Environmental, Health
& Safety Audit Protocol
Demonstration
This sample is a combination of several
International Protocols, some of the
content may be out-of-date.
Environmental, Health
& Safety Audit Protocol
Introduction
Excerpt from Great Britain Protocol
1.0 INTRODUCTION
1.1 Preface
This protocol has been prepared to reflect the principal environmental, health and safety (EH&S)
legislation that applies to facilities located in Great Britain, which encompasses England, Scotland
and Wales. Broadly speaking, requirements are the same for England and Wales whereas some
differences can exist relative to Scotland. Where major geographical distinctions are found, they
are specifically noted within the applicable protocol sections. Otherwise, the reader should
assume that the requirements apply throughout Great Britain.
Northern Ireland is specifically not covered by this protocol. Great Britain and Northern Ireland
together make up the United Kingdom (UK). Northern Ireland has separate EH&S legislation. On
health and safety issues, the position in Northern Ireland is broadly comparable to that in Great
Britain. There are more significant differences for environmental issues where the legislation in
Northern Ireland has not yet caught up with some of the more recent changes that have taken
place in Great Britain. However, legislation is being enacted to bring the waste management
legislation into force in Northern Ireland and this should be in-place during the course of 1998.
Contaminated land regulations will then follow.
This introductory section begins with a profile of Great Britain, followed by a general summary of
how environmental legislation is developed, administered, and enforced. Information is also
presented on regulatory trends, including comments on expected near term legislation. This is
followed by a discussion of audit privilege in Great Britain and the extent to which freedom of
information exists. Next, the subject of contaminated land is presented, including information on
applicable regulations and cleanup standards.
Various regulatory and other country-specific informational sources and contacts are also
presented in this section. Additionally, information on business and social protocols are provided
along with a list of national holidays. The section concludes with a description of the organization
of the audit protocol in its entirety.
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1.2 Country Overview
1.2.1 Geography
Great Britain encompasses about 230,000 square kilometers (88,800 square miles) (Microsoft
1993). Situated in western Europe, Great Britain is separated from continental Europe by the
English Channel and the North Sea. However, there are new direct rail connections to continental
Europe by way of the channel tunnel.
The terrain of the country is diversified, though its principal physiographic characteristic is its
deeply indented coast which provides excellent natural harbors. The northern and western parts
of the country are rugged, with rolling plains present to the east and southeast. Great Britain has
a temperate climate which is moderated by the prevailing southwest winds over the North Atlantic.
A map of the United Kingdom, which includes Great Britain and Northern Ireland, is provided in
this illustration also identifies the various counties, regions and administrative districts that make
up the country along with major cities. England is composed of 43 counties and 6 metropolitan
counties. Wales consists of 8 counties while Scotland is divided into 29 local councils and 3
island areas. A list of these various subdivisions is provided in Table 1-1.
1.2.2 Population
The population of the United Kingdom was estimated to be nearly 53.3 million in 1995 (US CIA
1995). Over 90% of the population lives in urban areas (Waite 1992). The country's major cities
include the following:
- England: London, the capital and major port; Birmingham, an industrial center;
Liverpool, a major port and export center; Manchester, a commercial center for the
cotton and textile industries; and Newcastle, Leeds, Sheffield and Bristol, all of
which are regarded as important industrial and commercial centers.
- Wales: Cardiff, the capital and principal seaport and shipbuilding center; and
Swansea, a seaport, a center of the tin-plate industry, and currently growing in the
high technology field.
- Scotland: Edinburgh, the administrative center; and Glasgow, a shipping and
maritime engineering center.
About 82% of the population is English, 10% Scottish, 2.5% Irish, and 2% Welsh. In addition, a
number of ethic groups from other Commonwealth countries have emigrated to Great Britain,
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Figure 1-1
Map of United Kingdom
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including Indians, West Indians, and Pakistanis (US CIA 1995). The official language of the
country is English.
1.2.3 Government
Overview
Great Britain is a limited monarchy with an unwritten constitution that is based upon statutes,
historic documents (Magna Charta, the Petition of Right and Bill of Rights), common law and
custom. The "constitution" is flexible and can be changed by an act of Parliament (Microsoft
1994). The British monarch is the head of state.
The executive authority is vested in a prime minister, who is head of government, and a
committee of ministers who form a cabinet. The prime minister is usually the leader of the political
party having a majority in the House of Commons, which is part of the bicameral Parliament.
Cabinet members are selected by the prime minister from members of both houses of Parliament,
though most are from the House of Commons. These ministers head the various governmental
departments. In addition, the individual secretaries of state for England, Scotland, and Wales
(and Northern Ireland) also serve in the cabinet. These secretaries serve as administrative heads
of each of these geographical divisions. Following referendums that were held during the course
of 1997, both Wales and Scotland will shortly have their own regional assemblies, which will have
a degree of legislative autonomy.
Governmental departments have responsibility for different areas of policy and are staffed by civil
servants. Within these departments, there are sometimes individual offices that exercise some
but not all governmental functions involving Scotland and Wales (as well as Northern Ireland) [i.e.,
Scottish Office, Welsh Office, Northern Ireland Office] (Microsoft 1994; Waite 1992).
The legislative branch consists of two houses, the House of Commons and the House of Lord,
which together form the Houses of Parliament. The House of Commons consists of members of
parliament (MPs) who are popularly elected from each of 650 geographical constituencies, with
each constituency being represented by its own MP. The members of the House of Lords are not
elected and consist of hereditary peers (whose titles can be inherited), life peers (whose titles
cannot be inherited), and senior members of the church. Life peers typically are distinguished
judges or those who have been recognized for their service to the government. There are some
1,200 members of the House of Lords, though only three members are required for a quorum
(Microsoft 1994).
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The highest court in the country is the House of Lords. In England and Wales, the House of
Lords hears appeals from the Court of Appeal which is divided into two divisions, civil and criminal
(Waite 1992). Below the Court of Appeal is the High Court, which is divided into three divisions,
the Chancery Division, the Queen's Bench Division, and the Family Division. Environmental
disputes are often heard in the Queen's Bench Division which handles civil disputes in tort and
contract (Waite 1992). Minor civil actions are typically handled by County Courts.
The Crown Court and the Magistrates' Court both hear criminal cases, with the former handling
the more serious cases. Criminal appeals from both courts go to the Queen's Bench for
adjudication.
There is a separate court system in Scotland, though there is some convergency at the highest
level (House of Lords). The Scottish system is different because of that jurisdiction's distinct legal
system which is based on Roman law principals rather than the common law.
There is also a system of local government (local authorities). In England and Wales, the country
is divided into counties, who are represented by county councils, which, in turn, are further
subdivided into districts who are represented by district councils. The governing bodies of these
local authorities are composed of elected officials. In the major cities, there are no county
councils, but rather metropolitan districts whose councils combine the functions of county and
district councils. (Waite 1992)
Local authorities are responsible for the delivery of various services such as police and fire
protection, education, libraries, highways, traffic, housing, building regulations, and environmental
(public) health (Microsoft 1994). Local authorities do not have legislative powers, though they
sometimes are authorized by Parliament to make bylaws (Doolittle 1993).
Legislative Process
Most legislation is initiated by a cabinet minister, though in theory a bill may be proposed by any
member of Parliament; additionally, there are private bills that are sponsored by outside interests
such as local governments or public corporations (Waite 1992). All proposed laws (statutes)
require approval by the House of Commons and the House of Lords, though the latter body
cannot stop a bill from becoming law if approved by the House of Commons. Acts or laws require
royal assent. In order to become effective, most environmental statutes require a further step,
usually involving a "commencement order." There can often be a significant time lag between the
royal assent and the issuance of the commencement order. Regulations issued by governmental
ministries, on the other hand, do not require either royal assent or, in most cases, the specific
approval of Parliament.
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Parliamentary acts generally contain a broad framework concerning the issue or issues being
addressed. The act itself is referred to as the primary legislation and only can be changed by
Parliament. The regulations or orders providing the details are referred to as secondary
legislation or statutory instruments.
Environmental regulations often require affected parties to employ "best practicable means" to
prevent pollution, or exercise "reasonable care." Interpretation of "best practicable means" or
"reasonable care" normally is left to regulatory bodies such as the Environment Agency (a central
authority) or the Health and Safety Commission, or the Health and Safety Executive (both central
authorities) to define, which they do from time to time by issuing circulars, codes of practice, or
guidance notes. Government circulars usually deal with environmental matters and are issued by
the Department of the Environment, Transport and the Regions for England, the Welsh Office for
Wales and the Scottish Office Environment Department for Scotland; these provide central policy
guidance regarding the Secretary of State's current thinking on a particular issue. Codes of
practice and guidance notes generally consist of more technical instructions on a particular issue.
Some health and safety Codes of Practice carry a higher status, namely Approved Codes of
Practice or ACOPs. In a prosecution for breach of health and safety law where it can be shown
that the defendant did not follow the ACOP then a court is entitled to find the defendant guilty
unless the defendant can show compliance in some other way. Ultimately, the interpretation of
EH&S legislation lies with the courts.
Environmental Authorities
Responsibility for the protection of the environment principally lies with the newly merged
Department of the Environment, Transport, and the Regions (DETR) in England, together with its
counterparts in Wales and Scotland (referred to as the Welsh Office and the Scottish Office
respectively). Each has a separate Secretary of State to whom it reports. The DETR represents
a merger of two former ministerial departments, the Department of the Environment (DoE) and
the Transport Department. Circulars and related guidance previously issued by the DoE will
continue to apply. Future guidance will be issued through the new merged ministry.
The DETR represents the ministerial level policy body of the central government. Implementation
of the law, including enforcement, lies with the various bodies to whom the function has been
delegated by legislation. There are a number of bodies charged with enforcement of
environmental protection matters. Principal amongst these are the Environment Agency (EA) in
England and Wales and the Scottish Environmental Protection Agency (SEPA) in Scotland. The
EA and SEPA are also charged with the responsibility of compiling pollution-related information on
the environment, carrying out assessments for Ministers of the effects of pollution on the
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environment, and reporting on options for preventing, minimizing or remedying the effects of
pollution.
Launched in April 1996, the EA took over the functions of several environmental authorities,
including the National Rivers Authority (NRA), Her Majesty's Inspectorate of Pollution (HMIP), and
the local waste regulation authorities (WRA). Headquartered in Bristol, the EA has eight regional
offices and various area offices within each region.
SEPA, which was established in 1996, also represents a consolidation of several environmental
authorities including Her Majesty's Industrial Pollution Inspectorate (HMIPI) and the river
purification boards. Unlike in England and Wales, SEPA also assumed responsibility for local
authority air pollution control (i.e., generally deals with minor sources of industrial processes).
SEPA is based in Stirling and has three regional offices in addition to various area offices within
each region.
Local authorities are involved in certain environmental matters, including the administration of the
planning process. In England and Wales, local authorities also administer air pollution control
regulations as they apply to less polluting industrial processes.
The locations, including addresses, telephone, and fax numbers, of the various environmental
authorities is provided in Section 1.9.1.
Health and Safety Authorities
Primary responsibility for the development of health and safety legislation and for the enforcement
of health and safety regulations lies with two authorities, the Health and Safety Commission
(HSC) and the Health and Safety Executive (HSE). The HSC, which reports to the Secretary of
State, is responsible for developing policy and approved Codes of Practice whereas the HSE, who
operate under the authority of the Commission, are responsible for the enforcement of health and
safety laws. The HSE operate through local authorities (environmental health officers) to execute
some of its duties in relation to commercial premises.
The locations, including addresses, telephone, and fax numbers, of the various HSE offices is
provided in Section 1.9.1.
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1.3 History of EH&S Legislation
1.3.1 Environmental
Great Britain has a long history of EH&S legislation dating back to at least the 19th century
(Chimney Sweepers and Chimneys Regulation Act 1840, Rivers Pollution Prevention Act 1876,
the Alkali Works etc. Act 1906, etc.). Most of these earlier regulations grew out of health
concerns over water supplies and working conditions within factories. Subsequent development
of EH&S regulations continued to largely focus on health and safety considerations rather than on
the environment itself. It was not until the early 1970's when the Control of Pollution Act 1974 was
passed that purely environmental objectives became embodied in the country's legislation.
Another major influence on environmental regulations in Great Britain has been the land use
planning process which traditionally has embodied certain environmental values. More recently,
environmental legislation in Great Britain has become increasingly affected by European
Community (now called the Environmental Union or EU) directives and policies.
During the past decade, some dramatic changes have been taking place in British environmental
law, partly in response to EU legislation but also in response to the growing public concern over
the need for improved environmental protection and the government's increasing attention being
paid to this area.
In the spring of 1987, a new centralized agency was created with direct responsibility for the
enforcement of environmental regulations in England and Wales. Her Majesty's Inspectorate of
Pollution (HMIP) consolidated several existing pollution control agencies: HM Industrial Air
Pollution Inspectorate, HM Radiochemical Inspectorate, the Hazardous Wastes Inspectorate, and
the divisions of the Department of the Environment and the Welsh Office responsible for issuing
consents (permits) for discharges by the water authorities. This consolidation was in response to
the growing recognition of the need to take a more integrated approach to pollution control. In
Scotland, the historical separation of responsibilities continued, though an integrated approach to
the control of air emissions and radioactive substances had long existed. The latter area was
administered through the HM Industrial Pollution Inspectorate (HMIPI).
In the fall of 1989 and in association with the privatization of the then state-owned water industry
in England and Wales, the Water Act 1989 was passed (since superseded by the Water
Resources Act 1991, the Water Industries Act 1991, and further amended by the Environment Act
1995). Among other things, this act created the National Rivers Authority (NRA), a non-
departmental public body whose responsibilities included ensuring the quality of river, lakes,
estuaries, seas and groundwater in England and Wales as well as coastal waters; regulating the
discharge of pollutants into controlled waters; implementing flood protection and surface drainage
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activities; and generally managing the country's water resources. Previously, many of these
responsibilities were under the aegis of the water authorities themselves who formerly were
responsible for both discharge licensing and effluent monitoring activities as well as for the actual
provision of water supplies and sewerage treatment. Although the Water Act 1989 (and its
predecessor legislation) applied in part to Scotland, no new central water administration was
established in that country. Instead, the seven River Purification Boards and Island Councils
continued to be both the provider of services and the enforcement agency responsible for
administering the applicable regulations.
In April 1991, Part I of the Environmental Protection Act came into effect. It applied throughout
Great Britain, though implementation schedules differed in Scotland. This Act introduced the
concept of integrated pollution control (IPC) which recognizes that the environment should be
treated as a whole and that authorizations for major industrial sources are to be based upon a
multi-media optimization approach with pollutant discharge limits to be based upon Best Available
Techniques Not Entailing Excessive Costs (BATNEEC). Use of the best available technique
includes not only relevant and available (in or outside of Great Britain) pollution control equipment,
but also involves specification of operational conditions including such things as staffing, training,
supervision, and the design and layout of the subject facility. The presumption is that the best
available techniques are to be employed except to the extent that it can be shown that the costs of
applying the technique will be excessive in relationship to the environmental protection to be
achieved.
IPC was introduced progressively between 1991 and 1995 in England and Wales, with a similar
but separate system having been initiated in Scotland in 1992.
Designated major existing plants are expected to upgrade their pollution control systems within a
four to eight year phase-in schedule depending upon the activity. Local authorities are to license
and control designated "less polluting" processes relative to air emissions only.
In 1995, the Environment Act was enacted. Among the key features of this legislation are the
following:
- establishes the Environment Agency and the Scottish Environmental Protection
Agency, central authorities which consolidated the environmental protection and
control activities of several predecessor agencies;
- establishes a new contaminated land regime in which local authorities will have a
duty to inspect their jurisdictions from time to time for the purpose of identifying
contaminated land, determining whether remediation should take place, and
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serving a remediation notice on the "appropriate person." As guidance has yet to
be issued, the contaminated land regime has not come into force as of this writing;
guidance is, however, anticipated early in 1998.
- confers authority on the Secretary of State to develop a strategy and regulations to
impose producer responsibility to promote the reuse, recovery or recycling of
products or materials;
- introduces new sections 161A-161C to the Water Resources Act 1991 which
enables the Agency to serve a works notice ordering anti-pollution work to be
carried out where water pollution has taken place or is threatened. Additionally,
the Agency is authorized to serve enforcement notices with regard to discharges to
controlled water that breach or are likely to contravene any condition of a
discharge consent;
- provides the framework for a new system of air quality control and requires the
Secretary of State to create a national air quality control strategy in which national
ambient air quality standards are established, including reduction targets (and
schedules) for nine main pollutants; and
- provides the authority for the Secretary of State to develop a national waste
strategy, including policies on hazardous waste. The underlying philosophy of the
new waste strategy will be the polluter pays and that a waste hierarchy is to be
established in which waste reduction is the primary objective. Waste reduction and
recycling targets are also to be developed in support of the waste strategy.
More recently, environmental legislation largely has focused on amending pre-existing regulations.
With the election of a new Labour government in mid-1997, there has been a legislative hiatus of
sorts as previously proposed legislation is reviewed, priorities are revisited, and new strategies
formulated. Although the basic framework of environmental legislation is not expected to change
dramatically there will no doubt be fine tuning to reflect the new governments' priorities. An
emphasis on air pollution issues is likely in view of international developments on climate change.
The government, however, has committed to not increase public expenditure in the first two years
of this Parliament beyond pre-May 1997 levels. This may mean that environmental initiatives are
delayed.
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1.3.2 Occupational Health and Worker Safety
As noted previously, health and safety has been an important area of regulation in Great Britain
for over a century, with most of the earlier legislation having grown out of health concerns over
water supplies and working conditions within factories. Much of this earlier legislation was
consolidated in 1974 under the Health and Safety at Work etc. Act (HSWA), which now provides
the framework for health and safety law in Great Britain.
The HSWA operates by imposing certain over-riding general duties on employers. To the extent
that it is "reasonably practicable to do so;" these duties include (i) ensuring the health, safety and
welfare of his employees; (ii) conducting his undertakings in such a way as to ensure that persons
not in his employment (such as independent contractors or the public) are not exposed to risks to
their health and safety; and (iii) ensuring that the plant, premises, or substances in the premises
are safe and not imposing risks to health. The critical term, reasonably practicable, is not defined
in the legislation but there is case law on its meaning. Reasonably practicable considers both the
risk involved and the effort that may be involved to avert the risk. If the risk is disproportionately
small compared to the effort (time, money or trouble) required to avert it, then it is not considered
reasonably practicable to prevent it (Clifford Chance 1995). The existence of a common industry
practice is evidence of reasonable practicability, but is not conclusive. Reasonable practicability
operates as a defense--the burden of establishing the defense is on the defendant (i.e., the
prosecution only need prove that the plant or system of work was unsafe to make a prima facie
case).
Relative to ensuring the health, safety and welfare of workers, employers are obligated to (i)
provide and maintain plant and systems of work that are safe and without risk to health; (ii) ensure
safety and absence of risks to health in connection with the use, handling, storage and transport
of articles and substances; (iii) provide information, training and supervision as necessary to
ensure the health and safety at work of employees; and (iv) provide and maintain a working
environment for employees that is safe and without risks to health (Clifford Chance 1995).
Great Britain has also implemented a comprehensive set of more specific occupational health and
workplace safety regulations and supplementary Approved Codes of Practice covering a wide
range of topics and issues, including:
- the control of substances hazardous to health;
- the prevention and control of major industrial accident hazards;
- the notification of installations handling hazardous substances;
- the notification and marking of sites involving dangerous substances;
- the reporting of injuries, diseases and dangerous occurrences;
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- the classification, packaging and labeling of dangerous substances;
- the transportation of dangerous substances;
- the management of health and safety at work;
- the provision of health and safety information to employees;
- the safe use of work equipment;
- ergonomics;
- the use of personal protective equipment; and
- construction work site safety
There is no statutory duty to carry out health and safety audits. However, in practice many British
employers consider that health and safety audits are a necessary and appropriate means of
ensuring that their general duties are satisfied. There is also a growing trend in Great Britain
towards the use of risk assessment techniques with the requirement for a general risk
assessment embodied in the 1992 Management of Health and Safety at Work Regulations. This
is coupled with a duty (found in the same regulations) to monitor and review preventive and
protective measures. More specific risk assessments are also required in other regulations,
including those involving exposure to substances hazardous to health, asbestos, lead, noise,
manual handling and display screen equipment.
1.4 Future EH&S Legislation
The United Kingdom has the EU Presidency for the first six months of 1998 and has indicated that
moving the environment up the agenda is one of its five priorities. The EU Presidency rotates
every six months; Austria has the Presidency for the second half of 1998 and has reportedly
indicated that they share this view.
The use of Direct Toxicity Assessment (DTA) is being developed as part of the regulator's
program of water quality management. DTA will identify sources of toxicity in wastewater
discharges and assess their impact on receiving water quality and dischargers are then to prepare
legally binding discharge improvement plans. A demonstration program is currently ongoing at
four locations in England and Scotland.
Currently, there is a limited Pollutant Release Inventory administered by the Environment Agency
and Scottish Environment Protection Agency covering emissions from IPC processes. The ambit
of this register may be extended and may be driven by developments at European level. The
information from the Release Inventory is available on the Environment Agency's internet site (see
Section 1.9.1).
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Companies subject to the Producer Responsibility Regulations will by now have registered with
the Environment Agency or joined a collective scheme. When the actual requirements to carry
out recycling and recovery begin to bite in 1999 it may well transpire that the regulations need to
be further amended in order for the government to deliver the required levels of recycling and
recovery.
The Health and Safety Commission has now published its Plan of Work for 1996-97. As the first
such plan under the new Government it is a good indication of the changed political slant in health
and safety regulation. Instead of an emphasis on deregulation (which the previous Government
had made) the approach is towards "better" regulation. It is acknowledged that this may lead to a
review of the general architecture of health and safety regulation, but it is currently planned to
continue with the existing framework. Earlier initiatives to amend the "six pack" of regulations are
not proceeding, but may not have been shelved forever.
The concept of risk assessment continues to develop and the HSE intend to publish a discussion
document on the tolerability of risk, including the HSE's rationale for the use of risk assessment
and appropriate criteria for risk assessment by Summer of 1998.
In July 1997 there was a consultation on amending the Lead at Work Regulations 1980 which will
lead to new regulations in this area. Other consultative documents which are expected to lead to
regulations in the next 6-12 months include:
- Use of Work Equipment Regulations
- Woodworking Machinery Regulations
- Power Press Regulations
- Children's Accident Regulations
- Forklift Truck Training Regulations
- Storage of Petroleum Regulations
- Amendments to COSHH Regulations (prohibiting supply of specified chlorinated
solvents for certain uses)
- Design Construction Fulfilling Periodic Inspection and Testing of Transportable
Gas Containers
- Draft Proposals for Gas Safety Installation
Use of asbestos continues to be controversial - blue and brown asbestos were banned in 1985
while the position on white asbestos continued to be uncertain. The Government has now
announced its intention to ban white asbestos and has asked the HSC to give advice on the
mechanism and timetable for introducing such a ban. The government is currently considering
the HSC's advice that all importation and use of white asbestos be banned and an announcement
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is anticipated before the end of 1997. The HSC Plan of Work also refers to considering the scope
of increasing protection of those at risk of exposure to all kinds of asbestos and reporting on their
feasibility study regarding a statutory duty to survey asbestos in buildings. If the announcement is
to go ahead with a ban, the HSC will need to produce a consultation document; regulations would
be expected to follow in six months to a year.
There is an increasing emphasis on use of taxation and fiscal measures to achieve environmental
improvements. The landfill tax (an amount payable by the landfill operator per tonne of waste
disposed of) has been in place for one year and is generally considered to be a success although
there is some evidence of an increase in unlawful dumping since its introduction. A tax on virgin
aggregate material is proposed with the intention of encouraging recycling and reuse of aggregate
material. At EU level there has been a revised proposal for an energy tax which appears to be
gaining momentum.
Consultation has already begun on the implementation of the European Union's Integrated
Pollution Prevention and Control (IPPC) Directive. Although IPPC is largely based on the existing
British IPC system (see Chapter 3.0 of protocol) the changes will lead to additional industries
being regulated under IPC. Large volume solvent users and the waste industry in particular will
be affected. There are generous transitional arrangements for existing operations; most will have
until 2007 in which to comply with the new standards. One of the important differences between
IPC and IPPC is the requirement in IPPC for the inclusion of conditions dealing with
decommissioning of plant.
1.5 Enforcement of EH&S Regulations
In recent years there appears to have been a modest decrease in the number of prosecutions for
violation of health and safety legislation and a modest increase in the number of prosecutions for
breach of environmental legislation. Case law is developing rapidly in the EH&S field with the
conviction in 1994 of a corporate body and one of its directors for manslaughter in relation to a
canoeing accident and in 1996 in relation to a fatal accident to a company employee cleaning
chemical residue out of a road tanker. While these penalties are not yet typical for EH&S
breaches, they do indicate the increasing seriousness with which issues of human safety and to a
somewhat lesser extent environmental protection are being viewed by the courts.
1.5.1 Administrative Actions
EH&S regulators have available to them a wide range of enforcement measures other than
prosecution for a criminal offence.
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In the health and safety field, the main measures are "improvement notices" and, in the case of a
risk of serious personal injury, "prohibition notices". An inspector will have grounds to serve an
improvement notice where there has been a contravention of a "relevant statutory requirement"
(most of the regulations referred to in this protocol are "relevant statutory requirements" for
enforcement purposes) or there has been a contravention in circumstances which make it likely
that the contravention will continue to be repeated. The notice will specify when the contravention
must be remedied and auditors should check to see that the notice has been complied with as it is
a criminal offence to fail to do so. "Prohibition notices" do not actually require a belief that a
provision has been contravened as they are served in anticipation of danger. As such, they can
take effect immediately and require the stopping of work. Inspectors may serve notices and also
decide to prosecute. There is provision for appeal against improvement and prohibition notices.
In the environmental field, the main measures are "enforcement notices," "abatement notices" and
"prohibition notices." Enforcement procedures differ between the different pieces of legislation but
there is no shortage of actions the environmental regulators can take to secure compliance. New
provisions are in the process of being introduced to deal with water pollution and contaminated
land which will be more akin to clean up orders. Failure to comply with a notice is generally a
criminal offence.
1.5.2 Civil Liability
The United Kingdom still relies heavily on the civil courts as a means of recovering damages or
obtaining an order to stop an activity (an injunction or interdict). A defendant may bring a civil
action for the recovery of damages when they allege that the defendant is responsible for causing
the loss they have suffered. In the health and safety field the liability of an employer at common
law is based on the law of negligence or breach of statutory duty. A company may be prosecuted
for breach of their general duties under the HSWA and also be subject to claims from employees
who have, for example, been exposed to hazardous substances as a result of the failure. In the
environmental field actions will usually be based upon nuisance or negligence. In the case of
contamination migrating to a neighboring site, the neighbor is probably entitled to an injunction to
stop the continuing migration and may also seek the costs of cleaning up as damages. On the
whole, damages have tended to relate to injury to persons or property and the concept of
ecological damages for harm to the unowned environment is still not an established feature in UK
case law.
1.5.3 Criminal Sanctions
The philosophy behind criminal sanctions is that punishment is a matter of public rather than
private interest. Breaches of EH&S legislation are generally criminal offenses which are referred
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to as being "triable either way". This means that they can either be tried in the lower Magistrates
Courts or in the higher Crown Court. The vast majority of EH&S offenses are tried in the
Magistrates Courts unless there has been significant damage or harm involved. Fatalities will
always be tried in the Crown Court. The main difference between the two venues is that the
Crown Court involves more formalized evidentiary procedures and increased penalties. Fines in
Magistrates Court will typically be up to a maximum of ?0,000 with provision for imprisonment in
the case of more serious offenses. Fines in the Crown Court are unlimited with provision for
longer periods of imprisonment.
In a recent case where the defendant was convicted of breaches of the general health and safety
duties following a fire when an ethyl chloride leak ignited and the safety of employees, the public
and the emergency services was endangered the fine was ?50,000 plus almost ?50,000 to be
paid for the prosecution's costs.
Individual liability is also a feature of EH&S legislation. Virtually all such legislation contains a
provision to the effect that any director, manager or other similar officer can be liable for an
offense along with the company if it can be shown that the offense was committed with their
consent, connivance or neglect. A three month custodial sentence was awarded against an
individual for breaches of asbestos licensing legislation when he allowed partial demolition of
buildings without precautions being taken to prevent the spread of asbestos contained in roofing
sheets and pipework lagging. Individual prosecutions do, however, remain relatively rare.
There was a recommendation of the Law Commission in 1996 that a new statutory criminal
offence of corporate killing be introduced. The issue was recently discussed at the Labour Party
conference and its indicative of the increased seriousness with which EH & S matters are viewed.
1.5.4 Strict Liability
Most EH&S offenses are strict in nature, that is, that proof of fault is not required if the offending
action is proven. There are a few defenses available, the most common being the defense that all
due diligence and reasonable precautions were taken to prevent the offense. There is an
"emergency" type defense in most environmental legislation, but it is interpreted in a limited
fashion and requires reporting to the regulatory authorities virtually immediately.
1.5.5 Comments on Enforcement Practices
Both the HSE and the Environment Agencies have adopted principles regarding enforcement
designed to ensure compliance with the law, but also to assist and advise business. Both bodies
adopt four principles of enforcement:
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- proportionality in applying law and securing compliance;
- consistency of approach;
- transparency about what is expected; and
- targeting of enforcement action on those presenting the greatest risk.
Prosecution is not mandatory, but will always be considered "where circumstances warrant it."
This may be the case where prosecution is a way to draw general attention to the need for
compliance, where it will act as a deterrent to others, there is the potential for considerable harm,
and the gravity of the offence taken with the general record and approach of the offender warrants
it.
The Environment Agency has recently implemented and published the details of its Operator and
Pollution Risk Appraisal (OPRA) system. The system is non-statutory and applies only to those
processes regulated under Integrated Pollution Control - IPC (see Chapter 3.0 of protocol).
OPRA essentially results in a facility being given a score which represents the inherent level of
risk in the process and the environmental performance of the operator in managing that risk.
Inspection effort will be targeted towards the higher risk processes based on the OPRA results
and is intended to assist delivery of the consistency and transparency criteria of the enforcement
policy.
The OPRA analysis assesses compliance, but is also able to recognize environmental
performance above and below the requirements of authorizations and includes factors not
covered by the authorization which affect environmental risk. The analysis looks at both the
pollution hazard and the operators performance and weighting factors are used to reflect the extra
importance put on issues of operation, plant maintenance and management and training. EMAS
and ISO 14001 sites get credit for this in their OPRA rating. It remains to be seen how the
process will be used and a review of the system is to take place in August 1998. The possibility of
using OPRA to allocate permit costs is being considered as is its extension to the full range of
prevention and control functions of the Environment Agency.
1.6 Audit Privilege
The government has wide authority to request the provision of information, including possibly
audit findings. Under certain circumstances, disclosure can be required even though the
documents may be considered privileged. However, there is no obligation to report the findings of
a self-initiated audit to the regulatory authorities, even if violations of requirements are identified
unless there is a specific reporting requirement contained in a permit or authorization.
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Nonetheless, many companies have a policy of reporting problems to the regulator themselves
rather than waiting until the regulator discovers the issue through some other means. Failure to
report a serious incident could encourage a regulator to bring a prosecution and would certainly
be taken into account in the sentence for any conviction.
Attorney-client (solicitor-client) privilege is in theory at least a possibility in the UK but the rules are
much more restrictive than in the United States. The usual rule in litigation is that all relevant
material must be disclosed to the other side. If solicitor-client privilege is claimed then the
existence of the document must be disclosed, but it need not be produced. In order for an audit
report to be privileged in this way it would be necessary to be able to demonstrate one of two
things:
- that the report was prepared in contemplation of litigation or if litigation is pending;
or
- that the report was prepared for the primary purpose of enabling the solicitor to
give legal advice. The solicitor for this purpose can be an in-house solicitor, but it
may be more difficult to demonstrate that the only purpose of the audit was to
provide legal advice if the solicitor routinely carries out other functions for the
organization.
The other key component to succeed in a claim of solicitor-client privilege is that the document is
treated as confidential.
In most cases a routine EH&S audit will not meet these tests. If an organization is contemplating
seeking to set up an audit so as to try to attract privilege it would be prudent to seek specific legal
advice.
Regulatory authorities are not entitled by their specific entry and investigation powers to compel
the production of privileged documentation. However, in the case of environmental legislation,
there is an extra provision in the legislation providing a general provision to require provision of
notices felt to be reasonably needed in connection with the carrying out of the regulators
functions. In a recent waste case, the Court considered the two sections in the context of a bar on
self incrimination contained in the more specific provisions which is absent in the more general
provision. The court concluded that the differences were intentional and that the company had to
provide the information even though it would be used in a prosecution against it. This line of
reasoning could be extended to privileged documents.
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1.7 Access to Information
The Environmental Information Regulations 1992
Under the Environmental Information Regulations 1992 all information relating to the environment
held by public authorities must be made public on request with few exceptions.
The primary obligation is for environmental information to be made available on a timely basis,
upon request, without the need for the person requesting it to demonstrate any particular
standing. Public authorities and other persons who are subject to the obligation to make such
information available include all Ministers of the Crown, Government departments, local
authorities and other persons carrying out functions of public administration at a national, regional
or local level, having responsibilities in relation to the environment; and also any body with public
responsibilities for the environment which is under the control of one of the above persons.
Information relates to the environment if it relates not only to the state of any water, air, flora or
fauna, soil, or any natural site or other land, but also to activities or measures (including activities
giving rise to noise or any other nuisance) which adversely affect or are likely to affect anything
mentioned in the preceding list and any activities or administrative or other measures (including
any environmental management programs) which are designed to protect anything in the list.
Information includes anything contained in records and includes registers, reports and returns, as
well as computer records and other records kept in non-documentary form.
If the relevant person considers that the request is manifestly unreasonable or is formulated in too
general a manner then that person can refuse. The Regulations do not require the disclosure of
information which is capable of being treated as confidential. This type of information includes:
(a) information relating to matters affecting international relations, national defense or
public security;
(b) information relating to, or to anything which is or has been the subject matter of,
any legal or other proceedings (whether actual or prospective);
(c) information relating to the confidential deliberations of any relevant person or to the
contents of any internal communications of a body corporate or other undertaking
or organization;
(d) information contained in a document or other record which is still in the course of
completion; or
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(e) information relating to matters to which any commercial or industrial confidentiality
attaches or affecting any intellectual property.
In addition, the Regulations specify information which must be treated as confidential. Personal
information contained in records held in relation to an individual who has not given his consent to
its disclosure, information obtained in consequence of having been supplied voluntarily (when they
could not be legally compelled to supply it) and has not consented to disclosure, or information
which would increase the likelihood of damage to the environment affecting anything to which the
information relates.
Where a request is refused then the reasons for that refusal must be provided. If a document
contains some confidential and some non-confidential information then the non-confidential
information must be provided unless it is incapable of being separated from the confidential
material.
The Regulations specify that the obligation of a relevant person to make information available is a
duty owed to the person who requested the information. Therefore, there is the potential for
proceedings for breach of statutory duty for failure to comply with the requirement.
Any relevant person may make a charge for providing the information. Relevant persons are to
respond to requests no more than two months after they are made and generally as soon as
possible.
The Code of Practice on Access to Government Information issued pursuant to the Citizens
Charter sets out information which the Government will release subject to certain specified
exemptions. Information to which the public can have access includes facts and the analysis of
facts which the Government considers relevant and important in framing major policy proposals
and decisions.
Registers
There will be information about many companies contained in public registers. This will be
available to anyone who wants to see it.
Environment Facts, a DoE publication, is a useful guide to using public registers of environmental
information and contains very helpful summaries on a wide variety of public registers.
A list of some of the most frequently used registers is described in Appendix 1-A.
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1.8 Contaminated Land
1.8.1 Applicable Regulations
Contaminated land has been an issue of particular concern for several years and is an area where
the law on clean up and liability is undergoing rapid development. There are also significant
initiatives at European level which may lead to European legislation on the topic in 1998.
It is not unlawful to own contaminated land in Great Britain providing that the contamination is not
causing or is not likely to cause off-site damage to the environment or harm to humans and other
living creatures. For example, if a substance has been spilled on a site, but is contained within the
site and there is no possibility of it migrating to reach a vulnerable receptor (such as an
underground water course) nor is there any possibility of any persons (including employees)
coming into contact with it, neither current nor proposed legislative requirements require clean up
for its own sake. The system is intended to be risk based.
However, the potential for the contamination to cause harm may be significantly altered if the use
of the land is changed or if the site is disturbed during redevelopment. Contamination, or the
potential for it, will be a material consideration in the granting of a planning permission for
redevelopment, particularly if redevelopment might involve a sensitive use such as residential.
The Environment Act 1995 introduced, for the first time, a statutory regime with the express
purpose of identifying and securing clean up of contaminated land. Contained in Part IIA of the
Environmental Protection Act 1990, it is based on legal principles (in particular those contained in
the statutory nuisance provisions) which are familiar and which currently apply to contaminated
land. There is little doubt that, in practice, the existence of a specific regime will increase the
likelihood of contamination being identified and steps being required to remediate it. The new
contaminated land provisions are not yet in effect, however. They were expected to come into
effect in Autumn of 1997, but the recent change of Government will result in delays until at least
1998. Readers should check the current position if they are involved in activities which may
involved contaminated land.
An Overview of the Contaminated Land Provisions
Land will be contaminated in a technical sense if it has present in, on or under it substances which
are not naturally occurring. However, the statutory definition of contaminated land adopted for the
purposes of the new regime focuses upon the risk of substances present in, on or under the land
giving rise to significant harm or pollution of controlled waters. The main regulator will be the local
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authority rather than the Environment Agency. For the purposes of triggering the new statutory
provisions on contaminated land, land which appears to the local authority to be in such a
condition, by reason of substances in, on or under it that either (i) significant harm is being caused
or there is a significant possibility of such harm being caused; or (ii) pollution of controlled waters
is being caused or is likely to be caused; will be contaminated.
In formulating this decision, the local authority must follow statutory guidance to be issued by the
Secretary of State on the topic. This guidance is therefore extremely important; it is akin to law
and the statutory provisions cannot be interpreted without recourse to it. Since final guidance on
the subject has not been released the information presented below is based on the original draft
guidance which was released in late 1996. The new Government is currently reviewing this earlier
draft and may make changes.
Once the local authority has satisfied itself that land meets the definition of "contaminated" then it
must (ie it is under a duty to) follow through the statutory process for seeing that it is remediated.
At its simplest, this involves requiring appropriate persons to remediate the contamination, often
by serving a "remediation notice" on such persons.
The new statutory provisions on contaminated land do not eliminate many of the existing
provisions which can deal with the effects of contaminated land. In particular, water pollution
which is dealt with by the Environment Agency rather than the local authority. There is also the
possibility that contamination of land may give rise to a civil action brought by an individual who
has suffered damage due to contamination. The possibility of overlap between the different laws
clearly exists although, in theory, the various agencies should be consulting with each other.
In most cases, primary responsibility for the contamination will rest with the person who caused or
knowingly permitted it to exist. However, where the original polluter cannot be identified, the
current owner or occupier of the property will become the "appropriate person." Identifying the
appropriate person is critical for the purposes of allocating liability for clean up.
The provisions of the legislation are not easy to follow. A simplified rendition has been prepared
and is provided in Appendix 1-B; it discusses the new regime in terms of 12 steps.
Other Remedies Which May Be Applicable to Contaminated Land
In addition to the legislation enacted as part of the Environment Act 1995, there already exists
other legislation that can be used to force a cleanup. Among the existing legislation in this area
are the following:
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- Section 59 of the EPA entitles the Agency to require the owner or occupier of land
to remove controlled waste which the Agency is of the view has been deposited in
contravention of the waste licensing provisions or in a manner likely to cause
pollution of the environment or harm to human health.
- Until such time as the new contaminated land provisions come into effect, a
statutory nuisance abatement notice may deal with contamination which is either
prejudicial to health or a nuisance. Failure to comply with the abatement notice will
be a criminal offence and the enforcing authority will be entitled to carry out the
works and recover their costs of so doing.
- Section 85 of the Water Resources Act 1991 in England and Wales and section
30F of the Control of Pollution Act 1974 in Scotland make it an offence for any
person to cause or knowingly permit any poisonous, noxious or polluting matter or
any solid waste matter to enter controlled waters. In the case of historic
contamination there is a good argument that the owner of a property who is aware
of its contamination, would be considered to be knowingly permitting such entry.
- New section 161A of the Water Resources Act 1991 in England and Wales or
section 46A of the Control of Pollution Act 1974 in Scotland gives the relevant
Agency the power to serve works notices on persons who cause or knowingly
permit poisonous, noxious or polluting matter to enter controlled waters or to be
present in a place where such matters are likely to enter controlled waters. Works
notices can require the person served to undertake works or operations to prevent
the problem arising or to remedy a situation which has already occurred. Failure to
comply with a works notice is a criminal offence and will entitle the Agency to carry
out the works itself and recover its costs. The Agency is required to try and consult
with the person who they intend to serve with the works notice, but this is not
mandatory. These provisions have not yet been implemented but are anticipated
later in 1997.
- Section 161 of the Water Resources Act 1991 in England and Wales and section
46 in Scotland empower the relevant Agency to undertake appropriate works
themselves to prevent, poisonous, noxious or polluting matter from entering
controlled waters. The Agencies are entitled to recover their reasonable costs for
this work from any person who caused or knowingly permitted the matter in
question to be present where it was likely to enter controlled waters. Action by the
Agency under section 161, 161A or 46 or 46A does not require a conviction under
section 85 or 30.
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1.8.2 Cleanup Standards
At the present time, there are no recognized cleanup standards in Great Britain.
In the absence of official standards, the soil trigger values specified by the Interdepartmental
Committee on the Redevelopment of Contaminated Land (ICRCL) are widely used relative to
assessing soil contamination. The ICRCL guidance is summarized in Tables 1-2 and 1-3. The
trigger values established by the ICRCL are based upon the intended future use of the land and
are used to provide guidance on the significance of contamination. Values below the specified
threshold are deemed to be not significant and development/redevelopment can proceed
accordingly. Where values are in excess of the specified action level, some form of remediation
would be required before development/redevelopment proceeds, or the form of development must
be changed. Values between the threshold and action level are indicative of situations where
some form of remediation action may be needed, especially if the contamination is still continuing.
