SIM 03/2009/18
This Sector Information Minute (SIM) describes plans to undertake central interventions with a number of national waste management and recycling companies commencing in 2009/10. Follow up work to the interventions is expected in 2010/11 and 2011/12. This SIM outlines the approach, provides background, further guidance and details regarding co-ordination and feedback. This SIM also contains guidance on investigation and other work with these companies which is not related to the central interventions. For those not directly involved with the interventions it is suggested that reading of this SIM can be restricted to paragraphs 1 to 21, 25 to 26 and 38 to 47.
To improve health and safety outcomes: to reduce incidence of injury and ill health, and days lost.
Obtain sufficient evidence to assess compliance with the Health and Safety at Work (HWSA) etc. Act 1974 through testing health and safety management systems at both corporate and operational levels on a sample basis.
Provide feedback to the company and identify any areas of concern, taking enforcement action where appropriate.
Record findings, progress and actions taken on COIN for the benefit of fellow inspectors, the Sector, HSE senior management and the industry more generally (through anonymised summary reports prepared by the Sector).
The first targeted waste programme arrested the rising accident rate and brought about a small reduction. However, the accident rate is still high (typically 4 times the all industry average for all injuries to workers and typically 9 times the all industry average for fatal injuries to workers).
A second targeted programme lasting four years was approved by the HSE Board in December 2008 and commenced in 2009/10. There are a number of work streams within that programme, one of which is to extend FOILE and LOPP style interventions. Engaging with Businesses - Involving large organisations - undertaken previously with a limited number of companies to further companies within the waste management and recycling industry.
The extended approach is to be known as National Lead Inspector (NLI). This SIM outlines that approach and how it is to be co-ordinated.
Collection activities account for the largest proportion of accidents within the waste management and recycling industries. It is intended therefore that this approach will focus primarily on the collection activities of the companies concerned.
All FOD inspectors covering manufacturing and services industries, and Specialist Inspectors.
Selected national waste management companies operating waste and recycling collection services – municipal and commercial.
This approach is part of a wider programme of work targeting the waste management and recycling industry as a whole.
It is a consistent and longer term approach to engaging with significant companies.
HSE wishes to establish the effectiveness of health and safety management within those companies, by focussing on certain operational topics and activities.
Collection activities account for the largest proportion of accidents within the waste management and recycling industries.
HSE recognises the challenges faced by the waste and recycling industry, the often competing demands in terms of health, safety and environmental considerations (e.g. meeting recycling targets), and the political sensitivities involved.
Central interventions to be undertaken to assess the safety management systems of national waste management and recycling companies who undertake waste and recycling collection services in accordance with overall project plan (see National Project Plan - TRIM record number: 2009/173877).
Ten such companies have been identified. NB effectively reduced to nine to take into account take over of Verdant Group plc (part of Greenstar Limited) by Biffa. The companies have been allocated “Home” Divisions and national lead inspectors (NLIs) have been appointed from those Divisions (see Table 1 below). A second Division has also been allocated for the operational sampling inspections.
| Company | Existing/new | FOD Home Division | Sampling Division |
|---|---|---|---|
| Biffa Waste Management Limited | FOILE | East South East | TBC |
| European Metal Recycling Limited (EMR Limited) | FOILE | North West | TBC |
| Enterprise Limited | New | North West | TBC |
| May Guerney Recycling (aka ECT Recycling) | New | London | Wales and SW |
| SERCO Limited | Stakeholder | East South East | ESE |
| Shanks Waste Management Limited | New | East South East | Scotland and London |
| Sita UK Limited | FOILE | East South East | Midlands |
| Veolia Environmental Services Limited | FOILE | East South East | TBC |
| Verdant Group plc NB: Now part of Biffa |
New | East South East | Midlands |
| Viridor Waste Management Limited | New | South West | Midlands |
The central interventions will involve introductory head office visit, a review of the companies' safety management systems, and inspection of their operational activities. The inspection activities will be carried out in at least two Divisions: namely, the 'home' Division and one other sampling Division.
A central intervention plan is to be prepared for each company – a template has been provided for such a plan (see Appendix 1 of the National Project Plan – TRIM record number: 2009/173877).
