SIM 03/2010/04
This Sector Information Minute (SIM) provides information to inspectors on a targeted inspection intervention with local authorities who procure and manage municipal waste and recycling services, focussing in particular on their roles as clients and service providers. It applies to local authorities who deliver the service in house as well as to those who contract out their services. The inspection phase is due to commence in October 2010. It will last for three years ending in 2013/14. This SIM outlines the approach, provides background, further guidance and details regarding reporting and feedback. Associated with this SIM are the following Appendices:
For those not directly involved with the interventions it is suggested that they restrict their reading to the main text of this SIM and do not bother to access the Appendices.
To improve health and safety outcomes by reducing the incidence of injury, ill-health and days lost in the waste management and recycling industry.
HSE's first targeted programme of work with the waste and recycling industry (2005- 2007) 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 9 times the all industry average for fatal injuries to workers).
Collection activities account for the largest proportion of accidents within the waste management and recycling industries (over 70%) and most of that is associated with household/municipal collection activities.
The responsibility for making arrangements for all household waste and recycling services rests with local authorities. Each service is subject to a procurement process, placing local authorities in the role of client.
Evidence from previous inspection initiatives highlights the potential for further improvement to be made in the health and safety standards of waste/recycling services (regardless of whether the service is delivered in-house or contracted out).
A second targeted programme of work with the industry (2009-2013) was approved by the HSE Board in December 2008. Although there are a number of work streams within that programme a key project is influencing local authorities so that occupational health and safety becomes an integral part of the procurement and management of municipal waste/ recycling contracts/services.
As part of that project, the Sector in consultation with the industry has produced specific guidance aimed at local authorities when procuring and managing waste services, together with associated practical case studies and other supporting information. The guidance is structured to reflect the key stages of the contract management process and outlines a number of key features and principles of good practice associated with each of these steps. Although the guidance does focus on collection activities, the principles can be applied across the board to all waste services and activities and some of the case study examples reflect that. The guidance was launched at eight regional events delivered around the country in January and February 2010.
This inspection initiative provides the opportunity to ensure that local authorities:
The Local Authority Employers Organisations (e.g. LGE, WLGA, Cosla), as well as Environmental Services Association (ESA), whose members are contracting companies, are aware of the project and this inspection initiative. They have been supportive of the project as a whole (for example, by contributing to guidance and participation in delivery of events).
The objective that occupational health and safety becomes an integral part of the procurement and management of municipal waste/ recycling contracts/services is consistent with the line that HSE colleagues responsible for other areas of work undertaken by local authorities (for example construction procurement and the procurement of social care services by commercial providers) would want to promote. Therefore, it is recognised that although this initiative is specifically focussed on procurement and management of waste services, the generic themes contained within could equally apply to other procured and managed services. As a result, the Public Services and Construction Sectors, as well as Local Authority Unit, have been kept informed and consulted at various time through the lifecycle of the project.
Appendix 1 gives an overview of industry performance and HSE's programme of work with the industry.
Over a three year period, commencing October 2010, FOD Divisions are asked to inspect 100% of local authorities within their area to assess their role as client in controlling risk to those affected by waste/ recycling collection and processing activities.
Primary emphasis should be on those local authorities undertaking collection activities i.e. acting as Waste Collection Authorities (WCAs). However, inspectors should be mindful of the role and potential influence of Waste Disposal Authorities (WDAs) in terms of setting waste strategies which might have knock on effects re collection activities, as well the existence of various types of partnerships between WCAs and between WCAs and WDAs. Both direct labour and contracted out collection services should be included.
In terms of the phasing of inspections, prioritisation should be given to:
Because this initiative is focussed on collection activities, those local authorities which only operate as WDAs (i.e. county level) are not a priority, unless they operating as part of a wider partnership with other WCAs.
Inspections should be conducted over two phases:
Given collection activities account for the largest proportion of accidents within the waste management and recycling industries this approach is intended to focus primarily on the collection activities of the local authorities concerned. Therefore, inspection of other activities and processes (some of which might fall under their waste disposal remit) such as: landfill, civic amenity sites, composting and trade collection, transfer stations, or sorting of recyclables or operation of materials recycling facilities/recovery facilities; should not be the main focus of this initiative. Where local authorities with only a WDA (i.e. county level) remit are eventually inspected, however, some of these activities will need to be assessed.
An inspection guide and inspection proforma is provided at Appendix 2. An inspection commentary with further information is provided at Appendix 3.
The Sector recognises that this initiative should not preclude other valid proactive work taking place with local authorities such as:
Reactive work (i.e. complaints and accident investigations) should be carried as normal in accordance with FOD OG wide procedures.
Appendix 4 provides further background information on the role of local authorities relating to waste. Appendix 5 provides a comprehensive geographical listing by FOD Division.
Due to resource limitations the Sector cannot guarantee to keep up to date the listings of how local authorities are structured or which, where and when service contracts are due for renewal. Local knowledge and intelligence will therefore be paramount. FOD Divisions should make their own arrangements to prioritise the inspections of their local authorities. Divisional Intelligence Officers (DIOs) could be used to identify local Joint Waste Authorities, newly formed unitary authorities and those working in partnership, as well as contracts coming up for renewal. The most direct and simple approach would seem to be for DIOs to ask each local authority within the Division what their situation is.
