SIM 03/2011/01
FOD inspectors covering manufacturing and service industries Specialist inspectors
This SIM provides guidance to inspectors on a targeted inspection intervention to waste electrical and electronic equipment (WEEE) recycling processes. The inspection phase will take place between April 2011 and March 2012. This SIM outlines the approach, provides background, further guidance and details regarding reporting and feedback.
This SIM should be used as the basis for undertaking visits to companies who are recycling WEEE items to enforce appropriate standards of control. The inspections will focus on assessment of exposure control standards in relation to substances hazardous to health but inspectors are expected to act upon matters of evident concern in relation to safety issues as appropriate.
Associated with this SIM are the following Appendices:
To improve exposure control standards for substances hazardous to health in WEEE recycling treatment processes and thereby improve health outcomes by reducing the incidence of ill-health and days lost.
FOD inspectors covering manufacturing and service industries and Specialist Inspectors.
Organisations (public, private and third/community sector) operating WEEE recycling processes.
Recycling of WEEE is a specialist part of the waste and recycling industry. It is a rapidly growing sub-sector due largely to the implementation of the WEEE Directive in the UK by the WEEE Regulations 2006, setting of stringent recycling targets and recent events such as digital switchover.
The type of organisations involved in such processing includes public, private and third sector/community based and range in scale from large organisations to small to medium-sized enterprise (SMEs) and micro SMEs.
The Sector has become increasingly aware of poor standards being reported at some WEEE sites especially in relation to the control of exposure to substances hazardous to health such as lead and mercury. Relevant intelligence is available from a number of sources, for example:
Between April 2011 and March 2012 FOD Divisions are being asked to inspect WEEE recycling treatment processes to assess the standards of exposure control to substances hazardous to health.
The approach is intended to focus on occupational hygiene and health issues, such as exposure to lead, mercury and other substances during the recycling of cathode ray tubes (CRT), fluorescent lamps and tubes and general WEEE.
Although the primary focus is on health issues matters of evident concern (MEC) in relation to safety should be dealt with as appropriate.
FOD inspectors will inspect those sites carrying out WEEE processing activities. Sites recently visited (e.g. because of projects or investigations) do not need to be revisited unless further interaction is required.
Reactive work (i.e. complaints and accident investigations) should be carried out as normal in accordance with FOD OG wide procedures.
FOD inspectors will visit to assess standards and enforce as required in line with HSE’s enforcement policy (see under Enforcement and Initial Enforcement Expectations below).
The initiative is scheduled to last one year between April 2011 and March 2012. To help fit in with other work that FOD Divisions may have the exact timing of visits is flexible between those dates.
B3 inspectors are expected to lead on this work. However, given some of the innovative /new processes involved, specialist support is likely to be required, especially where enforcement action is proposed.
Given the novel nature of some of the processes likely to be seen it may be appropriate to nominate a small number of inspectors in each Division to undertake the visits to facilitate understanding of standards and consistency.
In terms of resources required a total across all of FOD of 40 to 60 days contact time of FOD B3 inspector time has been allocated. This is based on between 80 to 120 visits being undertaken nationally (assuming 0.5 day contact time per main visit). NB: This does not take into account any follow up time e.g. enforcement checking of notice compliance etc.
Ideally all FOD Divisions will be involved in the approach and as such each FOD Division should aim to complete between 11 and 17 visits each (based on a 7 Division structure) or 20 to 30 visits (based on 4 Division structure).
It is left to individual FOD Divisions to develop their own strategy for undertaking the visits as much will depend on numbers of WEEE premises, geography as well as prioritisation of visits with other important work. The Sector would have no issue with individual FOD Divisions negotiating between themselves to share delivery based on staff resources, location of sites and other priorities as appropriate.
Although specialists are not routinely expected to be involved in the initial visits, specialist resource is likely to be required if further investigation/enforcement action is proposed. As a result specialist support has been agreed up to 150 days (total time) made up of:
These inspections do have the potential to be bundled with work carried out as part of: influencing local authorities and national lead inspector arrangements. With regard to the latter, in particular, inspectors should be aware of those companies that are in the NLI scheme and keep the NLI informed if intending to visit any NLI site.
However, it is recommended that where possible WEEE visits are not targeted at organisations included in the above interventions. Instead where practical a particular focus should be given to small enterprises or micro SMEs (i.e. those employing less than 50 or 10 operatives respectively).
Experience also suggests that sites where more manual/labour intensive processes are deployed are likely to attract high levels of enforcement, especially compared to those that deploy more sophisticated/mechanised processes. Although for the latter there may still be issues relating to standards of controls applied for maintenance type activities (e.g. changing of filters on machines) and other matters of evident concern (MEC).
In order to process/treat WEEE as an authorised approved treatment facility (AATF) sites need to be either permitted or registered as having an exemption from the Environment Agency (EA) in England and Wales or Scottish Environmental Protection Authority (SEPA) for Scotland. Those that are exempted from the requirement to hold a licence is usually on the basis that they only: (a) store WEEE (b) repair or refurbish WEEE, or (c) crush lamps prior to recycling.
