Open government status

Fully open

Author unit/section

FOD policy

Target audience

All HSE and LA visiting staff

Summary

This SIM gives advice to inspectors regarding interventions to examine the management of quarry process hazards and risks as part of the FOD workplan 2009/10. It may also be relevant to accident and dangerous occurrence investigations arising from the process risks. It also includes guidance on those parts of the FOD Workplan, which may be relevant to quarries.

Background

1  The Quarries Regulations 1999 (QR) require the Quarry Operator to ensure that quarry excavations, stockpiles and tips are designed, constructed, operated and maintained so  as to ensure that instability or movement which is likely to give rise to a risk to the health and safety of any person is avoided. The Regulations also require the Operator to:

• Ensure that shotfiring does not give rise to danger;
• Minimise the potential for flyrock;
• Ensure that quarry faces remain safe throughout their life, including leaving them in a safe condition when the quarry closes or ceases work; and 
• Ensure that equipment being used is suitable and properly maintained.

2  The design, Excavation and Tips Rules (E and TR), geotechnical appraisals and assessments, and operator site inspections, should all contribute to the safe operation of the quarry and are inherently linked.

Objectives

3  To develop and maintain the technical knowledge, skills and experience of Quarry Inspectors, and contribute to their Continuing Professional Development (CPD).

4  Safety: To ensure that operators have identified the relevant hazards and implemented the necessary risk control measures to ensure safe operation of the quarry in accordance with the health and safety document. In addition, that the quarry design is based upon an adequate geotechnical assessment, and that the quarry is worked in accordance with the design (see Appendices 1, 2 and 3).

5  Health: To continue the third phase of an initiative on exposure to respirable crystalline silica (RCS) that aims to assess and enforce compliance with COSHH 2002 (as amended), particularly focusing on compliance with the revised WEL. The initiative also aims to promote awareness of the Silica Essentials guidance. It is envisaged that this part of the workplan will be led by Occupational Hygiene (OH) Specialists as part of joint visits with Quarry Inspectors (QI). The silica project is part of the Specialist Group OH workplan for 09/10. QIs should liaise with relevant OH Specialists to coordinate visits to sites. This is in addition to quarry process work (see Appendix 4).

6 Other Workstreams: To address relevant mandatory/non-mandatory workstreams as identified in the portfolio of deliverables (see Appendix 5).

Resources

7  Although Divisions are expected to assist their neighbours with reactive work in quarries, where timeliness is an issue, for example due to the local QI being unavailable through leave, there is no requirement for a Division to make up a shortfall in planned quarries programme work arising from long term staff shortages.

8  Other proactive and reactive work, not included in the resource allocation, but which inspectors in quarries may carry on, includes:

• FOILE interventions;
• Investigation of complaints, accidents, ill health and dangerous occurrences in accordance with existing selection criteria;
• Consideration of consultations from mineral planning authorities and arising from the implementation of the Extractive industries Waste Directive;

9  Relevant SIC codes for premises to be included in this programme are:

• 13100 Iron ores;
• 13200 Non-iron ores;
• 14110 Stone quarry;
• 14120 Chalk quarry;
• 14130 Slate quarry;
• 14210 Sand pit;
• 14220 Clay pit;
• 14500 Other mining and quarrying;
• 10102 Opencast Coal Quarries;

10  There will be a number of visits to quarries where there is the potential for exposure to respirable crystalline silica (RCS) with the objective of ensuring that  quarry operators have procedures in place to secure compliance with the revised respirable crystalline silica WEL. QIs and OH Specialists should liaise locally to arrange visits.

Action required

Timing

11  The inspection intervention should start in April 2009 and visits completed and recorded by the end of the 2009-2010 work year.

Content of Inspection

12  Inspectors should focus on the following 5 areas during visits:

• Blasting and use of Explosives – see Appendix 1;
• Stability – see Appendix 2;
• Management – see Appendix 3;
• Silica – (Occupational Hygiene Specialist Inspectors) - see Appendix 4; and
• Other mandatory/non-mandatory workstreams – see Appendix 5.

13  When planning quarry visits, inspectors should allow sufficient time to examine the management of process risks, including physical inspection of excavations and associated tips (including lagoons and stockpiles), and examination of records and reports necessary to identify whether the operator’s systems for managing process risks are adequate.