Maria Strangward has been appointed to be the National Project Officer (NPO) for the work described in this SIM. Maria will co-ordinate the approach, provide support, liaise with NLIs and the Sector.
The NLI should contact the NPO in the first instance regarding any queries about the approach.
The NLI should make every effort to liaise with HID equivalents. The NPO will be able to assist with this.
The NPO should also ensure that details of the interventions are added to the HSE's intervention table Engaging with businesses - Interventions table (for interventions with large organisation's) and updated as required.
All other inspectors should be aware of these interventions, the companies involved and NLIs.
Unless specifically directed to undertake proactive work as part of the lead inspector initiative, all other inspectors should refrain from carrying out proactive work with the named companies unless it is related to annually set targeted “hotspots” work or related to interventions with local authorities (see SIM 03/2010/04 Waste management and recycling: inspection intervention with local authorities). If proactive visits are required for training or any other purpose (e.g. specific projects) the NLI should be notified (and consulted in advance wherever possible). Reactive work (i.e. complaints and accident investigations) should be carried as normal in accordance with FOD OG wide processes. The NLI should be informed of any significant outcomes arising from such dealings.
As part of the safety management system inspection process operational inspections should concentrate on waste collection activities – municipal and/or commercial.
Topics to sample when conducting head office and site visits must ultimately left to the discretion of the NLI, but the Sector strongly suggests that these should include:
Other key issues to areas to be pursued during the inspection process are:
Inspectors should also be alert to any migrant worker issues.
If examination of the overall safety management system through the topics inspected provides (in the inspectors judgement) sufficient evidence to indicate a breach of legislation, then the need for any enforcement action should be considered in accordance with the Enforcement Management Model (EMM) and normal operational considerations should apply.
The same principles apply to any other matters of evident concern that are noted during the course of the inspection.
Inspectors should use their discretion and application of EMM to determine appropriate enforcement actions. Where prohibition notices are served on immediate issues, inspectors should also consider issuing Improvement Notices on the underlying systemic failures.
Central interventions are to commence during 2009/10.
In Year 1 (2009/10) the resource allocation is up to 8 x B3 contact days per company = 80 days total. This would be a maximum given that some interventions are already ongoing and therefore not all of this time will necessarily be required.
Further follow up activity is anticipated in 2010/11 and 2011/12. For example, in the second year (i.e. 2010/11) follow up work is assumed at 5 days contact time per company = 50 days total. In the third year of the initiative in 20011/12 it is anticipated that time spent on existing companies will be minimal say 2 days per company = 20 days total.
The approach may in the future be further expanded to include other national waste management and recycling companies.This option will be reviewed annually.
There are no special recording requirements above and beyond normal COIN recording requirements.
A NLI case should be set up for each of the companies concerned. This will be an inspection case with the speciality type of "InterventPlan".
The NLI should make arrangements for the National/Regional Intervention Plan button to be highlighted on the customer page (this will need to be completed by someone with "orgadmin" rights).
The NLI plan for each company, once agreed, should be attached to the COIN case (see also paragraph 43 below).
There is some guidance on setting up cases in relation to large organisation which can be found at Engaging with Large Organisations Engaging large organisations - Advice & tools - Planning for coordinated inspections - Using COIN to support planned activities pages.
As well as being attached to the COIN case records, finalised and agreed NLI Plans (and any update reports) should also be saved to the TRIM folder at 2.1.852
The NPO will request narrative returns on activity undertaken and progress with plans on a regular (initially quarterly) basis from the NLIs. This will allow further reporting to Sector, Programme and HSE Board level.
Examples of action plans, enforcement notices, best practice and other noteworthy information should be forwarded to the NPO and Sector for use to support and promote the initiative.
The NPO and Sector will work together to communicate any findings (in general terms) to the industry via press articles, web pages and/or through the WISH forum.
NLIs should make every effort to maintain good communication channels and provide appropriate feedback to their allocated company.
An NLI briefing event was carried out on 9 July 2009.
If required, further feedback and briefing events will take place as and when required. These will be organised by the NPO.