Although both tables originally were intended for use in relationship to sites to be developed or
redeveloped, in practice they are often applied when evaluating soil contamination associated with
already developed land.
The ICRCL guidance is incomplete in the sense that it does not address certain soil contaminants
such as volatile organic compounds, PCBs, or pesticides. Furthermore, the guidance document
does not include "action" values for several contaminants. Additionally, the guidance does not
concern itself with groundwater contamination. As a result, the Dutch standards are often used as
guidance in Great Britain relative to these latter parameters. A copy of the Dutch standards is
provided in Table 1-4.
Updated guidance on cleanup standards is expected to be available when the new provisions of
the contaminated land regime are implemented, but their applicability will still be determined on
the basis of risk.
1.8.3 Contaminated Land Publications
The government has developed an extensive set of publications on contaminated land, including
guidance information, the results of various committee investigations and workshops, and other
research. Additionally, there is a series of industry profiles that may be used to identify different
types of contaminants associated with various industrial activities. A list of these various
publications is provided in Appendix 1-C.
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1.9 Other Useful Information
1.9.1 List of Key Agencies
Note: The country code for Great Britain is 44.
Central Government Authorities
The following are headquarters or central office addresses:
Department of Environment, Transport and the Regions
Eland House
Bressenden Place
London SW1A 5DU
Tel: 0171-890-3333
Environment Agency
Rivers House
Waterside Drive
Aztec West, Almondsbury
Bristol, BS12 4UD
Tel: 01454-624400
Fax: 01454-624409
Scottish Environmental Protection Agency
Erskine Court
The Castle Business Park
Stirling, FK9 4TR
Tel: 01786-457700
Fax: 01786-446885
Health and Safety Commission/Heath and Safety Executive
Rose Court
2 Southwark Bridge
London SE19 9HS
Tel: 0171-717-6000
Fax: 0171-717-6717
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Regional and Local Authorities
A list of regional Environment Agency, Scottish Environmental Protection Agency, and Health and
Safety Executive offices is provided in Appendix 1-D. A list of local government authorities is
furnished in Appendix 1-E.
1.9.2 Sources of Regulatory Information
Copies of statutory instruments and related regulatory information can be obtained through the
following:
- Her Majesty's Stationery Office (HMSO)
HMSO Publication Center (Mail and Phone Orders Only)
Telephone Orders: 0171-873-9090
Fax Orders: 0171-873-8200
General Enquiries: 0171-873-0011
HMSO Bookshops
49 High Holborn 71 Lothian Road 9-21 Princess Street
London WC1V 6HB Edinburgh EH3 9AZ Albert Square
0171-430-1671 0131-228-4181 Manchester M60 8AS
0161-834-7201
Southey House 68/69 Bull Street Oriel
33 Wine Street Birmingham B4 6AD The Friary
Bristol BS1 2BQ 0121-236-9696 Cardiff CF1 4AA
01179-264306 01222-395548
- Health and Safety Commission/Executive Publications
HSE Books
PO Box 1999
Sudbury, Suffolk CO10 6FS
Tel: 01787 881165
Fax: 01787 313995
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- Department of Environment (DoE)
Publications issued by the former Department of Environment and for the time
being from its successor, the Department of Environment, Transport and the
Regions can be ordered as follows:
DOE Publications Sales Unit
Unit 8
Commercial Road
Goldthorpe, Rptjerja,
South Yorkshire S63 9BL
Tel: 01709-891318
There are also two useful publications that provide regulatory information, with one covering
environmental (Garner's), and the other health and safety (Croner's). These references are noted
as follows:
- Garner's Environmental Law
Butterworth & Company Ltd (Publishers)
88 Kingsway
London WC2B 6AB
Tel: 0171-400-2500
Garners provides full-texts of statutory instruments involving environmental
matters. The compendium is updated monthly.
- Croner's Health and Safety at Work
Croner Publications Ltd (Publishers)
Croner House
London Road
Kingston on Thames
Surrey KT2 6SR
Tel: 0181-547-3333
Croner's provides a summary only of health and safety-related legislation. The
compendium is updated monthly.
Lastly, the DETR, Environment Agency and HSE provide various information through the internet
The DETR's home page can be found at the following address:
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http://www.open.gov.uk/doe/doehome.html
The Environment Agency's home page is as follows:
http://www.environment-agency.gov.uk
The Health and Safety Executive home page can be found at:
http://www.open.gov.uk/hse/hsehome.htm
1.9.3 Other Contacts
Embassy of the United Kingdom U.S. Embassy
3100 Massachusetts Avenue, N.W. 24/31 Grosvenor Square
Washington, D.C. 20008 London, England
Tel: (202) 462-1340 Tel: 0171 499-9000
Fax: (202) 898-4255 Fax: 0171 499-4022
U.S. Department of State U.S. Department of Commerce
Country Desk Officer, United Kingdom Int'l Trade Admin., United Kingdom
Tel: (202) 647-8027 Washington, DC
Tel: (202) 482-3748
The American Chamber of Commerce in the UK
75 Brook Street
London, England WIY 2EB
Tel: 0171 493-0381
Fax: 0171 493-2394
1.9.4 Public Holidays
National holidays are noted as follows; this is a working guide only. Dates should be verified prior
to undertaking any visit. When holidays fall on a Saturday or Sunday, commercial establishments
may be closed the preceding Friday or the following Monday. Information shown under the
column "Variable Date" reflects the specified date in 1998.
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Fixed Date Variable Date
New Year January 1
Good Friday April 10
Easter Monday April 13
Bank Holiday May 4
Bank Holiday May 25
Bank Holiday August 31
Christmas Day December 25
Boxing Day December 26
1.10 Business Practices and Customs
Business practices and protocols vary around the world. What is acceptable in one country may
be taboo in another. Useful information on appropriate business practices and protocols in the
Great Britain is provided in Appendix 1-F. This valuable data has been furnished by the Newtown
Square, PA firm, Getting Through Customs, specialists in inter-cultural communications research,
training, and translations.
1.11 Description and Organization of Protocol
1.11.1 Scope and Limitations
These protocols are limited to addressing only those national EH&S requirements that have site-
specific application to day-to-day, land-based manufacturing operations. As a result, various
EH&S-related legislation is specifically excluded from this discussion. For example, there is a
substantial body of legislation that only applies to government entities and not the private sector.
Other legislation is focused on specific non-manufacturing industrial sectors (e.g., use of
protected natural areas and forest lands; requirements related to agriculture). Such legislation is
excluded from the scope of this protocol unless determined to be applicable. Finally, these
protocols do not cover requirements that may be imposed specifically on mining activities, or off-
shore and maritime-related activities.
Additional legislation that is not addressed in this protocol include regulations that relate to
"upstream activities" such as the sourcing of raw materials and their transport to the plant site, or
"downstream" activities such as the delivery of products or intermediates to the end user or end
user disposal. Finally, legislation related to product specifications, product registrations, licensing
or marketing are excluded from the scope of this protocol.
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The information presented herein is applicable and reasonably complete (relative to the scope
limitations previously discussed) as of approximately October 1, 1997. A complete list of the
various laws, regulations, and standards cited in this protocol document are provided in
Appendix 1-G. This list is organized by protocol topic.
1.11.2 Organization
This EH&S audit protocol is organized around sixteen topics, with a separate section devoted to
each. The protocol covers principal EH&S laws and regulations applicable to facilities located in
Great Britain. The specific topics covered are as follows:
Section 2.0 General Environmental
Section 3.0 Air Emissions
Section 4.0 Solid and Hazardous Waste
Section 5.0 Water Resources
Section 6.0 Above and Below Ground Tank Management
Section 7.0 Community Noise
Section 8.0 PCBs
Section 9.0 Asbestos
Section 10.0 General Health and Safety
Section 11.0 Equipment, Machine and Electrical Safety
Section 12.0 Material Handling and General In-Plant Safety
Section 13.0 Fire Safety and Accidental Release and Response Planning
Section 14.0 Transport of Dangerous Goods
Section 15.0 Industrial Hygiene
Section 16.0 Occupational Noise
Section 17.0 Construction Work Site Safety
Each protocol section begins with a summary description of the various regulations covered and is
followed by the body of the protocol itself which contains a series of questions relating to the
applicable legislation. Important clarifying information is often furnished either as a "Note" to a
particular question or in an accompanying table or appendix. Appropriate legislative references
are provided for each protocol question presented.
There is a very substantial body of advisory literature, particularly in the area of health and safety.
This literature includes guidance notes, approved codes of practice, general informational
booklets, and British Standards. While certain advisory literature has been used in the
development of the health and safety protocol sections, the scope and breadth of the available
information goes well beyond what could be incorporated in an EH&S audit protocol, particularly in
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view of the facility and operational-specific nature of the available literature. Readers may wish to
contact the HSE or the British Standards Institution for further information. The HSE contact was
previously provided in Section 1.9.1. The Head Office of the British Standards Institution is:
389 Chiswick High Road
London W4 4AL
0181-996-9000 Tel
0181-996-7400 Fax
1.11.3 Technical and Legal Support for Development of Protocol Document
ENSR was responsible for the preparation of this protocol document. We are indebted to Ms.
Kathy Mylrea, partner in the London law firm of Simmons & Simmons, for her technical and legal
support. The Environmental Law Department at Simmons & Simmons consists of nine lawyers
specializing exclusively in EH&S law. Ms. Mylrea and her associates provided valuable
assistance in preparing this protocol, including identifying applicable laws and regulations,
securing copies of these documents, and providing inputs to selected parts of the introductory
section.
Kathy was originally educated in the United States (Brown University) and then qualified in 1988
as a lawyer in Ontario, Canada (University of Toronto) specializing in environmental law. In 1988,
she moved to London, England and has been practicing in the EH&S area in London since that
time.
She has wide experience in various aspects of EH&S law, including providing compliance advice
on most aspects of UK and EU law, with particular emphasis on the waste, chemicals, and
pharmaceutical industries. She has participated in EH&S audits in most EU countries. She
regularly defends clients against criminal charges for alleged breaches of EH&S legislation as well
as assisting clients during interviews and investigations. Kathy is a frequent speaker at
conferences on EH&S topics and is the author of numerous published articles on the topic.
Ms. Mylrea can be reached at the following:
Simmons & Simmons
21 Wilson Street
London, England
Tel: (44-171) 628-2020
Fax: (44-171) 628-2070
E-Mail: kathryn.mylrea@simmons-simmons.com
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References for Section 1.0
The following reference sources were used to prepare this Introductory section:
General Background Information on the United Kingdom
Getting Through Customs, Newtown Square, PA. Information on business practices and customs
in the United Kingdom as derived through the firm's proprietary PASSPORT System. 1997.
Microsoft Corporation, "Encarta Multimedia Encyclopedia," 1994.
U.S. Central Intelligence Agency, "The World Fact Book 1995," 1995.
Information on Environmental Regulations in the United Kingdom
Clifford Chance, "Health and Safety at Work in the UK," in European Environmental Review,
Summer 1995.
Clifford Chance, "A Resume of the Environment Act 1995," February 1996.
Doolittle, Ian, "Environmental Law of the United Kingdom," in International Environmental Law and
Regulations, Schlickman, McMahon and van Riel, eds., Butterworth Legal Publishers, 1993.
Waite, Andrew, "United Kingdom," in International Encyclopedia of Environmental Law, Kluwer
Law and Tax Publishers, 1992.
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\GB01.doc Copyright ENSR Corporation 1997 All Rights Reserved
Environmental, Health
& Safety Audit Protocol
General Environmental
Excerpt from Malaysia Protocol
2.0 GENERAL ENVIRONMENTAL
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an
EH&S audit or self-assessment. It may require additions, revisions, or other modifications in
order to meet the needs of facility-specific assessment objectives, industrial setting, or other
special circumstances.
Tables or Appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout Malaysia.
The key laws and regulations covered in this protocol are as follows:
- Environmental Quality Act, 1974. This Act relates to the prevention, abatement, and
control of pollution and enhancement of the environment. The portions of the Act
relating to licensing requirements are addressed in this protocol.
- Environmental Quality Act Amendments, 1996.
- Environmental Quality (Prescribed Activities) (Environmental Impact Assessment)
Order, 1987, revised 1995. This Order specifies the types of proposed activities or
land use for which an environmental impact assessment must be conducted.
- Factories and Machinery Act, 1967. An Act to provide for the control of factories with
respect to matters relating to the safety, health and welfare of persons therein, and the
registration and inspection of machinery.
- Industrial Co-Ordination Act, 1975. This Act provides for the co-ordination and
orderly development of manufacturing activities in Malaysia, and for the establishment
of an Industrial Advisory Council.
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- Industrial Co-Ordination Rules, 1976, revised 1987. These Rules, promulgated under
the Industrial Co-Ordination Act, set forth the fee schedule and other specifics for
manufacturing facilities licensing under the Act.
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GENERAL ENVIRONMENTAL
Prescribed Premises
Note: The term "prescribed premises" is used in the Environmental Quality Act and in
many of the regulations and orders promulgated under the Environmental Quality Act.
The term refers to premises which may be, or may in the future be, designated as
requiring specific obligations. A master list of all of the prescribed premises or
prescribed activities regulated under the environmental laws and regulations has
apparently not been developed by the Department of Environment.
2.1 If the facility or part of the facility conducts any of the following, has it obtained a
license to operate from the Director-General of the Department of Environment
(Department of Environment)? [Environmental Quality Act, Section 18]
- The facility's activities are prescribed, and thus the premises are designated as
"prescribed premises" under the Environmental Quality Act or its regulations,
orders or rules;
- The facility emits or discharges substances in contravention of the acceptable
conditions specified in the Environmental Quality Act and/or its regulations.
2.2 If the facility is not currently classified as prescribed premises under any law or
regulation, does it ensure that it does not perform any of the following without first
receiving the prior written permission of the Department of Environment?
[Environmental Quality Act, Section 19]
- Conduct any work on the premises that would cause the premises to become
prescribed premises under the Environmental Quality Act or any of its
regulations, orders or rules;
- Construct on land any building designed or used for a purpose that would cause
the land or building to become prescribed premises under any law or regulation.
2.3 If the facility needs to conduct any work, building, erection, or alteration that will cause
the premises to become prescribed premises under the Environmental Quality Act or
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any of its regulations, orders or rules, has the facility submitted the following to the
Department of Environment for review? [Environmental Quality Act, Section 20]
- The plans and specifications of the proposed work, building, erection or
alteration together with details of the control equipment, if any, to be installed;
- A lay-out plan indicating the site of the proposed work, building, erection or
alteration which will take place in relation to the surrounding areas;
- The details of the trade, industry, or process proposed to be conducted on the
premises;
- Descriptions of waste constituents and characteristics; and
- Any other information requested by the Department of Environment.
Note: The Department of Environment will not approve an application unless the
applicant has already obtained planning approval from the competent planning
authority.
Environmental Impact Assessment Requirement
2.4 If the facility proposes to conduct any of the prescribed activities listed in Table 2-1, has
it provided a report that contains the following information to the Department of
Environment prior to commencing such activities? [Environmental Quality Act, Section
34A]
- An assessment of the impact the proposed activity will have or is likely to have
on the environment; and
- The proposed measures to be undertaken to prevent, reduce, or control any
such adverse impacts on the environment.
2.5 If the facility received approval from the Department of Environment to conduct the
prescribed activities, does it provide the Department of Environment sufficient proof
that the conditions attached to the report (if any) are being complied with, and that the
proposed measures to be taken to prevent, reduce or control the adverse impact on the
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environment are being incorporated into the design, construction and operation of the
prescribed activity? [Environmental Quality Act, Section 34A]
Environmental Audits
2.6 If the Department of Environment has required the facility to conduct an environmental
audit, has the facility performed the following? [Environmental Quality Act, 1996
Amendments, Section 33A]
- Appointed qualified personnel, registered with the Department of Environment,
to conduct the audit;
- Conducted the environmental audit; and
- Submitted an audit report to the Department of Environment in the manner
prescribed by the Department of Environment.
Manufacturing Activities
Note: The term "manufacturing activity" as used in the Industrial Co-Ordination Act means the
making, altering, blending, ornamenting, finishing, or otherwise treating or adapting any article
or substance with a view to its use, sale, transport, delivery or disposal, and includes the
assembly of parts and ship repairing but does not include any activity normally associated with
retail or wholesale trade.
2.7 If the facility conducts any manufacturing activities, has it obtained a license to do so
from the public officer appointed by the Prime Minister to issue such licenses?
[Industrial Co-Ordination Act, Section 3]
Note: A single application for a license may be made for one or more products
manufactured in one or more places of manufacturing activity. However, a separate
license will be issued for each place of manufacturing activity.
2.8 If the facility has received a manufacturing license, does it prominently display the
license (or a certified true copy thereof) in the place of manufacturing activity?
[Industrial Co-Ordination Rules, Rule 5]
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Other
2.9 Has the facility notified the Inspector of Factories and Machinery (Inspector) of any
structural changes in the factory, changes in the name of the factory, or the nature of
the work conducted at the factory? [Factories and Machinery Act, Section 42]
Note: The term "factory" is defined as any premises where: a) within the close,
curtilage or precincts of the premises or part thereof persons are employed in manual
labor in any process for, connected with or incidental to the making, altering, repairing,
ornamenting, sorting, finishing, cleaning, washing, breaking, demolishing, constructing,
re-constructing, fitting, refitting, adjusting or adapting of any article or part thereof; and
b) the said work is conducted by way of trade for the purposes of gain or incidentally to
any business so conducted.
2.10 Does the facility notify the Inspector within 30 days of ceasing the operation of on-site
machinery or the premises as a whole? [Factories and Machinery Act, Section 43]
2.11 Does the facility notify the Inspector within 10 days of selling, renting out or transferring
permanently or temporarily any machinery for which a certificate of fitness has been
issued? [Factories and Machinery Act, Section 44]
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Environmental, Health
& Safety Audit Protocol
Air Emissions
Excerpt from Mexico Protocol
3.0 AIR EMISSIONS
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an
EH&S audit or self-assessment. It may require additions, revisions, or other modifications in
order to meet the needs of facility-specific assessment objectives, industrial setting, or other
special circumstances.
Tables or Appendices referenced in the protocol are located at the end of this tab section.
This protocol applies to facilities located throughout Mexico.
Key regulations covered in this protocol are noted as follows:
- Regulation of the General Law of Ecological Equilibrium and Environmental
Protection for the Prevention and Control of Atmospheric Contamination. [published
in the D.O. dated November 25, 1988]. This regulation sets forth the requirements for
fixed sources of air emissions to obtain an operating permit and to comply with emissions
limitations established in the normas. The regulation also establishes
recordkeeping/reporting and monitoring requirements for fixed sources of air emissions.
- Resolution for the Exception from the Requirement to Obtain an Operating License
under Article 19 of the Regulation of the General Law of Ecological Equilibrium and
Environmental Protection for the Prevention and Control of Atmospheric
Contamination for Fixed Sources Considered Microindustries that May Emit Odors,
Gases or Solid or Liquid Particulates to the Atmosphere. [published in the D.O. dated
June 15, 1990]. This resolution lists the specific microindustries that are exempted from
the requirement to obtain an operating license.
- NOM-039-ECOL/93 (formerly NOM-CCAT-001-ECOL/1993). Maximum Allowable
Levels of Sulfur Dioxide, Sulfur Trioxide, and Sulfuric Acid Mist from Sulfuric Acid
Manufacturing Facilities. [published in the D. O. dated October 22, 1993; nomenclature
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revised November 9, 1994]. This regulation establishes the maximum allowable emissions
of sulfur dioxide and sulfur trioxide from existing and new sulfuric acid manufacturing
facilities. Emission limits for existing facilities are based upon the facility location within an
area defined as a critical zone.
- NOM-040-ECOL/93 (formerly NOM-CCAT-002-ECOL/93). Maximum Allowable
Emissions of Particulate Matter and Requirements for Control of Fugitive Emissions
from Stationary Sources Specializing in Cement Manufacturing. [published in the D.
O. dated October 22, 1993; nomenclature revised November 9, 1994]. This regulations
specifies particulate emissions limits for stationary sources used in the cement
manufacturing industry. Emissions limits are specified for equipment used in the
calcination process, as well as grinding, crushing and clinker cooling operations. Fugitive
emission controls from these sources are also established.
- NOM-043-ECOL/93 (formerly NOM-CCAT-006-ECOL/1993). Maximum Allowable
Levels of Particulate Matter from Stationary Sources. [published in the D. O. dated
October 18, 1993; nomenclature revised November 9, 1994]. This regulation establishes
the maximum allowable emissions of particulate emissions from stationary sources.
Emission limits are determined based upon the location of the facility and emissions
source.
- NOM-046-ECOL/93 (formerly NOM-CCAT-009-ECOL/1993). Maximum Allowable
Levels of Sulfur Dioxide, Sulfur Trioxide, and Sulfuric Acid Mist from
Dodecylbenzenesulfonic Acid Manufacturing Facilities. [published in the D. O. dated
October 22, 1993; nomenclature revised November 9, 1994]. This regulation establishes
the maximum allowable emissions of sulfur dioxide, sulfur trioxide and sulfuric acid mists
from existing and new dodecylbenzenesulfonic acid manufacturing facilities.
- NOM-051-ECOL/93 (formerly NOM-CCAT-015-ECOL/93). Maximum Permissible Level
of Sulfur by Weight in Industrial Gas-Oil Liquid Used by Stationary Sources.
[published in the D. O. dated October 22, 1993]. This regulation establishes the sulfur
limit for gas-oil liquid used by industrial facilities located within the Metropolitan Area of
Mexico City.
- NOM-075-ECOL/95. Maximum Permissible Limits of Emission into the Atmosphere of
Volatile Organic Compounds. [published in the D.O. dated December 26, 1995]. This
regulation establishes the maximum permissible limits of emission into the atmosphere of
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volatile organic compounds generated by the process of oil-water separators from oil
refineries.
- PROYECTO, NOM-078-ECOL/94. Maximum Permissible Levels of Air Emissions into
the Atmosphere of Hydrofluoric Acid. [proposal published for final comment in the D.O.
dated June 22, 1994]. This regulation establishes the maximum permissible levels of
emission into the atmosphere of hydrofluoric acid from plants which produce hydrofluoric
acid. Although still a proposal as of this writing (October 1996), this regulation can be
considered a standard by enforcement officials.
- PROYECTO, NOM-091-ECOL/94. Maximum Permissible Levels of Emissions into the
Atmosphere of Sulfur Dioxide and Particulate Material. [proposal published for final
comment in the D.O. dated September 20, 1994]. This regulation establishes the
maximum permissible levels of emissions into the atmosphere of sulfur dioxide and
particulate material, generated by the copper and zinc smelting plants. Although still a
proposal as of this writing (October 1996), this regulation can be considered a standard by
enforcement officials.
- NOM-097-ECOL/95. Maximum Permissible Levels of Air Emissions of Particulate
Materials and Nitrogen Oxide from the Glass Manufacturing Process. [published in
the D.O. dated February 1, 1996]. This regulation establishes the maximum permissible
levels of air emissions of particulate materials and nitrogen oxide from the glass
manufacturing industry.
- La Paz Agreement, Annex IV. Agreement Between the United States and Mexico
Regarding Cooperation of Emissions in the Border Area. This is a cooperative
agreement between the United States and Mexico applicable to companies located in the
transboundary area and establishes rules for emissions caused by copper smelting
companies. This agreement is considered enforceable as of January 29, 1987.
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AIR EMISSIONS
Authorizations
3.1 If the facility emits odors, gases, or solid liquid particulate matter, has the facility
obtained an operating license? [Regulation of the General Law of Ecological Equilibrium
and Environmental Protection for the Prevention and Control of Atmospheric
Contamination ("Air Regulation"), Arts. 18 and 19]
Notes: This requirement applies to all industrial or commercial processes or operations,
service operations, or activities that generate or may generate air emissions. There are
no minimum emissions levels that exclude a facility from this requirement.
However, certain so-called "microindustries" are exempt from obtaining an operating
license. The list of the 163 exempt microindustries was published in the Diario Oficial
dated June 15, 1990. See Appendix 3-A for a list of these microindustries. The
microindustry exemption DOES NOT exempt the facility from having to meet any
technical emissions standards that may apply.
3.2 If the facilities holds an operating license, does it meet all conditions established in the
license, including emission limitations? [Air Regulation, Art. 20]
3.3 If the facility conducts open air burning, does the facility obtain authorization from the
Secretariat of Environment, Natural Resources and Fisheries (SEMARNAP - formerly
Sedesol) at least 10 days prior to conducting the burning? [Air Regulation, Art. 27]
Note: Open air burning is allowed only if facility personnel are trained and qualified in
fire fighting.
Emissions Monitoring
3.4 Has the facility installed air emissions sampling ports and platforms? [Air Regulation,
Art. 17]
3.5 Does the facility maintain the sampling ports and platforms in a safe condition? [Air
Regulation, Art. 26]
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Note: The term "safe" is not defined in the regulation.
3.6 Does the facility calibrate the sampling measurement equipment that is installed on the
sampling ports and platforms? [Air Regulation, Art. 26]
3.7 Has the facility completed perimeter monitoring for its emissions contaminants? [Air
Regulation, Art. 17]
Note: Perimeter monitoring is required only for facilities located in urban or suburban
zones, adjacent to protected natural areas, or when the facility operations, raw
materials, products or secondary products may cause serious damage to ecosystems
(as judged by SEMARNAP - formerly Sedesol). There are no minimum emissions levels
that exclude a facility from this requirement.
3.8 Are the emissions sampling and measurements methods used consistent with the
specifications contained in the applicable NOMs? [Air Regulation, Art. 25]
Note: The air emissions sampling/measurement NOMs are listed in Table 3-1.
Recordkeeping/Reporting
3.9 Has the facility completed an emissions inventory and submitted it to SEMARNAP
(formerly Sedesol) on the schedule established in the operating license? [Air
Regulation, Arts. 17 and 20]
3.10 Does the facility maintain a logbook of operation and maintenance of process
equipment and air pollution control equipment? [Air Regulation, Art. 17]
3.11 Does the facility give SEMARNAP (formerly Sedesol) advance notice before starting up
operations after regular shut-downs, or immediate notice in the event there are
circumstances that may cause contamination? [Air Regulation, Art. 17]
Note: The term "contamination" is not defined in the regulation, but presumably refers to
an upset condition or excursion from established emission limitations.
3.12 Has the facility informed SEMARNAP (formerly Sedesol) of all major maintenance work
schedules or equipment failure including the time which is required for the equipment to
be repaired? [NOM-075-ECOL/95, 4.3]
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3.13 Does the facility provide immediate notification to SEMARNAP (formerly Sedesol) in the
event of the failure of air pollution control equipment if the failure may cause
contamination? [Air Regulation, Art. 17]
Note: The term "contamination" is not defined in the regulation, but presumably refers to
an upset condition or excursion from established emission limitations.
3.14 Does the facility submit to SEMARNAP (formerly Sedesol) in February of each year a
report containing the following information: [Air Regulation, Art. 21]
- General information concerning the applicant;
- Facility location;
- Process description;
- Distribution of machinery and equipment;
- Raw materials or fuels used in the process and method of storage;
- Method of transporting raw materials and fuels within the process area;
- Method of transforming raw materials and fuels;
- Products, secondary products and wastes generated;
- Method of storage, transportation and distribution of products and secondary
products;
- Quantity and type of contaminants emitted;
- Description of air pollution control equipment used; and
- Contingency plan that contains the actions and measures to be carried out when
the meteorological conditions in the region are not favorable, or when emissions of
odors, gases and liquid/solid particulate matter are uncontrolled.
Note: The phrase "when the meteorological conditions in the region are not favorable"
is not defined in the regulation. The term "uncontrolled" is not defined in the regulation.
3.15 If the facility has multiple emissions point sources, does the facility sum all the
emissions from all facility point sources to obtain the total emissions from the facility
when reporting to SEMARNAP (formerly Sedesol)? [Air Regulation, Art. 25]
Emission Controls--General
3.16 Are the facility's emissions sources being discharged through ducts or stacks? [Air
Regulations, Art. 23]
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Note: If the facility's emissions are not diverted to ducts or stacks, the facility must
submit a report to SEMARNAP (formerly Sedesol) providing technical justification.
3.17 Are the emissions ducts or stacks tall enough to achieve adequate dispersion as
specified in the NOMs? [Air Regulation, Art. 24]
Note: This regulations indicates that these emissions sources must be consistent with
"...corresponding technical standards". However at the time of this writing (October
1996) NOMs establishing the dispersion requirements for these sources have not been
developed.
3.18 If the facility produces particulate matter emissions, does the facility comply with the
particulate emissions standards shown in Table 3-2? [NOM-043-ECOL/93, 5.2]
Combustion Equipment
3.19 If the facility has combustion equipment for heating that uses liquid fossil fuels, gases,
or combinations thereof, does the facility comply with the emissions standards for such
fixed sources? [NOM-CCAT-019-ECOL/1993, published as an emergency rule in the D.
O. dated November 18, 1993].
Note: Although not indicated in the title of the NOM, emissions of sulfuric acid mist are
also contained in the standard. Calculations for the maximum emissions standards for
fixed sources take into account the number of individual point sources, location of
facility, thermal capacity of combustion equipment, type of fuel used, and date of
installation. See Appendix 3-B for the emissions standards.
3.20 If the facility is located within the Metropolitan Area of Mexico City and operates
combustion equipment with a rating of greater than 3,500 Mjoule/hour, is only liquid fuel
with a sulfur content less than or equal to 2% used? [NOM-051-ECOL/93, 5.1]
Oil Refineries
Note: The following question applies only to oil refineries.
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3.21 If the facility is an oil refinery and utilizes an oil-water separator, are at least 95% of
VOC emissions controlled by the use of a fixed or floatable cover? [NOM-075-
ECOL/95, 4.1]
Cement Manufacturing Operations
Note: The following questions apply only to cement manufacturing facilities.
3.22 Are particulate emissions from pre-heaters, pre-calcinators and rotary kilns which are
used in the calcination process less than or equal to the maximum allowable emissions
limits, as specified below: [NOM-040-ECOL/93, 5.1, Table 1]
- For processes rated at less than 300 tons/hour, 0.6319 times the quantity fed to the
calcination kilns (tons/hour) multiplied by a factor of 0.752; or,
- For processes rated at equal to or greater than 300 tons/hour, 0.15 times the
quantity fed to the calcination kilns (tons/hour)?
3.23 Are particulate emissions from crushing, grinding, and clinker cooling operations less
than or equal to the following maximum allowable emissions limits: [NOM-040-
ECOL/93, 5.1, Table 2]
For crushing operations, 80 mg/m3;
-
For raw material grinding operations conducted without an integral dryer, 80 mg/m3;
-
- For raw material grinding operations conducted with an integral dryer that uses
fossil fuel, 380 mg/m3;
For cement grinding operations, 80 mg/m3; and,
-
For clinker cooling operations, 150 mg/m3?
-
3.24 If any process has two or more stacks, does the facility conduct sampling of these
sources simultaneously so as to determine emissions levels as a total for all sources?
[NOM-040-ECOL/93, 5.5]
3.25 Are the following fugitive emissions controls used at the facility: [NOM-040-ECOL/93,
5.2]
- Sheds, screens or canopies are provided at raw material discharge points;
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- Sheds, screens or canopies are used to cover material storage piles and/or storage
hoppers;
- Control equipment is provided for storage silos;
- Material conveyor belts and carriers are confined and equipped with control
devices, particularly at material transfer points;
- Sheds, screens or canopies, or emissions control equipment, are provided for bulk
loading areas;
- Any other operations which result in fugitive emissions are confined and equipped
with emissions control equipment; and
- Areas designated for vehicle traffic are paved and kept clean?
3.26 Does the facility have in place procedures to ensure that the following measures are
taken in the event of a breakdown of emissions control equipment: [NOM-040-
ECOL/93, 5.4]
- For monitoring equipment in the calcination process, within 4 hours of equipment
breakdown a reduction of raw material loading activities until operations cease;
- For any other operation, within 1 hour of equipment breakdown, suspending all raw
material loading activities?
3.27 Does the facility keep the following records for its calcination furnaces: [NOM-040-
ECOL/93, 5.6.1]
- The hourly average volume of raw material supply and the daily, monthly and
annual total volume processed;
- The temperature of exit gases from the furnace, as measured every 2 hours;
- The date, time, length and cause of equipment shutdowns and restart of operations;
and
- The type and quantity of fuel used per hour?
3.28 Does the facility keep records of all equipment malfunctions or breakdowns for
emissions control equipment, including their cause, repair activities and time of restart?
[NOM-040-ECOL/93, 5.6.2]
3.29 Does the facility keep records of all preventive and corrective maintenance activities
conducted on furnaces, burners and emissions control equipment? [NOM-040-
ECOL/93, 5.6.3]
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3.30 Are records kept whenever an unusual occurrence (i.e., explosion, electrical power
supply failure, etc.) results in unexpected emissions exceedances? [NOM-040-
ECOL/93, 5.6.4]
Sulfuric Acid Manufacturing Facilities
Note: This section of the protocol applies only to those new or existing sulfuric acid
manufacturing operations. "New facilities" are those facilities where sulfuric acid
manufacturing operations were initially installed after the effective date of NOM-039-
ECOL/93. "Existing facilities" are those facilities where sulfuric acid manufacturing
operations were in operation prior to the effective date of NOM-039-ECOL/93. The
effective date of NOM-039-ECOL/93 is October 23, 1993.
3.31 Are sulfur dioxide emissions from existing facilities located within critical zones below
those maximum allowable levels specified in Part A of Table 3-3? [NOM-039-ECOL/93,
5.2]
Note: For the purpose of this section, the following areas are considered critical zones
due to the presence of elevated concentrations of atmospheric pollution in these
locations:
- Metropolitan areas of Mexico City, Monterrey, Guadalajara, Coatzacoalcos-
Minatitlan in the State of Veracruz;
- Irapuato-Celaya-Salamanca, in the State of Guanajuato;
- Tula-Vito-Apasco, in the State of Hidalgo;
- Industrial Corridor of Tampico-Madero-Altamira, in the State of Tamaulipas; and,
- the Northern Border Area.
3.32 Are sulfur dioxide emissions from existing facilities located in all other areas of the
country below those maximum allowable levels specified in Part B of Table 3-3? [NOM-
039-ECOL/93, 5.2]
3.33 Are the hourly average sulfur dioxide emissions measured within the property limits of
the facility less than the following maximum allowable levels: [NOM-039-ECOL/93,
5.2.1]
- For facilities located within critical zones, 0.234 ppm; or,
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- For facilities located in other areas of the country, 0.3 ppm?
3.34 Are sulfur dioxide emissions from new facilities less than the following maximum
allowable emissions limits? [NOM-039-ECOL/93, 5.3]
- For facilities with capacities between 1 and 500 tons/day, 13.0 kg sulfur dioxide per
ton of sulfuric acid (100%); or,
- For facilities with capacities greater than 500 tons/day, 3.0 kg sulfur dioxide per ton
of sulfuric acid (100%)?
3.35 For existing and new facilities, are emissions of sulfur trioxide and sulfuric acid mist less
than 1/1000 of the facility's production volume? [NOM-039-ECOL/93, 5.4]
Dodecylbenzenesulfonic Acid Manufacturing Plants
Note: This section of the protocol applies only to those new or existing
dodecylbenzenesulfonic acid manufacturing operations. "New facilities" are those
facilities where dodecylbenzene sulfonation processes were initially installed, or existing
processes were modified, after the effective date of NOM-046-ECOL/93. "Existing
facilities" are those facilities where dodecylbenzene sulfonation processes were in
operation prior to the effective date of NOM-046-ECOL/93. The effective date of NOM-
046-ECOL/93 is October 23, 1993.
3.36 Are emissions from existing facilities below the following maximum allowable levels:
[NOM-046-ECOL/93, 5.1, Table 1]
- Less than 3.0 g sulfur dioxide per kg of dodecylbenzenesulfonic acid produced
(100%); and
- Less than 1.2 g sulfur trioxide mist and sulfuric acid (expressed as
dodecylbenzenesulfonic acid) per kg of dodecylbenzenesulfonic acid produced
(100%)?
3.37 Are emissions from new facilities below the following maximum allowable levels: [NOM-
046-ECOL/93, 5.1, Table 1]
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- Less than 2.0 g sulfur dioxide per kg of dodecylbenzenesulfonic acid produced
(100%); and
- Less than 1.2 g sulfur trioxide mist and sulfuric acid (expressed as
dodecylbenzenesulfonic acid) per kg of dodecylbenzenesulfonic acid produced
(100%)?
Hydrofluoric Acid Manufacturing Plants
Note: This section of the protocol applies only to those new or existing hydrofluoric acid
manufacturing operations. "New facilities" are those facilities where hydrofluoric acid
processes were initially installed, or existing processes were modified, after the effective
date of NOM-078-ECOL/94. "Existing facilities" are those facilities where hydrofluoric
acid processes were in operation prior to the effective date of NOM-078-ECOL/94. At
the time of this writing (October 1996), NOM-078-ECOL/94 had not been published as a
final regulation and an effective date was not available. However, as this regulation
was published for comment by SEMARNAP, it could be used as a compliance standard
for hydrofluoric acid manufacturing operations by enforcement officials.
3.38 Are the total fluorides emitted through waste gas stacks for the manufacturing
processes within the maximum permissible limit specified below, as expressed as
concentration of hydrogen fluoride for each ton of base liquid of 100% pure product:
[NOM-078-ECOL/94, 5]
- For existing plants: 100 grams per ton; and,
- For new projects: 50 grams per ton?
3.39 If the facility is an existing hydrofluoric acid manufacturing plant, are emission
concentrations for gaseous inorganic fluoride from hydrofluoric acid manufacturing
activities within the following maximum permissible limits: [NOM-078-ECOL/94, 5.2]
- 0.01 parts per million volume basis (ppmv) 24 hour average at floor level;
- 0.06 ppmv 24 hour average at floor level; and,
- 0.04 ppmv 24 average at floor level?
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3.40 Are the facility emissions evaluated in the previous question determined as the
difference of the concentrations measured downwind and upwind from the emission
source, and referenced to 25癈 and 760 mmHg? [NOM-078-ECOL/94, 5.2]
3.41 If the facility is a new hydrofluoric acid manufacturing plant, are the fluoride emissions
from the manufacturing of hydrofluoric acid less than 0.004 ppmv 24 average, as
measured at floor level? [NOM-078-ECOL/94, 5.3]
3.42 Has the facility installed continuous monitoring systems on the waste gas discharge
stacks? [NOM-078-ECOL/94, 5.6]
3.43 Are chart records from these continuous monitoring systems readily available for
review? [NOM-078-ECOL/94, 5.6]
Copper and Zinc Smelting Companies
Note: This section of the protocol applies only to those new or existing copper and zinc
smelting operations. "New facilities" are those facilities where copper and zinc smelting
processes were initially installed, or existing processes were modified, after the effective
date of NOM-091-ECOL/94. "Existing facilities" are those facilities where copper and
zinc smelting processes were in operation prior to the effective date of NOM-091-
ECOL/94. At the time of this writing (October 1996), NOM-091-ECOL/94 had not been
published as a final regulation and an effective date was not available. However, as
this regulation was published for comment by SEMARNAP, it could be used as a
compliance standard for copper and zinc smelting operations by enforcement officials.
Annex IV of the La Paz agreement applies only to copper smelting operations.
3.44 Are air emissions of sulfur dioxide, nitrogen dioxide and particulate matter from smelting
operations within the maximum permissible limits of air emissions for new and existing
sources as listed in Table 1 of NOM-091-ECOL/94, provided in Appendix 3-C? [NOM-
091-ECOL/94, 5.1]
Note: The following emissions are exempt from complying with the limits specified in this
regulation, but are subject to compliance with questions 3.48-3.56:
- Emissions from facility start-ups;
- Emissions after downtime; and,
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- Emissions during maintenance activities.
3.45 Are facility sulfur dioxide emissions from copper smelting operations less than 0.065
percent by volume during any 6 hour period? [La Paz Annex IV, Article 1, 3.]
3.46 Are facility sulfur dioxide emission levels from copper smelting operations monitored
relative to the following criteria: [La Paz Annex IV, Article 1, 5.]
- The average 6 hour concentration of sulfur dioxide, as estimated and recorded
during four 6 hour daily periods, beginning at 12:00 AM;
- Each 6 hour concentration period composed of the average readings of sulfur
dioxide measured during each hour; and,
- The average hourly concentration as estimated by 4 or more data points equally
distributed over each one hour period?
3.47 Are start-up times for processes at zinc smeltering facilities less than the following:
[NOM-91-ECOL/94, 5.1.1]
- 2 hours for cold start-up of smeltering processes, and
- 24 hours for start-up of other facility operations?
3.48 Are start-up times for processes at copper smeltering facilities less than the following:
[NOM-91-ECOL/94, 5.1.1]
- 6 hours for cold start-up of smeltering processes, and
- 24 hours for start-up of other facility operations?
3.49 Are sulfur dioxide emissions less than 3500 ppm as measured from the point of
discharge during cold start-up times? [NOM-91-ECOL/94, 5.1.1]
3.50 During unforeseen downtime periods, are cold start-up times less than 8 hours? [NOM-
91-ECOL/94, 5.1.1]
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3.51 During unforeseen downtime periods, are sulfur dioxide emission concentrations less
than 3500 ppm? [NOM-91-ECOL/94, 5.1.1]
3.52 During unforeseen downtime periods, if the acid converters in the facility remain loaded,
is the blow duration used to free sulfur dioxide gases less than 8 hours? [NOM-91-
ECOL/94, 5.1.1]
3.53 During unforseen downtime periods, if acid converters in the facility remain loaded, is
the concentration of sulfur dioxide in emissions less than 3%? [NOM-91-ECOL/94,
5.1.1]
3.54 Does the facility notify the SEMARNAP (formerly Sedesol) within 60 minutes of any
unforeseen downtime period? [NOM-91-ECOL/94, 5.1.1]
3.55 Has a continuous monitoring system for intermittent emissions tests been installed on
the outlet of the sulfur dioxide gas flow? [NOM-091-ECOL/94, 5.4]
3.56 Are sulfur dioxide concentrations determined as an arithmetic average of 6 stages of
sampling, 1 hour each, and registered daily during 4 consecutive periods of 6 hours
each? [NOM-091-ECOL/94, 5.4.1.1]
3.57 Does the copper smelting facility calibrate the continuous monitoring system daily in
accordance with a quality assurance program? [La Paz Annex IV, Article 2, 1.]