14  Where blasting is taking place, it may be appropriate to arrange to visit during loading of the shot to observe and discuss blasting practices with those involved, so as to assess compliance with the requirements of QR Part V (e.g. management and transport of explosives on site, liaison with contractors, safe disposal of unused explosives, adequacy of record keeping, etc).

15  To cover all the programmed work at a large quarry, several visits over a period of time may be necessary.

16  For the silica intervention, the content of the inspection and compliance issues are given in Appendix 4.

17  Other mandatory/non-mandatory work inspection topics for quarries are given in Appendix 5.

Compliance issues

18  Poor compliance should result in enforcement action in accordance with the HSE Enforcement Policy Statement and the Enforcement Management Model.

19  The Appendices identify relevant guidance and benchmark standards for enforcement action.

Reporting arrangements

20  FOD HQ will advise on COIN work recording requirements.

21  QIs may wish to maintain a written record of interventions as part of CPD records maintained for professional purposes.

Health and safety issues

22  Please note, the Health and Safety Supplements relating to site visits, which are available on the Intranet under 'Your Health and Safety'. 

Management arrangements

23  Inspector resource will be locally managed using the contents of this SIM to assist in the development of Group/Personal Workplans.

24  To enable the Sector to monitor progress against this plan, QIs should link the contact Case to a centrally generated Master Case. The number for this Case will be notified to QIs. Time recording will be by clocking through from the visit Case in the normal way.

25  Sector will produce a half-year and end-year report for FOD MB. This report will include quantitative and qualitative information to enable evaluation of the intervention strategy.

26  Additional information for QIs will be disseminated as necessary via the Quarries Community website.

Diversity

27  Inspectors should be aware of who (in terms of diversity e.g. men, women, disabled etc) is the target group in the sector they are dealing with. Give consideration to, and factor into the approach, any issues that may surround this audience such as literacy issues, English as a second language and disability (access needs).

The Diversity pages give more information on these areas.

Further Information

Sector / programme contacts

28 Further information for the relevant topic can be found below:

Quarry Industry/technical queries:

Roy Bush, Manufacturing Sector;
900 Pavilion Drive, Northampton Business Park, Northampton, NN4 7RG.
Telephone: 01604 738322 or VPN 509 8322 or email roy.bush@hse.gsi.gov.uk

Silica Intervention queries:

Marjory Mitchell, FOD Scotland Division SG;
Belford House, Belford Road, Edinburgh, EH4 3UE
Telephone 0131 247 2112 or VPN 520 2112 or email marjory.mitchell@hse.gsi.gov.uk

Appendix 1 Blasting and use of Explosives

1  At all rock quarries, it is important to ensure that the blast design reflects geological and geotechnical conditions.  Experience and research have shown that faces lower than 15m reduce the risk of flyrock. The blast hole diameter, hole pattern, explosives coupling, quarry design, other aspects of blast design, face loading equipment and face maintenance systems need to be appropriate to the geological conditions.

2  Flyrock is caused by there being too much explosive energy, relative to the amount of material confined in front of the blast hole, at any given point. The potential for flyrock can be minimised at the initial blast design stage by choosing a suitable ratio of burden to face height (or stiffness ratio ).  Ratios of less than 1:1 give increased risk of fly-rock and increased ground vibration, and ratios above 1:4 give an increased risk of fly-rock. Wyllie and Mah indicate that, for best results, stiffness ratios should be between 3 and 4. Using these criteria, a 3m burden would suggest a face height of between 9m and 12m. The design of each individual blast must also take into account the surface features of the rock face, and the actual amount of rock in front of each blast hole at any given point (i.e. the minimum distance between the blast hole and the free face at any given point) along with any known anomalies such as clay bands, cavities etc.

3  Good excavation design, coupled with good blast design, should minimise the potential for flyrock, toes, over-sized or under-sized material in the blast pile, and the potential for developing overhangs in the stemmed zone or loose rocks in the face.  If significant loose material remains after blasting, the blast design should be reviewed by the explosives supervisor in consultation with the quarry operator with a view to improving the outcome of the next blast.  Such discussions may also need to involve the geotechnical specialist e.g. if significant changes to the quarry design are being considered.