A suggested text for introductory letter to new companies was made available to NLIs in July 2009 (TRIM record number: 2009/314816).
The NPO will also assist NLIs with coordinating inspection visits across geographical Divisions.
NLIs are encouraged to liaise with each other and to undertake occasional joint visiting across companies to encourage consistency.
It is expected that NLIs are Band 3 inspectors who have received relevant safety management systems assessment training (e.g. Effective Management Interventions (EMANI 1&2 modules) and high level influencing skills). They will also have relevant experience of industry standards/guidance. Any further training and skills required should be discussed and agreed with their line manager through RDNA and eHR processes.
It is recommended that NLIs' line managers (Band 2s) or Heads of Operation (Band 1) take part in any initial head office meetings wherever possible.
Manufacturing Sector 'buddies' have been allocated to provide support to NLIs.
An initial national project plan has been drawn up which provides further details of the above together with indicative timescales. It also includes a template for a Central Intervention Plan. The national project plan (TRIM record number 2009/173877) can be found in the TRIM folder at 2.1.852.
Because of the timing of the project over three years it is inevitable that named individuals responsible will change. The plan will be kept updated by the NPO.
NLIs should make reference to the web pages for the waste management and recycling industry. This contains information and guidance in relation to collection activities and the wider industry including joint publications between WISH/HSE (known as the 'Waste series'). The site also outlines the role of WISH, its charter and targets.
Inspectors may also wish to take note of the following SIMs: SIM 03/2010/04 Waste management and recycling: inspection intervention with local authorities and SIM 03/2009/04 HSE/WISH guidance note “Safe waste and recycling collection services”.
Guidance on engaging with large organisations and advice and tools for carrying out management inspections is available on the Engaging with Large Organisations Engaging with Businesses - Involving large organisations - Homepage pages. The FOD guide to inspection (previously used as a core component of the EMANI courses) and HSG 65 "Successful health and safety management" (ISBN 07176-1276-7) should provide the framework for assessment of management systems Measuring health and safety performance.
Organisations should be encouraged to use CHASPI Corporate Health and Safety Performance Index for benchmarking purposes.
The British Standards Institute provides Information on OHSAS 18001 BS OHSAS 18001 Occupational Health and Safety.
Although not directed at larger companies (i.e. those employing over 250), nevertheless NLIs may find the 'Management Assessment Tool for SMEs' (MAST) Management Assessment Tool for SMEs - Home of interest.
'Leadership' is a fundamental aspect of health and safety performance and thus could be a relevant consideration in any engagement with duty-holders. Further guidance on Director Leadership can be found in OM 2009/05 version 2 OM 2009/05 - Director leadership which suggests using the IoD/HSE guidance as a tool/benchmark in planned inspection, examining with directors etc. how effective they are at leading health and safety, which can be found on HSE's leadership pages Leading health and safety at work.
Further guidance on worker engagement can be found in the topic pack on worker consultation and involvement FOD Inspection and pages on worker involvement Worker involvement - involving your workforce.
Further guidance on migrant working can be found in the topic pack on migrant working FOD Inspection, OM 2008/01 version 2 Vulnerable and migrant working 2008-09 - OM 2008/01 and migrant working Working in Great Britain from overseas pages.
Inspection of waste/recycling collection and disposal activities has the potential to expose HSE staff to risks to their safety.
When undertaking site inspections, inspectors should ideally observe working practices from a safe vantage point. Where this is not possible/ practical, however, inspectors should ensure that vehicle drivers and operators are aware of their presence and where practicable their positioning should be agreed with operators and supervisors. Inspectors should wear high visibility clothing and ensure that they can see the driver at all times (and that the driver can therefore see them).
Inspectors should also be aware of the relevant instructions set out in the Lone Working section of HSE's Your Health and Safety Your health and safety - Lone working pages.
Inspectors should be alert to possible diversity issues in the waste management and recycling industry, such as literacy considerations and English being a second language. These issues should be factored into the approach adopted, as appropriate.
The Diversity & delivery Diversity - Diversity & delivery pages give more information on these and others, including the Communications and EIA toolkits.