3.58 Have continuous opacity monitoring systems for copper and zinc smeltering operations
been installed so as to intermittently monitor emissions within the outlet gas flow?
[NOM-091-ECOL/94, 5.4.3]
3.59 Are compliance tests of the continuous opacity monitoring systems for copper and zinc
smeltering operations conducted? [NOM-091-ECOL/94, 5.4.3]
3.60 Is the opacity of gases emitted from any drying or binding machine continuously
monitored? [NOM-091-ECOL/94, 5.4.3.1]
3.61 Have all 60 minute periods where the measured average capacity for the continuous
monitoring exceeds permissible levels been reported to the regulatory agency? [NOM-
091-ECOL/94, 5.4.3.1]
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3.62 If the facility conducts copper smelting operations, are the following records maintained
for at least two years: [La Paz Annex IV, Article 2, 1(b)]
- Emission level records;
- Continuous monitoring system chart records;
- Monitoring device records;
- Efficiency test measures;
- Calibration reports for the continuous monitoring systems;
- Records of adjustments or maintenance activities performed for monitoring devices;
and,
- Any other information requested by regulatory authorities?
3.63 Does the copper smelting facility maintain a monthly record of the total load of the
smelter? [La Paz Annex IV, Article 2, 1(b)(ii)]
3.64 Does the copper smelting facility prepare and submit to regulatory authorities quarterly
(every 3 months), written reports of the sulfur dioxide emissions from copper smelting
operations that exceeded the 0.065 percent by volume limit during any 6 hour period?
[La Paz Annex IV, Article 2, 1(b)(iii)]
Glass Manufacturing Processes
Note: The following processes are excluded from compliance with questions 3.66-3.71:
- Glass reheating;
- Craft ovens; and,
- Ovens for painting and decorating glass (i.e., facilities which use manufactured
glass as raw material).
3.65 Are nitrogen oxide emissions from glass manufacturing processes within the maximum
permissible limits specified in Table 1, 2, and 3 of NOM-097-ECOL/95, provided as
Appendix 3-D? [NOM-097-ECOL/95, 4.2]
Note: Appendix 3-D also includes the equations to be used to estimate oven emissions.
3.66 Have ovens with a production capacity of 100 tons of melted glass/day which are
located within critical zones been equipped with continuous monitoring systems for
nitrogen oxides? [NOM-097-ECOL/95, 4.8] (see Note on next page)
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Note: For the purpose of this section, critical zones are those locations that have high
air pollution concentrations, and include the following:
- Metropolitan areas of Mexico City, Monterrey, Guadalajara, Coatzacoalcos-
Minatitlan in the State of Veracruz;
- Irapuato-Celaya-Salamanca, in the State of Guanajuato;
- Tula-Vito-Apasco, in the State of Hidalgo;
- Industrial Corridor of Tampico-Madero-Altamira, in the State of Tamaulipas; and,
- The Northern Border Area.
3.67 Are nitrogen oxide emissions monitored as a function of the concentration of O2 and CO
and recorded daily in the facility's operation logbook? [NOM-097-ECOL/95, 4.8]
3.68 If the facility is located in areas other than those critical zones listed above and utilizes
ovens with capacities less than 100 tons/day, are nitrogen oxide emissions evaluated at
least every 6 months? [NOM-097-ECOL/95, 4.9]
3.69 Does the facility evaluate particulate matter emissions from process ovens every 6
months? [NOM-097-ECOL/95, 4.10]
3.70 Have source emission compliance reports been prepared which include the following:
[NOM-097-ECOL/95, 4.11]
- The stack emission parameters;
- The source operating temperature during monitoring;
- The volume and type of fuel at 20癈 or 1 kg/cm2;
- The percentage of recycled glass (cullet) processed; and
- The type of glass and/or processed product manufactured?
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Environmental, Health
& Safety Audit Protocol
Solid and Hazardous
Waste
Excerpt from China Protocol
4.0 SOLID AND HAZARDOUS WASTE
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an
EH&S audit or self-assessment. It may require additions, revisions, or other modifications in
order to meet the needs of facility-specific assessment objectives, industrial setting, or other
special circumstances.
Tables or appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout China.
The key laws and regulations covered in this protocol are noted as follows:
- Law on the Prevention and Control of Environmental Pollution by Solid Wastes,
adopted at the eighth meeting of the Standing Committee of National Peoples
Congress by Order No. 58 of the President of the PRC on October 30, 1995. This law
sets forth several requirements related to the storage, collection, disposal, and
import/export of solid waste. Note that the implementing regulations have not been
promulgated to date.
- Provisions on Environmental Protection Design of Construction Projects, State
Planning Commission and National Environmental Protection Agency, March 20,
1987. This regulation sets forth requirements for the various stages of construction
project design for the purpose of controlling new pollution sources. Relative to this
protocol section, the relevant part of this regulation concerns the stipulation that certain
controls be employed to eliminate or reduce waste discharges from industrial facilities.
- Marine Environmental Protection Law. Adopted August 23, 1982 at the 24th Session of
the Standing Committee of the 5th National Peoples Congress. This law sets forth
requirements for the discharge or disposal of various wastes into the ocean and for the
storage of waste along the coastline.
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- Regulations on Control Over Dumping of Wastes in the Ocean, March 6, 1985. These
regulations provide clarification on various issues relating to ocean dumping as set forth in
the Marine Environmental Protection Law.
- Administrative Regulations of the PRC to Prevent Pollution From Coastal
Construction Projects from Damaging the Marine Environment, State Council, June
25, 1990. This regulation contains rules for the storage of wastes in coastal areas. It also
requires the use of pollution control equipment for certain types of operations located in
such areas.
- Administrative Provisions on the Administration of the Prevention and Control of
Pollution in the Protected Zones of Drinking Water Sources, National Environmental
Protection Agency, Ministry of Sanitation, Ministry of Construction, Ministry of Water
Conservation, Ministry of Geology and Mineralogy. July 10, 1989. For purposes of this
protocol section, these provisions prohibit the storage, disposal and/or use of various
chemicals and wastes in drinking water protection zones.
- Regulations for Managing Controlled Chemical Substances, State Council,
December 27, 1995. This sets forth requirements for industries using and/or producing
various categories of controlled chemicals (that is, chemicals that could be used for
chemical weapons).
- Pesticide Registration Regulation, Ministry of Agriculture, Ministry of Forests,
Ministry of Chemical Industry, Ministry of Sanitation, Ministry of Commerce, and
State Council Environmental Protection Committee, April 10, 1982. This regulation
sets forth registration requirements for facilities that manufacture new pesticides,
herbicides, or biocides.
- Regulation on Safe Use of Pesticides, Ministry of Agriculture and Ministry of
Sanitation, June 5, 1982. This legislation regulates the storage and controlled use of
pesticides.
- Interim Regulations on Environmental Protection Work, Annex 2, Ministry of Oil
Industry, October 1980. These regulations set forth waste handling/treatment
requirements for the petroleum and petrochemical industry.
- Provisions on Prevention and Control of Environmental Pollution Caused by the
Production of Chromium Compounds, Ministry of Chemical Industry and National
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Environmental Protection Agency, May 5, 1992. These legislation sets forth an
approval process to regulate the chromium compound industry.
In addition to the above laws and regulations, several guidance documents and standards
were incorporated into this section of the protocol. Specific documents considered are noted
as follows:
- National Standards for the Discharge of "Three Industrial Wastes," GBJ4-73,
promulgated by the State Planning Commission, State Construction Commission,
and Ministry of Public Health, November 17,1973. These standards were promulgated
to prevent water and soil pollution from the "Three Industrial Wastes" (waste gas,
wastewater, and waste residue). Specific applications relative to this section of the
protocol include waste storage area standards.
- National Health Standards for the Design of Industrial Enterprises, TJ36-79, Ministry
of Public Health, National Commission of Planning, National Commission of
Economy, and the State Bureau of Employment and Labor Service, November 1,
1979. This legislation sets forth construction design standards to protect the environment,
improve working conditions, and protect public health. Relative to this protocol section,
this legislation contains construction standards for waste storage areas.
- Discharge Standard for Pollutants from Chromium Salt Industry, GB4280-84, Ministry
of Urban and Rural Construction and Environmental Protection, May 18, 1984. For
the purpose of this protocol, this standard sets forth waste storage area requirements
specific to the chromium salt industry.
- Pollution Control Standard of Solid Waste in Nonferrous Metal Industry, GB5085-85,
National Environmental Protection Agency, April 25, 1985. These standards provide a
means of identifying hazardous and toxic waste generated in the nonferrous metal
industry and specifies the disposal/treatment options to be used.
- Standard of Limit on Radioactive Substance for Industrial Waste Slags Used in
Construction Materials, GB6763-86, National Environmental Protection Agency, 1986.
This is a specific standard that applies to facilities that produce building materials using
radioactive slag. The standard limits the radioactivity of the slag.
- Standard of Control on Radioactivity of Building Materials Containing Industrial
Waste Slag, GB9196-88, National Environmental Protection Agency, 1988. This is a
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specific standard that applies to facilities that produce building materials using radioactive
slag. The standard limits the radioactivity of the finished product.
- Control Standard on Cyanide for Waste Slags, GB12502-90, National Environmental
Protection Agency, October 16, 1990. This legislation sets forth storage standards for
slag containing various concentrations of cyanide.
- Circular on Reporting and Registering of Solid Wastes throughout China, National
Environmental Protection Agency, July 1994. This circular sets forth the types and
amounts of solid waste that trigger the requirement to register with the local environmental
protection department.
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SOLID AND HAZARDOUS WASTE
General Waste Requirements
4.1 Does the facility ensure that all waste residues or liquids from production equipment,
facilities, and sewage are collected for treatment and that none are discharged into
water bodies or disposed at random? [State Design Regulation for Environmental
Protection in Construction Projects, Article 48]
Note: The Water Pollution Prevention and Control Law of 1984, as amended,
prohibits the discharge of acidic liquids, alkaline liquids, industrial wastes, radioactive
waste, municipal refuse, or toxic waste liquids into fresh water bodies.
4.2 If the facility dumps or discharges any kind of wastes into the ocean, has it received
approval to do so from the State Administrative Department of Marine Affairs? [Marine
Environmental Protection Law, Article 38]
Note: The State will issue a permit for this activity. The permit will specify the
allowable dumping location, and the time frame for dumping. The wastes need to be
verified by the approving department or by the Harbour Superintendency
Administration after they are loaded (before dumping). Upon disposal/dumping, the
facility must make a detailed record of such and present a written report to the
approving department or to the Harbour Superintendency Administration depending
on whether the dumping is carried out from land or sea (i.e., by vessel).
4.3 If the facility generates, collects, stores, and/or transports solid waste or industrial
solid waste, has it adopted measures to prevent pollution of the environment by those
wastes? [Law of the Prevention and Control of Pollution of the Environment by Solid
Waste, Articles 15, 16 and 29]
Note: For purposes of this law, the definition of "solid waste" is solid or semi-solid
discarded matter generated in production, construction, daily life or other activities that
pollute the environment. The definition of "industrial solid waste" is solid waste which
is generated in industry, transportation, or other production activities.
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Storage and Disposal of Industrial Solid Waste
4.4 If the facility generates industrial solid waste, did it provide relevant information
concerning the amount, flow path, storage, and disposal of the waste to the
environmental protection department at or above the county level? [Law of the
Prevention and Control of Pollution of the Environment by Solid Waste, Article 31]
Notes: This is a "one-time" submission unless there is a change in the type, quantity,
or flow path of industrial waste being generated. Depending on the type and amount
of wastes generated, facilities may also be required to register with the local
environmental protection department. (Circular on Reporting and Registering of Solid
Wastes Throughout China)
4.5 If the facility closed, idled, or dismantled equipment for the prevention and control of
pollution by industrial solid waste, did it first receive approval from the environmental
protection department at or above the county level prior to doing so? [Law of the
Prevention and Control of Pollution of the Environment by Solid Waste, Article 20]
4.6 If the facility generates industrial solid waste, has it established storage and disposal
facilities or sites for that portion of the waste stream that cannot be reutilized? [Law of
the Prevention and Control of Pollution of the Environment by Solid Waste, Article 32]
4.7 If a storage or disposal facility has been established, does it comply with national
environmental protection standards? [Law of the Prevention and Control of Pollution
of the Environment by Solid Waste, Article 34]
Notes: Environmental protection standards relative to storage/disposal facilities are
not defined in the law but are expected to be issued in the near term. However, the
National Health Standards for the Design of Industrial Facilities and the State Design
Regulation for Environmental Protection in Construction Projects set the following
standards for storage facilities:
- "Measures should be taken to prevent rainfall from leaching pollutants out of
open-air storage piles" (Article 41); and,
- "If industrial waste residues are stored in piles, there must be some device to
prevent the generation of dust, and to prevent self-combustion". (Article 51)
In addition, the National Standard for the Discharge of "Three Industrial Wastes"
(Article 18) indicates that storage places may not be located in protected public health
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zones which are designated by Ministry of Urban Construction and Public Health. The
Water Pollution Prevention and Control Law prohibits the storage of solid wastes and
other pollutants on beaches or on slopes located at the lower reaches of rivers, lakes,
canals, irrigation ditches, and reservoirs. Furthermore, the Administrative Provisions
on the Administration of the Prevention and Control of Pollution in the Protected
Zones of Drinking Water Sources prohibits the dumping of waste into designated
drinking water protection zones and the storage of wastes in a Grade 1 protection
zone. (The local environmental protection department is responsible for designating
such protection zones.)
Companies generating industrial solid waste that have not established storage or
disposal facilities and/or sites that comply with environmental protection standards by
October 30, 1995 must, within a specified time period (not defined in the regulation),
pay pollution fees until the construction or renovation is completed.
4.8 If the facility transfers solid waste out of a province, autonomous region, or
municipality directly under the control of the central government for storage or
disposal, was a report filed with the environmental protection department at the
provincial level from which the solid waste was transferred, and was a permit to do so
received? [Law of the Prevention and Control of Pollution of the Environment by Solid
Waste, Article 23]
Note: A permit may also be required from the environmental protection department of
the province that is receiving the waste.
4.9 Does the facility ensure that is does not receive (import) any solid waste originating
from outside of China unless it is capable of reusing (i.e., as a raw material) that
waste and has received a permit to do so from the State Council? [Law of the
Prevention and Control of Pollution of the Environment by Solid Waste, Articles 24
and 25]
Notes: A list of solid wastes that can be imported for use as raw materials is provided
in Table 4-1.
A State Council circular, issued in November 1995, entitled "Circular of the State
Council General Office on the Strict Control of the Transfer of Foreign Waste to the
PRC" indicates that companies that engage in the illegal importation of foreign waste
will be severely punished.
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Note: The following three questions, 4.10 to 4.12 are applicable only to facilities
located along the coastline (i.e., adjacent to the ocean or tidal waterway).
4.10 If a coastal facility stores slags, cinders, garbage or other wastes along seashores
and beaches, has it received approval to do so from the provincial or municipal
environmental protection department? [Marine Environmental Protection Law, Article
22]
4.11 If a facility has received approval to store such wastes along seashores or beaches,
have dikes been constructed to prevent the wastes from affecting the ocean? [Marine
Environmental Protection Law, Article 24]
4.12 If an industrial waste disposal area located on the coast is used by the facility, have
the environmental protection measures listed below been taken? [Administrative
Regulations to Prevent Pollution from Coastal Construction Project Damaging the
Marine Environment, Article 20]
- Installation of protective embankments and a sealing layer at the base of the
area;
- Installation of a system to channel, collect and dispose of leachate; and,
- Installation of a device or system to vent flammable gases to prevent an
explosion.
Hazardous and Toxic Waste Storage and Disposal
4.13 If a facility collects, stores or disposes of hazardous wastes, has it received an
operating permit for that activity? [Law of the Prevention and Control of Pollution of
the Environment by Solid Waste, Article 49]
Notes: The law does not specify a threshold limit that triggers the permit requirement.
Therefore, a facility that stores, collects, or disposes of any quantity of hazardous
waste for any length of time should obtain a permit.
It is prohibited to engage a hazardous waste collection, storage, and disposal firm that
does not possess a business license. Also note that any enterprise that disposes of
hazardous wastes in landfills that do not conform to applicable State regulations will
be subject to a pollution charge (Article 48 of the Law of the Prevention and Control of
Pollution of the Environment by Solid Waste).
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4.14 Have all hazardous waste containers and all facilities/sites for the collection, storage,
transport, and disposal of hazardous wastes been labelled/marked appropriately?
[Law of the Prevention and Control of Pollution of the Environment by Solid Waste,
Articles 43 and 44]
Note: The law does not specify what types of labels should be used. The State
Council is in the process of formulating a list of hazardous wastes, and establishing
unified standards and methods for distinguishing and labelling hazardous wastes.
4.15 Does the facility ensure that hazardous and toxic waste storage areas meet the
following criteria? [Law of the Prevention and Control of Pollution of the Environment
by Solid Waste, Article 50; and National Health Standards for Industrial Design, Article
28(2)]
- Incompatible hazardous wastes are stored separately;
- Hazardous wastes are stored separately from nonhazardous waste; and,
- Highly toxic substances are stored separately from less toxic substances.
4.16 If the facility stores industrial waste in piles outside the plant, has it, in addition to the
storage area rules mentioned in the previous question, implemented the following?
[State Design Regulation for Environmental Protection in Construction Projects,
Articles 41 and 51]
- Measures to prevent rainfall from leaching pollutants out of the piles;
- Measures to prevent the generation of dust; and,
- Measures to prevent self-combustion.
4.17 Does the facility ensure that it does not discharge or bury extremely toxic, soluble
waste residues (e.g. mercury, cadmium, arsenic, chromium, lead, cyanide, and yellow
phosphorus)? [State Design Regulation for Environmental Protection in Construction
Projects, Article 50]
Notes: Article 50 of the referenced design regulation and Article 19 of the National
Standards for the Discharge of "Three Industrial Wastes", state that "sites for
depositing extremely toxic residues shall be waterproof and protected against
seepage and leachate loss" and that "there must be facilities for collecting and
monitoring rainwater or leachate from deposit sites".
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4.18 If the facility generates waste slag that contains cyanide, does it ensure that slag
containing cyanide concentrations of less than or equal to 1 part per million (ppm) is
stored on sites approved by the local environmental protection department? [Control
Standard for Waste Slag Containing Cyanide]
Note: Slags containing greater concentrations of cyanide should be stored at sites
that have measures to prevent rainfall from leaching pollutants out of the piles.
4.19 Does the facility ensure that a waste manifest accompanies hazardous waste
shipments and that copies of those manifests are sent to the environmental protection
department at or above the county level of the originating locality and the receiving
locality? [Law of the Prevention and Control of Pollution of the Environment by Solid
Waste, Article 51]
Note: A description of what information a manifest should contain, and the format are
not provided in the law. The State Council will be issuing an implementing
regulation(s) formalizing the hazardous waste manifest system.
Selected Controlled Chemicals
4.20 If the facility uses any chemicals that can be used directly as a chemical weapon
(Type I) for the purposes of scientific research or to produce medicine, has it received
approval to do so from the State Council? [Regulation on the Management of the
Controlled Chemicals, Article 6]
Note: The State Council will produce a list of chemicals that can be used directly as a
chemical weapon (Type I chemicals).
4.21 If a facility produces any Type II or III chemicals, or Type IV chemicals containing
phosphorus, sulphur, or fluorine, has it received a special permit to do so from the
State Council? [Regulation on the Management of the Controlled Chemicals, Article 7]
Note: The State Council will produce a list of Type II, III, and IV chemicals.
4.22 If the facility uses or produces any controlled chemicals, does it ensure that the
following criteria are met? [Regulation on the Management of the Controlled
Chemicals, Articles 10, 12 and 13]
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- If they are using controlled chemicals, that they have approval to do so from the
State Council (Type I Controlled Chemicals only) or from the Provincial
Government (Type II only);
- The controlled chemicals are stored in a dedicated storage area that complies
with national storage area regulations;
- The storage area is monitored by personnel dedicated to that task; and,
- A strict inventory of those chemicals is kept.
Notes: The regulation does not specify the characteristics or requirement of a
dedicated storage area.
If the reason for use of controlled chemicals changes, the facility must receive
approval from the appropriate authority for the change.
If any quantity of controlled chemicals cannot be accounted for, the provincial public
security bureau must be notified immediately.
Radioactive Equipment and Source Registration
4.23 If the facility constructed, expanded, or renovated any part of the facility used for
operations involving radioactive materials, was it inspected by the local sanitation
department, the local public security department, and the local environmental
protection department? [Regulation on the Prevention and Protection from Radiation
from Radioactive Isotope and Radiation Equipment, Article 6]
Notes: Any new construction or demolition of buildings in which radioactive operations
took or will take place, are subject to environmental impact assessment requirements
and "three simultaneous" requirements as summarized in Section 2.0 of this protocol.
All environmental protection facilities related to radioactive operations, constructed on
or after June 22, 1990, must be inspected by professional environmental
management personnel (Article 11, Provisions on Environmental Management of
Radiation).
The facility will be reinspected every one to two years. Inspection results will be
recorded on the facility's registration.
4.24 If the facility manufactures or uses radioactive equipment (that is, X-ray machines,
colliders, or neutron generators), radioactive isotopes, or equipment that contains a
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radioactive source, has it received permission to do so from the sanitation department
of the provincial or autonomous regional government? [Regulation on the Prevention
and Protection from Radiation from Radioactive Isotope and Radiation Equipment,
Article 7]
Note: To receive permission, the facility must have the following: (Article 8)
- a safety management protocol;
- proper working area(s) and facilities;
- designated personnel with a working knowledge of machine operation;
- designated personnel that have received safety training;
- the designated personnel must be in good health; and,
- designated personnel must have appropriate personal protection equipment.
4.25 If the facility manufactures or uses radioactive equipment, radioactive isotopes, or
equipment that contains a radioactive source, has it registered those materials and/or
equipment with the public security department at the provincial or autonomous
regional government level? [Regulation on the Prevention and Protection from
Radiation from Radioactive Isotope and Radiation Equipment, Article 7]
4.26 If the facility manufactures, uses, or stores radioactive equipment or radioactive
isotopes, does it have the following? [Regulation on the Prevention and Protection
from Radiation from Radioactive Isotope and Radiation Equipment, Article 11]
- Protective measures to prevent leakage or exposure to radiation;
- A hazard identification sign posted at the entrance of the area in which the
radioactive equipment or isotopes are stored, manufactured, or used; and,
- An alarm system and security locks.
Note: Outdoor storage of, or operations involving the use of radioisotopes or
equipment must have a designated security guard and must be in an isolated area.
4.27 If the facility uses or stores radioactive equipment, materials or wastes, has it posted
the sign shown in Appendix 4-A around the area where the such equipment and
materials are located, and on the equipment, materials, and wastes themselves?
[Regulations for Radiation Protection, Sections 1.9 and 4.5.1]
Note: A radiation source equal to or greater than 400 grams of radium must be kept in
a dedicated building. Additionally, an exclusion zone around the outside door of the
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building should be established and the source must be controlled from a distance.
(Article 46 of the Regulations for Protection from Radioactivity).
Radioactive Material Disposal
4.28 If the facility generates medium and high-level radioactive waste in liquid or gas form,
does it ensure that such wastes are converted to a solid prior to disposal or
treatment? [Regulations for Radiation Protection, Section 4.2.5]
4.29 If the facility generates radioactive solid waste, are the wastes sent to disposal areas
designated for the corresponding level of radioactivity? [Regulations for Radiation
Protection, Section 4.5.3]
Chemical Storage and Application
4.30 Are pesticides stored together in designated storage areas that are controlled by
designated staff? [State Regulation on Safe Use of Pesticides, Article 3(4)]
4.31 Is there a procedure for tracking inventory such that pesticides removed from the
storage area are accounted for by the designated staff? [State Regulation on Safe
Use of Pesticides, Article 3(5)]
4.32 Does the facility ensure that it does not apply highly toxic pesticides in designated
drinking water protection zones? [Administrative Provisions on the Administration of
the Prevention and Control of Pollution in the Protected Zones of Drinking Water
Sources, Article 11]
Notes: The local environmental protection department is responsible for designating
drinking water protection zones. A list of highly toxic pesticides prohibited from use in
such areas is not provided in these provisions.
4.33 If the facility uses petroleum, pesticides, natural gas, radioactive substances, or other
toxic or hazardous chemicals, does it ensure that they are not stored in holes,
crevices, karst caves or abandoned mines located in protected zones for underground
drinking water sources? [Administrative Provisions on the Administration of the
Prevention and Control of Pollution in the Protected Zones of Drinking Water Sources,
Article 17]
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Waste Management - Petroleum and Petrochemical Facilities
4.34 If a petroleum or petrochemical facility cleans oil tanks and related containers,
railcars, loading docks, and/or equipment, does it recover and reuse the sludge, solid
waste, and wastewater generated from those activities? [Interim Regulation on
Environmental Protection, Annex 2, Article 22]
4.35 If a petroleum or petrochemical facility cleans oil tanks and related containers,
railcars, loading docks, and/or equipment, and does not recover and reuse the sludge,
solid waste, and wastewater generated from those activities, does the facility
incinerate the waste? [Interim Regulation on Environmental Protection, Annex 2,
Article 22]
Notes: The discharge of these wastes into the sewer system is not permitted.
The State Design Regulation for Environmental Protection in Construction Projects
(Article 49) indicates that incineration sites for flammable waste residues must have
purification treatment facilities for harmful gases produced from incineration, and that
there must be proper facilities to treat residues after incineration.
4.36 If a petroleum or petrochemical facility uses a heavy metal-containing catalyst in its
production process, does it ensure that the catalyst is deactivated prior to cleaning the
vessel(s) in which the catalyst has been added? [Interim Regulation on Environmental
Protection, Annex 2, Article 20]
Waste Management - Facilities Producing Building Materials Using Radioactive Slag
4.37 If a facility produces building materials using radioactive slag, does it ensure that the
radioactivity of the slag does not exceed the related standard (GB6763-86) and does
it ensure that the finished product does not exceed the related standard (GB9196-
88)? [Standard of Limit on Radioactive Substances for Industrial Waste Slag Used in
Building Materials and Standard of Control on Radioactivity of Building Materials
Containing Industrial Waste Slag]
Note: Both standards are provided in Appendix 4-B.
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Waste Management - Facilities Producing Chromium Compounds
4.38 If a facility, which was constructed after May 5, 1992, produces chromium
compounds, does it have a production capacity that exceeds 7,000 tons per year of
the chromium product? [Provision for the Control of Environmental Pollution Caused
by the Production of Chromium Compounds, Article 4]
Note: Facilities with smaller capacities to produce that type of product are not
permitted to operate after that date.
4.39 If a facility produces chromium compounds, regardless of the quantity, has it received
a permit to do so from the Chemical Industry Ministry? [Provision for the Control of
Environmental Pollution Caused by the Production of Chromium Compounds, Article
7]
4.40 If a facility that produces chromium products is located in an urban area of a major
city and expands its production capacity, did it receive approval to do so from the
Ministry of the Chemical Industry and the National Environmental Protection Agency?
[Provision for the Control of Environmental Pollution Caused by the Production of
Chromium Compounds, Article 6]
4.41 If a facility that produces chromium products received approval to do so from the
Ministry of the Chemical Industry and the National Environmental Protection Agency,
have they ensured that the quantity of waste discharged did not increase as a result
of an increased production capacity? [Provision for the Control of Environmental
Pollution Caused by the Production of Chromium Compounds, Article 6]
4.42 If the facility generates chromium-containing by-product and/or waste, and transfers
those materials to another enterprise which reuses or treats the materials, has the
generating facility received permission to do so from the local environmental
protection agency? [Provision for the Control of Environmental Pollution Caused by
the Production of Chromium Compounds, Article 11]
4.43 If a facility that generates chromium compounds closed, moved, or converted
production, was the facility cleaned and were all chromium-containing hazardous
wastes treated prior to closure or conversion? [Provision for the Control of
Environmental Pollution Caused by the Production of Chromium Compounds, Article
12]
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Environmental, Health
& Safety Audit Protocol
Water Resources
Excerpt from Germany Protocol
5.0 WATER RESOURCES
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an
EH&S audit or self-assessment. It may require additions, revisions, or other modifications in
order to meet the needs of facility-specific assessment objectives, industrial setting, or other
special circumstances.
Tables or Appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout Germany.
The key regulations covered in this protocol are noted as follows:
- Waste Water Ordinance (AbwV), 21 March 1997. Ordinance establishing the
minimum requirements for the issuance of a water discharge permit according to
different types of waste water producing processes. Discharge levels are only
established for contaminants which would be expected in discharge water from that
specific branch.
- Groundwater Ordinance, 18 March 1997. Ordinance for the protection of
groundwater from certain hazardous substances. Regulates use of such hazardous
substances and sets investigation and monitoring duties.
- Water Resources Act (WHG), 1 March 1960, last amended 12 November 1996. This
is the main body of water law which aims at managing bodies of water so that adverse
effects are avoided. This law covers permitting and licensing requirements. The law is
also applicable to installations storing substances which are a potential hazard to water.
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WATER RESOURCES
Notes: The Water Resources Act (WHG) applies to surface waters, coastal waters and
groundwater. Surface water is defined as water which permanently or temporarily stands or
flows in beds or which flows from natural springs. Coastal waters is defined as the sea
between the coast line at medium tide and the seaward limitation of the coastal sea. ['1(1)
WHG]
The states have the authority to exclude from the jurisdiction of the WHG small water bodies
that have minor economic importance and healing mineral springs. ['1 WHG]
The ownership of land that contains regulated waters does not entitle the landowner to utilize
such water without a permit. Waters may only be used with a permit or license. The permit
confers authority to use the water for specific purposes and time period and can be withdrawn
by the authorities. Normally, the permit is transferable to a successor landowner or operator
unless the permit specifically prohibits such transfer. ['4, '7, '8 WHG] The permitting of
waters does not confer title to the water supply. ['2 WHG] Permits are subject to changes that
may be imposed by the responsible authorities, which are typically the state water authorities.
['5 WHG]
If the regulated waters are under an approved regional water conservation plan, then the
permit is secured through the planning authorities. If the waters are under a mining operation
plan then the permit is secured through the mining authority.
If water is discharged into the municipal sanitary sewer system, a permit issued by the
municipality is required. The facility must observe the requirements of this permit. [Kommunale
Entw鋝serungssatzung]
Substances constituting a water hazard are defined under the Water Resources Act as:
- crude oils, gasoline, diesel fuel and fuel oils; and
- other liquid or gaseous substances likely to contaminate or adversely affect the
waters. ['19a(2) WHG]
These substances are set out in the Administrative Order for Hazardous Substances (VwVwS)
and listed in Appendix 5-A. Substances are divided into four categories: 3 - strongly
hazardous to water; 2 - hazardous to water; 1 - mildly hazardous to water; and 0 - generally
not hazardous to water (VwVwS).
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Water Use Permitting
5.1 If the facility uses surface waters, coastal waters or groundwater (regulated waters),
does it hold a current permit for its use? ['7, '8 WHG]
Note: "Use" is defined as any of the following:
- the withdrawal or diversion of water from surface waters;
- the damming or lowering of surface waters;
- the withdrawal of solid substances (such as dredging) from surface waters, so
far as this has any effect on the condition of such waters or their flow;
- the introduction or discharge of substances into surface waters;
- the introduction and discharge of substances into coastal waters;
- the discharge of substances into groundwater; or
- the removal or draining of groundwater.
5.2 If the facility holds a current water use permit, does it meet applicable permit
conditions? ['7, '8 WHG]
5.3 If the facility uses regulated waters and does not have a permit to do so, does it have a
preliminary order issued by the authorities allowing for such use? ['9a WHG]
5.4 If the facility introduces any substances into the groundwater, does it hold a current
permit for such activity? ['34 WHG]
5.5 If the facility is permitted for its groundwater activities, does it meet all applicable permit
conditions? ['34 WHG]
Surface Waters
5.6 Does the facility ensure that it does not dispose of any solid substance into surface
waters? ['26(1) WHG]
Note: Disposal of solid substances into the water is prohibited. Mud is not defined as a
solid substance. ['26(1) WHG]
5.7 If the facility stores hazardous substances near surface waters, is storage done in a
manner such that the water is not polluted nor the quality adversely affected?
['26(2), '32b WHG]
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5.8 If the facility stores or conveys liquid or gaseous substances through pipes that are
located near surface waters, is storage and/or conveyance done in a manner such that
the water is not adversely affected? ['26(2), '32b WHG]
Groundwater
5.9 If the facility stores substances that can migrate to the groundwater, are storage
practices such that the groundwater will not be polluted nor its quality adversely
affected? ['34(2) WHG]
5.10 If the facility uses groundwater, does the facility not engage in the following activities?
['3 GrundwasserV]
- the direct discharge of substances found in List I (see Table 5-1) unless the
materials are needed for the production of potable water;
- the disposal, storage, or deposit of substances in List I (Table 5-1) unless a
permit for such activities has been obtained; and
- the direct discharge, disposal, storage, or deposit of substances found in List II
(see Table 5-1) unless a permit for such activities has been obtained.
Note: When the discharge of a material involves such small quantities or concentrations
of any listed substances that all danger of contaminating the receiving groundwater
now and in the future is excluded, the aforementioned prohibitions do not apply. ['3(3)
GrundwasserV]
A permit for the discharge, disposal, storage, or deposit of a substance in List I or II
must be reevaluated every 4 years. ['6(3) GrundwasserV]
Waste Water
Note: Waste water is defined as the collecting, conducting, treatment, discharge and seepage
of waste water and also the drainage of sewage sludge in connection with the disposal of
waste water. ['18a(1) WHG]
A permit for discharge of waste water may only be issued if concentrations are as low as those
that would result from state-of-the-art technology unless otherwise allowed. The states are
responsible for making sure that required measures are taken for those facilities not meeting
discharge requirements. The states also are responsible for making sure that requirements
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are met for facilities which discharge water into a public waste water treatment system. ['7a
WHG]
Allowable waste water discharge levels are established in the Waste Water Ordinance and in
administrative guidelines, however allowable levels are also listed specifically within the
facility's permit. The Waste Water Ordinance was first promulgated in March 1997. The
administrative guidelines are gradually being incorporated into Attachments to the Waste
Water Ordinance. Administrative guidelines remain in effect until they have been incorporated
into the Ordinance. The attachments and administrative guidelines are organized by various
industry branches. It has been determined beyond the scope of this protocol to list standards
for every branch and every parameter, because many standards are still in the form of
administrative guidelines and also because the specific standards for an individual facility are
listed in the facility's discharge permit. However, a list of applicable Waste Water Ordinance
attachments and administrative guidelines reflecting waste water discharge standards by
industrial branch are found in Table 5-2.
5.11 If the facility treats waste water, does it hold the necessary permit to do so? ['18b
WHG]
5.12 If the facility discharges waste water, does it hold the necessary permit to do so?
['7a WHG]
5.13 If the facility discharges waste water, does it meet applicable permit conditions,
including specified discharge standards? ['7,7a WHG]
Note: Discharge water can not be diluted in order to meet discharge standards. If
discharge waters are mixed, the discharge standards must be met prior to mixing.
['3(3,5) AbwV]
5.14 Were the water analyses conducted by the methods specified in the permit? ['4 AbwV]
Facilities Handling Substances Constituting a Water Hazard
Note: Each state has an Ordinance on Installations (a facility or equipment) for the Storing,
Filling and Handling Substances Hazardous to Water (VAwS), which include underground and
aboveground tank management requirements. These regulations establish inspection
requirements of the German Technical Supervisory Organizations (T躒). The T躒 are not
agencies or formal authorities, but organizations that assist the authorities to implement
regulations. T躒 have been formed for industries or processes or types of equipment. For
internal auditing purposes, the applicable VAwS requirements should be looked at in detail.
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The definition of substances constituting a hazard to water for installations addressed in this
subtopic are solid, liquid and gaseous substances which are likely to cause lasting, adverse
effects on the physical, chemical or biological composition of the water. The hazardous
substances include: ['19g(5) WHG]
- acids, lyes;
- alkali metals, silicon alloys containing more than 30% silicon, metal-organic
compounds, halogens, acid-halogenides, metal carbonyls and caustic salts;
- mineral and tar oils, as well as their products;
- liquid as well as water soluble hydrocarbons, alcohols, aldehydes, ketones, esters as
well as those organic compounds which contain halogen, nitrogen and sulphur; and
- toxins.
The following questions do not apply to plants for the storing, filling and handling of waste
water or substances which exceed the limits of radioactivity as laid down by the law on
protection from radiation. ['19g(6) WHG]
5.15 If installations at the facility store, fill, produce, treat or commercially use substances
hazardous to water, are such installations designed, built, operated and maintained so
as not to present a risk of contaminating surface water or groundwater, and at a
minimum in accordance with generally accepted engineering standards? ['19g(1,3)
WHG]
5.16 If such installations are used at the facility, has a either a suitability approval or a
building type approval been obtained from the responsible authorities? ['19h WHG]
Note: A building type approval is issued by the Upper Water Authority for tanks and
other installations which are produced in mass quantities. Building type approval is
applicable to structures which are of a "straightforward or conventional nature". Such
structures would be those whose design is based on experience over a long period of
time (conventional) or those for which determination can be made without special
inspection that the structure does not present a hazard to water (straightforward). A
building type approval is normally obtained by the manufacturer of the installation and
documentation of such approval provided to the owner of the installation.
A suitability approval is issued on an individual basis by the Superior Water Authority
for structures which are not of a "straightforward or conventional nature".
Exceptions to the requirement of a building type approval or suitability approval are
structures which contain the following:
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- substances at the point in which they are directly involved in a production or
other working process; and
- substances used in small quantities in laboratories.
5.17 Are continual checks made for leaks and for the proper operation of safety devices
associated with such installations? ['19i WHG]
5.18 Are such installations inspected by an officially recognized expert (i.e. Technical
Supervisory Organization) at the following time intervals: ['19i WHG]
- prior to initial use and after a substantial change;
- every five years (two and a half years for facilities located in a designated water
protection area);
- before restarting after a standstill of more than one year;
- if a check is ordered because it is feared that a danger to water exists; and
- on being taken out of service?
Note: An officially recognized expert is a firm which is entitled to use a quality mark of a
supervisory or quality control association, or has concluded a contract with a technical
supervisory association, including at least a two-year supervision period. The facility
itself may be recognized as an officially recognized expert to perform such inspections.
['19l WHG]
5.19 Are all filling and emptying operations of installations containing substances hazardous
to water supervised by the person performing such activities and conducted within the
permissible loading limits of the installation and with regard to the safety devices?
['19k WHG]
5.20 If the facility operates a pipeline system for the conveyance of substances that
constitute a hazard to water, does the facility have a permit from the water authority for
such operation? ['19a(1) WHG]
Note: Exceptions to this requirement include pipeline systems within the boundaries of
the facility's premises or pipelines for storage purposes only. ['19a(1) WHG]
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Environmental, Health
& Safety Audit Protocol
Above and Below Ground
Tank Management
Excerpt from Ireland Protocol
6.0 ABOVE AND BELOW GROUND TANK MANAGEMENT
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an EH&S
audit or self-assessment. It may require additions, revisions, or other modifications in order to
meet the needs of facility-specific assessment objectives, industrial setting, or other special
circumstances.
Tables or Appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout Ireland.
The key regulations in this protocol are noted as follows:
- Dangerous Substances Act, 1972 (No. 10 of 1972). This act addresses activities to
control the use and management of petroleum, explosives and other dangerous
substances.
- Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979. These
regulations establish requirements for the storage of petroleum (Class I, II and III),
including general facility conditions, volume thresholds, licensing, personnel training,
marking and labeling, conveying, loading and unloading, and inspecting.
- Dangerous Substances (Retail and Private Petroleum Stores) Regulations, 1979.
These regulations establish requirements for the storage, conveyance and dispensing of
petroleum Class I at a retail and private petroleum stores, as defined in this section and
provide for the effective control of the licensing of retail petroleum. It should be noted that
these regulations are scheduled for review this year by the Department of Enterprise,
Trade and Employment in conjunction with the Health and Safety Authority, and may be
subject to change.
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- Dangerous Substances (Retail and Private Petroleum Stores) (Amendment)
Regulations, 1988. These regulations amend the Dangerous Substances (Retail and
Private Petroleum Stores) Regulations, 1979 to clarify and revise certain requirements
related to the storage, conveying and dispensing of petroleum Class I at retail and private
petroleum stores. These regulations provided an exemption until 31 December 1999 from
a number of the 1979 Regulations (see above) for stations which had limitations relating to
construction and space and therefore could not reasonably be expected to comply with the
1979 Regulations.
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ABOVE AND BELOW GROUND TANK MANAGEMENT
Notes: Questions 6.1 through 6.91 apply to the storage, conveying, loading and unloading of
petroleum at three categories of petroleum bulk storage areas (stores) which are defined as
follows: [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 2]
- "distribution store" is a place or premises used for the keeping for sale in whole or in part
of:
(a) petroleum Class I not exceeding 5,000 cubic meters (equivalent to about 5 million
liters) in capacity; or
(b) petroleum Class III and either petroleum Class I or Class II not exceeding, in
aggregate, 7,000 cubic meters in total capacity;
- "major distribution store" is a refinery tank-farm or similar place or premises used for the
keeping for sale in whole or in part or for transhipment of:;
(a) petroleum Class I exceeding 5,000 cubic meters in capacity; or
(b) petroleum Class III and either petroleum Class I or Class II exceeding, in
aggregate, 7,000 cubic meters in total capacity; and
- "private bulk stores" is a place or places used for keeping (other than for sale or resale in
whole or in part):
(a) under a license petroleum Class I exceeding 13.638 liters (3 gallons) but excluding
petroleum Class I kept in conformity with the Dangerous Substances Act (Retail
and Private Petroleum Stores) Regulations 1979 (which covers storage for use in
any engine or in connection with the propulsion of a vehicle, ship, vessel, boat or
aircraft, of any kind (i.e., a gas station or private vehicle re-fueling station) as
covered later in this section of the protocol); or
(b) an aggregate quantity of petroleum Class II and petroleum Class III exceeding in
liquid quantity 5 cubic meters, but excluding a store used solely for the storage of
petroleum Class III.