4  If dominant geo-structural discontinuities (jointing, bedding, cleavage, etc.) result in very clean faces after blasting, the rock mass may still be subject to failure along planes parallel to the face. Such planes may act to increase blast damage such as back break, due to the reflection of blast energy within the face.

5  Arrangements for the competence assurance of shot firers and explosives supervisors are discussed in SIM 03/2007/10 .

Enforcement considerations

6  Depending on the circumstances, enforcement may be relevant against the operator, and /or the blasting contractor as an employer, or against individuals appointed under Part V of the Quarries Regulations 1999.  Where an improvement or prohibition notice is served relating to physical conditions in the quarry, gathering evidence for immediate prosecution should also be considered.

7  Enforcement is likely to be appropriate when:

• The operator’s shot firing rules are inadequate, unclear or not effectively communicated to those working on site;
• The blast specifications do not comply with the requirements of Quarries Regulations Regulation 25(1)(b) or the Quarries ACOP Appendix 2;
• Dangerous practices are observed during inspection, in which case competence of all those involved should also be investigated (e.g. vehicle driving over shock tubes);
• The blast design creates a face which cannot be safely loaded out or maintained using the equipment available;
• Liaison between the operator, explosives supervisor and geotechnical specialist is not adequate to ensure safety of those working at the quarry;
• Reportable dangerous occurrences (RIDDOR Schedule 2, Part III, para 44 and 45) have taken place but  not been reported;
• There is evidence of a lack of competence.

Appendix 2 Stability

1  Causes of face failures and instability include:

• Inadequacy of quarry (excavation) design;
• Failure to follow the approved quarry design;
• Failure to implement the geotechnical assessment;
• Poor blast design;
• Failure to maintain the quarry face;

Face maintenance

2  QR Regulation 30 places an absolute duty on the operator, which includes the requirement to maintain the excavation or tip to ensure that instability or movement likely to give rise to a health and safety risk is avoided.  Regulation 31 requires the E and TR to include precautions to be taken to ensure the health and safety of any person and the stability and safety of the excavation or tip.

3  Scaling will be necessary when blasting, erosion or other processes lead to loose material or overhangs on the face, which would create danger if it fell. In such circumstances it may be necessary to demarcate a danger area (QR Regulation 22) whereby access must be temporarily restricted only to authorised persons operating under a Safe System or Permit to Work.  The choice of scaling method chosen must reflect the balance of risks involved.

4  The Work at Height Regulations 2005 require that, where it is reasonably practicable, work should be carried out other than at height. Mechanical scaling from below should therefore be the preferred method.  Additional information on falls and falling objects in quarries is provided in SIM 03/2005/11 .

Selection of suitable machinery

5  The Work at Height Regulations 2005 and Provision and Use of Work Equipment Regulations 1998 require work equipment to be suitable for the work it is expected to do.  The aim is that geology, face geometry, loading methodology and equipment should be matched to suit the variety of conditions pertaining in an individual quarry. The selection of work equipment should be formally assessed against the duties that the equipment would be required to carry out. The selection of face machines needs to take into account the geological/geotechnical considerations and output requirements of the site, in addition to the required reach of the machine. If suitable equipment is not readily available it may be necessary to reduce face heights in order to operate the quarry safely.

6  The manufacturers of earth moving machinery provide handbooks of charts, diagrams and specifications to explain in detail the reach and capture distances and optimum working geometries for loading efficiency of different machines, e.g. the optimum height above ground level of an excavator loading pad for efficient loading into a dump truck or crusher.  These sources should be used by operators to inform their choice of machinery and working methods.

7  Care must be taken to ensure that design criteria are not compromised in the event that equipment is brought to site to either supplement or replace original equipment, particularly in the event of short-term hire situations.  If equivalent equipment is not available, then the design must be reviewed and amendments implemented on the ground as necessary.

8  The blast pile is unconsolidated loose material, and in placing mobile plant on the blast pile to work, the geotechnical appraisal should carefully consider if the rock pile is a significant hazard (Quarries ACOP paras 293-295). There should be a record of the decision, and the reasons for it, if it is decided is not a significant hazard.