The Environment Agency provides public register of all AATF facilities in England and Wales that process/treat WEEE (as distinct from those that merely handle WEEE). SEPA provides a similar listing for AATF facilities in Scotland.
Divisional Intelligence Officers (DIOs) should use these databases to help compile a list of premises suitable for visits. Care must be taken to comply with any terms and conditions for the use of such data. Some contact in advance by telephone might also be needed to ensure that the sites do actually process WEEE materials (as opposed to merely handling or refurbishing them) and to gain information about the type of WEEE processed and numbers employed.
DIOs may also wish to liaise with compliance teams at their local Environment Agency office or SEPA office for further details or indeed to explore the potential for joint working.
Further intelligence relating to WEEE processors can also be found on a number of trade association websites such as:
To assist the Sector with analysis of this approach inspectors are asked to complete the short 1 x A4 page proforma in Appendix 1 after each visit and return to the Sector (Lisa Weston) as hardcopy through the post or electronically via email. Only one form per organisation visited should be provided providing assessment of the operation seen.
FOD inspectors should use COIN in the normal way to record visits via inspection cases and linked inspection report forms (IRFs). No keywords or other form of initiate specific COIN recording is required.
Notices and letters should be attached to the COIN case record.
Examples of letters, responses, enforcement notices, good and bad practice and other noteworthy information including photographs should be forwarded to the Sector for use to support and promote the initiative.
The Sector will collate returns and report on progress on a regular basis to Programme and HSE Board level as well as provide feedback to FOD Divisions.
Inspectors should make every effort to maintain good communications channels and provide appropriate feedback to the organisations concerned.
The Sector will communicate any findings (in general terms) to the industry via press articles, web pages and/or through the WISH forum.
Further background information on substances hazardous to health associated with WEEE in general is provided in Appendix 2. The inspection commentary found in Appendix 3 outlines the standards and good practice expected in fluorescent lamp recycling. The inspection commentary found in Appendix 4 specifically covers CRT recycling.
Inspectors may also want to make reference to the following:
The main focus of this inspection initiative is the control of exposure to substances hazardous to health, in particular, lead and mercury. However, processing WEEE material has the potential to expose workers to other hazards and risks. Risk assessments should therefore consider the full range of hazards. Also other such hazards and risks should be dealt with by inspectors as matters of evident concern (MEC) as appropriate. Such matters may include, but not be limited to:
Where necessary, advice on detailed technical issues should be sought from Specialist Inspectors in the local FOD Specialist Groups or from relevant Sector Inspectors (on specific industry standards).
Inspectors should make reference to general generic cross industry guidance that applies to these subjects as well as relevant FOD inspection topic packs. In addition, inspectors should refer to the HSE web pages for the waste management and recycling industry which contains specific guidance on topics relevant to the waste industry under publications and guidance.
Further guidance on worker engagement can be found in the topic pack on worker consultation and involvement and web pages on worker involvement.
Further guidance on migrant working can be found in the topic pack on migrant working and migrant working web pages.
Inspectors should be alert to possible diversity issues in the waste management and recycling industry. Give consideration to, and factor into the inspection approach adopted, issues such as literacy, English as a second language and disability in particular.
The Diversity and Delivery web pages give more information on these areas and others, including the Communications and EIA toolkits.
The performance of the organisation in controlling exposure to substances hazardous to health when treating/processing WEEE materials should be assessed. Where standards are deemed inadequate then inspectors should take action to bring about improvement.
If in the inspectors judgement there is sufficient evidence to indicate a breach of legislation then the need for enforcement action should be considered in accordance with the Enforcement Management Model (EMM) and normal operational consideration should apply. The same principles apply to any other matters of evident concern that are noted during the course of the inspection.
Where prohibition notices are served on immediate issues, inspectors should also consider issuing Improvement Notices on the underlying systemic failures.
The inspection commentaries for fluorescent tube (Appendix 3) and CRT (Appendix 4) recycling provide an indication of initial enforcement expectations (IEE). Failure to achieve the expectations outlined in both Appendices would generally result in a “substantial” risk gap in EMM and the IEE under such circumstances would be at least an Improvement Notice. Inspectors, however, should always take into account duty holder and strategic factors before reaching a final decision on what action to take.
It is recommended that inspectors undertaking the inspection visits are Band 3 inspectors. As such they should be familiar and comfortable in dealing with issues associated with COSHH 2002 and CLAW 2002.
Any further training and skills required should be discussed and agreed with their line manager through RDNA and e-HR processes.
In the first instance inspectors should make full use of their local Specialist Inspector resource for advice and to assist as required with the interventions.
Currently there is no nominated occupational hygiene portfolio holder for waste and recycling.
Inspection of WEEE treatment activities has the potential to expose HSE staff to risks to their health and safety. Your health and safety is paramount and you should take steps to ensure that you do not place yourself at risk.
Inspectors should take note of the relevant health and safety supplements for undertaking site visits (including lone working) which are available on the Intranet under Your Health and Safety.
The Sector team would like to acknowledge the contribution made by our Specialist colleagues (in particular: John Cain, Martin Belcher, Andrea Wheale, Nancy Hamilton and Pam Kaur) in the drafting of this SIM.