"Petroleum" includes crude petroleum, oil made from petroleum or from coal, shale, peat or other
bituminous substances and other fractions of petroleum. [Dangerous Substances Act, 1972,
Section 2]
"Petroleum spirit" is petroleum which, at normal atmospheric pressure, gives off an inflammable
vapor at a temperature of less than 73癋. [Dangerous Substances Act, 1972, Section 20]
The following definitions describe the three classes of petroleum: [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 2]
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- "petroleum Class I" is defined as petroleum-spirit (i.e., a petroleum at normal atmospheric
pressure that gives off an inflammable vapor at a temperature of less than 22.8癈) tested
in accordance with regulations under Section 20 of the Dangerous Substances Act, 1972;
- "petroleum Class II" is defined as petroleum which when tested at normal atmospheric
pressure in accordance with regulations under Section 20 of the Dangerous Substances
Act, 1972 gives off a flammable vapor at a temperature of not less than 22.8癈 and not
more than 60癈; and
- "petroleum Class III" is defined as petroleum which when tested at normal atmospheric
pressure in accordance with regulations under Section 20 of the Dangerous Substances
Act, 1972 gives off a flammable vapor at a temperature exceeding 60癈.
This section does not apply to any separation, refining or processing of petroleum at a refinery or
to any auxiliary tank or vessel used for the temporary keeping of petroleum in respect of such
activities, other than any storage tank connected by pipeline to a loading or unloading location or
an oil jetty, and used for the immediate keeping of petroleum unloaded from or to be loaded on to
a tank or petroleum ship. [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979,
Regulation 5(6)]
For further details on storage tank design specifications, storage separation distances or
conveyance of petroleum by railways, refer to specific requirements in the Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979.
Section 14 of this protocol includes additional requirements regarding the transport of dangerous
goods and petroleum.
Licensing and Approvals of Petroleum Bulk Stores
6.1 If the facility stores petroleum Class I in a bulk store on-site, does it have a valid license
from the local or harbor authority? [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Regulations 5 & 6]
Note: A license must be in the form shown in Appendix 6-A and is valid for up to 3 years.
An application for renewal of a license must be made at least 3 months before the existing
license expires. Where only petroleum Class II and/or petroleum Class III are kept at the
facility, a license is not required; however, other requirements of the Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979 still apply.
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6.2 If the facility stores petroleum of any class in a bulk store on-site, has it submitted to the
proper authority one site plan (with 4 copies) containing the following details: [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 13(1)]
- the site (including the boundaries marked in red) of the store;
- the north point on the plan;
- the location of each existing:
(i) above-ground or underground storage tank;
(ii) retaining enclosure;
(iii) container store or container compound;
(iv) loading or unloading location;
(v) filling or fuelling location;
(vi) pipeline, surface water drainage system including piped water and
open drain;
(vii) building or similar structure;
(viii) road and/or railway lines;
(ix) fire main (as may be required);
(x) security fence, entrance or exit gate;
and the distance from each other?
Notes: The site plan must be drawn to a scale in metric units of measurement of not less
than 1:500 or 1:100 (as acceptable to the authority).
"Container store" is defined as a container storage area of adequate fire-resistance
construction for the safe keeping or storage of containers in or at the store.
"Container compound" is defined as an area located in a safe position in the open air at a
store and used for the keeping or storage of containers.
Protocol questions regarding the management of container and compound stores are
located in Section 13.0 of this protocol.
6.3 Was the site plan accompanied by the following submittals: [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 13(2)]
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- one plan (with 4 copies) showing details of the construction and dimensions and
manner of installation of each of the following:
(i) above-ground storage tank and its foundation;
(ii) underground storage tank and its surround and foundation;
(iii) container store or container compound;
(iv) loading and unloading location;
(v) filling and fuelling location;
(vi) security fence, entrance or exit gate;
(vii) pipeline or where applicable line of rails or rail track;
(viii) surface water drainage system outfall point, paved area and oil
receptor;
(ix) retaining enclosure and retaining walls; and
(x) building or similar structure;
- one plan (with 4 copies) showing all electrical apparatus installed at the store; and
- appropriate particulars of the following:
(i) each building or place at the store in or at which any articles,
materials or substances (other than petroleum Class II or Class III)
liable to spontaneous combustion or ignition or otherwise flammable
or dangerous are kept and their amounts or quantities;
(ii) the amount or quantity of petroleum Class II or Class III kept at the
store in each aboveground or underground storage tank, container
store or container compound, filling location or auxiliary tank at a
loading location;
(iii) the nature of the processes or operations carried on at the store
and in each building or part;
(iv) the maximum number of persons employed or to be employed at
the store and in each building;
(v) the fire-fighting installation, appliances, devices, mobile equipment
or substances to extinguish fires; and
(vi) the lighting arrangement?
Note: The construction, dimensions and installation plan must be drawn to a scale in
metric units of measurement of not less than 1:50.
6.4 If the facility has a line of rails or a rail track on-site, are the following plans kept available
for inspection (in addition to the plans described in previous questions):
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- a site plan (to a metric scale of not less than 1:2500) that is an extract from the
relevant Ordnance Survey map or tracing thereof in linen or similar durable
material and marked with the following details:
(i) the location and site of the line of rails;
(ii) the surrounding district or area for not less than a distance of 1.70
kilometers in all directions; and
(iii) the boundaries (drawn to scale and colored in red) of the lands or
premises not in the occupation of the carrier and which lie
immediately adjacent to the line of rails or rail track or road on
which the line of rails is laid; and
- one plan and specification (to a metric scale of not less than 1:50) including
elevations showing details of the following:
(i) rails;
(ii) construction and dimensions and manner of installation of the rail
track, line of rails; and
(iii) degree of radii or curvature thereof?
Note: "Line of rails" is defined as rails or sidings used in connection with a locomotive, rail
tank wagon or rail truck for the conveyance of petroleum Class I or Class II.
6.5 Has the facility received permission from the licensing authority prior to conducting any
enlargement, addition, re-construction, or alteration of a petroleum Class I or Class II
store? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 11]
Note: Such work on a petroleum Class I store will require an amended license.
6.6 If the facility discontinued the use of a petroleum Class I or Class II storage tank
exceeding 5 cubic meters' capacity, were the following measures completed before doing
so: [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 10]
- give at least 21 days written notice to the licensing authority of the intention to
discontinue the use of the tank; and
- take all practical steps to render the tank immune from the risk of fire or explosion?
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Management of a Petroleum Bulk Store
6.7 Is the maximum aggregate quantity of petroleum kept at the store at or below the quantity
specified in writing by the licensing authority? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 17(8)]
6.8 Does the facility ensure that no aboveground or underground storage tank at a store has a
nominal liquid capacity exceeding the following: [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 19(1)]
- 60,000 liters of petroleum Class I; and
- 90,000 liters of petroleum Class II?
6.9 Unless otherwise allowed in a license, does the facility prohibit the delivery, storage or
dispensing of the following substances at the store: [Dangerous Substances (Petroleum
Bulk Stores) Regulations, 1979, Regulation 16]
- commercial butane;
- commercial propane;
- liquified petroleum gas;
- liquified natural gas;
- carbide of calcium; and
- any other flammable, explosive or dangerous substance likely to cause risk of
injury?
Note: Definitions of the substances listed in this question are defined in Regulation 16(2).
6.10 Unless otherwise permitted in a condition attached to a license, does the facility prohibit
the overnight storage of petroleum Class I in a tank? [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 17(7)]
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6.11 Does every storage tank at the store have a device or means of measuring the quantity of
petroleum in the tank? [Dangerous Substances (Petroleum Bulk Stores) Regulations,
1979, Regulation 25(2)(c)]
6.12 Does the facility ensure that storage tanks are not filled beyond their rated capacity?
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 26(g)]
6.13 If the facility has storage tanks or pipelines equipped with or connected to heating devices,
are there thermometers and temperature regulators to ensure that the temperature of the
petroleum is maintained within safe limits? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 39]
6.14 Does an authorized person prepare a written report of inspections or evaluations of the
safety precautions or procedures to be observed before the work of repair, alteration or
modification is commenced? [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Regulation 40]
Marking Requirements at Petroleum Bulk Stores
6.15 If any aboveground or underground storage tanks were manufactured after September
28, 1979, is the following information permanently and clearly marked on a nameplate
attached adjacent to any manhole or stamped on any manhole neck or lid: [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 18(6)]
- the number (if any) of the standard or specification to which the tank was
manufactured;
- the test pressure (applied by the manufacturer), and the date of the test;
- the nominal capacity in cubic meters or liters of the tank or compartment; and
the manufacturer's name or trade mark, and reference number?
-
6.16 Is every storage tank at the store clearly marked with or suitably identified by a unique
number easily located for operational purposes? [Dangerous Substances (Petroleum
Bulk Stores) Regulations, 1979, Regulation 26(a) & (b)]
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6.17 Are the following components of each petroleum storage tank clearly marked with a
unique number or letter to be easily located for operational purposes: [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 26(d)]
- the upper end of each dipping and filling pipe connected through the manhole lid of
an underground storage tank or separate compartment of such a tank; and
- the upper end of each dipping opening of an aboveground storage tank?
6.18 Are pipelines and control valves of such pipelines marked with the class or classes of
petroleum being conveyed in the pipelines? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 37(a)]
6.19 Are manually operated control valves of pipelines marked at control points or locations to
indicate whether they are open or closed? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 37(b)]
Containment Systems at Petroleum Bulk Stores
6.20 Is there a retaining wall completely surrounding any vertical storage tank or aboveground
storage tank used for the storage of petroleum Class I, Class II or Class III(2)?
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 31(1)]
Note: "Petroleum Class III(2)" is defined as a petroleum Class III that is stored at a
temperature at or above its flash point. Refer to the Regulation 31 of the Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979 for details on the design
specifications, capacity, surface area and location of retaining enclosures.
6.21 Do authorized personnel have safe access to and from any retaining enclosure
surrounded by a wall exceeding one meter in height? [Dangerous Substances (Petroleum
Bulk Stores) Regulations, 1979, Regulation 33]
6.22 Does the surface area of the retaining enclosure drain to an oil/water separator?
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 32(1)(a)]
Note: The oil/water separated should be located outside the retaining enclosure and
operating efficiently. [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979,
Regulation 32(2)]
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6.23 Does the outlet from the retaining enclosure have a valve or other device that can be
closed or shut off and locked to prevent the outflow of water? [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 32(1)(b)]
Conveyance, Loading and Unloading at Petroleum Bulk Stores
6.24 During the whole period of pumping or conveying petroleum by pipeline to or from a
vertical storage tank, is there an authorized person in continuous observance of the
control valves? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979,
Regulation 38]
Note: The authorized person described in this question must be prepared to order the stop
of pumping or conveying and the closure of control valves in the event of any unusual
circumstances likely to cause risk of injury.
6.25 Are pipelines, pumps and any associated metering devices used for the loading of a tank
conveying petroleum Class I or Class II used exclusively for that purpose? [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 47(a)]
6.26 Are the following precautions taken during the loading and unloading of a tank-vehicle at
the petroleum storage area: [Dangerous Substances (Petroleum Bulk Stores) Regulations,
1979, Regulation 48(1)]
- the vehicle is stopped within the appropriate area as specified by the licensing
authority;
- any inadvertent movement of the vehicle is prevented by brakes or other means;
- the engine of the vehicle is turned off; and
- mechanical or electrical repairs or adjustments are not made to the vehicle during
the loading or unloading operations?
6.27 Does the facility have adequate means for summoning assistance in an emergency during
the transfer of petroleum Class I or Class II from a supply storage tank or ship to a
receiving storage tank? [Dangerous Substances (Petroleum Bulk Stores) Regulations,
1979, Regulation 50]
Note: The regulations do not define "adequate means for summoning assistance".
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6.28 Are elevated platforms, stairs or steps provided to enable the safe and efficient access to
and from the top of a tank in connection with a loading or unloading operation?
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 43(1)]
6.29 Are the roads and surface areas used by tank-vehicles at the store provided with the
following: [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation
14(2)]
- adequate drainage for surface waters; and
- sufficient means of lighting?
Note: The regulations do not specify what "adequate" drainage or "sufficient" lighting
means.
6.30 Are all roads within the petroleum bulk store that are used by tank-vehicles posted with
maximum speed limit and warning notices? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 14(3)]
Personnel Training and Appointments at Petroleum Bulk Stores
6.31 Does the facility only employ those persons to store, convey, load and unload petroleum
Class I and Class II in or about a store that have been trained (both orally and in writing) to
do so safely? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979,
Regulation 70]
6.32 Do all trained persons maintain their written manual of instructions readily available for
inspection? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979,
Regulation 70(5)]
6.33 Have supervisors at the store been appointed to their positions in writing based on their
knowledge, training and practical experience in the storage, conveying, loading and
unloading of petroleum? [Dangerous Substances (Petroleum Bulk Stores) Regulations,
1979, Regulation 71(1)]
6.34 Does a designated supervisor complete the following duties at the store: [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 71(2)]
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- ensure that, before work is commenced at the start of a working day and after
repairs to a storage tank, pipeline, plant, device or appliance, such equipment is
inspected and, where necessary, tested and is in satisfactory working condition;
- ensure that on each working day every store or working place is inspected and any
danger removed and any personnel exposed to such danger are withdrawn; and
- investigate all occurrences involving the spillage, leakage or escape of petroleum,
the breakdown of any pipeline, plant, equipment, device or appliance and the
failure to observe the requirements of the Regulations?
Note: The designated supervisor must be a person possessing adequate knowledge,
training and practical experience in the storage, conveyance, loading and unloading of
petroleum at a store and appointed in writing by the facility to provide supervision.
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 71(1)]
6.35 Are the reports of every inspection and investigation described in the previous question
entered and signed into a book that is accessible for inspection? [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 71(3)]
Inspections at Petroleum Bulk Stores
6.36 Does the facility inspect the following components of petroleum storage tanks at the store
at least once every 12 months: [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Regulation 27(1)]
- control devices or devices for controlling or regulating the safe keeping of
petroleum in a storage tank; and
- pipelines conveying petroleum to or from a storage tank?
6.37 Is any fault or defect that was detected during such an inspection remedied immediately?
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 27(2)]
6.38 Does the facility maintain, for at least 2 years, each inspection report that has been signed
and dated by a competent inspector? [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Regulation 27(1)]
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6.39 Does the facility maintain, for at least 5 years, each vertical storage tank pipeline pressure-
test report that is signed and dated by a competent inspector? [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 36(2)]
6.40 If there is leakage or suspected leakage of petroleum from a storage tank or pipeline,
does the facility take steps to determine the cause of and prevent the leakage?
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 29]
6.41 Does the facility immediately notify the appropriate fire brigade authority of any leakage,
suspected leakage, or escape of petroleum Class I or Class II from a storage tank or
connecting pipeline? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979,
Regulation 15(c)]
General Site Safety at Petroleum Bulk Stores
6.42 Are persons prohibited from smoking within the boundaries of a petroleum bulk store,
except at a safe place clearly marked on the site plan of the store? [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 67(c) & Schedule 1
(3)]
6.43 Are designated smoking areas posted with a conspicuous notice stating, "SMOKING
PERMITTED"? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979,
Regulation 67(d)]
6.44 Are persons prohibited from wearing boots, shoes or other footwear having exposed iron,
steel nails or other exposed ferrous materials in areas where a dangerous concentration of
petroleum vapors is likely to be present? [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Schedule 1 (6)]
Emergency Response Planning at Petroleum Bulk Stores
6.45 Is there a sufficient means of communication for summoning assistance from a fire
brigade authority, ambulance authority, the Garda Siochana (National Police Force) and
any other person specified in writing to be informed in an emergency? [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 73(1)]
6.46 Is an up-to-date notice posted in a prominent place or places at the store containing the
telephone numbers of a fire brigade authority, ambulance, medical practitioner, the Garda
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Siochana and any other person required to be contacted in an emergency? [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 73(2)]
6.47 If the proper authority requires so in writing, does the facility post notices with the words:
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 80(2)]
"DANGER
FLAMMABLE LIQUIDS
NO FIRE OR NAKED LIGHTS
NO SMOKING
NO UNAUTHORISED PERSONS"
in bright red letters not less than 150 millimeters in height on a white background?
6.48 Are such notices posted at the following locations at the store: [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 80(2)]
- at every entrance to the store or means of approach adjacent thereto; or
- at other suitable locations on, near or along the boundary fence of the store?
6.49 Are the following articles posted in a conspicuous location(s) at any store: [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 80(3)]
- a copy of the Dangerous Substances (Petroleum Bulk Stores) Regulations;
- a copy of the rules contained in the Appendix 6-B;
- such aspects of the Dangerous Substances Act as may be approved from time to
time; and
- a copy of the store's license?
Fire Prevention and Emergency Systems for Petroleum Bulk Stores
6.50 Does the facility have an alarm or signal system for giving due warning in case of fire or
the danger of ignition or explosion? [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Regulation 74(1)]
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6.51 Does the facility have a fire main or equivalent means of supplying fire-fighting water at an
adequate pressure? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979,
Regulation 75(2)(a)]
6.52 Is there a means of cooling storage tanks that may be affected by fire and mobile, portable
or transportable fire-fighting equipment, devices, materials, smothering agents or other like
substances? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979,
Regulation 75(2)(b)]
6.53 Does the facility carry our periodic fire-fighting drills, tests, examinations and inspections of
fire-fighting equipment, devices and materials? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 75(4)(a)]
Note: The regulations do not specify the frequency of the periodic activities.
6.54 Does the facility maintain records of the fire-fighting drills, tests, examinations and
inspections? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979,
Regulation 75(4)(b)]
6.55 Does the facility have a certificate from the appropriate fire brigade authority certifying that
the store has adequate evacuation procedures? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 75(5)]
6.56 Does the facility ensure that the following evacuation systems are in place at the store:
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 76(1)]
- evacuation routes are marked or posted;
- evacuation routes are unobstructed;
- doors of any building open outwards, are not capable of being locked on the
outside, and afford immediate and unrestricted egress out of the building during
working hours; and
- steps are taken to ensure that any person employed at the store is familiar with the
safe evacuation routes and routine to be followed in case of a fire?
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6.57 Has the facility prepared a fire-fighting and emergency evacuation plan that contains
written or diagrammatic descriptions of the following features: [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 77(2) and (7)]
- the alarm or signal systems and means of communication to summon assistance;
- the fire fighting installation provided at the store;
- the number of persons at the store that are trained in fire-fighting techniques that
are likely to be available to extinguish or prevent the spread of the following:
- ignition, fire or explosion;
- a dangerous spill or an escape or outflow of petroleum; or
- toxic or otherwise harmful fumes, gas or vapors that may arise from such
an occurrence;
- instructions describing the duties of authorized or other persons in case of the
three events mentioned directly above;
- vehicles, rail tank wagons or other mobile plant, equipment or appliances that may
be required to be moved to a safe place in the event of fire or other dangerous
occurrences;
- the traffic control arrangements to be made in case of fire;
- the evacuation procedures to be implemented by any person employed at the store
that is likely to be affected by the following:
- ignition, fire or explosion;
- a dangerous spill or an escape or outflow of petroleum; or
- toxic or otherwise harmful fumes, gas or vapors that may arise from such
an occurrence; and
- safety procedures to be implemented and the coordination agreements established
with the appropriate authorities?
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6.58 Have two copies of the fire-fighting and emergency evacuation plan been submitted to the
appropriate fire brigade authority for approval? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 77(2) and (7)]
Notes: The authority may approve the plan (with or without modifications) or reject the
plan. If the plan is approved by the authority, the authority will return a copy of the plan to
the licensee or owner of the store, with any modifications made to it. [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 77(3)]
Alterations or modifications to the plan must not be made unless the appropriate fire
brigade authority has been given prior notice in writing. [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 77(6)]
6.59 If the fire-fighting and emergency evacuation plan has been rejected by the appropriate
fire brigade authority, has a revised plan been submitted to the authority within the
timeframe (not less than 3 months) specified in the rejection notice? [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 77(4)]
6.60 If the fire-fighting and emergency evacuation plan is approved by the appropriate fire
brigade authority, are the following measures complied with: [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 77(5)]
- a copy of the plan, certified by the authority, is kept available for inspection at the
facility (or other approved place); and
- a copy of the plan is sent to the Minister for Labour, the proper authority and an
officer of the Garda Siochana (the National Police Force) for the area within which
the facility is located?
6.61 Are fire-fighting and emergency evacuation plans reviewed with the appropriate fire
brigade authority at least every 3 years? [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Regulation 77(8)]
6.62 Is a lightning protection system provided for the petroleum tanks at the store? [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 28(2)]
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6.63 Is the lightning protection system thoroughly examined by a competent person at least
every 18 months? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979,
Regulation 28(2)]
6.64 Is a written report of the lightning system inspection maintained on-site for at least 3
years? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation
28(2)]
6.65 Is electrical equipment that is located in a hazardous area at the store inspected and
tested at least every 12 months? [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Regulation 66(2)]
6.66 Is a certificate indicating the results of such an electrical equipment inspection and test
kept available for inspection for at least 2 years? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 66(2)(f)]
First-Aid Facilities at Petroleum Bulk Stores
6.67 Does the facility provide and constantly maintain for immediate use at a petroleum bulk
store an appropriate number of first-aid boxes or cases with the following conditions:
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 79(1)]
- clearly and conspicuously marked with the words, "FIRST-AID";
- used exclusively for keeping first-aid materials or requisites;
- contains the first-aid materials or equipment specified in Appendix 6-C;
- placed under the charge of a competent person:
(i) who must be readily available while a person for whom it is intended is
working in the petroleum bulk store; and
(ii) whose name is posted in a prominent position on or adjacent to the box or
case?
Note: A "competent person" is defined as one of the following: [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 79(2)]
- a person registered in the General Division of the Register of Nurses maintained
by An Bord Altranais under the Nurses Acts, 1950 and 1961; or
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- the holder of a certificate of proficiency in first-aid issued within the immediately
preceding period of 3 years by a first-aid organization; or
- a person who is otherwise recognized as being qualified in first-aid treatment by
such an organization.
6.68 Does the facility maintain a written record of the names and qualifications of all persons in
charge of first-aid boxes or cases? [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Regulation 79(4)]
Walk and Working Surfaces at Petroleum Bulk Stores
6.69 Is each vertical storage tank exceeding 4.5 meters in height provided with a fixed stairway
directly to the roof of the tank or to an inter-connected gang-way spanning the distance
between any adjacent vertical storage tank? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 25(2)(a)]
Note: "Vertical storage tank" is defined as a fixed roof storage tank or a floating roof
storage tank at a petroleum bulk store.
6.70 Are fixed stairways as referred to in the previous question designed as follows:
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 25(2)(b)]
- secured at an angle not exceeding 45? and
- provided with a suitable platform at its upper end?
6.71 Are all stairways and gangways at petroleum bulk stores designed as follows: [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 25(2)(c)]
- metallic construction with a minimum clear walking space of 600 millimeters;
- treads of a non-slip type with a minimum width of 200 millimeters and a maximum
rise of 200 millimeters; and
- an intermediate landing when a vertical rise of the stairway exceeds 6 meters?
6.72 Is a top and bottom steel rail designed to protect a person from falling or slipping provided
on both sides of a gangway or stairway of a vertical storage tank? [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 25(2)(e)]
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Note: The top handrail must be between 0.95 meters and 1.20 meters above the walking
surface; and the bottom rail must not exceed 0.30 meters above the walking surface.
6.73 Is every ladder used for access to or egress from the roof of a vertical storage tank that
does not exceed 4.5 meters in height designed as follows: [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 25(2)(h)]
- made of steel;
- terminated in a suitable landing or platform provided for access to the roof;
- secured or fixed to the shell of the tank; and
- provided with a safety cage, if it exceeds 4 meters in height?
General Hygiene and Personal Protective Equipment at Petroleum Bulk Stores
6.74 Does the facility provide clean and appropriate personal protective equipment (PPE) and
protective clothing (i.e., footwear, gloves or mitts) to its employees when necessary to
protect against risk of injury? [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Regulation 65(4) & (5)]
6.75 Does the facility maintain reports on the periodic examinations of PPE and leak detection
equipment for a period of at least 2 years? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 65(7)]
6.76 Does the facility provide cloakroom facilities at the store for the following purposes:
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 78(1)(a)]
- storage of clothing not worn during working hours;
- storage and drying of working clothing; and
- storage of personal protective clothing?
6.77 Does the facility provide facilities for washing at the store including the following:
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 78(1)(b)]
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- at least one suitable shower bath;
- a sufficient number of sink basins or troughs;
- a sufficient number of nail brushes; and
- means of cleaning and drying?
6.78 Does the facility provide facilities for taking meals including the following: [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 78(1)(c)]
- sufficient tables (having impervious table-top surfaces) and chairs or benches;
- adequate means for boiling water and heating food;
- arrangements to enable persons employed to store their food-containers during
working hours;
- facilities for washing and rinsing eating utensils; and
- means for securing and maintaining a temperature of at least 17癈 during meal
intervals?
6.79 Does the facility provide an adequate supply of drinking water at a convenient point or
points clearly marked with the words, "DRINKING WATER"? [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 78(1)(d)]
6.80 Are there receptacles made of non-combustible materials for the temporary disposal of
any dust or waste obtained by sweeping, cleaning or other activities at the petroleum bulk
store? [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation
68(1)]
6.81 Do such receptacles comply with the following requirements: [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 68(2)]
- provided with lids;
- clearly marked with the word, "WASTE"; and
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- emptied of dust or waste at reasonable intervals?
Note: The regulations do not specify what is a "reasonable" interval.
Site Security at Petroleum Bulk Stores
6.82 Is the store enclosed by a non-climbable fence of at least 2.2 meters in height?
[Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 81(1)]
6.83 Are means of entrance into the store securely closed, fastened or locked when there are
no authorized personnel present in the store? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 81(3)(a)]
6.84 Are any gate valves or control devices (that are readily accessible to an authorized
person) that are capable of manual operation and normally used to facilitate or to control
the inflow or outflow of petroleum from an aboveground or underground storage tank,
pipeline, retaining enclosure or oil/water separator at a store securely locked or enclosed
to prevent the unauthorized or unlawful operation or use of such gate valves or control
devices under the following circumstances: [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 81(3)(b)]
- when an authorized person is not present at the store; and
- at such times when the gas valves or control devices are not required for
intermittent use during a working day or shift in connection with any process,
operation or work involving petroleum?
6.85 Are places where persons are employed in a store (and approaches thereto) suitably and
adequately lighted by natural or artificial means? [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 81(7)]
Confined Space Entry Procedures at Petroleum Bulk Stores
Note: For the purposes of this subsection, "confined space" is defined as the interior of a storage
tank, process vessel or other similar tank or enclosed space at a petroleum bulk store that
contains or has contained petroleum or sludge or residue of petroleum, or in which a dangerous
concentration of vapors of petroleum is likely to be present. [Dangerous Substances (Petroleum
Bulk Stores) Regulations, 1979, Regulation 2]
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6.86 Does the facility prohibit persons from entering a confined space at a petroleum bulk store
unless the following conditions are in place: [Dangerous Substances (Petroleum Bulk
Stores) Regulations, 1979, Regulation 62(1)]
- the confined space is provided with a suitable manhole or other opening that
affords safe means of entry into and egress from the space;
- steps are taken to prevent the inflow of liquid, gas or vapor to the confined space;
- the confined space is ventilated or the person is supplied with a breathing
apparatus that provided fresh air for respiration;
- the confined space is lighted; and
- the space has been inspected by an authorized person and a written report is
made of the inspection?
6.87 Does the confined space safety inspection report described in the previous question
contain the following information: [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Regulation 62(2)(a)]
- any safety precautions taken to ensure that the person entering the confined space
is not exposed to risk of injury;
- whether or not the space is safe for entry without breathing apparatus; and
- whether the space is safe for entry without limit of time, or subject to a specified
period of time?
6.88 Does the facility prohibit persons from entering a confined space at a petroleum bulk store
unless the designated supervisor completed the following tasks: [Dangerous Substances
(Petroleum Bulk Stores) Regulations, 1979, Regulation 62(2)(b)]
- satisfied himself/herself that the safety precautions or procedures in respect of the
confined space entry are sufficient to prevent injury to the person;
- issued a written authorization signed and dated by him/her to permit the entry of
the person to the confined space, subject to any special conditions;
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- posted the written authorization and, where necessary, an extract of the written
inspection report, including any period of time specified, in a conspicuous location
outside the confined space?
Note: The written authorization described in this question must be kept readily available for
inspection at the facility for at least 3 months. The designated supervisor must be a
person possessing adequate knowledge, training and practical experience in the storage,
conveyance, loading and unloading of petroleum at a store and appointed in writing by the
facility to provide supervision. [Dangerous Substances (Petroleum Bulk Stores)
Regulations, 1979, Regulation 71(1)]
6.89 Does the facility prohibit persons from entering a confined space at a petroleum bulk store
without breathing apparatus unless the following actions are taken: [Dangerous
Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation 62(3)]
- the confined space is emptied of all traces of petroleum, sludge or residue and any
flammable, explosive, poisonous or asphyxiating gas or vapor; and
- an authorized person has certified in writing the confined space to be safe for entry
without breathing apparatus?
6.90 If the confined space contained leaded petroleum from which scale has not been removed
from the tank shell or fittings of the tank, are persons prohibited from entering the space
unless: [Dangerous Substances (Petroleum Bulk Stores) Regulations, 1979, Regulation
63(b)]
- the person is wearing a appropriate breathing apparatus;
- the person is, where circumstances so require, wearing a safety harness or other
suitable safety device, securely attached to a life-line that is constantly controlled
and held outside the tank by another person trained in emergency and rescue
operations and also provided with appropriate breathing apparatus on stand-by;
- the person is provided with protective clothing, including neck and head covering,
hand protection and protective footwear; and
- the person is, so far as practicable, in the view of another person during the whole
time when he or she is in the confined space?
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Environmental, Health
& Safety Audit Protocol
Community Noise
Excerpt from Taiwan Protocol
6.0 COMMUNITY NOISE
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an
EH&S audit or self-assessment. It may require additions, revisions, or other modifications in
order to meet the needs of facility-specific assessment objectives, industrial setting, or other
special circumstances.
The key topic covered in this protocol section is "Noise Control Zones".
Tables or Appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout Taiwan.
Key legislation and regulations covered in this protocol are noted as follows:
- Noise Control Act, February 1, 1992. This act establishes prohibitions on noises that
disturb the tranquillity of the living environment and requires approvals from EPA prior
to installation and operation of facilities.
- Enforcement Rules of the Noise Control Act, February 1, 1993. These rules
implement the Noise Control Act and establish improvement plans, procedures and
reporting requirements.
- Working Guidelines for the Demarcation of Noise Control Areas, February 15,
1985. These guidelines define the various noise control zones which are referenced in
the Noise Control Act.
- Noise Control Standards, September 11, 1996. These criteria are stipulated in
accordance with the Noise Control Act and establish the decibel levels, time schedule,
and procedures to measure noise levels.
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COMMUNITY NOISE
Noise Control Zones
Note: A provincial (municipal) and county (city) competent authority may delimit and publish
control zones for different noises according to noise conditions in its area of jurisdiction. The
central competent authority has established the following noise control zones in areas that are
not covered by provincial or county requirements: [Noise Control Act, Article 5; and Working
Guidelines for the Demarcation of Noise Control Areas]
- Zone 1: Residential Areas (first and second residential areas only), Scenic Area,
Protective Area;
- Zone 2: Residential Areas (third and fourth residential areas only);
- Zone 3: Residential Areas with serious noise pollution and Commercial Areas, or
Mixed Commercial/Residential Areas; and
- Zone 4: Industrial Areas.
6.1 If located in a designated noise control zone, does the facility prohibit the operation of
catering, laundry, dyeing, printing, or other business, and the use of power-driven
machines in accordance with the control zone restrictions? [Noise Control Act, Article 6]
6.2 If located in a noise control zone and designated by the EPA as a source prone to
generate noises, did the facility receive approvals prior to both the installation and
operation of the facility? [Noise Control Act, Article 8]
6.3 If located in a designated noise control zone, does the facility maintain sound levels
within the noise control criteria specified in Appendix 6-A? [Noise Control Act, Article 7]
Note: The noise control criteria designated in Appendix 6-A is defined as the highest
permissible volumes of sound measured in decibels (dB). [Enforcement Rules of the
Noise Control Act, Article 2]
6.4 If the facility exceeds the noise control criteria and has been notified by the local
competent authority to make improvements, has the facility brought its sound levels to
below the noise control criteria within 90 days? [Enforcement Rules of the Noise
Control Act, Article 16]
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6.5 If sound levels cannot be improved within the 90 day limit, has the facility submitted an
improvement plan to the local competent authority and requested an extension of the
time limit? [Enforcement Rules of the Noise Control Act, Article 17]
6.6 Does the improvement plan referenced in the previous question contain the following
information: [Enforcement Rules of the Noise Control Act, Article 18]
- construction, location and effect of the noise source;
- analysis of the volume and spectrum of the noise generated;
- improvement measures;
- progress of improvement; and
- other related documents and information, as necessary?
6.7 If the facility has suspended work upon receipt of an order for improvement, has an
improvement completion report been submitted and approved by the local competent
authority prior to resuming work? [Enforcement Rules of the Noise Control Act, Article
22]
6.8 Does the improvement completion report contain the following information:
[Enforcement Rules of the Noise Control Act, Article 23]
- the construction, location and impact of the noise source;
- the design, drawings, function and scale of the noise preventing equipment or
facility;
- sound-proof effects before and after the improvement; and
- photos of the installed noise preventing equipment or facility?
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Environmental, Health
& Safety Audit Protocol
PCBs
Excerpt from France Protocol
8.0 PCBs
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an
HS&E audit. It may require additions, revisions, or other modifications in order to meet the
needs of facility-specific assessment objectives, industrial setting, or other special
circumstances.
Tables or Appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout France.
Key regulations covered in this protocol are noted as follows:
- Law 76-663 of 19 July 1976 as amended by Law 93-3 of 4 January 1993.
This Law addresses general permitting requirements for those facilities where
PCB containing equipment are present.
- Decree 77-1133 of 21 September 1977. This Decree is one of the several that
establishes the framework for French environmental law. The applicable
section to PCBs deals with general monitoring requirements.
- Order of 11 March 1986. This Order includes specific requirements for facilities
who have been issued a prefectoral authorization for owning and operating PCB
containing equipment.
- Order No. 87-59 of February 2, 1987 Concerning the Market Availability, Use
and Disposal of Polychlorinated Biphenyls and Polychlorinated Terphenyls.
This Order identifies those activities that can be conducted and the equipment
that can be used associated with PCBs.
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- Circular of 25 May 1987 relative to the application of Decree of 2 February
1987 relative to the placing on the market, utilization and elimination of
PCB and PCT. This Circular provides further guidance related to acceptable
PCB containing equipment and PCB management activities.
- Council Directive 96/59/CE of 16 September 1996 concerning the
elimination of polychlorobiphenyls (PCB) and polychloroterphenyls (PCT).
This Council Directive provides guidance related to acceptable PCB containing
equipment and PCB management activities.
- Ministerial Order of 3 February 1993 carrying the agreement to exercise the
treatment of waste activity containing polychlorobiphenyls (PCB) and
polychlororterphenyls (PCT). This Ministerial Order identifies those
contractors who are authorized to conduct PCB transformer retrofilling activities.
France February 1997
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PCBs
Use of PCB Containing Equipment
8.1 If the facility has equipment (such as PCB transformers) containing more than 30 liters
of PCBs, has a declaration been submitted to the prefect for this classified installation
(see Category Number 1180 of Appendix 2-B)? [Law 76-663 of 19 July 1976, as
modified by Law 93-3 of 4 January 1993, Art. 1-I]
8.2 If a declaration was submitted and a prefectoral order issued to the facility, is the facility
in compliance with the general provisions provided by the order? [Decree 77-1133,
Art. 27]
8.3 Are all electrical units containing PCBs or PCTs in sturdy containers and labeled?
[Order of 11 March 1986]
Note: The label should be attached to the equipment and contains the following
indelible inscription test: "This equipment contains PCBs which can contaminate the
environment and which may only be disposed of in accordance with the regulations."
8.4 Does the facility operator make a visual inspection for leaks of all PCB or PCT
containing electrical units every 3 years? [Order of 11 March 1986]
8.5 Are PCB or PCT containing electrical units equipped with non-reactive surge protectors
and circuit breakers both above and below the unit? [Order of 11 March 1986]
8.6 Have precautionary measures been taken to contain PCBs in the event of an
equipment leak? [Order of 11 March 1986]
8.7 If the facility purchases, sells, disposes of, leases or uses equipment or articles
containing PCBs or the fluids themselves, does it ensure that only the following
activities are conducted: [Order No. 87-59 of 2 February 1987, Arts. 3 and 4]
- The leasing or using of equipment or articles containing PCBs, designated
below, on the condition that they were in service before 2 February 1987:
- Closed circuit electrical appliances, such as transformers, resistors and
inductors;
France February 1997
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- Condensers with a total weight of 1 kg or more;
- Condensers with a total weight of less than 1 kg, provided that the PCBs
contained in them have an average chlorine content of less than 43% by
weight and contain less than 3.5% by weight of pentachlorinated
biphenyls or more highly chlorinated biphenyls;
- Heat exchangers, except in installations intended for the treatment of
fresh foods for human or animal consumption or the preparation of
pharmaceutical or veterinary products; and
- Hydraulic systems for underground equipment in mines;
- PCBs intended exclusively, under the normal procedures for equipment
maintenance, for topping up the PCB fluid levels in equipment which are in good
working order and were in use before 2 February 1987, where there is no
suitable substitute product capable of fulfilling the same functions;
- PCBs which are to be processed into other products, providing that these
operations have been authorized by the Ministers responsible for the
environment and industry; and
- PCBs intended for use in installations devoted to technological research?
Note: The terms polychlorinated biphenyls and polychlorinated terphenyls as used to
describe products or preparations which contain greater than 0.005% by weight of
polychlorinated biphenyls and polychlorinated terphenyls, with the exception of
monochlorinated biphenyls and dichlorinated biphenyls. Equipment or articles shall be
regarded as containing or having contained PCBs, unless they have been
decontaminated to the extent that if reused the product contained in the equipment or
article after substitution will not exceed 0.005% by weight of PCB or PCT. [Order
No. 87-59 of 2 February 1987, Arts. 1 and 2; Council Directive 96/59/CE of 16
September 1996, Art. 2].
Currently, any measurable concentration of PCB in a product, preparation, equipment,
or article meets the definition of PCB per French law. [Circular of 25 May 1987,
Section 1. a)] The lower concentration levels have been agreed to by the European
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Commission and are to be implemented by the member countries by March 1998. The
protocol has used the European Commission levels.
8.8 If the facility manufactures, sells, imports PCBs, or appliances containing PCBs on their
premises, does it make their customer list available to the responsible authorities, as
well as the figures relating to the quantities of PCB manufactured, sold or brought into
use? [Order No. 87-59 of 2 February 1987, Art. 7]
Disposal of PCB
8.9 If the facility generates waste PCB or waste containing PCB (excluding condensers
weighing less than 1 kg and containing less than 3.5% PCB by weight or more highly
chlorinated biphenyls that have a chlorine content of less than 43% by weight), does it
ensure that this waste is treated either by an authorized firm in France, or on premises
which have obtained authorization in another European Community Member State?
[Order No. 87-59 of 2 February 1987, Art. 10]
Note: PCBs and equipment or articles containing PCBs which are not in use or for
which the facility no longer has a use are classed as waste containing PCBs. This also
applies to other objects and materials which are contaminated with PCB. [Order No.
87-59 of 2 February 1987, Art. 8]
8.10 If the facility generates waste PCB or waste containing PCB, does it ensure that such
waste is not mixed with other wastes or any other substance before transport to the
approved treatment facility? [Order No. 87-59 of 2 February 1987, Art. 10]
Note: Operations for the treatment of PCB-containing waste include the following: any
operation carried out with the intention of destroying the PCB molecules, decon-
tamination of appliances containing PCBs, substitution of fluid PCB in equipment or
articles, decontamination of other objects and material containing PCBs, decon-
tamination of fluids containing PCBs, and regeneration of PCB fluids. [Order No. 87-59
of 2 February 1987, Art. 9]
8.11 If the facility generates waste PCB or waste containing PCB, does it ensure that such
waste is not stored next to flammable substances and that fire protection measures,
such as sprinklers or fire extinguishers, are in place in the storage area? [Council
Directive 96/59/CE of 16 September 1996, Art. 6, Paragraph 2]
France February 1997
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8.12 If waste containing PCBs is present at the facility, is the waste storage area equipped
with leak retention capabilities that are equal to or greater than the following: [Order of
11 March 1986]
- 100% of the largest container; or
- 50% of the total stored volume?
8.13 If the facility has transformers that contained PCB but which have been
"decontaminated", has the facility ensured that the PCB concentration is less than
0.05% by weight (0.005% if technically possible)? [Council Directive 96/59/CE of
16 September 1996, Art. 9, Paragraph 1]
8.14 If the facility has transformers that contained PCB but which have been
decontaminated, is there a label on the transformer indicating the following: [Council
Directive 96/59/CE of 16 September 1996, Art. 9, Paragraph 1]
- The name of the substituting fluid;
- The date the retrofilling was done;
- The company that conducted the retrofilling;
- The initial PCB concentration, by weight; and
- The final concentration, by weight?
Note: Transformers that have been retrofilled to a concentration greater than 0.005%
PCB can remain in service but must be managed as PCB waste when they are taken
out of service. According to Art. 9, Paragraph 1 of Council Directive of 16 September
1996, the substituting fluid must present less risks in a perceptible way and that the
retrofilling should not compromise in any way the future elimination of PCBs.
8.15 If the facility has had PCB transformers reclassified since 3 February 1993, did the
facility use one of the following companies authorized to operate a mobile
reclassification unit: [Ministerial Order of 3 February 1993]
- La Societe de Maintenance Industrielle (SMIE), Port Fluvial de Lille, 4th Avenue,
59120 LOOS; or
France February 1997
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- La Societe Septra, 9 Rue Luis-Rouquier, B.P. 230, 92307 Levallois-Perret?