9  Face or tip crests should always be assumed to be unstable due to the nature of the rock or engineering soil, water content, jointing, weathering, sub-drill and blast damage etc. Where the face condition is poor, a factor of safety cannot be determined and assumptions made must always err in favour of safety.

10  A safe standoff distance from the crest should be determined based on the stability and potential for failure of the rock mass. Additional edge protection or fall prevention for personnel will also be required.  Drivers of fuel trucks, emulsion explosives mixer-trucks, etc., also need to be appraised of risks from rock-fall, face edges, etc as an integral part of their site inductions. The operator must ensure that any such equipment is suitable for use on the site with access routes and roadways designed accordingly. Such arrangements will form part of the vehicles rules.

11. If hydraulic breakers are used on the quarry floor, there should be consideration given in the geotechnical assessment as to what standoff from any face is appropriate.

Stockpiles

12. Stockpiles may be significant hazards.  A stockpile being loaded out must be treated as an excavation, and different criteria apply (ACOP para 301 (b)). 

13  The whole stock ground should be included as part of the quarry design, addressing not only the construction and working of stockpiles but also vehicle and pedestrian routing and segregation. This will form part of the Vehicles Rules as well as E and TR.

14  Simultaneous loading and stockpiling / tipping in the same area of a stockpile are to be avoided.  When loading from stockpiles takes place, vehicle access to tip on the same stockpile should be prevented e.g. by removing the ramp, or tipping loads across the ramp.

Old faces and site closure

15  Quarry design should be “cradle-to-grave”. Older faces that are not being worked must not be ignored.  These faces, e.g. behind buildings or plant, may be high and/or prone to degradation.

16  In addition to ensuring that safe faces are maintained throughout the life of a quarry, the Operator has to plan for the closure of the quarry at which point faces must be left in a safe condition. This necessarily entails significant planning well in advance of final blasting. It is vital that provision is made for adequate lead-in times.  Particularly in hard rock quarries, the progressive establishment of safe final faces actively contributes to the minimisation of hazards and risks for personnel and plant working below them.

Enforcement considerations

17  Depending on the circumstances, enforcement should be considered against the operator and/ or those employers or individuals with influence over how the quarry is worked, such as drilling and blasting or loading and hauling contractors, geotechnical specialists etc., if they have not complied with their duties under QR99.  Where an improvement or prohibition notice is served relating to physical conditions in the quarry, gathering evidence for immediate prosecution should also be considered.

18  Advice on enforcement regarding falls and falling objects is given in SIM 03/2005/11 .

19  Enforcement is also likely to be appropriate when:

• The operator’s excavation and tips rules are inadequate, unclear or not effectively communicated to those working on site;
• Excavation and tips rules are not being followed;
• Significant hazards have not been identified, or have not been subject to geotechnical assessment;
• Geotechnical assessment(s) are overdue or do not comply with QR Schedule 1;
• Recommendations made by geotechnical specialist have not been implemented in a timely manner;
• QR Regulation 12(2) inspections are inadequate (e.g. not done, not acted upon, not done by competent person, etc);
• Dangerous practices are observed during inspection, in which case the competence of all those involved should be investigated (e.g. mobile plant loading under an unstable face, simultaneous tipping and loading of stockpile);
• Faces have been created which cannot be safely loaded out or maintained using the equipment available;
• Inadequate records are kept of substances tipped on a notifiable tip;
• Liaison between the operator, explosives supervisor and geotechnical specialist is not adequate to ensure safety of those working at the quarry
• Reportable dangerous occurrences have taken place but have not been reported;
• There is evidence of a lack of competence;

Appendix 3 Quarry Management

1  It is particularly important that there is an effective relationship between the Quarry Operator, Geotechnical Specialist and Explosives Supervisor, to the extent that hazards, resultant risks and associated mitigation measures are identified and routinely reassessed in the event of any design changes.  They must understand and appreciate each other’s roles.

2  The basis of and requirement for, adherence to the geotechnical design should be included in the excavations and tips rules and the relevant parts given, and explained, to all those working at the quarry who need them for their day to day work.

3  Co-ordination and communication with contractors is particularly important given the increasing role of contractors in the industry in areas such as drilling, blasting, face excavation/load and haul contracts.  The operator has a duty to set out in the Health and Safety Document how their activities are to be co-coordinated, together with their roles and responsibilities within the overall management structure of the site.

