire certificate does the facility

ensure that, when the application is made and pending its

approval, the following is met?

• The means of escape in case of fire with which the premises are provided can be safely and effectively used at all material times;

• The means for fighting fire with which the premises are provided are maintained in efficient working order; and

• Any person employed to work in the premises receives instruction or training in what to do in case of fire.


1971, Art 1

2.58 Does the facility, before making any material changes to the

operation as noted below, give notice of the changes to the fire

authority?

• It is proposed to make a material extension of, or material structural alteration to, the premises; or

• It is proposed to make a material alteration in the internal arrangement of the premises or in the furniture or equipment with which the premises are provided; or


1971, Art 8




Citation

• The occupier of the premises proposes to begin to keep explosive or highly flammable materials of any prescribed kind anywhere under, in or on the relevant building in a quantity or aggregate quantity greater than the quantity prescribed for the purposes of this paragraph as the maximum in relation to materials of that kind,

2.59 If the facility or any portion thereof has been exempted from

needing to have a fire certificate and the facility for any of its

exempted areas decides to subsequently conduct any of the

following activities in an exempted area, does it then notify the

fire authority of such proposed actions before implementation?

• A proposal to make:

─ An extension of, or structural alteration to, the premises which would affect the means of escape from the premises; or

─ An alteration in the internal arrangement of the premises, or in the furniture or equipment with which the premises are provided, which would affect the means of escape from the premises; or

• On the part of the occupier, to begin to keep explosive or highly flammable materials of any prescribed kind anywhere under, in or on the building which constitutes or comprises the premises in a quantity or aggregate quantity greater than the quantity prescribed for the purposes of this paragraph as the maximum in relation to materials of that kind; or

• In a case where the notice of exemption under section 5A of this Act includes a statement under subsection (8) of that section, to make such a use of the premises as will involve there being in the premises at any one time a greater number of persons in relation to whom the statement applies than is specified or treated as specified in the statement.


1971, Art 8A



ATTACHMENT A – Air Quality Limit Values



ATTACHMENT B – Hazardous Waste Substances and Properties



ATTACHMENT C – Disposal of Polychlorinated Biphenyls (PCBs)



ATTACHMENT D – Minimum Requirements under Directive 90/270/EEC for Display Screens



ATTACHMENT E – Requirements Associated with Representatives of Employee Safety

Documents

United Kingdom Environment, Health & Safety Profile and