Note: Authorizations for both companies are scheduled to expire 3 February 1998.
Approved Treatment Activities
8.16 If the facility conducts treatment for PCB equipment and articles, or PCB-containing
waste, does it have authorization to do so from the Minister responsible for the
environment? [Order No. 87-59 of 2 February 1987, Art. 11]
8.17 If the facility has an authorization for the treatment of PCB equipment and articles or
PCB-containing wastes, does it comply with the following facility-specific requirements
stipulated in the authorization: [Order No. 87-59 of 2 February 1987, Art. 17]
- Description of the authorized treatment activity;
- List of the waste containing PCBs admitted in the facility;
- Enumeration of the means in equipment and staff necessary to control
efficiently supplied waste;
- Indication of the minimum efficiency required to carry out the treatment;
- Future destination of decontaminated fluids, objects, materials or devices and
the obligation to deliver a certificate testifying the decontamination has been
carried out;
- Agreement to display the tarification of operations carried out;
- Agreement to accept any waste containing PCBs admitted in the facility, in the
limits of the facility's treatment and storage capacities;
- Obligation in case of emergency to accept any parcel of waste containing PCBs
designated by the Minister responsible for the environment;
- Prohibition, except in a case of force majeure, for the authorized facility to have
a third facility carry out the treatment; and
France February 1997
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- Obligation to supply the waste containing PCBs resulting from the treatment
operations to another facility authorized to carry out the elimination of such
waste?
8.18 If the facility has made any significant modification of the process for which it received
authorization, was the Minister responsible for the environment notified of such
modification and was a new request for authorization submitted or was the need for a
new authorization waived in writing? [Order No. 87-59 of 2 February 1987, Art. 19]
8.19 If the facility conducts treatment for PCB equipment and articles or PCB-containing
waste, does it: [Council Directive 96/59/CE of 16 September 1996, Art. 4, Paragraph 6]
- Maintain a register that indicates the quantity, origin, nature and concentration
of PCB for each waste delivery; and
- Submit this register annually to the competent authorities?
Note: Requests to review this register can be made by local government authorities and
the public.
8.20 If the facility conducts treatment for PCB equipment and articles or PCB-containing
waste, does it send a receipt with a certificate of destruction to each waste supplier
which indicates the nature and quantity of waste material treated by the facility?
[Council Directive 96/59/CE of 16 September 1996, Art. 4, Paragraph 6]
8.21 If the facility has an authorization for the treatment of PCB equipment and articles or
PCB-containing wastes, does it display the authorization within the factory premises in
a permanent position where it can be easily seen? [Order No. 87-59 of 2 February
1987, Art. 17]
France February 1997
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Environmental, Health
& Safety Audit Protocol
Asbestos
Excerpt from Netherlands Protocol
9.0 ASBESTOS
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an
EH&S audit or self-assessment. It may require additions, revisions, or other modifications in
order to meet the needs of facility-specific assessment objectives, industrial setting, or other
special circumstances.
Tables or Appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout The Netherlands.
The key regulations covered in this protocol are noted as follows:
- Environmental Management Act (Wet milieubeheer), lastly amended on December 13,
1995 (Stb. 1995, 669). Establishes provisions for the disposal of wastes identified to be
hazardous; this includes asbestos.
- Decree on Asbestos (Asbestbesluit) March 20, 1995 (Stb. 1995, 163). This decree
details the requirements for those facilities where asbestos and/or asbestos-containing
materials are used.
- Decree on Asbestos-free Friction Materials (Besluit asbestvrije frictiematerialen Wet
milieu gevaarlijke stoffen) September 19, 1991 (Stb. 1991, 507). This decree forbids
the manufacture of friction materials containing asbestos for use in motor vehicles.
- Asbestos Removal Decree (Asbestverwijderingsbesluit) December 14, 1993 (Stb.
1993, 675). This decree establishes the requirements for the removal of asbestos in
buildings.
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3736001\405NL09.DOC Copyright ENSR Corporation 1996 All Rights Reserved
ASBESTOS
Emission Limits and Related Requirements
9.1 If the facility uses asbestos, are best available techniques used to prevent or reduce
asbestos fiber concentrations to 0.1 milligrams per cubic centimeter of air discharged or
less? [Decree on Asbestos (asbestbesluit) Article 3(1) March 20, 1995]
Note: If an Environmental Management Act (EMA) license was issued prior to the
promulgation of this decree and it specifies alternative asbestos emission limits, the
EMA limits take precedence and cannot be exceeded.
9.2 If an EMA license has been issued and contains provisions that discuss the use and
control of asbestos, does the facility abide by these provisions [Environmental
Management Act (Wet milieubeheer), Articles 8.10 et. al., lastly amended on December
13, 1994]
Automotive Services
9.3 If the facility manufacturers or imports motor vehicles, are any identified asbestos-
containing friction materials reported annually to the Ministry of Spatial Planning,
Zoning, and the Environment before March 1 of each year? [Decree on Asbestos-free
Friction Materials (Besluit asbestvrije frictiematerialen Wet milieu gevaarlijke stoffen)
Article 7 September 19, 1991)]
Building Materials
9.4 If the facility conducts any building demolition that may involve asbestos-containing
building materials (ACM), is a permit issued by the municipality for the ACM removal
activities secured before removal activities commence ? [Asbestos Removal Decree
(Asbestverwijderingsbesluit), Article 2(a), December 14, 1993]
Note: There are no provisions identified in the decree relative to the preparation of a
work plan describing removal activities prior to initiating the abatement. The Labor
Inspectorate is required to be notified prior to initiating the removal of the ACM,
however.
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9.5 If demolition activities have been conducted, was the work performed by a qualified
"specialist"? [Asbestos Removal Decree (Asbestverwijderingsbesluit), Articles 3(a) and
5(1)(a) December 14, 1993]
Note: The decree does not define the term specialized. There are no requirements
identified for conducting abatement activities.
Disposal Requirements
9.6 If demolition activities were conducted, was the asbestos-containing debris disposed of
in accordance with the following requirements: [Environmental Management Act (Wet
milieubeheer), Chapter 10, lastly amended December 13, 1995]
- An authorized collector must be used to collect the asbestos waste;
- The facility must notify the appropriate provincial authority of the waste disposal
activity;
- The facility must furnish the collector with the waste characteristics;
- Demolition containing asbestos may be disposed of in a landfill provided that the
provisions of the Asbestos Removal Decree have been adhered to (see
Questions 9.4 and 9.5 above).
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Environmental, Health
& Safety Audit Protocol
General Health and
Safety
Excerpt from Australia - Victoria Protocol
8.0 GENERAL HEALTH AND SAFETY
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an
EH&S audit or self-assessment. It may require additions, revisions, or other modifications in
order to meet the needs of facility-specific assessment objectives, industrial setting, or other
special circumstances.
Tables or Appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout the State of Victoria, Australia.
Key legislation and regulations covered in this protocol are noted as follows:
National
There is no specific National legislation regarding general health and safety issues.
Victoria
- Occupational Health and Safety (General Safety) Regulations, 1986. These
regulations address requirements for the notification of accidents occurring in the
workplace and for keeping accident records at the facility.
- Code of Practices for Workplaces, June 1988. This code of practice provides
practical guidance pertaining to general health and safety issues in the workplace.
- Occupational Health and Safety (Issue Resolution) Regulations 1989. These
regulations address requirements for the resolution of health and safety issues in the
workplace.
- Provision of Occupational Health and Safety Information in Languages Other
Than English, October 1992. This code of practice provides practical guidance on
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meeting the requirements pertaining to the provision of information in appropriate
language in the workplace, and to prevent the risk of injury and illness to persons
working in multilingual workplaces.
- First Aid in the Workplace Code of Practice, June 1995. This code provides
guidance on first air programs in the workplace.
There are certain industry-specific health and safety requirements, the details of
which are beyond the scope of this protocol. One such set of requirements identified
during the course of preparing this protocol is the "Code of Practice for Foundries,
June 1988." It can be obtained by contacting the Occupational Health and Safety
Authority of Victoria.
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GENERAL HEALTH AND SAFETY
General Workplace Hygiene Requirements
8.1 If any work processes at the facility cause a risk to the health, safety and welfare of
employees, is a dinning facility provided that is separated from these processes?
[Code of Practices for Workplaces, June, 1988, Section 6]
8.2 If the nature of any work performed by any employee at the facility involves working
with toxic and/or dangerous substances, and the employee is required to change
clothes and wear protective clothing, are workers provided with a decontamination
facility? [Code of Practices for Workplaces, June, 1988, Section 31]
Note: The decontamination facility should be capable of removing any harmful
substance. This facility should be separate from other sanitary and washing facilities.
Changing rooms should be duplicated and storage for protective clothing should be in
one room and lockers for personal clothing in another. Protective clothing and
personal clothing should not come into contact with each other and should be stored
separately. Protective clothing and work clothing which has become wet by the
process of decontamination should be stored in a separate, well ventilated area.
8.3 Are hand washing facilities provided to enable employees at the facility to clean the
dirt from the process from their hands? [Code of Practices for Workplaces, June,
1988, Section 32]
8.4 If there is a risk at the facility of employees coming into contact with corrosive or
otherwise harmful substances, is an immediately accessible eye bath and/or drench
shower provided to safely remove the substance from the employee or their clothing?
[Code of Practices for Workplaces, June, 1988, Section 43]
8.5 Are all workplaces at the facility maintained below a temperature range that could
cause thermal stress? [Code of Practices for Workplaces, June, 1988, Section 48]
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8.6 Are workers at the facility provided with sufficient lighting to allow them to perform
their work safely and without having to strain to see? [Code of Practices for
Workplaces, June 1988, Section 60]
Note: Australian Standard Code AS 1680, Lighting and the Visual Environment,
provides valuable information for workplace lighting and should be considered when
lighting work stations. Although AS 1680 is not covered within the scope of this
protocol a copy can be obtained through the Australian Standards Authority.
8.7 Are workers at the facility provided with a supply of drinking water that complies with
the following requirements: [Code of Practices for Workplaces, June 1988, Sections
44 through 47]
- the supply is cool, clean and palatable, and it is separated from sanitary and
hand washing facilities;
- where a connection to a water supply is not possible, supply may be provided by
other means such as a flask, cooled drink dispenser or waterbag;
- at least one drinking point should be provided for every forty employees or part of
forty employees, and the drinking points should be placed where they will service
the most people requiring them. Employers should provide additional cool water
drinks to prevent risks associated with thermal stress, and in such cases the
drinking points would be best placed near the hot or strenuous work station; and
- the distance of travel to a drinking point should not exceed 30 meters, although in
a large workplace, such as a warehouse where a small number of people may be
employed, it is reasonable to extend the distance of travel?
Accident Reporting and Record Keeping
8.8 If an accident at the facility has occurred in which bodily injury to a worker or death of
a worker has occurred, has the facility notified an inspector of the Department of
Labor within twenty-four hours of the occurrence, by using the First Schedule in
Appendix 8-A? [Occupational Health and Safety (General Safety) Regulations, 1986,
Regulation 7]
Note: The following situations require submittal of the notice:
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- the amputation of any limb or part of a limb of any person;
- the loss or partial loss of the use of any part of a person's body;
- the loss by any person of a bodily function;
- any person being admitted as a patient to a hospital;
- any person showing acute symptoms of exposure to any substance at the
workplace; or
- any other serious bodily injury.
8.9 If the facility is a factory employing more than five people, does the facility keep
accident records containing the particulars of every accident where any person was
injured, using the form contained in Appendix 8-B? [Occupational Health and Safety
(General Safety) Regulations, 1986, Regulation 8]
Note: Factory is defined as a workplace in which steam, electrical, water or other
power driven machinery is used.
Each accident record for any injured employee must be kept at the facility for at least
three years and be available during that period for inspection. Each record must
record all particulars for any injury sustained by the employee, including those not
reported by the notice specified in question 8.8.
Facility Health and Safety Resolution Procedure
8.10 Does the facility have an established procedure for the resolution of health and safety
issues as they arise? [Occupational Health and Safety (Issue Resolution) Regulations
1989, Regulation 4]
8.11 If the facility does not have an established procedure for the resolution of health and
safety issues as they arise, has the facility nominated any management
representatives who are responsible for dealing with specified health and safety
issues, and has the health and safety committee been informed in writing of the
nominations? [Occupational Health and Safety (Issue Resolution) Regulations 1989,
Regulation 4]
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Health and Safety Issues Pertaining to Non-English Speaking Employees
8.12 If any employee at the facility does not speak fluent english, and because of the
nature of their work they are required to understand health and safety issues and
topics relevant to the facility, has the facility enabled any such employee to
understand these issues and topics by implementing the following: [Provision of Oc-
cupational Health and Safety Information in Languages Other Than English, October,
1992, Part 4]
- a plan for managing information provision to non-English employees is
developed;
- appropriate forms of communication are used, with a preference for oral
communication and practical demonstration and avoiding reliance on high
literacy;
- provisions are made for checking that the employee understands the information;
- information is expressed in plain language, and made as clear as possible;
- employees are given the opportunity to improve their English language skills;
- safety signs in the workplace are displayed in a form which is understood by all
employees, with a preference for standard picture safety signs;
- a system is set up for collecting and storing health and safety information and
resources, including translations;
- written material required for translation is identified, and translations are obtained
in the relevant languages;
- appropriate provision is made for use of interpreters;
- bilingual people who can assist with communication in the workplace are
identified and used appropriately;
- employees are taught terms common to the workplace; and
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- induction training and other workplace health and safety training is conducted so
that non-English speaking trainees can understand and discuss the content?
Facility First Aid Assessment
Note: In establishing what are appropriate first aid facilities and suitably trained employees,
employers may consider the following systematic approach:
- identify causes of work injury and work-related illness;
- assess the risk of work injuries and work-related illness occurring;
- determine the appropriate first aid facilities and training; and
- evaluate the first aid facilities and training.
Although it is not required, it is suggested that the employer record the first aid assessment
process undertaken and the outcomes of any assessment, as this may be beneficial when
reviewing first aid facilities and training needs, and will serve as proof of compliance with this
required first aid assessment.
8.13 Has the first aid program at the facility been developed in such a manner that it takes
into account the size and layout of work areas within the facility? [First Aid in the
Workplace Code of Practice, June 1995, Section 4.2 (i)]
Note: In relation to the size and layout of workplaces at the facility, an employer
should consider:
- the nature of work being performed at different work stations;
- the distance an injured or ill person has to be transported to first aid;
- the ease with which this can be undertaken; and
- the level of first aid available throughout the workplace.
First aid facilities and services should be located at points convenient to the workforce
and where there is a significant risk of an injury occurring.
A workplace with a large physical area may require first aid to be available in more
than one location, for example, when:
- the place of work is a long distance from accident emergency facilities;
- small numbers of employees are dispersed over a wide area;
- access to treatment is difficult; and
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- a workplace is on more than one floor.
8.14 Has the first aid program at the facility been developed in such a manner that it takes
into account the number and distribution of employees, including arrangement such
as shift work, overtime and flexible hours? [First Aid in the Workplace Code of
Practice, June 1995, Section 4.2 (ii)]
Note: Where there are separate work areas, it may be appropriate to locate first aid
facilities centrally and provide portable first aid kits in each work area.
Where work occurs on more than one shift, first aid facilities should be available
whenever there are people at work. The number of people working overtime is often
less than a regular shift, but additional hours of work heightens fatigue. This may
increase the risk of accidents and injuries. An employer should ensure that when
overtime or shift work is being performed appropriate first aid facilities and services
are available for the number of people working each shift.
8.15 Has the first aid program at the facility been developed in such a manner that it takes
into account the nature of hazards and the severity of the risk? [First Aid in the
Workplace Code of Practice, June 1995, Section 4.2 (iii)]
Note: Certain work environments have greater risks of injury and illness due to the
nature of the work being performed. This is an important criterion for deciding the first
aid requirements as different first aid facilities may be required for different activities.
For example, offices and libraries will require different first aid facilities than factories.
Where a workplace stores or uses highly toxic or corrosive chemicals, additional first
aid facilities and services should be provided, particularly if specified in the relevant
Material Safety Data Sheet (MSDS) for a specific substance. Facilities may need to
include emergency showers and eyewash stations, and where applicable, the
provision of poison antidotes.
8.16 Has the first aid program at the facility been developed in such a manner that it takes
into account the location of the facility? [First Aid in the Workplace Code of Practice,
June 1995, Section 4.2 (iv)]
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Environmental, Health
& Safety Audit Protocol
Equipment, Machine
and Electrical Safety
Excerpt from Great Britain Protocol
12.0 EQUIPMENT, MACHINE AND ELECTRICAL SAFETY
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an
EH&S audit or self-assessment. It may require additions, revisions, or other modifications in
order to meet the needs of facility-specific assessment objectives, industrial setting, or other
special circumstances.
Key topics covered in this protocol section include the following:
- General Requirements for Work Equipment
- Worker Training
- Work Equipment Controls and Control Systems
- Machinery and Machine Guarding
- Electrical Safety Work Practices
Tables or Appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout Great Britain (England, Wales and Scotland)
unless otherwise indicated. Where requirements differ geographically within Great Britain,
such distinctions are noted. For instance, certain regulations only apply to facilities located in
England and Wales, but not to those situated in Scotland.
The key legislation covered in this protocol section are noted as follows:
The Factories Act 1961. This Parliamentary Act establishes general principles
-
regarding health and safety in factories.
The Electricity at Work Regulations 1989, S.I. 1989, No. 635. This regulation
-
establishes precautions to be taken against the risk of death or personal injury from
electricity in work activities.
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The Provision and Use of Work Equipment Regulations 1992, S.I 1992, No. 2932.
-
This regulation imposes health and safety requirements upon employers with respect to
work equipment provided for or used by their employees at work.
In addition to the above referenced regulations, applicable sections of various governmental
circulars, guidance documents, or approved codes of practice are also incorporated into this
protocol, including the following:
- Health and Safety Executive, Memorandum of Guidance on the Electricity at Work
Regulations 1989, Guidance on Regulations, 1990.
- Health and Safety Executive, Work Equipment: Provision and Use of Work Equipment
Regulations 1992, Guidance on Regulations, 1992.
- Health and Safety Executive, Health and Safety Regulation, A Short Guide, HSC13,
November 1996.
The above identified non-statutory material does not have the force of law, though they often
describe good or best practices and are produced in order to assist both regulators and the
regulated community to understand their statutory obligations. As such, non-compliance with
applicable circulars, guidance documents, codes of practice and similar documents can be
considered as evidence in a court of law in the event of proceedings for failure to comply with
legislation. Failure to comply with an "Approved Code of Practice" carries particular weight in
this respect.
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EQUIPMENT, MACHINE AND ELECTRICAL SAFETY
Note: The term, "as far as reasonably practicable" is used throughout British health and safety
legislation. Although not defined in the legislation, recent non-statutory guidance suggests that
it means that the degree of risk in a particular job or workplace needs to be balanced against
the time, trouble, cost and physical difficulty of taking measure to avoid or reduce the risk.
[Health and Safety Executive, Health and Safety Regulation, A Short Guide, November 1996].
If, for example, the risks to health and safety of a particular work process are very low, and the
cost or technical difficulties of taking certain steps to prevent those risks are very high, it might
not be reasonably practicable to take those steps. The greater the degree of risk, the less
weight that can be given to the cost of measures needed to prevent that risk.
General Requirements for Work Equipment
Notes:
(1) The following requirements apply to work equipment, which is defined as any machinery,
appliance, apparatus or tool and any assembly of components which, in order to achieve a
common end, are arranged and controlled so that they function as a whole. [The Provision and
Use of Work Equipment Regulations 1992 (hereinafter referred to as PUWER 1992),
Regulation 2(1)]
(2) For many of the requirements established by PUWER 1992, there was a transitional period
available. Work equipment brought into service before 1 January 1993 had until 1 January
1997 to meet the above requirements; work equipment installed after 31 December 1992 was
required to meet these obligations immediately.
12.1 Does the facility ensure that work equipment is used only for operations for which, and
under conditions for which, it is suitable? [PUWER 1992, Regulation 5(3)]
Note: The term, "suitable," means suitable in any respect which it is reasonably
foreseeable will affect the health or safety of any person. [PUWER 1992,
Regulation 5(4)]
12.2 Does the facility ensure that work equipment is maintained in an efficient state, in
efficient working order and in good repair? [PUWER 1992, Regulation 6(1)]
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12.3 Where the use of work equipment is likely to involve a specific risk to health or safety,
does the facility ensure that the following conditions are met: [PUWER 1992,
Regulation 7(1)]
- The use of that work equipment is restricted to those persons given the task of
using it; and
- Repairs, modifications, maintenance or servicing of that work equipment is
restricted to those persons who have been specifically designated to perform
operations of that description (whether or not also authorized to perform other
operations)?
12.4 Does the facility ensure that the exposure of a person using work equipment to any risk
to his health or safety from certain specified hazards is either prevented, or, where that
is not reasonably practicable, adequately controlled? [PUWER 1992, Regulation 12]
Notes: The specified hazards are any article or substance falling or being ejected from
work equipment; rupture or disintegration of parts of work equipment; work equipment
catching fire or overheating; the unintended or premature discharge of any article or of
any gas, dust, liquid, vapor or other substance which, in each case, is produced, used
or stored in the work equipment; or the unintended or premature explosion of the work
equipment or any article or substance produced, used or stored in it. [PUWER 1992,
Regulation 12(2)]
12.5 Does the facility ensure that the following requirements are met with regard to work
equipment:
- Work equipment or any part of work equipment is stabilized by clamping or
other device where necessary for purposes of health and safety [PUWER 1992,
Regulation 20(1)];
- Suitable and sufficient lighting is provided at any place where a person uses
work equipment [PUWER 1992, Regulation 21(1)]
12.6 If any accessible surface of any work equipment is very hot or cold, does the facility
ensure that workers are provided with adequate protection to prevent injury from burns,
scalds, or searing? [PUWER 1992, Regulation 13]
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Worker Training
12.7 If employees use work equipment, does the facility ensure that such persons have the
following: [PUWER 1992, Regulation 8(1)]
- Adequate health and safety information; and
- Where appropriate, written instructions pertaining to the use of the work
equipment?
Notes:
(1) The information and instructions referred to above shall include, where
appropriate, data on the conditions in which and the methods by which the work
equipment may be used; foreseeable abnormal situations and the actions to be
taken if such a situation was to occur; and any conclusions that may be drawn
from experience in using the work equipment [PUWER 1992, Regulation 8(3)]
(2) Written instructions primarily refer to information provided by manufacturers and
suppliers such as instruction sheets or manuals, instruction placards, warning
labels and training manuals [Health and Safety Executive, Work Equipment:
Provision and Use of Work Equipment Regulations 1992 (hereinafter referred to
as Guidance 1992)]
12.8 Does the facility ensure that all employees who use work equipment have received
adequate training for purposes of health and safety, including information on the risks
which use of such work equipment may entail and precautions to be taken? [PUWER
1992, Regulation 8(1)]
12.9 Does the facility ensure that all employees who supervise or manage the use of work
equipment have received adequate training for purposes of health and safety, including
information on the risks which use of such work equipment may entail and precautions
to be taken? [PUWER 1992, Regulation 8(2)]
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Work Equipment Controls and Control Systems
Notes:
(1) The requirements on controls only apply where appropriate. They generally do not
apply where the work equipment has no moving parts, where the work equipment is powered
by human effort only, or where the risk of injury is negligible. [Guidance 1992]
(2) A "control" is the manual actuator that the operator touches, e.g. a button, foot-pedal,
knob, or lever. It may operate directly, but is more often a part of a control device such
as a brake, clutch, switch, or relay. [Guidance 1992]
12.10 Does the facility ensure that one or more controls are provided, where appropriate, to
do the following:
- Start work equipment (including restarting after a stoppage) and that the control
cannot be activated except by a deliberate action on such control? [PUWER
1992, Regulation 14];
- Bring the work equipment to a complete stop where necessary [PUWER 1992,
Regulation 15(2)];
- Control any significant change in operating conditions (e.g. speed, pressure,
etc.) [PUWER 1992, Regulation 14(1)];
- Switch off all sources of energy after stopping the functioning of the work
equipment [PUWER 1992, Regulation 15(3];
- Have an emergency stop control unless it is not necessary by reason of the
nature of the hazards or the time it takes for equipment to otherwise come to a
complete stop [PUWER 1992, Regulation 16(1)];
- All controls are clearly visible and identifiable [PUWER 1992, Regulation 17(1)];
and
- No work equipment control shall be in a position where any person operating it
is exposed to a risk to his health or safety [PUWER 1992, Regulation 17(2)];
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Machinery and Machine Guarding
12.11 Does the facility require every dangerous part of machinery to be either securely
fenced or so constructed that it is as safe as if it were securely fenced? [The Factories
Act, Section 13]
12.12 Does the facility ensure that measures are taken to fulfill the following requirements
with regard to work equipment: [PUWER 1992, Regulation 11(1)]
- Prevent access to any dangerous part of machinery or to any rotating stock-bar,
and
- Stop the movement of any dangerous part of machinery or rotating stock-bar
before any person enters a danger zone?
Electrical Safety Work Practices
Notes:
(1) The following section concerns electrical equipment which includes anything used,
intended to be used or installed for use, to generate, provide, transmit, transform,
rectify, convert, conduct, distribute, control, store, measure or use electrical energy.
[The Electricity at Work Regulations 1989 (hereinafter referred to as EWR 1989),
Regulation 1]
(2) The terms, "danger" and "injury" are used throughout this section. "Danger" is defined
as risk of injury with "injury" being defined as death or injury to persons from electric
shock; electric burn; fires of electrical origin; electric arcing; or explosions initiated or
caused by electricity. [EWR 1989, Regulation 1]
12.13 Does the facility ensure that all electrical systems are operated and maintained in such
a way as to prevent, so far as reasonably practicable, risk of injury to workers? [EWR
1989, Regulation 4]
12.14 Does the facility ensure that the strength and capability (safe working limits) of electrical
equipment are not exceeded in such a way as may give rise to danger? [EWR 1989,
Regulation 5]
Note: Strength and capability refer to the ability of the equipment to withstand the
thermal, electro-magnetic, electro-chemical or other effects of the electrical currents
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which might be expected to flow when the equipment is part of a system. [Health and
Safety Executive, Memorandum of Guidance on the Electricity at Work Regulations
1989, Guidance on Regulations, 1990, hereinafter referred to as Memorandum 1990]
12.15 Does the facility ensure that electrical equipment is constructed or sufficiently protected
to prevent, so far as is reasonably practicable, danger arising from reasonably
foreseeable events such as mechanical damage; the effects of weather, natural
hazards, temperature or pressure; the effects of wet, dirty, dusty or corrosive
conditions; or any flammable or explosive substance, including dusts, vapors or gases?
[EWR 1989, Regulation 6]
12.16 Does the facility ensure that all conductors of electrical energy are suitably covered with
insulating material or otherwise protected or located so as to prevent, so far as is
reasonably practicable, danger from arising? [EWR 1989, Regulation 7]
12.17 Does the facility ensure that any conductor of electrical energy is earthened (grounded)
in such a way as to discharge the electrical energy to earth or that other suitable
precautions are taken to prevent danger arising by virtue of conductors being charged
with electricity? [EWR 1989, Regulation 8]
Note: This requirement does not apply to circuit conductors. It does apply to any other
conductor, including the conductive parts of equipment, such as outer metallic casings,
which can be touched, which although not live, may become live under fault conditions.
[Memorandum 1990]
12.18 Does the facility ensure that every joint and connector in an electrical system is
mechanically and electrically suitable for use so as to prevent danger from arising?
[EWR 1989, Regulation 10]
12.19 Does the facility ensure that suitably located and efficient means for protecting all parts
of an electrical system against foreseeable excess currents are provided? [EWR 1989,
Regulation 11]
Note: The above referenced means of protection is likely to be in the form of fuses or
circuit breakers, but other means of protection may also be used.
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12.20 Does the facility ensure that suitable means of cutting off the electrical supply to any
equipment and for the isolation of any electrical equipment are available? [EWR 1989,
Regulation 12]
Note: The term, "isolation," means the disconnection and separation of the electrical
equipment from every source of electrical energy in such a way that this disconnection
and separation is secure (i.e., prevents inadvertent reconnection). [EWR 1990,
Regulation 12(2) and Memorandum 1990]
12.21 Does the facility ensure that adequate precautions are taken to prevent electrical
equipment, which has been made dead (not live or charged) while work is carried out
on or near that equipment, from becoming electrically charged during that work if this
may give rise to danger? [EWR 1989, Regulation 13]
12.22 Does the facility ensure that no work activity takes place on or near any live conductor
other than ones which are suitably insulated unless the following conditions exist: [EWR
1989, Regulation 14]
- It is unreasonable in all circumstances for the conductor to be dead; and
- It is reasonable in all circumstances for the work to be carried out on or near the
conductor when it is live; and
- Suitable precautions are taken to prevent injury including suitable protective
equipment?
Note: Work on or near live conductors is only permitted when all three of the above
conditions are satisfied and applies to situations where the danger is not prevented by
the presence of suitable insulation. [Memorandum 1990]
12.23 Does the facility ensure that adequate working space, means of access, and suitable
lighting are provided at all electrical equipment on or near which, work that may give
rise to danger is being carried out? [EWR 1989, Regulation 15]
Note: Adequate working space should be provided to allow the worker to stand back
from the conductor without hazard, and where necessary, to allow persons to pass
each other without risk. Lighting must be adequate to prevent injury. [Memorandum
1990]
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Environmental, Health
& Safety Audit Protocol
Material Handling and
General In-Plant Safety
Excerpt from Italy Protocol
12.0 MATERIAL HANDLING AND GENERAL IN-PLANT SAFETY
Facility Name: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning an conducting the general aspects of an EH&S audit
or self-assessment. It may require additions, revisions, or other modifications in order to meet the
needs of facility-specific assessment objectives, industrial setting, or other special circumstances.
Key topics covered in this protocol section include the following:
- Traffic Routes, Danger Areas, Floors and Passageways;
- Stairs;
- Ladders;
- Manual Handling of Loads;
- Cradles and Seats;
- Overhead Cranes and Hoists;
- Confined Spaces; and
- Pressurized Installations, Equipment and Vessels.
Tables or Appendices referenced in the protocol are located at the end of this section. This protocol
applies to facilities located throughout Italy.
Key legislation and regulations covered in this protocol are noted as follows:
- Presidential Decree No. 547, July 12, 1955. This Decree sets forth regulations on the
prevention of accidents at work.
- Legislative Decree No. 626, September 19, 1994. This Decree implements EEC
Directives 89/391, 89/654, 89/655, 89/656, 90/269, 90/270, 90/394, and 90/679 regarding
the improvement of the safety and health of workers at the workplace.
- Legislative Decree No. 242, March 19, 1996. This Decree presents modifications and
updates to Legislative Decree No. 626 relative to worker health and safety.
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MATERIAL HANDLING AND GENERAL IN-PLANT SAFETY
Traffic Routes, Danger Areas, Floors and Passageways
12.1 Does the facility ensure each of the following with respect to traffic routes, danger areas,
floors and passageways? [Legislative Decree No. 626, Article 33.3]
- Traffic routes, including stairs, fixed ladders and loading bays and ramps, are
located and calculated in a manner that allows pedestrians or vehicles to use
them easily, in complete safety, according to their designed use, and in a
manner that does not endanger the workers employed in the vicinity of those
traffic routes;
- The facility's calculation of the dimensions of traffic routes for pedestrians and/or
goods are based on the potential number of users and the type of company;
- When means of transport are used on traffic routes, a sufficient safety clearance
is provided for pedestrians;
- Sufficient clearance is allowed between vehicle traffic routes and doors, gates,
passages for pedestrians, corridors and stairs;
- Traffic routes are clearly identified;
- If the workplaces contain danger areas that pose risks to the workers or that
may expose workers to falling objects, the places are equipped with devices
that prevent unauthorized workers from entering those areas; and
- Appropriate measures are taken to protect workers authorized to enter danger
areas.
Note: The above requirements are also applicable to principle routes on the facility
grounds, routes leading to fixed work places, work routes used for regular maintenance
and surveillance of the plant, and to loading bays. The requirements are also applicable
to external work places. [Legislative Decree No. 242, Article 16.1]
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12.2 Does the facility also ensure each of the following with respect to traffic routes, danger
areas, floors and passageways? [Legislative Decree No. 626, Article 33.3]
- Danger areas are clearly indicated;
- The floors of work environments and places intended for passage have no
dangerous bumps or holes and are in a condition so that movement and traffic
by persons or means of transport is safe;
- Floors and passageways are not cluttered by materials which block the normal
traffic flow; and
- When for clear technical reasons it is not possible to completely eliminate from
the traffic areas all of the fixed or mobile obstacles which might constitute a
danger to workers or vehicles, the obstacles are properly marked.
12.3 If a floor area within the facility is designated for material storage, has the facility clearly
marked the maximum floor load on the wall or other conspicuous place? [Presidential
Decree No. 547, Article 9]
Note: The maximum floor load must be expressed in kilograms per square meter of
surface area (kg/m2).
12.4 Has the facility provided solid covers or railings around every floor or wall opening that
are capable of preventing persons from falling? [Presidential Decree No. 547, Article 10]
12.5 If it is not possible to provide solid covers or railings around every floor or wall opening,
has the facility provided hazard signs that inform persons of the danger? [Presidential
Decree No. 547, Article 10]
12.6 If the facility has any wall openings that permit the passage of persons or that present a
danger of falling due to a difference in level of more than one meter, has the facility
provided a solid barrier or a standard railing to mitigate the danger? [Presidential Decree
No. 547, Article 10]
12.7 If the facility utilizes scaffolding, runways, platforms, access ramps, balconies and
elevated working or traffic areas, does it ensure that these surfaces are guarded by
standard railings or standard railings with toeboards on all open sides? [Presidential
Decree No. 547, Article 27]
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Note: Such protection is not required for loading platforms less than 1.5 meters in height.
A "standard railing" is one that is equipped as follows:
- It is constructed of sturdy, strong material and is in good repair;
- It has a useful height of at least one meter;
- It is constructed with at least two rails, one about at the mid point between the
floor and the top rail; and
- It is constructed and attached so as to resist the maximum stress that it can
undergo, overall and in all its parts, giving due consideration to weather and its
intended purpose.
A "standard railing with toeboard" means a guard rail as defined above that is equipped
with a 15 centimeter band attached to the walking floor. [Presidential Decree No. 547,
Article 26]
Stairs
12.8 Does the facility ensure that each fixed stairway is equipped with tread and riser in
accordance with best professional practice and of a width adequate for traffic needs?
[Presidential Decree No. 547, Article 16]
12.9 Does the facility ensure that all fixed stairs and their landings are guarded by standard
railings or other equivalent protection on all open sides? [Presidential Decree No. 547,
Article 16]
12.10 If the facility has a flight of fixed stairs located between two walls, does the facility ensure
that the stairs are provided with at least one hand rail? [Presidential Decree No. 547,
Article 16]
Ladders
12.11 Does the facility ensure that all fixed ladders of more than five meters in height that are
fixed to walls or vertical structures, or are at a pitch exceeding 75 degrees, are provided
with a solid metal protective cage with screens or openings of sufficient width to prevent
accidental falling backwards from 2.5 meters above ground or floor level? [Presidential
Decree No. 547, Article 17]
12.12 Does the facility ensure that the cages provided on fixed ladders are not more than 60
centimeters from the ladder? [Presidential Decree No. 547, Article 17]
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12.13 Does the facility ensure that the rungs of fixed ladders are at least 15 centimeters from
the wall? [Presidential Decree No. 547, Article 17]
Note: This requirement applies whether the rungs are part of a fixed ladder or whether
they are attached directly to the wall.
12.14 If it is not possible to provide fixed ladders with a protective cage, has the facility adopted
other safety measures that will prevent persons from falling more than one meter in
height? [Presidential Decree No. 547, Article 17]
12.15 Does the facility ensure that its single portable (hand) ladders are constructed of
materials suitable to the conditions of use and are equipped as follows? [Presidential
Decree No. 547, Article 18]
- Non-slip devices are located on the bottoms (feet) of both side rails;
- Hooks or non-slip supports are located on the tops as necessary to ensure the
stability of the ladder; and
- If the ladders are made of wood, rungs are fixed to the side rails by means of
fixed joints.
Note: If the portable ladders are secured at the upper ends (including ladders on rails),
they are not required to have non-slip devices on their bottoms and tops.
12.16 If the facility utilizes portable extension ladders, does it ensure the ladders are designed
and used in accordance with the following? [Presidential Decree No. 547, Article 20]
- The ladders are not longer than 15 meters, except where there are special
requirements, in which case the top ends of the side rails are affixed to
stationary parts;
- Ladders that are longer than 8 meters are equipped with spreaders so as to
minimize the height of inflection;
- Workers do not remain on the ladders when they are being moved sideways;
- During use, the ladder is supervised at all times; and
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- Non-slip devices are on the bottoms (feet) of both side rails.
12.17 If the facility utilizes step ladders, does it ensure the following? [Presidential Decree
No. 547, Article 21]
- The ladders are not more than 5 meters in height; and
- The ladders are provided with a substantial chain or other device to prevent the
ladder from opening beyond the safe limit.
12.18 If the facility utilizes overhead ladders of variable inclination, does it ensure the
following? [Presidential Decree No. 547, Article 22]
- The ladders are fixed on a car;
- The ladders are equipped with gauges that indicate the level of the car and the
maximum and minimum lifting;
- The ladders are equipped with wedges or other devices that ensure the car's
stability; and
- The ladders have a tag indicating the name of the manufacturer, the place and
year of manufacture, and the maximum load.
12.19 When performing work on ladders or platforms, does the facility ensure that all hand
tools are kept in cases or are fastened so that they will not fall? [Presidential Decree No.
547, Article 24]
Cradles and Seats
12.20 If the facility utilizes suspended cradles or seats, does it ensure the following?
[Presidential Decree No. 547, Article 23]
- If the suspended cradles and seats are mechanical, the vertical movement is
performed exclusively by self-stopping descending winches;
- The cradles are provided with standard guard rail and foot cut-off;
- The chair's supports are suspended to ensure stability; and
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- The supports are equipped with belts or other devices to prevent persons from
falling.
Manual Handling of Loads
12.21 Has the facility taken steps to provide mechanical equipment wherever possible so as to
reduce the need for the manual handling of loads by workers? [Legislative Decree No.
626, Article 48]
Note: The term "manual handling of loads" means activities involving the transporting or
supporting of a load by one or more workers, including the lifting, putting down, pushing,
pulling, carrying or moving of a load which, due to its characteristics or as a result of
unfavorable ergonomic conditions, involves, among other things, the risk of dorsolumbar
injuries.
12.22 Where the manual handling of loads is unavoidable, has the facility performed each of
the following? [Legislative Decree No. 626, Article 48]
- Assessed, if possible beforehand, the safety and health conditions associated
with the work in question and taken into account the characteristics of the load;
- Taken measures aimed at avoiding or reducing risks of back injuries, taking into
account, in particular, the individual risk factors, the characteristics of the work
environment, and the requirements that the activity entails;
- Organized the work stations so the manual handling can be performed in as
safe and healthy a manner as possible; and
- Subjected all employees assigned to manual loading activities to a health
surveillance program.
12.23 If facility employees are required to conduct manual handling of loads, has the facility
provided those employees with a training program that covers the following topics?
[Legislative Decree No. 626, Article 49]
- The weight of the loads to be handled;
- The center of gravity of the heaviest side where the contents of the packages
have an eccentric placement; and
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- The correct handling of loads and the risks to workers if the activities are not
performed correctly.
Overhead Cranes and Hoists
12.24 If the facility utilizes overhead cranes and hoists, does it have procedures in-place to
ensure compliance with each of the following general requirements? [Presidential
Decree No. 547, Articles 168 through 185]
- The machines are appropriate for the safety, nature, shape and volume of the
loads they are required to lift and convey;
- The machines and its load are maintained in a stable state, giving due
consideration to the type and speed of the machine, its acceleration in the
starting and stopping phases, and the nature of the route travelled;
- The machines are loaded and unloaded with the help of suitable appliances or
devices where it cannot be performed manually;
- Hoisting machines, except for manual lifting equipment, are marked with the
maximum permitted capacity;
- If the maximum permitted capacity varies according to the conditions under
which the machine or equipment is used, the permitted capacities for various
operating conditions are shown on a special rating plate;
- Hooks used for hoisting and conveying machines are marked in relief or are
engraved with a clear statement of their maximum permitted capacity;
- Hooks for lifting machines are fitted with aperture-closing devices and their
inside surface is designed, or the mouth aperture is restricted, in such a way that
prevents ropes, chains, and other retaining components from becoming
detached from the hook;
- Lifting and conveying machines are fitted with suitable braking devices that
allow the machine to be stopped quickly with their loads remaining stable or,
when necessary for safety purposes, so that they can be stopped gradually;
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Note: These braking devices are not required for manually operated equipment
where, due to the dimensions, capacity, speed and operating conditions of the
equipment, the absence of a brake does not constitute a hazard.
- Where a power failure could constitute a hazard to persons, the lifting machines
are equipped with devices to bring both the machine and its load to a gradual
halt automatically;
- Hoisting or conveying machines operating under specifically dangerous
conditions are fitted with appropriate acoustic and light indicators and warnings,
and have lights that illuminate the field of operation;
- Hoisting and conveying machines and plants operating by traction with winding
drums and friction pulleys, as well as screw-type lifting machines, are fitted with
devices that prevent the cable or chains from winding and coiling the screw
from rotating beyond the pre-established safety limits;
- The seats or races of drums or pulleys for traction hoisting and conveying
machines are of a size and shape that allow the cables or chains to wind
normally and freely in a manner that prevents undue overlapping or stress;
- The diameter of motor drums and pulleys for traction hoisting and conveying
machines are not less than 25 times greater than the diameter of the cables and
300 times the diameter of the elements of those cables. The diameter of snub
pulleys is not less than 20 and 250 times greater, respectively;
- Cables and chains for lifting and traction machines and plants have a safety
factor, by comparison with the maximum permitted stress and capacity, of at
least six for metal cables, ten for fiber cables, and five for chains;
Note: The safety factor of cables and chains must be marked on the equipment.