4  Information on assessing and enforcing competence requirements is available in SIM 03/2005/15 .

5  The competent person appointed under QR Regulation 8(1)(c) should be ‘readily available’ at the quarry, in that they should normally be expected to be present on site at all times when work is being carried on at the quarry. If they are not present on site, a substitute possessing the relevant competences must be nominated to be in charge. In order to fulfil the requirement of being ‘readily available’ it is expected that the competent person appointed under Regulation 8(1)(c) is based at the site where they are appointed.

6  Quarries are in the position of having legislation requiring competence and industry specific N/SVQs can be used to demonstrate this. SHE S/NVQs or an equivalent standard can be used to demonstrate managerial competence and Continuing Professional Development (CPD) schemes are available to demonstrate continuing competence once skills have been acquired. Further guidance is available in SIM 03/2004/52 , which identifies relevant benchmarks for enforcement action.

Appendix 4 Silica Project

(See SIM 03/2008/09)

1 The long-latency disease workstream of the Disease Reduction Programme included diseases such as silicosis and Chronic Obstructive Pulmonary Disease (COPD). This intervention is a continuation of the third phase of an inspection initiative for high-risk industries, which included quarries, that was initiated when the WEL for respirable crystalline silica (RCS) was revised in October 2006.

2  There were two main drivers behind the focus on respiratory ill health associated with exposure to RCS:

• HSE's Consultation Document on Respirable Crystalline Silica (RCS) recommended a new Workplace Exposure Limit (WEL) of 0.1mg/m3, which came into force on 1st October 2006 because scientific evidence suggested that there was a 20% risk of developing silicosis at the previous occupational exposure limit of 0.3mg/m3

• Silica Essentials launched in October 2006. This provides specific control guidance sheets covering around 50 tasks/processes in a range of industries including quarrying for which there are 12 guidance sheets .

3  Since this work began, new evidence has been published of an increased risk of cancer in workers exposed to RCS. Pre-existing silicosis is a major risk factor for lung cancer.

4  This SIM outlines the third phase of an initiative that aims to assess and enforce compliance with COSHH 2002 (as amended), particularly focusing on compliance with the new RCS WEL, in quarries. The initiative also aims to promote awareness of the Silica Essentials guidance. The first two phases targeted stonemasons and brickmakers.

5  There is guidance on dust control measures for the quarrying industry such as:

• Silica Essentials;
• Control of respirable crystalline silica in quarries – HSG73;
• Stone dust and you: guidance for stonemasons – INDG 315 (published October 2006);

Content of inspection

6  Occupational Hygiene Specialist Inspectors should focus on the following 4 areas:

• Assess the control measures in place against the principles of good practice for control of exposure (Schedule 2A, COSHH 2002);
• Assess awareness of, and compliance with, the new RCS WEL;
• Raise awareness of published guidance; 
• For Large Employers (see below), feedback to Sector, who will pursue issues of concern with the senior management of the companies concerned. Where appropriate, the Sector will secure multi-site action plans for compliance with the new RCS WEL. These plans will be copied to the Quarries and Occupational Hygiene Inspectors.

Compliance Issues

7  Poor compliance should result in enforcement action in accordance with the HSE Enforcement Policy Statement and the Enforcement Management Model.  Enforcement action taken should reflect the emphasis in Regulation 7 of COSHH 2002 (as amended) to apply the principles of good control practice when controlling exposure to substances hazardous to health. Schedule 2A provides details on what is required.

8  Large employers are Aggregate Industries, Cemex, Hanson, Lafarge and Tarmac. Following interventions at one or more quarries operated by these companies, based on feedback from QIs and Occupational Hygiene Specialists, Sector staff will approach senior management who will be asked to submit, where necessary, an improvement plan intended to secure compliance with the RCS WEL. This plan will be copied to both QIs and Occupational Hygiene Specialist Inspectors. These arrangements are not intended to override any decisions made locally about enforcement action which may be appropriate.