The Sector has obtained a report (dated April 2010) from BDS Marketing Research Limited which details the current status of household waste collection contracts (residual and recycling) of 403 local authorities. This will be a useful starting point for planning purposes. The report (Summary and Excel file) can be found in TRIM files 2010/192948 and 2010/192928. NB: the terms of the subscription and agreement between HSE and BDS Marketing Limited means that the contents are for HSE internal use only and should not under any circumstances be used or shared externally.
The Sector can also provide on request delegate lists from each of the regional launch events to show which local authorities were represented and by whom.
The initiative should be phased over three years between October 2010 and October 2013 (i.e. will straddle three reporting years).
It is to be left to individual FOD Divisions to develop their own strategy for phasing as much will depend on size, geography as well as prioritisation of visits (see above). It is suggested that efforts are made to spread the workload so that in each of the three years roughly a third of local authorities in each Division is covered. Sufficient time should also be factored in for follow up interventions which should take place approximately 1 year after the initial visit.
In terms of resources required, there are currently 407 local authorities in England, Scotland and Wales. Appendix 4 provides further background regarding their role and functions. Appendix 5 provides a Summary of the distribution of these by FOD Division. Assuming one third to be visited each year would give a maximum of 133 local authorities to be visited in total each year. Assuming 1.5 - 2 days contact time per intervention (as outlined above under actions above) gives approximately 200 – 266 days contact time (or approximately 3.5 – 4.5 B3 staff years) of resource required each year, nationally.
This, however, is very much a worse case scenario as many local authorities, especially those at county and district level, will have come together to form local Joint Waste Authorities (JWAs) or other types of partnerships relating to collection activities that could be inspected as one. Also because this initiative it is focussed on collection activities, it will not require priority inspection of WDAs (i.e. counties) which have sole responsibility for the disposal function especially if they are not operating as part of a partnership with WCAs.
Because of the distribution and concentration of local authorities in certain Divisions (e.g. ESE) it will be left to FOD Divisions to negotiate amongst themselves to share the workloads more evenly and fairly.
The performance of the local authority in procuring and managing the waste/recycling contracts/service should be assessed, and where standards are not adequate then inspectors should take action to bring about improvement. An inspection guide and proforma with score sheet is provided at Appendix 2. In the first instance, it is recommended that authorities are asked to produce action plans setting out steps and targets with agreed timescales to bring about any improvements. Execution of the action plan should be assessed at the follow up visit.
More formal enforcement action is not necessarily precluded by this initiative. If in the inspector's judgement there is 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.
Inspectors should note that the guidance recently produced by HSE for local authorities when procuring and managing waste services has the status of guidance. It contains notes on good practice. As such following the guidance is not compulsory and local authorities are free to take other equally effective action. However, if they do follow the guidance they will normally be doing enough to comply with the law. As inspectors your role is to secure compliance with the law and you may wish to refer to the guidance as illustrating good practice.
Operational inspectors are asked to complete the inspection proforma in Appendix 2 and return it to the Sector (Lisa Weston) as hardcopy through the post or electronically via email. Only one form per local authority should be submitted providing assessment of the range of operations seen.
There are no special recording requirements above and beyond normal COIN recording requirements.
An inspection case should be set up and linked Inspection Report Forms (IRFs) should be completed as normal. No keywords or other form of initiative specific COIN recording is necessary.
Notices and letters should be attached to the COIN case record.
Examples of action plans, enforcement notices, good practice and other noteworthy information 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 feedback to FOD Divisions.
Inspectors should make every effort to maintain good communications channels and provide appropriate feedback to the local authorities.
The Sector will communicate any findings (in general terms) to the industry via press articles, web pages and or/through the WISH forum.
Local FOD inspectors were invited to attend the regional launch events in January and February 2010.
The guidance, associated case studies and further resources (including presentations from the events) are available at procuring and managing waste services.
If required and subject to operational need, the Sector can arrange further briefing events for groups of inspectors taking into account Sector resource and availability.
It is recommended that inspectors undertaking the inspection visits are Band 3 inspectors who have received relevant safety management systems assessment training (e.g. Effective Management Interventions (EMANI 1or 2 modules) and high level influencing skills). They should also have relevant experience of industry standards/guidance. This initiative is restricted to a number of priority issues which are covered in the inspection guide at Appendix 2. These are topics that most experienced inspectors should be familiar with. The inspection commentary at Appendix 3 gives guidance on issues that are industry specific. Any further training and skills required should be discussed and agreed with their line manager through RDNA and e-HR processes.
Inspectors should make full use of their local Specialist Inspector resource to assist as required with the interventions.
The Sector is also willing to address groups of key personnel involved with local authority waste services. However, this will of necessity be subject to operational need, timing and resource availability. Alternatively the Sector is able to provide local inspectors with resources and supporting information to enable them to deliver similar talks/presentation without the need for direct Sector involvement.
Inspectors should refer to Appendix 3 for details of further information and guidance relating to standards and good practice for the industry.
Inspection of waste/recycling collection and disposal activities has the potential to expose HSE staff to risks to their safety. Your health and safety is paramount and you should take steps to ensure that you do not place yourself at risk.
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 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 web pages give more information on these and others, including the Communications and EIA toolkits.
For further information please contact the Manufacturing Sector (Waste Management and Recycling Team) at HSE, Government Buildings, Ty Glas, Llanishen, Cardiff CF14 5SH.
Social media
Javascript is required to use HSE website social media functionality.
Follow HSE on Twitter:
Follow @H_S_E