- The facility inspects all cables and chains on a quarterly basis;
- Cables and chains are connected in a manner that prevents dangerous stress,
overlapping or tangling;
- The loose ends of cables, either metal or fiber, are leaded, bound, or clamped to
prevent the strands or wires from unwinding or fraying;
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- Loads are anchored with suitable devices to prevent them from falling or shifting
from the position in which they are fastened;
- The worker posts from which the hoisting and conveying machines are operated
are accessible without danger, are constructed or protected so that the
machine's movement is regulated under safe conditions, and the entire radius of
operation is clearly visible;
- If the operator cannot monitor the whole of the machine's radius of operation, a
signalling service is established that uses workers designated for the purpose;
- The units controlling the lifting and conveyor machines are placed in a position
that can be easily activated, and are clearly marked to show the operations that
they control;
- The units controlling the lifting and conveyor machines are designed or
protected so as to prevent them from being accidentally activated;
- Hoisting and conveying machines used to lift and convey persons are fitted with
effective safety devices or, if such devices cannot be implemented, appropriate
precautions are taken to safeguard the persons being moved; and
- Clearly legible notices are provided that explain the method of operating lifts and
conveyor machines and the warnings that are given before operations begin.
12.25 If the facility utilizes cranes, winches, tackle or other similar devices, does it have
procedures in-place to ensure compliance with the following requirements? [Presidential
Decree No. 547, Articles 186 through 194]
- Maneuvering of the lift or load is conducted in a manner that prevents the
suspended load from traveling over workers and work stations where a load fall
would be dangerous;
- If the load must be passed over workers or work stations, the loads are
announced with warnings so that, where practically possible, the people who
are exposed to danger if the load should fall have time to vacate the affected
area;
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- The field of action of hoisting and hoisting-conveying equipment, provided with
electromagnets for the load, is defined by barricades;
- If the field of action cannot be barricaded, warnings are provided so that the
people who are exposed to danger if the load should fall have time to vacate the
affected area;
- Bridge crane runways that may be used to access the cart bridge and other
special needs for the cranes themselves are easy to go through and are
provided with a solid banister about one meter above the planes and at no less
than 50 centimeters from the loading gauge of the cart bridge;
Note: Such planes must be at least 60 centimeters wider than the crane's
loading gauge.
- The stability and anchoring of tower, portal and similar outside cranes is secured
with appropriate measures, taking into consideration the variations caused by
maneuvering loads and wind action;
- Bridge crane, gantry crane and other types of lifting/conveying equipment that
slide on rails are provided with, in the runway ends of bridges and carts,
stoppers or buffers for resistance and cushioning that are suitable for the speed
and mass of the mobile device and are not less than 6/10 of the wheel's
diameter;
- Lifting-conveying equipment sliding on rails is provided with a device that
controls the motor to automatically stop the cart at the ends of the runway;
- Power-driven elevators are constructed so as to function with the motor
engaged even in descent;
- When winches, tackles and similar devices are used for load lifting or passing to
different planes of a building through openings in the attics or the walls, the
openings for the passage of the load to the single planes, as well as the space
below for arrival or release of the load is safeguarded, on all sides, with
standard foot cut-off guard rails with the exception of the ground floor;
- The guard rails are arranged to protect the workers against dangers from blows
or possible falling loads;
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- The same guard rails are also placed on the sides of the openings where
loading and unloading operations are conducted, except where this is not
possible due to the characteristics of the materials maneuvered, in which case
in lieu of the standard guard rail a solid mobile, unmovable and fixable barrier
should be placed in the closing position by means of a dead bolt or other device.
This barricade should be kept closed when loading and unloading is not being
performed on the corresponding floor;
- Cranes and other equipment for lifting loads of more than 200 kilograms,
excluding those operated by hand and those already subject to special
regulations, are inspected annually to ascertain their condition and serviceability
for the worker's safety.
12.26 If the facility utilizes elevators and hoists, does it have procedures in-place to ensure
compliance with the following requirements? [Presidential Decree No. 547, Articles 195
through 207]
- The spaces and shafts in which the elevator and hoist cars and platforms travel
are separated by solid guards that are at least 70 centimeters from moving
elements;
- The separating guards are at least 1.70 meters in height above the walking
surface of platforms and from the edges of steps, and are constructed of solid
walls or metal screens with mesh no larger than one centimeter where the
moving parts are at a distance of less than four centimeters, and no larger than
three centimeters where the moving parts are at a distance of four centimeters
or more;
- If the counterweight is not arranged in the same shaft in which the car travels,
the shaft and space in which the counterweight does travel is guarded in
conformity with the above paragraphs;
- Elevator and hoist shafts are accessible through doors that can open outward or
doors that slide along walls at least 1.80 meters in height to where the car is
accessible to personnel, or doors that are at least equal to the height of the shaft
opening when the latter is less than 1.80 meters;
- The doors are constructed of solid walls, metal grills or screens with mesh no
larger than one centimeter in size where the car is not equipped with a door, and
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no larger than three centimeters where the car is equipped with its own door and
the distance of the car floor from the door to the shaft is no less than five
centimeters;
Note: Flexible-type doors are permitted provided that no spans greater than 12
millimeters in width are located between the bars of which the door is
constructed.
- Shaft access doors are equipped with a safety device that prevents them from
opening when the car is not at the appropriate floor;
- Shaft access doors are equipped with a safety device that will not permit any
movement of the car if the doors are not shut;
Note: The safety device is not required for manually operated hoists as long as
other appropriate safety measures are adopted. In addition, the guards and
devices described above are not required where the car or platform trajectory is
equal to or less than two meters and the entire installation does not present a
danger of smashing, cutting or dropping inside the shaft.
- The cars of elevators and hoists for carrying materials accompanied by persons
has walls at least 1.80 meters in height and doors that open inward or that slide
along walls that are at least 1.80 meters in height;
- Car walls and doors are solid or have openings that are no greater than ten
millimeters;
Note: The doors may be flexible if they do not have gaps greater than 12
millimeters in width between the bars that form the door.
- The doors or closures may be omitted if the shaft in which the car or platform
travels is enclosed for its entire length by continuous guards in the form of solid
walls, nets or metal screens with mesh no larger than one centimeter in size,
provided that such guards do not have dangerous projections and are not more
than four centimeters from the entrance to the car or platform, in which case the
cargo must be secured;
Note: Hoists that carry only materials need to have enclosures or devices that
prevent the load from falling or projecting.
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- If the elevator and hoist shaftways exceed 0.25 square meters per section, there
is a vertical clearance of at least 50 centimeters between the bottom of the shaft
and the most protruding member beneath the car;
- Fixed buffer devices are provided to ensure that the car does not descend below
the bottom clearance limit under any condition;
- A minimum vertical clearance of 50 centimeters is ensured, through the use of
buffers, above the ceiling of the car at the highest point of its path;
- Hoists used exclusively for carrying materials have operating controls positioned
outside the traveling shaft and in a position that cannot be activated by persons
inside the car;
- Elevators and hoists that carry materials and people, where the car is
suspended by ropes or chains and the course thereof is more than four meters,
hoists that carry only materials with a car that is accessible for loading and
unloading operations, and hoists without cars that are accessible for loading and
unloading and have a capacity of at least 100 kilograms, are provided a
parachute device to prevent the car from falling in the case of suspending
cables or chains breaking;
- Elevators and hoists, except those that are manually operated, are provided with
an automatic device for stopping the engine apparatus or the movement at the
top and bottom ends of the path;
- Power-driven elevators and hoists have the motor engaged even during descent
to prevent free-fall;
- Gravity hoist cars and platforms that are accessible on landings are equipped
with a device that ensures they are locked in-place while loading; and
- Manually operated and gravity hoists are provided with a braking or control
device that prevents the car or platform from traveling at dangerous speeds.
12.27 If the facility operates vertical tray, bucket, screw and belt hoists and conveyors, does it
have procedures in-place to ensure compliance with the following requirements?
[Presidential Decree No. 547, Articles 208 through 232]
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- Vertical tray hoists and bucket hoists are installed within shaftways or enclosed
conduits equipped with only those openings necessary for loading and
unloading;
- A stop device capable of bringing the machine to an immediate halt is placed
near each loading and unloading opening of the vertical tray hoists;
- The vertical tray, bucket, belt and similar hoists, having portions of track placed
on an incline, are equipped with an automatic stop device for use when a
sudden power failure may result in the reversal of the normal direction;
- Screw conveyor casings are equipped with a cover and their loading and
unloading openings are effectively protected;
- Conveyor loading and unloading openings are protected to prevent persons
from falling and to guard against dangerous moving parts;
- The loading openings of the inclined paths (chutes) are surrounded by rails that
are at least one meter in height, with the exception of the portion strictly
necessary for loading, provided that the upper edge of the beginning of the
inclined path is at a height of at least 50 centimeters above the floor level;
- The clearance below the horizontal or inclined conveyors are blocked off and
made inaccessible, when the type of material being transported and the type of
conveyor might constitute a danger from material falling off or from the
supporting devices breaking, unless other safety measures against such risks
are adopted;
- The speed of the mechanical conveying machines is regulated according to the
characteristics of the route, the type of load and the ability to stop the machine;
- The route within the company is designed with the aim of reducing all traffic
risks with respect to the type of vehicles used, the space available, and the
location of other transit passages and crossings;
- Revolving platforms are equipped with a blocking device;
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- At the end of the transportation rails, whether on an incline or horizontal, there is
an apparatus or other measures taken to prevent persons from getting hurt by
any vehicles which might derail or become disengaged from the track;
- The devices that connect he conveying machines to each other are constructed
in such a way as to make the coupling and uncoupling maneuver safe and to
ensure that the connection is stable;
- When in motion, coupling and uncoupling of the conveying machines is
prohibited unless the machines are equipped with devices that make such a
maneuver safe and unless the personnel on duty is experienced in such
maneuvers;
- Any conveying machines driven by electric motors have a handle capable of
being removed or locked on the main switch or the control switches are located
inside a cabinet capable of being locked with a key;
- Upon cessation of movement, the drivers of conveying machines remove or
lock the handle of the main switch or lock the control cabinet with the key;
- At the beginning of the sloping tack at the station, all inclined paths with railings
are equipped with automatic blocking devices to prevent the carts from derailing
or prevent trains from traveling freely on the track;
- At the station or at the lower end of the inclined path and along the same route
as the inclined path, there are safety niches where the personnel can take
refuge, depending on the conditions of the installation;
- The personnel are prohibited from traveling along the inclined paths while the
paths are in use, unless the path itself encompasses tracks or passages wide
enough and with the proper apparatus to allow for pedestrians to pass without
danger;
- The inclined paths are equipped with safety devices designed to immediately
stop the carts or trains if there is a break-down or slackening of the traction
mechanisms, whenever such a stop may be deemed necessary with respect to
the length and slope of the route, operating speed, or any other specific
conditions of the installation and whenever the paths are used, even
sporadically, to transport people;
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- Where due to technical reasons associated with specific features of the
installation and its operation, it is not possible to utilize a device as described
above, the traction and coupling mechanisms on the carts have a safety rating
that is at least equivalent to eight. In such cases the use of inclined paths to
transport people is prohibited;
- The traction and coupling mechanisms and safety devices are inspected on a
monthly basis;
- All tanks for liquid fuel and for compressed gas for later use are stored in a safe
place protected from any heat source and from risk of collision;
- All mechanical means of transport, if they are to be worker-operated for certain
distances, are equipped with suitable handles making driving maneuvers safe;
- Vehicles that are unloaded by means of a tipping maneuver are equipped with
devices that prevent accidental tipping and facilitate safe execution of the
maneuver;
- In front of the exits from the premises and at all routes that run directly into a
crossroad having other mechanical means of transport, there are barriers
placed to prevent collisions and, where that is not possible, adequate signals
are present;
- Signals indicating dangerous conditions in the transport areas and those
regulating the traffic of the mechanical means of transport on roads or on tracks
are properly illuminated during nighttime service;
- If transport routes become hazardous to travel due to repair work or because a
breakdown has occurred, they are blocked off and signs are posted to indicate
the detour;
- While repair work or maintenance is conducted on transit routes with tracks for
mechanical means of transport, and the traffic has not been halted or the route
has not been blocked off, one or more persons are assigned exclusively to
signal the approach of the cars to the other workers at their work stations;
- Whenever one or more vehicles are operated by some mechanical means
which cannot be directly monitored by the conductor nor by another person
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situated in or on one of the vehicles, these vehicles are preceded or flanked by a
person responsible for providing the necessary signals to ensure the safety of
the personnel;
- People are not transported in telpher cars or in other aerial funicular systems
built solely for the transport of objects, except in instances of inspections,
maintenance or repair and then only once the proper precautions such as the
use of safety belts, the utilization of supplemental hooks from the car to the
support cable and the provision of appropriate signaling devices are taken;
- The area outside the wagons (the sides for departure and arrival at the telpher
stations) has attached solid metal gratings strong enough to keep a person from
falling. These gratings are placed no lower than 0.50 meters below the edge of
the steering floor and extend out from this at least two meters;
- Telphers where the entire length cannot be monitored by the drive site have a
device placed at each station and at each loading and unloading site which
sends operational signals from the main station; and
- Lubrication of the cables bearing telphers and other similar apparatus are
conducted automatically by means of a device attached to the proper car.
Confined Spaces
12.28 If the facility utilizes pipes, ducts and vessels such as tanks and cisterns which workers
must enter into for purposes of inspections, repairs, maintenance or other reasons
associated with the operation of the plant, is the equipment fitted with access openings
measuring not less than 30 by 40 centimeters or having a diameter of not less than 40
centimeters? [Presidential Decree No. 547, Article 235]
12.29 Prior to allowing any workers to enter the pipes, ducts or vessels, does the work
supervisor ensure that the confined spaces contain no harmful gases or vapors and that
the temperature therein is not harmful? [Presidential Decree No. 547, Article 236; and
Presidential Decree 303, Article 25]
12.30 Does the facility have procedures in-place to ensure that all valves and other devices in
ducts connected to the vessels that are to be inspected, repaired or maintained are
closed, blocked and have notices affixed to the closing or insulating devices so as to
prohibit their operations or maneuver? [Presidential Decree No. 547, Article 236]
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12.31 Where it is not possible to be absolutely certain that no harmful gases or vapors are
present, or where it is difficult to access the bottom of the confined space, does the
facility ensure that the workers entering them wear a safety belt with rope of sufficient
length and, where necessary, appliances that will allow them to breathe normally?
[Presidential Decree No. 547, Article 236]
12.32 Do facility procedures ensure that whenever a worker is performing work inside a
confined space that a second employee is stationed outside near the access opening?
[Presidential Decree No. 547, Article 236]
12.33 Where it is not possible to be absolutely certain that no flammable or explosive gases,
vapors, or dusts are present in the confined space, does the facility ensure that steps are
taken to prevent a fire and explosion hazard, such as prohibiting open flames,
incandescent elements, tools of ferrous materials or shoes with studs? [Presidential
Decree No. 547, Article 237]
Note: If lamps are used, they must be safety lamps.
Pressurized Installations, Equipment and Vessels
12.34 Does the facility ensure that open tanks, cisterns and vessels with edges at the same
level as or less than 90 centimeters above floor level or the level of the working platform
are, irrespective of the liquid or the substance they contain, protected on all sides by
guards of not less than 90 centimeters in height in the form of either a solid wall or at
least two rails? [Presidential Decree No. 547, Article 242]
Note: Such guards are not required if protection is fitted to the edges of the tanks up to a
height of 90 centimeters above floor level. Also, in the case of ducts inside factories and
work sites, and outside ducts in those sections serving as work yards but not used for
loading and unloading, the guards must not be less than one meter in height. This
requirement does not apply to tanks, ducts, cisterns, or vessels that are no more than one
meter deep and do not contain harmful liquids or substances, provided that other
precautions are adopted.
12.35 If, due to working requirements or installation conditions, the guards described above
cannot be applied, does the facility ensure that the top openings of vessels are provided
with substantial covers or other guards to prevent the danger of workers falling in?
[Presidential Decree No. 547, Article 242]
Italy 12-19 March 1998
IT12.doc Copyright ENSR Corporation 1998 All Rights Reserved
12.36 If a fixed ladder cannot be provided, does the facility ensure that removable ladders with
retaining hooks are used inside cisterns, vats, tanks or similar units that are over two
meters in depth and have no opening that provides access to the bottom? [Presidential
Decree No. 547, Article 243]
Italy 12-20 March 1998
IT12.doc Copyright ENSR Corporation 1998 All Rights Reserved
Environmental, Health
& Safety Audit Protocol
Fire Safety and Accidental
Release and Response
Planning
Excerpt from Belgium - Flanders Region Protocol
13.0 FIRE SAFETY AND ACCIDENTAL RELEASE AND RESPONSE PLANNING
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an
EH&S audit or self-assessment. It may require additions, revisions, or other modifications in
order to meet the needs of facility-specific assessment objectives, industrial setting, or other
special circumstances.
Tables or appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout the Flanders Region of Belgium.
The key regulations covered in this protocol are noted as follows:
- General Labor Protection Rules, ("Algemeen Reglement voor de
Arbeidsbescherming" or ARAB in Flanders), Articles 52-52.16.2, Articles 349-363,
Article 723quinquies, Article 723quatar8, and Article 27bis [February 1946 as amended]
These articles discuss preventive measures to be taken against fire, explosions and
accidental releases of dangerous substances, define required accident evaluation and
reporting for certain industries, describe evacuation alarms required in the work place, and
specify requirements for the storage of flammable and combustible liquids and
compressed gases.
- Explosive Law of 28 May 1956 [B.S./M.B. 9 June 1956] This law regulates explosive
substances.
- Royal Decree of 3 September 1958 Ammonium Nitrate Transport, Storage and Sale
[B.S./M.B. 1 November 1958 as amended] This law regulates the transport, storage and
sale of ammonium nitrate and its mixtures.
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- Royal Decree of 21 October 1968 Propane and Butane Gas Storage [B.S./M.B. 17
January 1969 as amended] This decree regulates the storage of propane and butane
gas.
- Royal Decree of 30 December 1977 Bottled Natural Gas [B.S./M.B. 20 January 1978]
This decree regulates filling and emptying liquid petroleum bottles.
- Industrial Hazards Law of 21 January 1987 [B.S./M.B. 11 March 1987 as amended]
This law concerns major accident hazards related to certain industrial activities. It
implements the European Union's Seveso Directive 82/501/EEC.
- Royal Decree of 22 April 1988 Accident Reporting Procedures [B.S./M.B. 22 April
1988] This decree describes the type, method and procedures to be followed when
reporting major accidents in certain industries.
- Royal Decree of 6 August 1991 Fire/Explosion/Toxicity Indices [B.S./M.B. 7
September 1991] This decree describes the method and procedures to be followed when
determining danger indices for certain industries.
- Order Fl. Ex. 6 February 1991 [B.S./M.B. 26 June 1991]. This executive order
implements the comprehensive environmental permit process and includes safety and
accident reporting requirements.
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FIRE SAFETY AND ACCIDENTAL RELEASE AND RESPONSE PLANNING
Liquified Petroleum Gas
Note: Liquified petroleum gas is defined as butane gas, propane and their mixtures.
13.1 Prior to filling or emptying liquified petroleum gas bottles, has the operator obtained a
license from the Economic Affairs Ministry? [Royal Decree of 30 December 1977,
Article 3]
13.2 Is installation of liquified petroleum gas tanks and storage of bottles prohibited in the
facility's basement and on the roof? [Royal Decree of 21 October 1968, Article 3]
13.3 Are liquified petroleum gas tanks and storage bottles with the following total capacities
stored at the associated distance from the work place, neighboring facilities and public
facilities? [Royal Decree of 21 October 1968, Article 3]
Total reservoir capacity Minimum Distance
(in cubic meters) (in meters)
less than 5 5.0
from 5 to less than 10 7.50
from 10 to less than 25 10.0
from 25 to less than 50 15.0
from 50 to less than 250 25.0
from 250 and more 35.0
13.4 Is at least a 1 meter wide aisle maintained around each liquified petroleum gas storage
area? [Royal Decree of 21 October 1968, Article 3]
13.5 Are liquified petroleum gas storage areas covered from the sun or provided with a
reflective paint coating on each tank or bottle? [Royal Decree of 21 October 1968,
Article 3]
13.6 Is access to the liquified petroleum gas storage area controlled to prevent access by
unauthorized personnel? [Royal Decree of 21 October 1968, Article 3]
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13.7 Are written tank and/or bottle filling and emptying instructions provided at each storage
area? [Royal Decree of 21 October 1968, Article 15]
13.8 Are operators instructed not to leave the area when filling or emptying tanks or bottles
and to maintain close surveillance of the operation at all times? [Royal Decree of 21
October 1968, Article 15]
13.9 Are operators prohibited from filling tanks that have noticeable faults or leaks? [Royal
Decree of 21 October 1968, Article 15]
13.10 Are operators prohibited from moving or transporting tanks that have noticeable faults
or leaks? [Royal Decree of 21 October 1968, Article 15]
13.11 Are tanks and bottles provided with grounding to remove static electricity charges when
filling, emptying, transporting or resting in storage? [Royal Decree of 21 October 1968,
Article 20]
Fire/Explosion/Toxicity Index Report
13.12 For each hazardous substance listed in Annex III above the specified quantities that the
facility either uses or stores on-site (see Appendix 13-A for substance list, including
quantity thresholds), has the facility completed a fire/explosion/toxicity index report and
submitted this information to the federal Ministry of Labor and Employment? [Royal
Decree of 6 August 1991, Article 1]
Note: This a one time submission, requiring modification only if one has a change in
the substances used or stored on-site. The information is used by the Ministry to
determine the facility's annual Seveso tax.
13.13 Does the fire/explosion/toxicity index report include the information noted in Table 13-1?
[Royal Decree of 6 August 1991, Article 1]
Emergency Action Plans
13.14 Has the facility prepared the following plans: [ARAB, Article 52]
- a written fire prevention plan,
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- a written disaster preparedness plan, and
- a written emergency action plan to include a detailed description of warning
alarms and how to evacuate personnel and other effected people from the area?
13.15 If requested by the competent authorities, can the facility provide copies of each plan
that has reviewed by the Facility's Health and Safety Committee within the last year and
signed by the head of the facility, as proof of meeting the requirements listed in the
preceding question? [ARAB, Article 52]
13.16 Does the facility conduct annual evacuation exercises for all employees? [ARAB,
Article 52]
13.17 Have all employees received training to ensure they understand each emergency action
plan? [ARAB, Article 52]
Major Accident Hazards
Note: The term, "major accident," means an occurrence such as a major emission,
fire or explosion resulting from uncontrolled developments in the course of any
industrial activity, leading to a serious danger to man, immediate or delayed, inside or
outside the facility, and/or to the environment, and involving one or more dangerous
substances above threshold volumes as specified in Annexes II and III (see Appendix
13-A).
13.18 If the facility undertakes any of the activities listed in Annex I of Appendix 13-A and
uses one or more of the substances identified in Annex III of Appendix 13-A (regardless
of the quantities involved), has the facility submitted the following information to the
Technical Inspection-Directorate of Chemical Risks (Ministry of Labor and Employment)
and to AMINAL (Flemish Environment Agency) at least three months prior to
undertaking any of the listed activities: [Industrial Hazards Law of 21 January 1987,
Article 4; Order Fl. Ex. 6 February 1991, Article 16]
- Information on the substances mentioned in Annex III;
- Information relating to the facility;
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- Information relating to the situations that might arise in case of a major accident?
Note: The information requirements are detailed in Article 1 of the Royal Decree of 6
November 1987; key aspects are summarized as follows:
Describe dangerous substances being used or stored:
- Identify of substance, chemical name, etc.
- Identify of specific facility activities where substance is being used.
- Inventory of quantities of each dangerous substance being used.
- Precautions to be taken when being used/stored.
- Emergency measures to be taken in case of an accidental spill/release.
- Measures that facility needs to implement in order to render the substance
harmless.
- Complete description of the risks of the substances to man and the environment,
direct and indirect.
- Chemical or physical reactions that take place during normal processes, including
new reactions.
- Different forms in which these dangerous substances may be present or may be
transformed during foreseeable abnormal circumstances.
- Indicate other dangerous substances that may have an influence on the potential
risk of the industrial activity.
Facility Description to include:
- Describe facility exterior, meteorological conditions, external forces that may
pose a danger, provide general location map and plan.
- Describe facility structure and equipment, energy supply, water supply,
raw materials, storage areas for raw materials and products, description
of most important parts of the facility.
- Describe facility processes and production activities and characteristics,
describe material and energy balances.
- Describe how facility is being managed during normal and during crisis situations.
Other Information:
- Study of relevant incidents that have taken place and codes of practices,
standards, and norms that are being used.
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- Security study to identify, characterize, and prioritize the risks that can be caused
by the operation; analysis of the consequences of these risks; and identification
of preventive measures; and identification of measures to limit consequences.
- Description of technical means to guarantee secure functioning of facility.
- Description of organizational control measures.
- Description of measures to avoid wrongful interventions.
All of the above information must be submitted 3 months prior to startup of operations,
with the information being updated at least every ten years (Royal Decree of 6 Nov.
1987, Article 3; Order Fl. Ex. 6 February 1991, Article 16).
13.19 If the facility undertakes any of the activities listed in Annex I of Appendix 13-A and
stores any of the substances identified in Annex II of Appendix 13-A (in excess of the
threshold quantities specified in Annex II), has the facility submitted the following
information to the Secretary of State at least three months prior to undertaking the listed
activities: [Industrial Hazards Law of 21 January 1987, Article 4; Order Fl. Ex. 6
February 1991, Article 16]
- Information on the substances mentioned in Annex III;
- Information relating to the facility;
- Information relating to the situations that might arise in case of a major
accident?
Note: The details concerning the information to be supplied as part of the above
referenced notification are discussed in the Royal Decree of 6 November 1987, Article
1 (see Note to Question 13.18 for details).
13.20 If the facility is listed in Annex I of Appendix 13-A and if the facility uses one or more
substances listed in Annex III of Appendix 13-A or stores substances in excess of the
quantities listed in Annex II of Appendix 13-A, has the facility submitted a notification to
the Secretary of State at least three months prior to initiating any modifications to any
industrial activity that may have serious implications for the risks of major accidents?
[Royal Decree of 6 November 1987, Article 3 and Industrial Hazard Law, Article 4; Order
Fl. Ex. 6 February 1991, Article 16]
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Note: Irrespective of any modifications, the facility is required to make a notification
submittal to the Technical Inspection-Directorate of Chemical Risks (Ministry of Labor
and Employment) and to AMINAL every ten years.
Emergency Notifications in the Event of a Major Accident
13.21 Has an emergency communication system been put into place by the facility so that
appropriate agencies are contacted in the event of a major accident? [Royal Decree of
22 April 1988, Article 3]
Note: The following two services are to be notified in the event of a major accident:
the Emergency Services (911), and the Government Coordination and Crisis Center
(part of the federal Ministry of the Interior). These two services will make immediate
notifications to the Mayor of the municipality, the Governor of the Province and to the
federal Minister for Civil Protection.
13.22 If the facility has had a major accident, were the competent authorities immediately
notified of the following: [Royal Decree of 22 April 1988, Articles 1 and 2]
- Name and address of the industry;
- Type of industry;
- Description of where in the facility the accident occurred;
- Number of personnel involved and their status;
- Circumstances of the accident, including exact date and hour it occurred;
- Dangerous substances involved;
- Data available for assessing effects of the accident on human health and
environment (within 12 hours of the accident); and
- Emergency measures taken to abate the hazard (must be initiated within 12
hours of the accident);
- Evaluation of the accident's impact on man and the environment; and
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- Measures envisioned for remedying the medium and long term effects of the
accident and for avoiding the future occurrence of a similar accident.
Note: Notification must be made to the Emergency Service, and to the Government
Coordination and Crisis Center at the Ministry of the Interior. Also, the Secretary of
State for the Environment must be immediately informed of the accident.
13.23 If the facility was required to submit a Safety Report as part of its VLAREM permit
application (see Section 2 of protocol concerning VLAREM permits) and experienced a
major accident, did the facility submit an accident report to the environmental permit
section of AMINAL within three months after the occurrence of the accident? [Order Fl.
Ex. 6 February 1991, Article 44]
Note: The definition of a major accident is provided in the note prior to question
13.19.
13.24 If the facility is considered a Class I facility under its VLAREM permit and experienced a
fire or explosion, did the facility notify the Province and the environmental permit section
of AMINAL within three months? [Order Fl. Ex. 6 February 1991, Article 44]
Note: Class I VLAREM facilities are identified in Section 2 of this Protocol. Facilities in
existence prior to 1 September 1991 and who hold an environmental permit under the
former ARAB permit program are subject to this same notification requirement if the
facility would otherwise be considered a Class I activity under VLAREM.
13.25 If the facility is considered a Class II facility under its VLAREM permit and experienced a
fire or explosion, did the facility notify the municipality and the environmental permit
section of AMINAL within three months? [Order Fl. Ex. 6 February 1991, Article 44]
Note: Class II VLAREM facilities are identified in Section 2 of this Protocol. Facilities
in existence prior to 1 September 1991 and who hold an environmental permit under
the former ARAB permit program are subject to this same notification requirement if
the facility would otherwise be considered a Class II activity under VLAREM.
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Explosives
13.26 If the facility manufactures, stores, sells, or transports explosives or explosive mixtures
have they obtained a permit prior to performing these functions from the Federal
Minister of Economic Affair? [Explosives Law of 28 May 1956, Article 1]
13.27 Does the facility control access to operations involving explosives and only allow
authorized personnel to enter areas only as required to perform their job functions?
[Royal Decree of 3 September 1958, Article 3]
13.28 Are effective measures in place to prevent vandalism to explosives during storage and
transport? [Royal Decree of 3 September 1958, Article 3]
13.29 Are ammonium nitrate explosives stored separately from other explosives, flammable or
combustible materials, acids, and products susceptible to releasing acids? [Royal
Decree of 3 September 1958, Article 3]
Storage of Flammable and Combustible Materials and Compressed Gases
13.30 In areas that may be explosive are measures taken to prevent the formation of sparks,
are flames prohibited, and is smoking prohibited? [ARAB, Article 52]
13.31 Are containers used that prevent leakage of flammable or combustible materials or
compressed gases? [ARAB, Article 52]
13.32 Are electrical outlets, wiring, and light fixtures grounded and spark proof to prevent
explosions in storage areas dedicated to flammable and combustible materials or
compressed gases? [ARAB, Article 52]
13.33 Is storage and disposal of flammable and combustible materials kept separate from
materials that may react or cause ignition? [ARAB, Article 52]
13.34 Is disposal of flammable and combustible materials in a container suitable for the task
that will not allow inadvertent ignition or self combustion of such wastes? [ARAB, Article
52]
13.35 Are all combustible gases stored in a covered enclosure outside of the main facility or
work place? [ARAB, Article 52]
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13.36 Are compressed gas cylinders stored in an upright position and secured to prevent
falling? [ARAB, Article 52]
13.37 Are storage areas for flammable or combustible materials or compressed gases
constructed of non-flammable materials, well-ventilated and well-lit? [ARAB, Article 52]
13.38 Are storage areas for flammable or combustible materials or compressed gases located
a sufficient distance away from any potential sources of ignition and the work place to
prevent employee injury in case of explosion? [ARAB, Article 52]
13.39 Are metal containers for flammable or combustible materials stored under pressure or
compressed gases permanently and clearly stamped with the following information?
[ARAB, Article 355]
- container's owners name,
- number to call to reorder materials or remove or repair container,
- container capacity in liters or kg of pressure, and
- date of last pressure testing.
13.40 Are containers clearly and visibly marked with the name of what they contain? [ARAB,
Article 359]
13.41 Does the facility provide employees with a written procedure on how to fill and empty
storage containers? [ARAB, Article 363bis]
13.42 Does the facility provide instruction describing filling/emptying of containers performed
by outside services regarding the appropriate safety procedures and methods to be
used at their facility? [ARAB, Article 363bis]
Fire Suppression Equipment and Procedures
13.43 Does the facility have fire fighting equipment located on-site and is it kept in good
working condition? [ARAB, Article 52]
13.44 Is fire fighting equipment easily accessible and located with a sign? [ARAB, Article 52]
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Environmental, Health
& Safety Audit Protocol
Transport of
Dangerous Goods
Excerpt from Argentina Protocol
13.0 TRANSPORT OF DANGEROUS GOODS
Facility Name ................................................................................. Date of Assessment....................
Team Members .................................................................................................................................
Period Under Review.........................................................................................................................
This protocol is intended as a guide for planning and conducting the general aspects of an EH&S
audit or self-assessment. It may require additions, revisions, or other modifications in order to
meet the needs of facility-specific assessment objectives, industrial setting, or other special
circumstances.
Tables or appendices referenced in the protocol are located at the end of this tab section. This
protocol applies to facilities located throughout Argentina. Where applicable, additional
information is supplied relative to facilities specifically located in the Province of Buenos Aires.
Key regulations covered in this protocol are noted as follows:
National
- Resolution No. 233 of September 9, 1986. This resolution establishes requirements
for the transport of dangerous goods, including labeling, placarding, segregation and
management procedures.
- Resolution No. 720 of February 29, 1988. This resolution establishes additional
requirements for the transport of dangerous goods, including labeling, placarding,
segregation and management procedures.
- Resolution No. 157 of April 14, 1993. This resolution requires drivers of transportation
vehicles to obtain a driver's license specifically for the transportation of dangerous goods.
- Decree No. 779 of November 20, 1995. This decree establishes requirements for the
transport of dangerous goods, including labeling, placarding, paperwork and training.
13-1
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Province of Buenos Aires
There is no specific legislation in the Province of Buenos Aires regarding the transport of
dangerous goods.
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TRANSPORT OF DANGEROUS GOODS
Note: Dangerous goods (materials) are defined as all materials and objects included in the
document published by the Secretariat of Transportation pursuant to the recommendations of
national and international agencies specialized in the transportation of dangerous materials.
Activities involving the transportation of hazardous waste (see Section 4.0 of this protocol) must
also comply with the requirements described in this section. [Decree No. 831/93, Section 28]
Labels and Placards
13.1 If dangerous goods are sent off-site, do the containers and vehicles display the
appropriate transportation labels and placards as specified in Resolution No. 233/86,
Chapter III, Section 11 (see Appendix 13-A)? [Resolution No. 233/86, Chapter III,
Section 11; and Decree No. 779/95, Chapter V, Article II, Section 45(d)]
Note: Resolution No. 720/87, Annexes D1 and D2 (which supplement the requirements
in Resolution No. 233/86) contain additional requirements regarding labels and placards
for containers and vehicles.
13.2 Do the transportation labels and placards have the following characteristics? [Resolution
No. 233/86, Chapter III, Sections 11 and 14]
- diamond in shape;
- indelible characters;
- weather resistant when affixed to vehicles;
- label size of at least 100 mm by 100 mm on containers;
- placard size of at least 250 mm by 250 mm when affixed to vehicles or trailers; and
- black outline drawn 5mm from the label perimeter?
13.3 Are transportation labels and placards positioned to be visible? [Resolution No. 233/86,
Chapter III, Sections 15 and 16]
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Transport Vehicles
13.4 When loading and unloading dangerous goods, does the facility comply with the
following requirements: [Resolution No. 233/86, Chapter VI, Sections 38 and 39]
- vehicle engine must be turned off, unless needed for operation of cranes or other
devices; and
- chocks must be put under the vehicle to prevent it from moving?
13.5 Does the facility ensure that dangerous goods are transferred to the transporter with the
containers packed and conditioned according the manufacturer's instructions? [Decree
No. 779/95, Chapter V, Article II, Section 45(c); and Resolution No. 720/87, Annexes D1
and D2]
13.6 If the facility transports dangerous goods in the same vehicle and/or container with other
incompatible goods, are the requirements of Resolution No. 720/87, Annex B (see Table
13-1) being met? [Resolution No. 233/86, Chapter VI, Sections 24 & 25; and Resolution
No. 720/87, Annex B]
13.7 Does the facility require that dangerous and non-dangerous goods be separated when
being transported? [Resolution No. 233/86, Chapter VI, Section 28]
13.8 Prior to adding dangerous goods into a bulk transportation vehicle, does the facility
check an affidavit from the transporter stating the following: [Decree No. 779/95, Chapter
V, Article II, Section 45(g)]
- what product was last shipped in the transporter's bulk container; and
- what decontamination practices were used after the last shipment?
13.9 When dispatching dangerous goods in bulk, does the facility verify that vehicles used for
these purposes are manufactured in compliance with international safety standards as
certified by the National Committee for Transit Safety? [Decree No. 779/95, Chapter II,
Article I, Section 9.1]
Note: Bulk refers to shipments that are not divided into parts or packaged in separate
units. Bulk shipments include in both tanker truck and trailer truck shipments.
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13.10 Do all vehicles entering or leaving the facility have the following documentation: [Decree
No. 779/95, Chapter III, Sections 27 and 35c]
- certificates issued by the Secretariat of Transportation authorizing the vehicles and
their equipment to transport dangerous goods (for bulk shipments only);
- certificates documenting that the vehicles have passed the Mandatory Technical
Inspection; and
- original certificates of approval documenting that the drivers have attended the basic
mandatory initial and follow-up training courses on transportation of dangerous
goods on roadways?
Note: The decree does not specify the frequency of the follow-up training courses.
Also, the Secretariat of Transportation has not implemented these courses to date,
although they should be starting in July 1996, according to Resolution No. 57/95.
13.11 Does the facility provide transporters of dangerous goods with the following documen-
tation: [Decree No. 779/95, Chapter III, Section 35(a) & (b); Chapter V, Article II, Section
45; Resolution No. 233/86, Chapter VI, Section 40; and Resolution No. 720/87, Annexes
B & C]
- bill of lading including the following information:
- type of dangerous product;
- class of transportation, compatibility;
- packaging class; and
- statement by dispatcher indicating that the goods are well packed and able to
withstand normal risks for loading, unloading, transport and storage; and
- written instructions for accident response including the following information:
- type of danger;
- safety measures;
- fire response planning;
- measures in case of breakage, leaks or spills;
- measures for transferring goods when vehicles cannot continue the trip; and
- emergency telephone number of the fire department, the police, the civil
defense and environmental agencies?
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Note: Resolution No. 720/87, Annexes B and C include specific transportation
requirements regarding accident response planning and requirements in case of fire
during transportation.
13.12 Does the facility confirm that the driver of the transport vehicle has a national driver's
license issued by the Undersecretariat of Vehicle Transportation specifically for the
transportation of dangerous goods? [Resolution No. 157/93, Section 1]
Training
13.13 Are designated employees trained in the procedures for loading and unloading
dangerous goods from vehicles? [Decree No. 779/95, Chapter V, Article II, Section 47]
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Environmental, Health
& Safety Audit Protocol
Industrial Hygiene
Excerpt from Spain Protocol
15.0 INDUSTRIAL HYGIENE
Facility Name: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an EH&S audit
or self-assessment. It may require additions, revisions, or other modifications in order to meet the
needs of facility-specific assessment objectives, industrial setting, or other special circumstances.
Key topics covered in this protocol section include the following:
- Exposure to Carcinogens
- Exposure to Lead in Metallic Form
- Exposure to Vinyl Chloride
- Exposure to Benzene
- Exposure to Biological Agents
- Prohibition of Certain Specified Agents or Work Activities
- Permissible Concentrations Inside Operating Areas
- Requirements for Radioactive Waste
- Radioactive Substances
- Requirements for Display Screens
- Personal Protective Equipment (PPE)
Tables or Appendices referenced in the protocol are located at the end of this section. This protocol
applies to facilities located throughout Spain.
Key legislation and regulations covered in this protocol are noted as follows:
- Order of 14 September, 1959, Manufacture and Use of Benzene-Containing
Products, as complemented by Resolution 15 February 1977 [Order of 14 September,
1959]. This order introduces health and safety requirements pertaining to the use of
benzene as a solvent, glue solution, paint, varnish, dye or any other benzene-containing
product. Requirements pertaining to maximum concentrations in the workplace, medical
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examinations, ventilation, fire safety, and use prohibition are addressed in this section of
the protocol.
- Decree 2414/1961, of 30 November, Approving the Regulation of Irritating,
Unhealthy, Harmful and Hazardous Activities [Decree 2414/1961]. This decree
establishes requirements for nuisance activities. Requirements pertaining to maximum
allowable concentrations in the indoor operating areas are addressed in this section of the
protocol.
- Decree 2869/1972 on Nuclear and Radioactive Installations [Decree 2869/1972]. This
Decree specifies requirements for facilities operating nuclear and radioactive installations.
Requirements pertaining to project approvals, and construction and start-up permits, are
addressed in this portion of the protocol.
- Order of April 9, 1986 (Section 54) Approving the Regulations for the Prevention of
Risks and for Health Protection in the Presence of Monomeric Vinyl Chloride in the
Work Environment [Order of April 9, 1986, Vinyl Chloride]. The objective of this order is
to establish the minimum standards of evaluation, correction, prevention and health
protection from the risks brought about by the presence of monomeric vinyl chloride in the
work environment.
- Order of April 9, 1986 (Section 55) Approving Regulations for the Prevention of
Risks and the Protection of the Health of Workers in the Presence of Lead in Metallic
Form and Its Ionic Compounds in the Work Environment [Order of April 9, 1986,
Lead]. This order establishes minimum requirements for the evaluation, correction,
inspection and prevention of risks of occupational exposure in the presence of lead and its
ionic compounds in the work environment, for the protection and health of the workers.
- Royal Decree 88/1990 of 60 January, 1990 on the Protection of Workers by
Prohibition of Certain Specific Agents or Certain Activities [Royal Decree 88/1990].
This Royal Decree establishes a general ban on the production and use of four specific
chemical agents: 2-naphthilamine and its salts (CAS number 91-59-8), 4-aminobiphenyl
and its salts (CAS number 92-67-1), Benzidine and its salts (CAS number 92-87-5), and 4-
nitrodiphenyl (CAS number 92-93-3). Certain exempted uses of the agents, for research,
disposal, or as intermediate products, carry with them certain requirements for safety
precautions, usage reporting, and worker awareness training. This decree transposes EU
Directive 88/364/EEC into Spanish law.