9  A list of target areas in which this intervention should be carried out will be provided by the Sector.

 

Appendix 5 – Operational Workstreams

1  In addition to the quarry-specific management issues, which should be addressed as part of the general examination of a dutyholder’s management of health and safety (see Appendix 3), the following issues may be used to undertake this assessment. Director leadership and worker involvement should be discussed at every opportunity and Inspectors should use professional discretion in deciding which of the other issues listed below should be used to build an adequate picture of standards at the premises:

Issue	Proposed workstream
Director leadership	Exploit all opportunities to engage at board level. Encourage leadership behaviours at board level via face-to-face engagement with board members, recommending INDG 417.
Worker involvement	Recognition of importance of WI; improved involvement of workers/reps; ownership of issues.
Vulnerable workers	Intelligence-led inspection of duty holders employing, especially, migrant workers.
Competence and consultancy	Promote competence in terms of basic, sensible and proportionate health and safety management and good practice use of third parties.  Challenge and, where appropriate, enforce against, incompetent consultants.  Consider opportunities to publicise both good and bad practices in consultancy.
MSD	Address areas with high risk of manual handling injuries and consequent ill health.  Raise awareness of ULDs and promote use of the tool for assessing repetitive injuries.
Falls from height	Address risks as required, in line with guidance in topic pack.
Product safety	Identify work equipment at relevant inspections; follow up with GB suppliers to check compliance with Supply of Machinery (Safety) Regulations, calling on advice from specialist inspectors.
Loading and unloading	Combine WPT and MSD in logical successor to Moving Goods Safely - inspection and awareness raising of activities in and around loading bays.
Slips and trips	Address risks as required, in line with guidance in topic pack. Particularly relevant in food and drink manufacturing, health services, education and in care homes.

2  Inspectors should take the opportunity to address Operational Workstreams, which are relevant to the quarry environment given below:

Programme	Proposed Project	Overall outcome	Specific Deliverables
Safe Interventions (hazard-based priority)	Extended version of the 2008/09 Safe Interventions Project (covering interventions at machinery and in confined spaces). Proformas to be completed and returned to Sector.	Major reduction in risk of serious/ fatal injuries from clearing blockages or performing running repairs inside dangerous machines due to unexpected start-up and confined space work.	Site inspections/audits against the inspection aides memoire / proformas (see Apps 1 and 2 of SIM 03/2008/01). Current instruction: SIM 03/2008/01
Long latency disease – especially cancer, respiratory, silicosis and COPD. (hazard-based priority)	Engineering control project	Improvements in design, application, checking, maintenance and testing of LEV systems; increased awareness of guidance. Influence LEV m/fs and suppliers to design and install better LEV and influence dutyholders to buy systems that are fit for purpose, properly used and maintained.	Examine LEV/engineering controls at relevant visits (ie dutyholders with, or needing, LEV); assessing adequacy of current control systems; increase awareness of new guidance for LEV/ engineering controls and the key control messages; raise awareness of benefits of regular BM checks among workers potentially at risk.  Particular processes listed in current instruction. Current instruction: SIM 03/2008/05 and Appendix 4 of this SIM
Asbestos DTM (hazard-based priority	Continued examination of dutyholders' arrangements to control risks.	Raised awareness of the risks and the need for training in high-risk groups – maintenance workers and associated trainees/ apprentices.	Proactive inspection and awareness raising of DTM, especially in SMEs, and raising awareness of the need for training during relevant visits to sites where trades-people at high risk are found.  Current instruction: SIM 03/2008/07

Further Information

References

• Pearce, R.P. 1996, ‘Controlling the Risk of Flyrock from Quarry Face Blasting’, in Health and Safety in Mining and Metallurgy, Institute of Mining and Metallurgy, ISBN 1870 706307;
• HSE Contract Research report 6, 1988, HSE Books - Flyrock projection from quarry blasting, Quarries Topic Report 1989, HSE;
• Limiting the instance of flyrock from quarry operations, HSE Contract Research Report 242, 1999, HSE Books;
• Rock Slope Engineering, 4th edition; Wyllie, D.C. and Mah, C.W., Spon Press 2004, ISBN 0-415-28001-X;
• Quarry Fact File 32, December 2004, HSE Books;
• SIM 03/2005/15 , June 2005;
• SIM 03/2007/10 ;
• SIM 03/2005/11 ;