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- Royal Decree 53/1992, of January 24, 1992 Which Approves the Regulation on
Protection Against Ionizing Radiation [Royal Decree 53/1992]. This decree establishes
basic requirements for radiological protection, and establishes exposure limits for workers
and members of the public. The scope of applicability includes all nuclear and radioactive
activities, such as mining of radioactive minerals, production, treatment, handling, use,
storage and transport of natural and artificial radioactive materials, equipment generating
ionizing radiation, the disposal of radioactive wastes, and in general any activity where the
risk of radioactivity exists. This decree sets forth dose limitations along with associated
requirements involving the implementation of protective measures in the work place,
medical monitoring/surveillance, and record-keeping. This Royal Decree transposes EU
Directives 80/836/Euratom and 84/467/Euratom into Spanish law.
- Royal Decree 413/1997 of March 21, 1997 Operational Protection of External Workers
with Risk of Exposure to Ionizing Radiation for Work in Controlled Areas [Royal
Decree 413/1997]. This decree specifies requirements for outside workers who perform
work in the controlled areas of the facility. Requirements relating specifically to facilities
employing outside workers are addressed in this section of the protocol.
- Royal Decree 488/1997 of April 14, Minimum Safety and Health-Related
Requirements for Work with Equipment With Display Screens [Royal Decree
488/1997]. This decree establishes minimum health and safety requirements for the use of
equipment with display screens. This decree transposes EU Directive 90/270/EEC into
Spanish law. Requirements pertaining to safety measure for equipment and work
environments, risk evaluations, health monitoring, and preventive measures, are
addressed in this portion of the protocol.
- Royal Decree 664/1997 of 12 May, Protection of Workers Against Risks Related to
the Exposure of Biological Agents in the Workplace [Royal Decree 664/1997]. This
decree specifies requirements for biological agents. Requirements pertaining to worker
exposure evaluations, preventive measures, medical monitoring, documentation,
information and training for workers, and informational submittals, are addressed in this
portion of the protocol.
- Royal Decree 773/1997 of 30 May, 1997 Providing Minimum Health and safety
Requirements Relating to the Use of Personal Protective Equipment by Workers
[Royal Decree 773/1997]. This decree establishes requirements for the use of personal
protective equipment in activities that present hazards to worker, including a non-
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exhaustive list of types of PPE, activities requiring the use of PPE and information for
evaluating PPE. This decree transposes the EU Directive 89/656/EEC into Spanish law.
- Royal Decree 665/1997 of December 5, 1997 On the Protection of Workers from the
Risks to Exposure to Carcinogens at Work [Royal Decree 665/1997]. This decree is
intended to protect workers against the health and safety risks associated with exposure to
carcinogens at work, including the prevention of such risks. The decree sets forth
minimum requirements in this area and transposes EU Directive 90/394/EEC into Spanish
Law.
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INDUSTRIAL HYGIENE
Exposure to Carcinogens
The term, "carcinogen," refers to any substance which has the risk-phrase R 45 (may cause cancer)
applied to it under the EU's regulations concerning the classification, packaging and labelling of
dangerous substances (Annex I to Directive 67/548/EEC as amended). The term also applies to any
substance, preparation or process referred to below, as well as a substance or preparation released by
a process referred to below [Royal Decree 665/1997, Article 2 and Annex I]:
- Manufacture of auramine.
- Work involving exposure to polycyclic aromatic hydrocarbons present in coal
soots, tar, pitch, fumes or dust.
- Work involving exposures to dusts, fumes and sprays produced during the
roasting and electro-refining of cupro-nickel mattes.
- Strong acid process in the manufacture of isopropyl alcohol.
15.1 If any activity is likely to involve a risk of exposure to carcinogens, has the facility assessed
the risk to the workers' health or safety and determined the nature, degree and duration of
any such exposure? [Royal Decree 665/1997, Article 3]
Note: This assessment must be performed regularly and in any event when any change
occurs in the conditions which may affect workers' exposure to carcinogens. The facility
must maintain documentation pertaining to the risk assessment which includes the results
of the assessment, the criteria and processes used, and the measurement, analyses and
tests performed [Royal Decree 665/1997, Article 9.1].
15.2 If the assessment reveals a risk to workers' health or safety, does the facility initiate efforts
to prevent the exposure or, where that cannot be accomplished, to reduce the level of
exposure of workers to as low a level as is technically possible? [Royal Decree 665/1997,
Article 4 and 5]
15.3 If the assessment reveals a risk to workers' health or safety, does the facility take
appropriate measures to ensure the following: [Royal Decree 665/1997, Article 6]
- Workers do not eat, drink or smoke in working areas where there is a risk of
contamination by carcinogens;
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- Workers are provided with appropriate protective clothing or other appropriate
special clothing;
- Separate storage places are provided for working or protective clothing and for
street clothes;
- Protective equipment is properly stored in a well-defined place;
- PPE is checked and cleaned if possible before, and in any case after, each use;
Note: It is strictly prohibited for workers to carry their work clothing to their homes for
washing. If the facility contracts the cleaning of personal protective equipment to a
specialized laundry facility, it must place clothing in closed containers labeled with
warnings.
- Defective equipment is repaired or replaced before further use; and
- Workers are provided with appropriate and adequate washing, toilet and eating
facilities (workers must be allowed a minimum of ten minutes before eating and
before leaving the facility to clean-up)?
15.4 If the assessment reveals a risk to workers' health or safety, does the facility maintain an
up-to-date list of persons so affected, including the exposure to which each has been
subjected? [Royal Decree 665/1997, Article 9]
Note: This list must be maintained for at least 40 years following the end of exposure
[Royal Decree 665/1997, Article 9.3].
15.5 If any carcinogen is used, does the facility apply the measures described below: [Royal
Decree 665/1997, Article 5]
- Limitation on the quantities of a carcinogen at the place of work;
- Keeping as low as possible the number of workers exposed or likely to be
exposed;
- Design of work processes and engineering control measures so as to avoid or
minimize the release of carcinogens into the place of work;
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- Evacuation of carcinogens at source, local extraction system or general
ventilation, all such methods to be appropriate and compatible with the need to
protect public health and the environment;
- Use of existing appropriate procedures for the measurement of carcinogens, in
particular for the early detection of abnormal exposures resulting from an
unforeseeable event or an accident;
- Application of suitable working procedures and methods;
- Collective protection measures and/or, where exposure cannot be avoided by
other means, individual protection measures;
- Hygiene measures, in particular regular cleaning of floors, walls and other
surfaces;
- Information for workers;
- Demarcation of risk areas and use of adequate warning and safety signs
including "No Smoking" signs in areas where workers are exposed or likely to be
exposed to carcinogens;
- Drawing up plans to deal with emergencies likely to result in abnormally high
exposure;
- Means for safe storage, handling and transportation, in particular by using sealed
and clearly and visibly labelled containers; and
- Means for safe collection, storage and disposal of waste by workers, including the
use of sealed and clearly and visibly labelled containers?
15.6 If the assessment reveals a risk to workers' health or safety, does the facility ensure that
each affected worker is subject to appropriate health surveillance (including pre-
employment examination, periodic reviews thereafter, and whenever the state of health so
requires)? [Royal Decree 665/1997, Article 8]
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Note: Health monitoring of workers must be carried out in accordance with the principles
and practices of occupational medicine; it must include at least the following measures:
[Royal Decree 665/1997, Annex II]
- keeping records of a worker's medical and occupational history;
- a personal interview; and
- where appropriate, biological monitoring, as well as detection of early and
reversible effects.
Further tests may be decided upon for each worker in light of the most recent occupational
medicine knowledge available, whenever work conditions change or if safety measures are
insufficient to guarantee worker health and safety. Workers are entitled to all information
resulting from individual medical tests.
Health surveillance records must be maintained for at least 40 years following the end of
exposure [Royal Decree 665/1997, Article 9.3].
15.7 If an unforeseeable event or an accident took place which resulted in an abnormal
exposure of workers to carcinogens, did the facility inform the affected workers of this
exposure? [Royal Decree 665/1997, Article 8.5]
Note: Abnormal exposure is not defined in this decree.
15.8 If an unforeseeable event or an accident took place which resulted in an abnormal
exposure of workers to carcinogens, did the facility initiate the following actions until the
situation was restored to normal and the causes of the abnormal exposure were
eliminated: [Royal Decree 665/1997, Article 7.1]
- Only those workers who were essential to the carrying out of repairs and other
necessary work are permitted to work in the affected area;
- The workers concerned are provided with protective clothing and individual
respiratory protection equipment which they must wear; the exposure is kept to
the strict minimum of time necessary for each worker; and
- Unprotected workers are not allowed to work in the affected area.
15.9 If a foreseeable event such as maintenance took place where there is the potential for a
significant increase in exposure of workers to carcinogens, did the facility initiate the
following actions: [Royal Decree 665/1997, Article 7.2]
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- Avoid worker exposure by reducing the amount of time a worker spends in the
affected workplace;
- Adopt additional safety measures, including providing the concerned workers with
protective clothing and individual respiratory protection equipment which they
must wear; and
- Prohibit entry into the affected work area by unprotected workers?
15.10 If carcinogens are used in the work place, does the facility ensure that workers and/or their
representatives receive sufficient and appropriate training concerning the following: [Royal
Decree 665/1997, Article 11]
- Potential risks to health, including the additional risks due to tobacco
consumption;
- Precautions to be taken to prevent exposure;
- Hygiene requirements;
- Wearing and use of protective equipment and clothing;
- Steps to be taken by workers, including rescue workers, in the case of incidents to
prevent incidents?
Note: The training referred to above shall be adopted to take account of new or changed
risk, and be repeated periodically if necessary. All workers and their representatives must
be informed of the presence of carcinogenic agents in the workplace.
15.11 If carcinogens are used in the work place, does the facility ensure that the following
information is available to be furnished to health and labor authorities upon their request:
[Royal Decree 665/1997, Article 10]
- The result of the risk assessment, including the nature, degree and duration of
exposure, and the assessment criteria and methods used;
- The activities and industrial processes involving carcinogenic agents, including a
justification for the use of carcinogenic agents in these activities and processes;
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- The number of exposed workers, and the updated list of workers (specified
above);
- The preventive measures adopted and the type of protective equipment used;
- The criteria used for and result of any substitution of carcinogenic agents; and
- Any case of worker cancer resulting from workplace exposure?
Note: According to in-country legal experts, there is no specific submittal documentation
that must be made available, nor is there any time limit by which this information is to be
made available.
Exposure Lead in Metallic Form
Note: The requirements of this protocol section apply to all work operations and activities that involve
a risk of absorbing lead; a non-exhaustive list is set forth in Table 15-1. These requirements do not
apply to covalent compounds of lead such as the alkyl derivatives of lead nor to activities pertaining to
maritime and air navigation, or to the extraction of minerals containing lead.
For the purpose of this protocol section relating to lead in metallic form, the following definitions apply:
- Environmental concentration of lead: concentration, expressed in micrograms per cubic
meter (?m3), obtained by measuring and averaging the concentration of lead in the air;
- Exposed worker:
- in relation to the environmental concentration of lead: a worker who for over a
period of time in excess of thirty days a year carries out his work in an
environment whose environmental concentration of lead-in-air is equal to or
greater than 40 micrograms per cubic meter, for eight hours a day and forty hours
a week;
- with respect to the blood-lead level: worker whose concentration of lead in the
blood is equal to or greater than 40 micrograms per 100 milliliters of blood (this
figure is fixed at 30 micrograms per 100 milliliters of blood (30 ?100 ml) in the
case of women during a period of pregnancy);
- Action level: the value of environmental lead concentration at which point additional
measures must be adopted. It is established at 75 micrograms per cubic meter (75 ?m3),
for eight hours a day, forty hours a week.
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15.12 If the facility performs any work in which workers may be exposed to lead, has it conducted
(either on its own or through specialized agencies) an initial assessment of the
environmental concentrations of lead at individual work stations? [Order of April 9, 1986,
Lead, Article 4.1]
Note: The initial assessment must have been performed within the six months following the
effective date of this decree (October 14, 1986) or within six months of the start-up date of
new facilities.
The samples must necessarily be of an individual type, arranging the collection devices on
the worker, and shall be made in such a manner so as to permit evaluation of the maximum
probable exposure of the worker or workers, taking into account the work done, working
conditions and the length of exposure. The sample period shall cover, as a minimum, a
continuous period of time equal to 80% of the daily work day. The affected workers or their
legal representatives in the facility shall be consulted with regard to this.
The sampling and analysis methods used in the evaluation of the risk of exposure to lead
shall have a reliability of not less than +/- 20%, with a confidence level of 95% for
environmental concentrations greater than 30 micrograms of lead per cubic meter of air (30
?m3).
Where there are groups of workers performing identical work which supposes a like degree
of exposure, the individual samplings may be reduced to a number of work stations which
are sufficiently representative of said groups, taking at least one individual sampling for
each ten workers and work shift.
15.13 If, as a result of the assessment referred to in the previous question, a lead exposure level
equal to or greater than the "action level" (75 ?m3, as defined above) is revealed, does the
facility perform periodic inspections consisting of the following: [Order of April 9, 1986,
Lead, Article 4.2 and 4.3]
- Quarterly inspections; or
- Semi-annual inspections if compliance with the following levels is achieved during
two consecutive quarterly inspections:
- a lead-in-air concentration less than 100 micrograms per cubic meter
(100 ?m3);
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- a blood-lead concentration less than 60 micrograms per 100 milliliters of
blood (60 ?100 ml) in any worker?
Note: The lead level revealed following the initial assessment must nonetheless be less
than the exposure limit value for environmental concentration established at 150 ?per
cubic meter, for eight hours a day, forty hours a week.
15.14 If the facility performs any activity that may result in lead exposure, are the exposure limits
set forth in Table 15-2 met? [Order of April 9, 1986, Lead, Article 3 and 5.1]
15.15 If the facility performs any activity where the risk of exposure to lead exists, has it
implemented preventive measures to reduce lead levels and emissions of dust and fumes
containing lead to the lowest possible minimum, as follows: [Order of April 9, 1986, Lead,
Article 5]
- Providing enclosure of parts of the activity which cause lead emission; enclosures
operating in a depression; exhaust of the emissions at the point at which they are
produced, or any other ventilating system which assures its effectiveness in
decreasing the presence of lead in the environment;
- If mechanical means of extraction, ventilation, or both are used to control the
workers' exposure to lead, the effectiveness of the system is checked by making
parametric measurements such as speed of capture, speed in the conduits and
static or other pressures, with a minimum frequency of once per quarter; and
- If the exposure limits are nonetheless exceeded, a prevention plan shall be
established?
15.16 Has the facility established a prevention program in order to reduce lead exposure to levels
specified in Table 15-2, which includes at least the following elements: [Order of April 9,
1986, Lead, Article 5.4]
- Identification of the operations from which the lead contamination originates;
- Detailed description of the preventive measures to be undertaken to reduce the
environmental levels to below the value limit of occupational exposure, including
any engineering plans which might be required;
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- Specification of the places where the prevention program is to be carried out, with
pertinent documentation on the purchase of equipment, construction contracts or
any other documentation deemed appropriate; and
- Planned administrative prevention measures, such as personnel rotation and a
decrease in the exposure time?
15.17 If the environmental limit values specified in Table 15-2 are exceeded, does the facility
take the following measures: [Order of April 9, 1986, Lead, Article 5.5]
- The causes of the exceedance are identified and measures for its correction are
taken;
- In order to verify the effectiveness of the measures adopted after their
implementation, new measurements of the environmental concentration of lead
must be taken;
- Testing of the biochemical parameters of the affected workers is performed if
deemed necessary by a physician or official responsible for medical examination;
- If the technical inspection measures cannot be carried out within one month, and
the environmental concentration of lead continues to exceed the value limit, work
in the affected area is discontinued; and
- Individual respiratory protective equipment is used until adequate protective
measures have been taken?
Note: Should the environmental concentrations of lead-in-air exceed the exposure limit
values, the exposed workers and their legal representatives shall be informed immediately
of such circumstance, as well as the causes of the same. The workers and their legal
representatives shall be consulted concerning the measures to be taken to decrease the
concentration, and in the case of emergency, shall be informed of the measures taken.
15.18 If the biological value limits established in Table 15-2 are exceeded, does the facility take
the necessary measures to identify the causes, and to remedy the situation, which includes
the following: [Order of April 9, 1986, Lead, Article 6]
- Workers are immediately removed from their customary work stations;
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Note: The worker may occupy a work station at which the environmental concentration of
lead, for eight hours a day and forty hours a week, is less than 40 micrograms per cubic
meter (40 ?m3). In this case, the worker shall submit to medical examinations more
frequent than required by Question 15.26.
- If the degree of exposure or the results of the medical examination so indicate, the
physician or the official responsible for the medical examination must propose the
individual protective measures to be adopted; these may include recommending
the removal of the worker from his customary work station.
- Removal from the work station upon exposure shall be obligatory for women while
pregnant and while nursing;
- Return to the original work station only takes place when the physician or the
official responsible for the medical examination considers it appropriate, provided
that:
- the level of blood-lead concentration is less than 60 micrograms per 100
milliliters of blood (60 ?100 ml); and
- the level of delta-aminolevulinic acid (ALAU) is less than 12 milligrams
per gram of creatinine (12 ?g creatinine)?
15.19 If the environmental limits values are exceeded despite the protective measures taken by
the facility, does it provide respiratory protective equipment, and ensure that its use is
limited to: [Order of April 9, 1986, Lead, Article 7.1 and 7.2]
- Temporary use while the installation measures and work methods necessary to
reduce exposure to below the permissible limit values are being adopted;
- In order to perform brief, specific and indispensable repair and maintenance work
(within a limited time period of four hours at most); and
- In other exceptional or emergency situations?
15.20 If the facility uses respiratory protective equipment, does its use meet the following
guidelines: [Order of April 9, 1986, Lead, Article 7.3]
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- In no case is respiratory equipment used regularly and permanently;
- The period of use for individual protective respiratory equipment is limited to the
minimum strictly necessary, and does not exceed four hours per day;
- As an exception, individual protective respiratory equipment provided with an air
supply and positive pressure may be used in the cleaning of chimney filters for a
period of less than six hours (this period must be interrupted by a break of at least
one half hour); and
- Only equipment which is a type approved in accordance with applicable
regulations and the corresponding technical regulatory standards is used?
Note: The selection of the equipment type is to be made based on the work determining its
use, generally opting for masks with a mechanical filter, except in situations where the
concentration of lead is so high that the use of respiratory protective equipment with an air
supply and positive pressure is required.
15.21 If an incident which might cause an appreciable increase in exposure to lead occurs at the
facility, does the facility require immediate evacuation of all workers from the affected
zone? [Order of April 9, 1986, Lead, Article 5.6]
Note: Only those workers required to undertake the necessary repairs may enter the
affected area, using adequate protective equipment.
15.22 If the facility performs any activity where the risk of lead absorption exists, is the use of
work clothing required for all workers and compliance with the following achieved: [Order of
April 9, 1986, Lead, Article 8]
- Workers who are potentially exposed as a result of the level of environmental
concentration at their work station use appropriate work clothing provided to them
without cost by the company;
- Each worker is provided with at least two sets of work garments, so that one of
them is ready for use, while the other is being cleaned or repaired;
- Use of the work clothing is obligatory during the entire stay in areas where the risk
of exposure to lead exists;
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- Work clothing is always replaced by street clothing before leaving the work site
and workers are strictly prohibited from carrying their clothing to their homes for
washing;
- The facility is responsible for washing the work clothing at least once a week; and
Note: The cleaning may be carried out either in-house, or by means of a contract with a
laundry equipped for such purposes. If the latter case exists, the clothing shall be sent in
closed receptacles labeled with the warning: "Warning: Lead-Contaminated Clothing. Do
Not Shake".
- Work clothing is repaired only after washing?
Note: The facility must ensure the availability, proper maintenance, cleanliness,
replacement and integrity of all personal protective equipment (including respirators,
gloves, caps, trousers, or other such equipment) for workers at all times.
15.23 Is compliance with the following requirements pertaining to sanitary facilities and personal
hygiene measures achieved at any facility where the risk of exposure to lead exists: [Order
of April 9, 1986, Lead, Article 9]
- At least one shower with hot and cold water for each ten workers or fraction
thereof who work on the same shift is available for their use at the end of the work
day;
- Each worker exposed to lead at his work station is provided with two lockers, one
for street clothing and the other for work clothing, suitably separated from each
other, if possible by the shower area;
- It is prohibited to bring in, prepare or consume food, beverages or tobacco in
those areas in which the environmental concentration of lead exceeds 40
micrograms per cubic meter (40 ?m3); and
Note: The facility must provide appropriate eating and smoking areas.
- Before eating, drinking or smoking, exposed workers are required to wash their
faces, hands and mouths; workers have a minimum of ten minutes during the
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work day for personal clean-up before meals, and another ten minutes prior to
leaving the job?
15.24 If exposure to lead is a risk at the facility, does it ensure that the following general
conditions exist in the work premises: [Order of April 9, 1986, Lead, Article 10]
- In places where workers are exposed to the environmental concentration of lead
at their work stations, floors are treated so as to facilitate cleaning operations;
Note: Whenever technically possible, affected areas should be kept isolated in order to
avoid contamination of other work areas.
- In normal cleaning operations, procedures which cause the dispersion of dust are
avoided, using suction or cleaning using wet means; and
- At a minimum, the facility conducts one annual cleaning of all walls, structures,
sheds and equipment?
Note: The contaminated residue must be disposed of in a manner which does not in turn
produce contamination.
15.25 Has the facility marked all areas where the environmental concentration of lead exceeds
40 micrograms per cubic meter (40 ?m3), as well as the means of access to these areas,
with easily visible and conveniently placed signs with the following wording: "Work Area
with Lead - Smoking, Eating and Drinking Prohibited"? [Order of April 9, 1986, Lead, Article
10.3]
Note: The word "Prohibited" must appear on the sign on a separate line.
15.26 Has the facility established a periodic, preventive medical examination system for all
exposed workers, which consists of an annual medical examination and semi-annual
biochemical tests, both carried out under medical supervision and including the following:
[Order of April 9, 1986, Lead, Article 11]
- Detailed clinical history and work background on exposure to risks;
- Hematological study and tests for kidney and liver function, as well as of the
central and peripheral nervous system;
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- Clinical, analytical and supplementary explorations which the physician considers
appropriate; and
- The determination of lead in the blood and of zinc protoporphyrin in the blood
(PPZ), supplemented, where applicable, with the determination of delta-
aminolevulinic acid in the urine (ALAU) and of the dehydrase of delta-
aminolevulinic acid in the blood (ALAD)?
Note: Not only the degree of exposure, but also each worker's sensitivity to lead is taken
into account during these inspections.
The determination of lead levels in the blood shall be made with a reliability factor (a
confidence level of 95%) of +/- 15% or 6 micrograms/100 ml for values lower than 40
micrograms/100 ml.
The frequency of the biological tests may be annual when the two following situations are
met:
- the environmental concentration of lead does not exceed the action level (75
micrograms per cubic meter);
- the individual level of lead in the blood does not exceed 50 micrograms/100 ml.
The frequency shall be quarterly should the level of lead in the blood exceed 60
micrograms/100 ml of blood (60 ?100 ml) or the environmental concentration of lead is in
excess of 100 micrograms per cubic meter (100 ?m3).
15.27 If any of the following circumstances arise, does the facility perform additional medical
examinations: [Order of April 9, 1986, Lead, Article 11.3]
- When so requested by an exposed worker who complains of signs or symptoms
commonly attributed to lead poisoning, provided that the physician feels it
appropriate; and
- When three months have elapsed from the assignment of a worker to a work site
with the potential risk of exposure to lead?
Note: The use of preventive chelates is strictly prohibited.
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15.28 Does the facility provide the exposed workers, as well as their legal representatives, with
detailed and sufficient information on: [Order of April 9, 1986, Lead, Article 12]
- The health risks involving working with lead, including potential risks to the fetus
and for the nursing mother;
- The legal provisions and, in particular, those requirements relative to the
concentration limits and to the standards for environmental evaluation and control;
- The preventive hygienic and health measures to be adopted by the workers, and
the means and services which the company must provide for that purpose;
- The dangers which the potentially exposed workers run in smoking, drinking and
eating at their work stations, and the consequent prohibition to do so;
- The desirability of using and the requirement to use, where applicable, work
clothing and means of individual protection provided and their proper employment
and care;
- Any other information on preventive health measures necessary to decrease the
risk of exposure;
- Information on the results obtained in the environmental evaluations conducted,
and of the meaning and scope of same;
- Cases where the limit concentrations established are exceeded, indicating the
determining causes and the measures adopted for their correction; and
- Findings of the preventive medical examinations of the workers, without
mentioning names, as well as individual information to each worker of the results
of the environmental evaluation of his work station and of his medical examination
and tests?
Note: The facility should organize periodic short courses for the initial and continued
information of the exposed workers, on the subject of prevention of occupational risks
resulting from lead.
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15.29 Has the facility established data registers and updated files of documentation relative to:
[Order of April 9, 1986, Lead, Article 13]
- Evaluation and inspection of the work environment including:
- date, number, duration, location and results of each one of the
environmental samples taken, to determine worker exposure;
- sampling and analysis methods used, with proof of their reliability;
- individual protective means and equipment, if used;
- occupational identification number of the potentially exposed workers at
whose work sites environmental evaluation and inspection were carried
out; and
- Work related medical examinations for workers including:
- name, social security number, work station and condition, whether
potentially exposed or not, of each worker examined;
- results of the medical examinations and biochemical tests made, with
indication of methodology used;
- if there was removal from the work station due to exposure to lead, date
of the change and of reinstatement; and
- any other useful data which the physician might consider opportune?
Note: The facility is required to maintain the above registers for the length of time the
worker is employed at the facility. Should an employer cease his activities, his successor
shall receive and maintain earlier documentation. At the end of the period required for
maintenance of the registers or, in the case of the termination of the activity, the firm shall
notify the National Institute of Work Safety and Hygiene at least three months in advance,
and within this period, it shall transfer the records to said agency.
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The facility must provide access to the afore-mentioned files to the Labor Inspection Office,
the National Institute of Work Safety and Hygiene, the competent agencies of the
Autonomous Communities and the legal representatives of the workers.
Exposure to Vinyl Chloride
Note: This protocol section applies to work places in which monomeric vinyl chloride is manufactured,
recuperated, stored, transported or utilized in any manner, or converted into polymeric or copolymeric
form, where workers are exposed to its effects in a particular work area.
For the purpose of this section, the following definitions apply:
- Work area: A specific area of the work place which may consist of one or several work
stations. It is determined by the fact that each worker, while carrying out his duties, spends
varying amounts of time in different work stations, and the amount of time spent in each
cannot be more precisely defined, nor is it reasonably possible to divide the work area into
smaller units.
- Exposed worker: Any worker who normally carries out his duties, totally or partially, in a
zone where monomeric vinyl chloride is present (i.e. control zone).
15.30 If the facility performs work where vinyl chloride is involved, are the following exposure
limits and emergency levels of monomeric vinyl chloride in the atmosphere of the work
zone complied with: [Order of April 9, 1986, Vinyl Chloride, Article 3]
- Annual exposure limit (average concentration over twelve months excluding
emergency levels): three parts per million (ppm);
- Daily exposure limit (average concentration over a period of eight hours): seven
parts per million (ppm);
- Emergency level: When any of the three following levels is reached:
- average concentration over a period of one hour: fifteen parts per million
(15 ppm);
- average concentration over a period of twenty minutes: twenty parts per
million (20 ppm); and
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- average concentration over a period of two minutes: thirty parts per
million (30 ppm)?
15.31 Does the facility monitor (either continuously or non-continuously) control zones where
monomeric vinyl chloride is present, on a regular basis, using the most advanced
technology, as follows: [Order of April 9, 1986, Vinyl Chloride, Article 4]
- The measurement system can reliably register a concentration equal to at least
one third of the annual exposure limit;
Note: When non-selective measurement systems are used to determine the level of
monomeric vinyl chloride, the value of the measurements should be interpreted as
representing the total concentration of monomeric vinyl chloride.
- In order to accurately monitor the exposure levels, measurements are made at
representative sites selected by mutual agreement between workers and
management; and
Note: If more than one measurement site is used, the average value of the various sites is
the representative value for the entire work zone. If the results obtained are not
representative of the concentration of monomeric vinyl chloride in the control zone, the
measurement site should be the place where the worker is exposed to the highest level of
concentration.
- Monitoring and alarm systems are used to detect abnormal increases in the
concentration of monomeric vinyl chloride in particularly susceptible areas?
Note: A control zone is a work area where there exists a risk of monomeric vinyl chloride
being released into the environment.
15.32 If the facility performs activities involving monomeric vinyl chloride, has it taken preventive
measures to ensure that emergency levels (per Question 15.30) are not reached and to
reduce the concentration of monomeric vinyl chloride to the lowest possible levels,
including: [Order of April 9, 1986, Vinyl Chloride, Article 5]
- Each control zone is monitored for the concentration of monomeric vinyl chloride
in the environment;
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- When one of the exposure limits or an emergency level is reached, the causes for
the increase in concentration are investigated and appropriate corrective
measures immediately taken;
- When an emergency level is reached and until the concentration is reduced to a
safe level, no worker remains in the work area unless it is absolutely necessary to
maintain safe functioning of the equipment or to carry out corrective measures to
remedy the situation; and
Note: Workers who must remain in the work area must use appropriate personal protective
equipment which includes airtight clothing, gloves and boots.
- The number of workers in the control zones is reduced to the absolute minimum?
15.33 If any workers have been exposed to monomeric vinyl chloride, does the facility prohibit
these worker from working overtime or working under an incentive system given the
physical overexertion, strain or intense heat involved in the work? [Order of April 9, 1986,
Vinyl Chloride, Article 5.8]
15.34 Does the facility use or require the use of personal protective equipment in the following
situations: [Order of April 9, 1986, Vinyl Chloride, Article 6.1 and 6.2]
- Temporarily, until technical preventive measures and effective work methods
have been adopted which are sufficient to reduce exposure to levels below the
established limits;
- When cleaning, maintenance or repair operations are carried out, during which
safe concentration levels cannot be guaranteed;
- In the case of large accidental emissions, in order to allow for rapid evacuation;
- In the case of an emergency situation, for workers whose presence is required in
the area (for continued operation or for safety measures); and
- In other exceptional or emergency situations?
Note: The facility must provide protection to workers with preventive means before
resorting to the use of PPE. Therefore, PPE should be used only in the above listed
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situations where the facility cannot guarantee adequate protection of workers though
general preventive measures.
15.35 If any protective respiratory devices are used at the facility, is compliance with the following
guidelines achieved: [Order of April 9, 1986, Vinyl Chloride, Article 6.3]
- In no case are they used habitually or permanently;
- The period of use of these means of protection is kept to the strict minimum
required, in no case should it exceed four hours per day;
- At all times the devices used are approved by the Department of Labor, in
accordance with the corresponding technical regulatory norms; and
- Each worker assigned to a control zone is issued personal protective respiratory
equipment for use when necessary?
15.36 Does the facility provide workers with adequate means of personal protection free of
charge and maintain, clean and replace PPE as necessary to ensure that it is available at
all times and in good working condition? [Order of April 9, 1986, Vinyl Chloride, Article 6.4]
Note: The individual protective equipment must be maintained by qualified specialists
assigned to this task. The facility, in agreement with employee representatives, will
prepare an instruction manual to explain the proper use and care of the protective
equipment. Signs indicating these instructions must be placed in work areas, and must be
easily seen and understood.
15.37 If the facility performs any work involving monomeric vinyl chloride, has it clearly delimited
and marked control zones with signs that indicate the following (the location, size, shape
and lettering of the signs must permit optimum visibility): [Order of April 9, 1986, Vinyl
Chloride, Article 5.6 and 7]
- Control zone;
- No entry except to authorized personnel;
- Possible presence of vinyl chloride; and
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- Dangerous substance?
15.38 Does the facility provide preventive medical examinations to all employees working in
control zones as follows: [Order of April 9, 1986, Vinyl Chloride, Article 9]
- Before they begin working to determine that there is no medical or occupational
problem which might pose a risk to the employee's health while carrying out
his/her duties; and
- At least once a year to all employees working in control zones?
Note: The Ministry of Labor and Social Security may determine particular instructions and
criteria concerning the medical examinations, as well as health conditions which may
require the use of preventive measures, such as a change in the work location. When
such instructions are issued, the competent physician will determine on an individual basis
the frequency and type of examinations to be given, following the provisions of this article.
Appendix 15-A contains some guidelines to be followed in this respect.
15.39 If the facility performs any work involving monomeric vinyl chloride, has it provided the
following detailed information to all employees who may be exposed to this substance or
who are assigned to work in control zones, as well as to their legal representatives: [Order
of April 9, 1986, Vinyl Chloride, Article 10.1 and 10.2]
- Health risks of monomeric vinyl chloride;
- The concentrations, limits and emergency levels established (see Question
15.30);
- The means used to avoid risks and the precautions which need to be taken;
- The preventive health measures which should be adopted by workers, and the
items and services which the facility provides for this purpose;
- The preventive maintenance and control plans for the installation, especially
locating and eliminating leaks;
- The usefulness and requirement, as the case may be, of using means of personal
protection, as well as their correct use and maintenance;
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- The evacuation plan, in case of an emergency;
- Any other information concerning preventive health measures for reducing the
exposure to risk;
- The results obtained from environmental measurements and the significance of
the figures recorded;
- The cases in which exposure and emergency levels are exceeded, the
determining causes and the measures taken to correct the situation; and
- The results of medical follow-ups carried out on employees, without revealing
individual names?
15.40 Has the facility informed each worker individually of the results of the environmental tests
conducted in his work area, and the data from his medical examination, along with all
explanations required for ready comprehension? [Order of April 9, 1986, Vinyl Chloride,
Article 10.2]
15.41 Does the facility provide workers with instructions and training pertaining to the following:
[Order of April 9, 1986, Vinyl Chloride, Article 10]
- Performance of the required preventive measures in their work areas;
- Correct use the personal protection equipment;
- Evacuation of the premises in case of an emergency; and
- For workers who are required to intervene in case of an emergency, methods of
restoring normal conditions, especially locating and eliminating leaks?
Note: For employees working in control zones, the above instruction must be provided on
an annual basis.
Facilities must, with the cooperation of the most representative Union Offices, organize
short courses from time-to-time for beginning and continued instruction of workers exposed
to monomeric vinyl chloride, in order to prevent job-related risks.
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15.42 Does the facility maintain the following records and make such records available to the
Office of Labor Inspection, the National Institute of Safety and Hygiene in the Work Place
and other competent Organizations of the Autonomous Regions, as well as to employee
representative: [Order of April 9, 1986, Vinyl Chloride, Article 11]
- Up-to-date registers pertaining to worker that include the following:
- testing and control of the workplace;
- medical work-related monitoring of workers;
- Records and files of data related to testing and control of the work environment
must include at least the following:
- activities of the facility, with a detailed description of the production
methods used;
- technical manuals on the processes involved;
- description, from a preventive health point of view, of the work sites,
centers, control zones and work areas, shifts and schedules;
- official identification number of workers exposed to monomeric vinyl
chloride;
- nature and duration of each employee's exposure to risk;
- environmental tests carried out, with indication of dates and results;
- evaluation system, sampling and analysis methods used;
- measurement increments used in the evaluation systems;
- technical preventive and corrective measures used to reduce risk; and
- means of personal protection utilized?
- Records and files of job-related medical data that include at least:
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- the name, Social Security number, work area and type of exposure of
every employee considered to be at risk;
- the results of the periodic medical examinations;
- the results of pre-employment or new employee medical examinations;
- changes of work area for medical reasons; and
- absence due to illness and health records of employees.
Note: The facility is required to maintain on file the data concerning control of the work
environment and medical monitoring of employees for a period of at least thirty years. If
the facility goes out of business, the business which takes it over must obtain and maintain
the above-mentioned documentation. At the end of the required period for maintaining the
records or if activities are terminated, the facility must notify the National Institute of Safety
and Hygiene in the Work Place three months in advance, and must transfer its records to
the Institute within the same period.
Information concerning the health status of workers exposed to the substance may be
used only as a basis for improving the work environment or for medical-occupational
purposes, and must be kept strictly confidential.
Exposure to Benzene
Note: This section applies to facilities using solvents, glue, solutions, paint, varnishes, dyes and other
preparations and products containing benzene. Benzene-containing products are defined as products
containing 1% benzene per unit of volume.
15.43 If the facility performs any work involving benzene, does it provide medical surveillance to
all concerned workers including a pre-employment examination, with a follow-up after two
months and periodic reviews every six months thereafter? [Order of 14 September, 1959,
Article 4]
Note: The facility must maintain a register of all medical examinations.
15.44 If the facility performs any work involving benzene or benzene-containing products, are the
following persons prohibited from engaging in such work: [Order of 14 September, 1959 as
complemented by Resolution 15 Feb, No 10]
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- Men under the age of 20 and women under the age of 23;
- Any person who has medical evidence/notification that they have suffered a
pathology caused by exposure to benzene; and
- Pregnant and breast-feeding women?
15.45 Does the facility declare any cases where workers show signs of benzene intoxication to
the National Work Health and Safety Institute ("Intituto Nacional de Medicina y Seguridad
de Trabajo")? [Order of 14 September, 1959, Article 4]
15.46 If the facility uses benzene or benzene containing products, has it performed an
assessment of all technical and organizational measures to substitute benzene with other
less toxic substances? [Order of 14 September, 1959, Article 6]
Note: The competent regional authority must be informed of the results of the assessment.
15.47 If the facility uses benzene or benzene containing products, does it ensure compliance with
the following preventive measures: [Order of 14 September, 1959 as complemented by
Resolution 15 Feb, No 1]
- The evaporative free surfaces are reduced to a minimum;
- Localized aspiration system is placed in locations where benzene vapors are
generated; and
- Adequate ventilation of the work areas is provided, bearing in mind that the
benzene vapors are heavier than air?
Note: Any work involving benzene outside areas specifically designed for the use of
benzene is strictly prohibited; these areas must be supervised at all times. Work must be
performed in sealed/closed systems whenever possible, and separate from other work
areas without direct communication to other areas, or at a minimum, areas with sealing
doors.
15.48 Does the facility conduct measurement of benzene levels at least twice a month? [Order of
14 September, 1959 as complemented by Resolution 15 Feb, No 4]
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Note: The chlorometric methods should be used for these measurements. All results must
be recorded in a register, indicating date, location and workplace location, method used,
and name of person performing test. The register must be available to competent
authorities.
15.49 If any worker is to be exposed to benzene in amounts greater than the allowable
concentration (25 ppm) during the course of his/her work, does the facility provide the
worker with adequate personal protective equipment including a respirator, and protective
gloves whenever contact with liquid benzene occurs? [Order of 14 September, 1959 as
complemented by Resolution 15 Feb, No 6]
15.50 If any areas exist at the facility where benzene vapors exists, does the facility comply with
the following fire safety measures: [Order of 14 September, 1959 as complemented by
Resolution 15 Feb, No 7]
- The use of open flames or any other ignition source, including prohibitions of
smoking, lighters, matches and use of spark-generating tools;
- Provision of sufficient numbers of fire extinguishers;
- Metallic surfaces that are in contact with tanks (i.e. tubes, tanks, mixers), are
grounded; and
- Prior to transfer of products containing benzene, from one metallic container to
another, both containers are grounded and electrically interconnected so as to
prevent the formation of electrostatic charges?
15.51 Are any containers used for benzene or benzene-containing products clearly labelled with
the wording "Benzene" and the corresponding hazard symbol? [Order of 14 September,
1959 as complemented by Resolution 15 Feb, No 8]
15.52 If benzene-containing products are used at the facility, does the facility comply with the
following requirements: [Order of 14 September, 1959 as complemented by Resolution 15
Feb, No 11]
- Provision of one sanitary facility and shower for every 10 workers involved in such
work;
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- Changing rooms are contiguous to sanitary facilities and showers, and are
equipped with benches and separate lockers for both street clothes and work
clothes;
- Provision of workers with work clothes that are maintained in a clean state;
- Use of benzene-containing solvents is prohibited for washing hands; and
- Consumption of food in work areas where benzene is used is prohibited
(appropriate cafeteria facility must be provided)?
15.53 If the facility uses benzene or benzene-containing products, has the facility adequately
informed all affected workers of the following: [Order of 14 September, 1959 as
complemented by Resolution 15 Feb, No 12]
- The dangers associated with benzene and benzene-containing products;
- The necessary precautions and hygienic measures to be taken;
- The importance of the correct operation of all equipment for controlling emissions;
and
- Any relevant first-aid requirements?
15.54 Has the facility posted signs in all areas where benzene and benzene-containing products
are used, which indicate the following: [Order of 14 September, 1959 as complemented by
Resolution 15 Feb, No 13]
- Existing risks;
- Preventive measures;
- Obligation to inform responsible persons of any abnormalities in the operation of
vapor exaction systems;
- Obligatory personal protective measures;
- First-aid requirements; and
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- A means for suggesting improvements in the workplace?
Exposure to Biological Agents
Notes: The following definitions apply to requirements in this sub-section: [Royal Decree 664/1997,
Article 2]
- Biological agents are microorganisms, including those genetically modified, cell cultures
and human endoparasites, capable of causing any type of infection, allergy or toxicity.
- Microorganisms are all microbiological entities (both cellular and non-cellular), capable of
reproducing or transferring genetic material.
- Cell culture is that caused by the result of in-vitro growth of a cell obtained from multi-
cellular organisms.
Biological agents are classified as follows, pertaining to the risk of infection: [Royal Decree 664/1997,
Article 3]
- Group 1 biological agent is that which has a low probability of causing a disease for
humans;
- Group 2 biological agent is that which can cause sickness in humans and can present a
danger to the workers, but which has a low probability of affecting the work collective, and
for which preventive measures and efficient treatment is available;
- Group 3 biological agent is that which can cause a severe sickness to humans and
represents a serous danger for workers, with a risk of affecting the work collective, but for
which preventive measures and efficient treatment is available;
- Group 4 biological agent is that which can cause a severe sickness to humans and
represents a serous danger for workers, with the risk of affecting the work collective, and
which has a high probability of affecting the work collective, and for which preventive
measures and effective treatments are not available. Appendix 15-B (Annex II) classifies
Group 2, 3 and 4 biological agents. Biological agents are listing by separate categories,
including the following: "bacterias y affines" - bacterias and affines; "virus" - virus;
"parasitos" - parasites; "hongos" - fungi.
Classification of Biological Agents [Royal Decree 664/1997, Annex II].
For certain biological agents listed in Appendix 15-B (Annex II), additional indications are specified, in
accordance with the following abbreviations:
A: possible allergic effects;
D: the requirement for the listed of workers exposed to biological agents to be kept for at least 10 years
following the last exposure;
T: production of toxins;
V: effective vaccine available;
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(*): normally not infectious in the air;
<>: other specific characteristics, in addition to those specified above, can present a risk to
health.
The classification of the listed agents has been conducted considering the possible effects on healthy
workers. The possible effects on workers whose sensitivity is affected by such causes as previous
pathology, medication, immune disorder, pregnancy or breast feeding, have not been taken into
account.
For the correct classification of the biological agents, the following must be kept in mind:
- The absence of a specific agent from the listing in Appendix 15-B (Annex II) does not
signify its implicit and automatic classification as a Group 1 biological agent;
- The listing does not include genetically-modified microorganisms, for which a separate
regulation exists;
- For biological agents where only the genus is indicated, the species and strains that are
not pathogenic for human beings are considered to be excluded; and
- All the viruses not included in the list, that have been isolated in human beings, are
considered classified (at a minimum) as Group 2, except in cases when the sanitary
authority has estimated that it is unnecessary.
When a strain is attenuated or it has lost any well known virulent genes, the contents required for
classification used for its mother strains will not necessarily be applicable. For example, when the said
strain is to be used as a product or part of a product for prophylactic or therapeutic purposes.
Any biological agents normally not infectious through the air, and marked with an "(*)" in the list of
biological agents, may be exempted from some containment measures used to avoid their
transmission by air, except in the case of an indication to the contrary by the sanitary authority for the
requirement for the provision of information prior to such a circumstance.
The requirements relating to the container of biological agents, derived from the classification of the
parasites, will only apply to the distinct stages of the parasitic cycle that can be infectious for the
persons in the workplace.
15.55 If any biological agents are used at the facility, has the facility conducted an evaluation of
any workers affected by such exposure? [Royal Decree 664/1997, Article 4]
Note: This evaluation must determine the nature, degree and duration of the exposure to
the workers. This evaluation must be repeated periodically (not further defined), as well as
any time a change in conditions occurs that could affect the exposure of the workers to
biological agents, or in any case when an infection or sickness detected amongst any
worker is suspected as being caused by an exposure to any biological agent at the facility.
If the results of the evaluation indicate that the exposure, or potential exposure, refers to a
Group 1 biological agent (see "Anexo II" in Appendix 15-B) that does not present a known
risk to the health of any worker, no further action is required. [Royal Decree 664/1997]
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15.56 If the results of the evaluation indicate a risk to the health and safety of any workers
caused by an exposure to biological agents (Classes 2, 3 and 4 specified in "Anexo II" of
Appendix 15-B), is compliance with the following achieved: [Royal Decree 664/1997,
Article 6]
- The exposure is avoided; and
- If the elimination of the exposure is not possible, due to technical reasons, the risk
of exposure is reduced to the lowest possible level, which sufficiently guarantees
exposure to the lowest possible level for guaranteeing the health and safety of the
affected workers?
Note: No definition is provided for the expression "guaranteeing the health and
safety of the affected workers".
15.57 If a health and safety risk exists at the facility, as a consequence of work with biological
agents, does the facility adopt measures that provide the following: [Royal Decree
664/1997, Article 7]
- Prohibit workers from eating, drinking or smoking in the work zones where said
risk exists;
- Provide workers with appropriate protective garments, or other types of
specialized, adequate garments;
- Provide toilets, as well as appropriate and adequate bathrooms that are equipped
with ocular cleaning products and dermal antiseptics;
- Provide a specific location for the adequate storage of protective equipment, and
ensure they are clean and in good working condition, prior to use (if possible) as
well as after use;
- Provide specified procedures for retrieving, handling and processing biological
agent samples;
- Provide workers with ten minutes for personal hygiene matters, both prior to
eating and after completing such work;
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- Ensure that upon exiting the relevant work zone all workers remove work clothes
and personal protective equipment that could be contaminated by biological
agents, and that these clothes and equipment are stored in areas separate from
any other garments; and
- Prohibit workers from taking used work garments home, and ensure that any such
garments are sent out of the facility (for disposal) in closed receptacles with
affixed labels specifying appropriate warnings (see "Anexo III" of Appendix 15-B)?
15.58 If any workers at the facility are subject to the risk from biological agents, are any such
workers provided with medical monitoring that is adequate for, and specific to, the risk from
biological agents, and in accordance with the following schedule: [Royal Decree 664/1997,
Article 8]
- Prior to any exposure;
- At regular, successive intervals, with the schedule specified by the relevant Doctor
(consideration should be given to the specific biological agent in question, the
type of exposure, and the available effective tests providing early detection); and
- If any worker subject to the specified exposure has contracted an infection or
sickness that could be caused by the exposure to biological agents?
Notes: If effective vaccines exist for an exposure to a risk to biological agents, they must be
made available to any affected workers, including information on the advantages and
inconveniences caused by such vaccination. The offer of such vaccination to any worker,
and their acceptance, must be in writing.
15.59 Does the facility ensure that the following documentation is kept at the facility in a current
form: [Royal Decree 664/1997, Article 9]
- Documentation of the evaluation results as well as the criteria and procedures for
the evaluation and the methods used for monitoring, analysis and testing;
- A listing of the names of the workers exposed to any Group 3 and Group 4
biological agents, indicating the type of work conducted and the biological agents
the workers were expose to, as well as a register of the corresponding exposures,
accidents and incidents; and
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- Medical history of any worker subject to medical monitoring (as specified above in
previous question).
Note: This documentation must be kept at the facility for at least 10 years after the last
exposure.
15.60 If the facility uses any Group 2, 3 or 4 biological agents, has the facility notified the labor
authority thirty (30) days before initiating any such work? [Royal Decree 664/1997, Article
10]
Note: This notification must include the following:
- Name and address of the facility;
- Name and training of the person(s) at the facility responsible for prevention of
exposure to biological agents;
- the results of the risk evaluation;
- the type of biological agent; and
- the planned prevention and protective measures.
15.61 Does the facility provide the following to the labor and the sanitation authorities: [Royal
Decree 664/1997, Article 11]
- Information pertaining to any accident or incident that caused a release of any
biological agent and that can cause a severe infection or sickness to man;
- Information pertaining to all cases of sickness and death caused by an exposure
to biological agents;
- If the facility has ceased all activities related to the exposure to biological agents,
copies of the following:
- The listing of the names of the workers exposed to any Group 3 or 4
biological agents, indicating the type of work conducted and the
biological agents relating to the exposure; and
- The medical history of any worker subject to medical monitoring (as
specified above)?
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15.62 Does the facility provide the affected workers with training and information (in the form of
instruction) pertaining to the following issues related to biological agents: [Royal Decree
664/1997, Article 12]
- Potential health risks;
- Precautions to be taken to prevent exposure;
- Hygienic/sanitary requirements;
- Use of protective clothes and equipment; and
- Emergency response and prevention measures?
Note: The information must comply with the following:
- It is provided to the worker at the commencement of a job where contact with a
biological agent might occur;
- It is adapted to any new risks and the evolution of any existing risk; and
- It is repeated periodically, as necessary.
The facility must provide instructional signs pertaining to the occurrence of the following:
- A severe accident or incident where the handling of a biological agent is
necessary; and
- The handling of a Group 4 biological agent (if applicable).
-
Prohibition of Certain Specified Agents or Work Activities
Note: For the purpose of this sub-section, the following definitions apply:
- Agents: chemical, physical or biological agents present in work centers and which may
present a health hazard.
- Substances: the chemical agents and its compounds, just as they are presented in their
natural state or as they are produced by the industry, including or not the necessary
additives for them to be placed on the market.
- Preparations: the mixtures or solutions composed of two or more substances.
- Impurities: the substances that are present, a priori and in minimum or insignificant
quantities, in other substances.
- Intermediate products: substances formed during the chemical reaction and which are
transformed and disappear before the end of the reaction or process.
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- Subproducts: the substances that are present during the chemical reaction and that
remain at the end of the reaction or process.
- Refuse: the residues from chemical reactions that must be disposed at the end of the
reaction or process.
15.63 Does the facility observe the prohibition on the production and use of the following agents:
[Royal Decree 88/1990, Article 2]
- 2-naphthilamine and its salts (CAS number 91-59-8);
- 4-aminobiphenyl and its salts (CAS number 92-67-1);
- Benzidine and its salts (CAS number 92-87-5); and
- 4-nitrodiphenyl (CAS number 92-93-3)?
Note: The prohibition does not apply when the agents are impurities, subproducts or refuse
elements of other substances or preparations and their concentration is less than 0.1
percent by weight. Additionally, the following activities are exempted from the specified
prohibition: [Royal Decree 88/1990, Article 3]
- Scientific research and experimentation activities including analysis;
- Processes which expressly have disposal of the aforementioned agents as their
aim; and
- Processes in which prohibited agents appear as intermediate products.
15.64 If the facility uses any prohibited agents for an exempted activity (as defined above), has
the facility complied with the following requirements: [Royal Decree 88/1990, Article 4.1]
- The appropriate precautions for protecting the health and safety of the workers
affected, avoiding their exposure to the prohibited agents are taken;
- For processes in which prohibited agents appear as intermediate products, the
necessary measures are adopted to guarantee the fastest production and use of
said substances, and the intermediate products are kept a closed system,
extracted only in the minimum quantity necessary for control of the process or for
maintenance of the system; and
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- All information regarding the measures adopted for fulfillment of the above
precautionary obligations is submitted to the labor authority, along with data on
the following:
- annual quantities used;
- activities and/or reactions or processes employed;
- number of exposed workers; and
- technical and organizational measures taken in order to avoid exposure
of the workers?
Note: The above information must be made available to internal agencies competent in
safety and hygiene and to the representatives of the workers [Royal Decree 88/1990,
Article 6].
15.65 If the facility uses any prohibited agents for an exempted activity (as defined above), has it
adequately informed the workers of the health and safety hazards related to the agent or
activity to which they are, or may be exposed, as well as the precautions they must take
against prohibited agents? [Royal Decree 88/1990, Article 6]
Permissible Concentrations Inside Operating Areas
15.66 If the facility performs any activities classified as unhealthy due to the generation of smoke,
dust, clouds, vapors or gases, are these equipped with ventilation and purification
equipment to ensure that the concentrations specified in Table 15-2 are not exceeded in
indoor operating areas? [Decree 2414/1691, Article 18]
Note: Unhealthy activities are activities that involve the release or evacuation of products
that can be directly or indirectly hazardous to human health, as defined by Decree
2414/1961. Given the date of entry into force of this decree (December 7, 1961) and
according to in-country legal experts, the concentrations listed in Table 15-3 may have
been updated by recent legislation transposing EU Directives or at the regional level.
Therefore, the auditor should ascertain the validity of these concentrations with the local
authorities of the region in which the facility is located prior to conducting the audit.
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Requirements for Radioactive Wastes
Note: The following definitions apply to radioactive wastes:
- Radioactive waste is defined as any material containing or contaminated by radionuclides
and not designated for a specific use [Royal Decree 2088/1994, Article 2];
- Ionizing radiation is defined as radiation composed of photons or particles capable of
emitting ions directly or indirectly;
- activity is the quotient "dN/dt", where "Dn" is the number of spontaneous nuclear
transformation that are generated or produced in a given quantity of radionuclides during
time "dt"; and
- exposure is the action or consequence of subjecting a person to ionizing radiation.
15.67 If the facility disposes or discharges of any radioactive wastes, has it obtained an
authorization from the competent authority to do so, and is compliance with specified
conditions achieved? [Royal Decree 53/1992, Article 56]
15.68 If any radioactive waste are generated or stored at the facility, is such waste stored, treated
or discharged in systems and facilities that are separate from other waste treatment and
handling systems and storage areas at the facility? [Royal Decree 53/1992, Article 54]
15.69 Are radioactive wastes stored in sealed containers that prevent the emittance of ionizing
radiation, and are the wastes clearly labelled as radioactive wastes? [Royal Decree
53/1992, Articles 58 and 59]
15.70 Does the facility maintain a register (two copies filed outside of storage areas), in which the
following information is specified for each container of radioactive waste: [Royal Decree
53/1992, Article 59]
- Physical-chemical data of contained wastes;
- Maximum exposure levels on the container surface and at a distance of 1 meter
from the container surface; and
- Date of last measurement and the measured activity levels?
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Radioactive Substances
15.71 If the facility operates a nuclear or radioactive installation, does it possess the appropriate
associated permits and approvals? [80/836/Euratom, Article 3; Decree 2869/1972]
Note: The following must be obtained:
- Approval prior to construction project for the facility;
- Construction permit; and
- Start up authorization.
The following definitions apply to requirements specified in this question:
- Nuclear installation is a nuclear plant, a manufacturing facility using nuclear
substances, and an installation storing nuclear substances;
- Radioactive installation is any kind of installation containing ionizing radiation
sources, equipment producing such radiations and any laboratory, establishment,
plant or storage installation for radioactive material.
15.72 If radioactive substances are used at the facility, has it conducted an evaluation of every
activity resulting in an exposure to ionizing radiation, to ensure that the exposure can be
justified by the advantages that it provides? [Royal Decree 53/1992, Article 4a]
15.73 If radioactive substances are used, are the whole body and partial body exposure limits in
compliance with those set forth in Table 15-4, Appendix 15-C and Appendix 15-D? [Royal
Decree 53/1992, Articles 5 and 6]
Note: Whole body exposure is exposure regarded as uniform throughout the body; partial
body exposure is exposure predominantly of part of the body or of one or more organs or
tissues, or exposure which is not regarded as uniform throughout the body [Royal Decree
53/1992, Appendix I].
15.74 If radioactive substances are used, has the facility ensured that workers under 18 years of
age are prohibited from performing any work that would result in their being exposed to
ionizing radiation? [Royal Decree 53/1992, Article 7]
15.75 If radioactive substances are used, has the facility ensured that nursing mothers are not
employed in work involving a high risk of radioactive contamination? [Royal Decree
53/1992, Article 7]
Note: The term, "radioactive contamination," means contamination of any material,
surface, environment, or person, by radioactive substances. In the specific case of the
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human body, this radioactive contamination includes both external skin contamination and
internal contamination irrespective of method of intake [Royal Decree 53/1992, Appendix I].
15.76 If the Nuclear Safety Council has required the establishment of an internal nuclear
protective service, or the contracting with a similar external service, has the facility done so
and does it comply with all specified requirements? [Royal Decree 53/1992, Article 15 - 18]
15.77 Has the facility formally designated areas of the workplace as follows: [Royal Decree
53/1992, Article 21]
- Controlled area, for areas where the radiation dose is liable to exceed three-
tenths of the annual dose limits for exposed workers (see Table 15-4);
- Supervised area, for areas where the radiation dose is liable to exceed one-tenth
of the annual dose limits for exposed workers (see Table 15-4); and
- Free access area, for areas where it is improbable to have doses exceeding one
tenth of the annual dose limits (see Table 15-4)?
15.78 If the facility has one or more designated controlled or supervised areas, has the facility
undertaken the following monitoring activities: [Royal Decree 53/1992, Article 23]
- Monitoring of activities, doses and flow rates specifying the nature and quality of
the emitted radiation, and the recording of the results; and
- Monitoring atmospheric and surficial concentrations of radioactive substances,
specifying their nature and their physical and chemical state?
Note: The register and results of this monitoring must be filed and available for review by
authorities.
15.79 If the facility has any designated controlled or supervised areas, have the following
measures been taken: [Royal Decree 53/1992, Article 24, 25, 26, 27 and 28]
- These areas are adequately delimited and marked in accordance with the
hazards inherent to radiation sources;
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- Only authorized persons are allowed access to controlled areas and supervised
areas, and specific procedures are adapted to the risk present in any such area;
- At the exits of any such areas where risk of contamination exists, adequate
detectors are in place;
- In controlled zones, individual dosimeters are used by workers, and if risk of
contamination exists, personal protective equipment adequate to the risk is used;
and
- In supervised zones, an estimation of the potential dose received is carried out,
and if risk of contamination exists, individual protective equipment adequate to the
risk is used?
15.80 Does the facility ensure that professionally exposed workers (workers who have received
greater than one tenth of annual dose limits specified in Table 15-4), are monitored for
external exposure at least monthly? [Royal Decree 53/1992, Article 30]
Note: Professionally exposed workers are defined as persons frequently or occasionally
subjected to a risk of ionizing radiation exceeding one tenth of annual dose limits specified
for workers (See Table 15-4).
15.81 Does the facility document all dose monitoring for any professionally exposed worker,
including individual dosimetric history? [Royal Decree 53/1992, Article 34]
15.82 If individual monitoring (of radiation) is conducted, are the results submitted to an approved
medical practitioner for interpretation? [Royal Decree 53/1992, Article 40]
15.83 If the facility has workers who are liable to be exposed, has the facility implemented a
proper medical surveillance program relative to each such worker? [Royal Decree 53/1992,
Article 41]
Note: The medical monitoring program should include a pre-employment medical
examination. The worker shall be subject to periodic reviews of health thereafter, with the
details of such reviews dependent upon the type and extent of exposure to ionizing
radiation and on the individual worker's state of health. The state of health of each worker
shall be reviewed at least once annually and more frequently if the worker's exposure
conditions or state of health so require [Royal Decree 53/1992, Article 41].
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15.84 If as a result of the medical examination a worker is classified as incapable, does the
facility ensure that this worker does not perform any activity where the risk of professional
exposure exists? [Royal Decree 53/1992, Article 44]
15.85 If the facility has workers who may be exposed to ionizing radiation, has the facility
maintained copies of appropriate records, including exposure and assessment data along
with medical surveillance data? [Royal Decree 53/1992, Article 45]
Note: All such records are to be maintained for a period of at least 30 years. This period
begins at the time of termination of the work involving exposure to ionizing radiation.
15.86 If the facility has any external workers who perform work in controlled areas, has the facility
verified compliance with the following: [Royal Decree 413/1997, Article 5]
- Before the start of work:
- the employer of the external worker is registered with the Register for
External Companies ("Registro de Empresas Externas");
- any worker is medically approved for the work assigned;
- the worker has received basic training pertaining to radiological
protection;
- provide workers with information and training specific to the work and
any work conducted in controlled areas;
- subject the worker to individual dosimetry monitoring suited to the type of
work; and
- the dosimetric data are complete and dosimetric conditions of the worker
are adequate for the nature of the job.
Note: In the absence of referred dosimetric data, conditions can be
substituted by operation dosimetry for a maximum of 90 days.
- For any work conducted, provide the worker with personal protective equipment
that must be used in the controlled area; and
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Environmental, Health
& Safety Audit Protocol
Occupational Noise
Excerpt from Singapore Protocol
14.0 OCCUPATIONAL NOISE
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an EH&S
audit or self-assessment. It may require additions, revisions, or other modifications in order to
meet the needs of facility-specific assessment objectives, industrial setting, or other special
circumstances.
Tables or Appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout Singapore.
The key laws and regulations covered in this protocol are as follows:
- Factories Act (Chapter 104), 1973, revised 1985. This Act relates to the health, safety
and welfare of persons employed in factories and other work places.
- Factories Act (Chapter 104), The Factories (Noise) Regulations, 1996. These
Regulations came into effect on January 1, 1997 and establish requirements to minimize
the exposure of employees to excessive noise.
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OCCUPATIONAL NOISE
Note: If the facility is conducting any construction on-site, the auditor should review the
Community Noise protocol (Section 7) under which control of noise at construction sites
is addressed.
General
14.1 If any facility employees are exposed to excessive noise or vibration that constitutes a
danger to their health, has the facility taken measures to reduce that noise or vibration?
[Factories Act, Section 64, The Factories (Noise) Regulations, Regulation 4]
Note: "Excessive noise" is any noise that exceeds the permissible exposure limit for
noise specified in Table 14-1 or, if the noise is at a fluctuating sound pressure level, the
equivalent sound pressure level of 85 dB(A) over an 8-hour work day.
14.2 If it is not practicable to reduce the noise, has the facility limited the duration of time
employees are exposed to the noise? [The Factories (Noise) Regulations, Regulation 4]
14.3 If the facility initiated use of new machinery, equipment or process after January 1, 1997,
did the facility ensure that such new machinery, equipment or process would not expose
employees to excessive noise unless the machinery, equipment or process incorporates
or is used in conjunction with all available means of reducing noise? [The Factories
(Noise) Regulations, Regulation 4]
14.4 If 50 or more employees are exposed or are likely to be exposed to excessive noise, has
the facility appointed a person with qualifications and experience approved by the Chief
Inspector appointed by the Commissioner of Labor (Chief Inspector) to advise facility
management on all proper noise control measures? [The Factories (Noise) Regulations,
Regulation 4]
Noise Monitoring, Hearing Protectors and Training
Note: Reference is made herein to "excessive noise". See Note to Question 14.1 for the
definition of this term.
14.5 If 10 or more employees are exposed or likely to be exposed to excessive noise, does
the facility conduct noise monitoring at least once every three years, or earlier if any
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change in machinery, equipment, process, control or other conditions has changed the
amount of noise generated? [The Factories (Noise) Regulations, Regulation 6]
14.6 If the facility is required to implement noise monitoring, has the facility conducted each of
the following? [The Factories (Noise) Regulations, Regulation 6]
- Appointed a person to conduct the noise monitoring and prepared a monitoring
report;
- Within 14 days after preparation of the report, communicated the contents of the
report to all employees exposed to excessive noise;
- Submitted a copy of the report to the Chief Inspector; and
- Kept the report available for at least 10 years.
14.7 Has the facility provided suitable hearing protectors to all employees exposed or likely to
be exposed to excessive noise? [The Factories (Noise) Regulations, Regulation 7]
14.8 Has the facility established procedures to ensure each of the following? [The Factories
(Noise) Regulations, Regulation 7]
- Hearing protectors are properly issued and maintained;
- Employees who are exposed or likely to be exposed to excessive noise levels use
hearing protectors;
- Employees who are exposed or likely to be exposed to excessive noise are
instructed in the proper use of the hearing protectors;
- Warning signs are posted at all entrances to or at the periphery of areas in which
employees will be or are likely to be exposed to excessive noise; and
- The posted warning signs clearly indicate that hearing protectors are required in
those areas.
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14.9 Has the facility implemented a training program to be attended by all employees that are
exposed or are likely to be exposed to excessive noise? [The Factories (Noise)
Regulations, Regulation 8]
14.10 Does the implemented training program address each of the following? [The Factories
(Noise) Regulations, Regulation 8]
- The relevant provisions of the Factories Act and the Factories (Noise) Regulations;
- The effects of noise on hearing;
- The purpose of hearing protectors, the advantages and disadvantages and
attenuation of various types of hearing protectors and the selection, fitting, use and
care of such hearing protectors; and
- The purpose of hearing tests and the appropriate procedures and requirements of
such tests.
Note: The training must be conducted for each exposed or potentially exposed person
every three years and, for persons commencing work after January 1, 1997, the training
must first be conducted within three months of the start of employment.
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Environmental, Health
& Safety Audit Protocol
Construction Work Site
Safety
Excerpt from Indonesia Protocol
16.0 CONSTRUCTION WORK SITE SAFETY
Facility Name:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date of Assessment: . . . . . . . . . . .
Team Members: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Under Review: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This protocol is intended as a guide for planning and conducting the general aspects of an
EH&S audit or self-assessment. It may require additions, revisions, or other modifications in
order to meet the needs of facility-specific assessment objectives, industrial setting, or other
special circumstances.
Tables or appendices referenced in the protocol are located at the end of this section. This
protocol applies to facilities located throughout Indonesia.
The key laws and regulations covered in this protocol are noted as follows:
- Decision of the Director General of Manpower Protection and Maintenance on the
Construction of Installation in the Workplace, No. KPTS-40/DP/1978, May 25, 1978.
This decision regulates the construction of electric lifts, steam boilers, gas, dust,
conductor, X-ray machines, power engines, engines, fire safety systems, and other
installations in the workplace.
- Regulation of the Minister of Manpower and Transmigration On Safety and Health
in Building Construction, No. PER.01/MEN/1980, March 6, 1980. This regulation
establishes requirements for general worker health and safety, equipment and machine
safety, and industrial health, during construction activities.
- Government Regulation of the Republic of Indonesia No. 11 Year 1979 On Labor
Safety in Oil and Natural Gas Refining and Processing, May 25, 1979. This
regulation requires a variety of health and safety procedures during the refining and
processing of petroleum products. In this protocol chapter, only the procedures that
concern construction of petroleum refining and processing facilities are examined.
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CONSTRUCTION WORK SITE SAFETY
Construction of Installations in the Workplace
Note: In this chapter, terms are defined as follows: [except where otherwise indicated, the
terms are defined by the Regulation of the Minister of Manpower and Transmigration On
Safety and Health in Building Construction, Articles 1 and 101]
- "adequate", "good", "safe", "special", "as far as", and "in such a way", shall be in
conformity with the legislative regulations in force or determined by the Director or
official appointed;
- "bearer" or "putlog" means a part of a scaffold used as a place to put down a platform
board;
- "boatswain's chair" means a scaffold in the form of a chair suspended by a cable or
rope;
- "brace" means a part of a scaffold to strengthen two different construction points in
order to prevent the shifting of the building construction of such scaffold;
- "building construction" means activities relating to all phases of work carried out in the
workplaces;
- "Director" means the Director General for the Development of Labor Relations and
Protection of Manpower;
- "installation" is an instrument network applied at workplace for distributing, carrying,
accommodating, stocking, revising, mixing, producing, protecting, preventing,
something and others that may create an accident, fire and or explosion and or
pollution at workplace; [Third point, Decision of the Director General of Manpower
Protection and Maintenance on the Construction of Installation in the Workplace]
- "ladder scaffold" means a scaffold using a ladder as a pillar to support the platform.
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- "ladder jack scaffold" means a scaffold which platform is using a jack for lifting and
lowering and is installed at the ladder;
- "scaffold" means a platform temporary built and used as a support for workers,
materials and equipment in every building construction work including the maintenance
and demolition;
- "trestle scaffold" means a scaffold supported by a trestle; and
- "window jack scaffold" means a scaffold which platform is installed at the support
placed at the opening window.
Approval and Commencement of Construction
16.1 Has every construction of an installation in the facility been approved by the Director of
the Directorate for Safety Norms, Hygiene and Health? [Decision of the Director
General of Manpower Protection and Maintenance on the Construction of Installation in
the Workplace, First point]
16.2 Has all building construction work been reported to the Director or Official appointed by
the Director? [Regulation of the Minister of Manpower and Transmigration On Safety
and Health in Building Construction, Article 2]
16.3 Each time a construction project begins, is a safety and health organization established
at the facility to oversee the project? [Regulation of the Minister of Manpower and
Transmigration On Safety and Health in Building Construction, Article 3]
Note 1: The safety and health organization shall address preventive measures against:
worker injury, fires, explosions, occupational disease, first aid include safety measures.
[Article 3, Regulation of the Minister of Manpower and Transmigration On Safety and
Health in Building Construction]
Note 2: All workers shall be informed about this safety organization. [Article 3,
Regulation of the Minister of Manpower and Transmigration On Safety and Health in
Building Construction]
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Accident Reporting
16.4 Have all accidents and dangerous occurrences been reported to the Director or Official
appointed? [Regulation of the Minister of Manpower and Transmigration On Safety
and Health in Building Construction, Article 4]
Safety Precautions
16.5 Are precautions taken to ensure that scaffolding materials, tools, materials and other
objects are not thrown, tipped, or shot down from a height where they are liable to
cause injury? [Regulation of the Minister of Manpower and Transmigration On Safety
and Health in Building Construction, Article 7]
16.6 Are all of the following that are considered dangerous fenced or provided with a solid
cover: [Regulation of the Minister of Manpower and Transmigration On Safety and
Health in Building Construction, Article 8]
- platforms;
- the open sides of all floors;
- openings in floors;
- roofs and platforms into which persons could walk;
- the open sides of stairways; and
- all excavations and holes?
16.7 Are unauthorized persons restricted from entering the workplace? [Regulation of the
Minister of Manpower and Transmigration On Safety and Health in Building
Construction, Article 10]
16.8 Does every worker or other person entering the workplace use appropriate safety
devices and protection equipment? [Regulation of the Minister of Manpower and
Transmigration On Safety and Health in Building Construction, Article 99]
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16.9 Are precautions taken to prevent danger to any person through the collapse of any part
of a building or structure? [Regulation of the Minister of Manpower and Transmigration
On Safety and Health in Building Construction, Article 11]
Scaffolds, Ramps, and Runways
16.10 Are suitable and safe scaffolds provided for all work which cannot be done safely by a
person standing on solid or permanent construction? [Regulation of the Minister of
Manpower and Transmigration On Safety and Health in Building Construction, Article
12]
Note: Scaffolds are not necessary when such work can be done safely from ladders.
16.11 Are scaffold working platforms fenced when the platforms are more than two meters
high? [Regulation of the Minister of Manpower and Transmigration On Safety and
Health in Building Construction, Article 13]
16.12 Are all gangways, ramps and runways made of sound material, good construction,
adequate strength, free from patent defects and safe for the purposes for which they
are intended? [Regulation of the Minister of Manpower and Transmigration On Safety
and Health in Building Construction, Article 14]
16.13 Is the security of suspended scaffolds tested daily before use? [Regulation of the
Minister of Manpower and Transmigration On Safety and Health in Building
Construction, Article 16]
Note 1: Suspended scaffolds shall consist of safety anchored outriggers, suspension
ropes of adequate strength and suitable boarded and fenced platform.
Note 2: Only steel wire ropes shall be used for suspended scaffolds with machine
operated platform.
16.14 Does the facility use scaffolds according to the following guidelines: [Regulation of
the Minister of Manpower and Transmigration On Safety and Health in Building
Construction, Articles 17, 18, 21, 22, and 23]
- ladders serving as uprights of ladder scaffolds must be adequately constructed
and thoroughly stayed;
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- ladder scaffolds shall be used only for light work;
- a ladder jack scaffold shall not be used for work carried out at a high level.
- trestle scaffolds shall be used only when the work is at a low height and of short
duration;
- bracket scaffolds shall be securely anchored in the wall and designed to
withstand the maximum load at the outer end of the platform;
- square scaffolds shall be built with particular care to ensure the stability of the
scaffolds; and
- window jack scaffolds shall be used only for light work of short duration and only
for working at the window opening through which the jack is placed.
- tubular metal scaffolds shall consist of uprights, ledgers, putlogs and bracing
joint by adequate fastenings and tubings shall be protected against corrosion
and other damages and be of adequate strength;
- mobile scaffolds shall be designed and used in such a way to ensure that the
scaffold shall not overturn; and
- boatswain's chairs and similar equipment shall be used a scaffolds only in
exceptional circumstances when the work cannot safely be done by other
means?
Stairs
16.15 Are the facility's stairs constructed to withstand safely the loads that they will have to
carry and be of a safe width? [Regulation of the Minister of Manpower and
Transmigration On Safety and Health in Building Construction, Article 27]
Ladders
16.16 Does the facility use ladders according to the following guidelines: [Regulation of the
Minister of Manpower and Transmigration On Safety and Health in Building
Construction, Articles 25 and 26]
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- ladders shall consist of two uprights and a number of rungs and securely
fastened to the uprights;
- ladders shall be so constructed, maintained and used in such a way to ensure
the safety of the workers;
- portable step ladders and portable trestle ladders shall not exceed 6 meters in
length and the spread between the front and back legs shall be restrained by
safe means;
- extension ladders and mechanical ladders shall not exceed 15 meters in length;
and
- fixed ladders shall be made of suitable material to withstand weather and other
conditions and shall not exceed 9 meters in length?
Lifts, Hoists, and Other Machinery
16.17 Are lifting appliances designed, installed, operated and maintained as to ensure the
safety in any lifting operation? [Regulation of the Minister of Manpower and
Transmigration On Safety and Health in Building Construction, Article 28]
16.18 Are all shafts, engines, wire ropes and platforms of all hoists designed to prevent
accidents by pinching, overloading, engine failure or the break of the hoisting rope?
[Regulation of the Minister of Manpower and Transmigration On Safety and Health in
Building Construction, Article 29]
16.19 Is all machinery equipped with safety devices to protect workers from injury and to
prevent accidental starting of the machinery? [Regulation of the Minister of Manpower
and Transmigration On Safety and Health in Building Construction, Articles 42 and 43]
Note: Safety devices shall not be removed when the machinery is running.
16.20 Is all machinery stopped for inspection and service at suitable intervals, according to
the manufacture's recommendation? [Regulation of the Minister of Manpower and
Transmigration On Safety and Health in Building Construction, Article 43]
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16.21 Are all machinery operators well-trained for their work and familiar with the safety
regulations in force for their particularly machinery? [Regulation of the Minister of
Manpower and Transmigration On Safety and Health in Building Construction, Article
44]
16.22 Is every crane designed and constructed to bear its maximum safe working load in all
positions? [Regulation of the Minister of Manpower and Transmigration On Safety and
Health in Building Construction, Article 30]
16.23 Are access restrictions in place to prevent persons from entering upon the runway
structure of travelling cranes? [Regulation of the Minister of Manpower and
Transmigration On Safety and Health in Building Construction, Article 31]
16.24 Are the following pieces of machinery provided with safety devices that secure the
machinery in a safe position: [Regulation of the Minister of Manpower and
Transmigration On Safety and Health in Building Construction, Articles 32, 33, and 35]
- monorail hoists;
- gin poles; and
- jacks?
16.25 Are precautions taken to ensure that the following equipment cannot accidentally move:
[Regulation of the Minister of Manpower and Transmigration On Safety and Health in
Building Construction, Articles 45, 46, and 48]
- power shovels;
- bulldozers;
- scrapers; and
- road rollers?
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Ropes, Chains and Accessories
16.26 Are all ropes, chains and accessories used for hoisting or lowering or as a means of
suspension of sound material and of adequate strength? [ Regulation of the Minister of
Manpower and Transmigration On Safety and Health in Building Construction, Article
36 and 41]
Note: Hooks and shackle shall equipped with effective means to ensure that the load is
not accidentally slipping off.
16.27 Are all ropes, chains and accessories used for hoisting or lowering or as a means of
suspension tested regularly to ensure that they are strong enough to withstand the safe
maximum load (with a sufficient safety factor)? [Articles 36 and 41, Regulation of the
Minister of Manpower and Transmigration On Safety and Health in Building
Construction]
Underground Construction
16.28 Are the workers prohibited from entering any underground construction unless it is
thoroughly inspected and found free from risks of falling materials, explosions, harmful
fumes, dusts, gases or radiation? [Regulation of the Minister of Manpower and
Transmigration On Safety and Health in Building Construction, Article 60]
16.29 Do all underground constructions have the following safety features: [Regulation of the
Minister of Manpower and Transmigration On Safety and Health in Building
Construction, Articles 61-65]
- adequate support of the roof and sides, wherever there is any risk of cave-ins of
falling rock;
- adequate ventilation (natural or, if necessary, mechanical ventilation);
- precautions to prevent and limit fires;
- fire fighting equipment;
- adequate lighting; and
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- emergency lighting?
16.30 If employees are working in shafts, are the following safety measures in place:
[Regulation of the Minister of Manpower and Transmigration On Safety and Health in
Building Construction, Article 61]
- fall protection;
- adequate lighting; and
- a safe means of egress (designed and constructed so that the shaft can be
evaluated in any emergency)?
16.31 Are drillers protected against the harmful effects of from dusts, fumes, gases, noises
and vibrations? [Regulation of the Minister of Manpower and Transmigration On Safety
and Health in Building Construction, Article 66]
Excavations
16.32 During every part of an excavation, are the following precautions taken: [Regulation of
the Minister of Manpower and Transmigration On Safety and Health in Building
Construction, Article 67]
- to provide worker fall protection;
- to perform the work so that there is no danger of a person being struck by earth,
rock or other materials; and
- to support the sides and walls of excavations from caving in on workers below?
Pile Driving
16.33 If pile drivers are used, are the following safety measures taken: [Regulation of the
Minister of Manpower and Transmigration On Safety and Health in Building
Construction, Article 68-71]
- regular inspections;
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- no workers who are not involved in the operation of the pile driver is allowed to
stay in the vicinity of the pile driver during any part of the operation;
- floating pile drivers shall be equipped with a safety device to ensure stability;
and
- precautions taken to prevent uncontrolled movement due to winds, currents or
other sources?
Concrete Work
16.34 During preparation and erection of concrete construction, are all practicable
precautions taken to prevent workers from being injured, including the following:
[Regulation of the Minister of Manpower and Transmigration On Safety and Health in
Building Construction, Article 73]
- protecting workers from skin contact with cement and lime;
- preventing objects and materials from falling from concrete buckets;
- installing pipes, including couplings and their supports, of adequate strength
when concrete is pumped;
- protecting setting concrete against chemicals or shocks that might decrease the
final strength;
- moving panels and slabs into position with great care;
- protecting workers against lashing when they are lifted or transported; and
- protecting workers from vibrations when operation vibrators?
Other Building Operations
16.35 When working in shafts, are the workers provided with a suitable means of protection
from falling objects? [Regulation of the Minister of Manpower and Transmigration On
Safety and Health in Building Construction, Article 79]
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16.36 Are all temporary floors and working platforms of adequate strength to support the
weight of the workers? [Regulation of the Minister of Manpower and Transmigration On
Safety and Health in Building Construction, Articles 80 and 81]
Industrial Hygiene
16.37 When using wood preservatives and painting materials, are the employees protected
against the following: [Regulation of the Minister of Manpower and Transmigration On
Safety and Health in Building Construction, Articles 83 and 87]
- skin contact;
- inhalation of harmful fumes, gases, smoke, and dust; and
- any other dangerous contact with wood preservatives and painting materials?
Note: As far as practicable no paints, varnishes and lacquers containing dangerous
pigments, dyestuffs or solvents shall be used. [Regulation of the Minister of Manpower
and Transmigration On Safety and Health in Building Construction, Article 87]
16.38 Are precautions taken to prevent stone dressers from inhaling siliceous dust?
[Regulation of the Minister of Manpower and Transmigration On Safety and Health in
Building Construction, Article 90]
16.39 When asbestos is used, are precautions taken to prevent workers from inhaling
asbestos fibers? [Regulation of the Minister of Manpower and Transmigration On
Safety and Health in Building Construction, Article 85]
Note: Asbestos shall be used only when the other less dangerous material are not
available.
Fall Protection
16.40 When employees are working on roofs, are they provided with fall protection
equipment? [Regulation of the Minister of Manpower and Transmigration On Safety
and Health in Building Construction, Article 86]
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Fire Prevention
16.41 When flammable materials are used for laying floors, facing walls or other operations,
are precautions taken to prevent the introduction of open fire, sparks and other sources
of ignition to the area? [Regulation of the Minister of Manpower and Transmigration On
Safety and Health in Building Construction, Article 84]
16.42 During welding and flame cutting, are the welder and other workers in the vicinity
protected against chips, sparks, dangerous fumes and heat? [Regulation of the
Minister of Manpower and Transmigration On Safety and Health in Building
Construction, Article 88]
Blasting and Demolition
16.43 In blasting operations, are all practicable precautions taken to ensure safety, including
the following: [Regulation of the Minister of Manpower and Transmigration On Safety
and Health in Building Construction, Article 89]
- wherever possible, blasting is performed only when as few persons as possible
are situated in the vicinity and when weather and other conditions are favorable;
- boreholes are drilled and loaded with great care to ensure the avoidance of
misfiring or accidental firing during loading;
- shots are fired without delay after loading, so as to prevent misfiring or partly
exploded shots;
- fuses are of good quality and applied so as to ensure safe firing;
- precautions are taken to prevent accidental firing when firing with electricity; and
- workers are not allowed to enter the firing area after firing unless it has been
inspected and found safe?
16.44 Before demolition operations begin, are the following actions taken: [Regulation of the
Minister of Manpower and Transmigration On Safety and Health in Building
Construction, Articles 91 and 92]
- a work plan is established;
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- all electricity, gas, water and steam service lines are shut off (as far as is
practicable); and
- all glazed parts, loose objects and projecting parts are removed?
16.45 During demolition operations, are the following procedures followed: [Regulation of the
Minister of Manpower and Transmigration On Safety and Health in Building
Construction, Articles 92, and 94 - 97]
- demolition operations are executed story-by-story commencing at the roof and
working downward;
- all practicable precautions are taken to avoid danger from collapse of the
structure (e.g., demolish structural steel work tier by tier, push down walls only if
the floor can safely support the weight);
- workers are protected against dust and flying fragments; and
- when workers are removing floors, planks of adequate strength are provided
which are independently supported?
16.46 Where workers or other persons may be exposed to the danger of being struck by
materials or objects falling from upper working levels, are catch platforms of adequate
strength provided or is the exposed area fenced off? [Regulation of the Minister of
Manpower and Transmigration On Safety and Health in Building Construction, Article
94]
16.47 When mechanical demolition equipment is being used, does the facility establish
adequate safety zones where no workers are allowed? [Regulation of the Minister of
Manpower and Transmigration On Safety and Health in Building Construction, Article
93]
Petroleum Refining and Processing Plant Construction
16.48 At least 2 (two) months prior to the start of construction work or renovation and/or
extension of a refining and processing site, has the facility conveyed the following
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information in writing to the Oil and Natural Gas Field Inspection Chief: [Regulation of
the Republic of Indonesia No. 11 Year 1979, Article 4]
- geographical location;
- blueprint of the structure and refining and processing installation;
- raw and auxiliary materials as well as refined and processed products;
- diagram process;
- fire prevention installation of permanent character, be it with water or chemical
material;
- number and specification of work-force and/or its addition; and
- other subjects deemed essential by the Oil and Natural Gas Field Inspection
Chief?
Note: In the event changes occur in its execution, the operator shall convey it in writing
to the Inspection Chief.
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