UNITED KINGDOM ESH AUDIT PROTOCOL
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United Kingdom Environment, Health & Safety
Profile and Checklist
April 2013
Prepared by
The Isosceles Group 50 Congress Street Boston, MA 02109
UNITED KINGDOM ESH AUDIT PROTOCOL
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CONTENTS
Environmental Laws and Regulations ................................................................................. 3 Occupational Health and Safety Laws and Regulations ...................................................... 5
ENVIRONMENTAL PROFILE QUESTIONS .............................................................................. 7
General Environmental Requirements ............................................................................. 8 Air Quality/Emissions ..................................................................................................... 11 Wastewater Discharges ................................................................................................. 16 Hazardous Waste Management .................................................................................... 18 External Emergency Planning ....................................................................................... 21
HEALTH AND SAFETY PROFILE QUESTIONS ..................................................................... 26
General Occupational Health and Safety Requirements ................................................ 27 Health and Safety Representatives and Committees ..................................................... 32 Worker Right-to-Know/Hazard Communication ............................................................. 35 Employee Medical and Well-Being Requirements ......................................................... 36 Work Environments and Controls .................................................................................. 38 Machinery, Equipment and Controls .............................................................................. 41 Industrial Hygiene and Exposure Limits ......................................................................... 43 Internal Emergency Response Requirements................................................................ 46
ATTACHMENT A – Air Quality Limit Values ......................................................................... 49
ATTACHMENT B – Hazardous Waste Substances and Properties ..................................... 50
ATTACHMENT C – Disposal of Polychlorinated Biphenyls (PCBs) ................................... 51
ATTACHMENT D – Minimum Requirements under Directive 90/270/EEC for Display
Screens ................................................................................................................................... 52
ATTACHMENT E – Requirements Associated with Representatives of Employee Safety 53
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Environmental Laws and Regulations
Applicable United Kingdom environmental laws and regulations are presented in Table 1.
These regulations are available online at the following web sites:
• National Archives: http://www.legislation.gov.uk/all?theme=environment.
• Defra’s Environment Section: http://www.defra.gov.uk/environment/.
Table 1
United Kingdom Environmental Legislation
Topic Area and Legislation Title Promulgated
General Environmental
• Environmental Protection Agency, 1990 1990
Environment Act, 1995 1995
Town and Country Planning (Environmental Impact Assessment)
(England and Wales) Regulations, 1999, as amended 1999
Environmental Permitting (England and Wales) Regulations, 2010 2010
Environmental Permitting (England and Wales) (Amendment)
Regulations, 2010 2010
Air Quality
Dark Smoke (Permitted Periods) Regulations, 1958 1958
Clean Air (Emission of Dark Smoke) (Exemption) Regulations, 1969 1969
Clean Air Act, 1993 1993
Sulphur Content of Liquid Fuels (England and Wales) Regulations, 2007 2007
Smoke Control Areas (Authorised Fuels) (England) Regulations, 2008 as
amended 2008
Air Quality Standards Regulations, 2010 2010
Water and Wastewater
Trade Effluents (Prescribed Processes and Substances) Regulations,
1989 1989
Trade Effluents (Prescribed Processes and Substances) (Amendment)
Regulations, 1990 1990
Water Industry Act, 1991 1991
Water Resources Act, 1991 1991
Trade Effluents (Prescribed processes and Substances) Regulations,
1992 1992
Urban Waste Water Treatment (England and Wales) Regulations, 1994 1994
Water Industry Act, 1999 1999
Urban Waste Water Treatment (England and Wales) (Amendment)
Regulations, 2003 2003
Water Act, 2003 and its predecessors (1989, 1983, and 1973) 2003
Water Environment (Water Framework Directive) (England and Wales)
Regulations, 2003 2003
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Topic Area and Legislation Title Promulgated
Hazardous and Non-Hazardous Waste Handling and Disposal
Controlled Waste Regulations, 1992 1992
Hazardous Waste (England and Wales) Regulations, 2005 2005
List of Waste (England) Regulations, 2005 2005
Waste Management (England and Wales) Regulations 2006 2006
Hazardous Waste (England and Wales) (Amendment) Regulations 2009 2009
Waste (England and Wales) Regulations, 2011 2011
Chemical Substance Management and Control
Planning (Hazardous Substances) Act 1990 1990
Planning (Hazardous Substances) Regulations 1992 1992
Radioactive Substances Act, 1993 1993
Planning (Control of Major-Accident Hazards) Regulations 1999 1999
Environmental Protection (Disposal of Polychlorinated Biphenyls and
other Dangerous Substances) (England and Wales) Regulations, 2000 2000
Control of Asbestos Regulations, 2006 2006
Waste Electrical and Electronic Equipment Regulations, 2006 2006
Waste Electrical and Electronic Equipment (Waste Management
Licensing) (England and Wales) (Amendment) Regulations, 2007 2007
Waste Electrical and Electronic Equipment (Amendment) Regulations,
2007 2007
Batteries and Accumulators (Placing on the Market) Regulations, 2008 2008
REACH Enforcement Regulations, 2008 2008
Restriction of the Use of Certain Hazardous Substances in Electrical and
Electronic Equipment Regulations, 2008 2008
Restriction of the Use of Certain Hazardous Substances in Electrical and
Electronic Equipment (Amendment) Regulations, 2009 2009
Waste Batteries and Accumulators Regulations, 2009 2009
Ozone-Depleting Substances (Qualifications) Regulations, 2009 2009
Waste Electrical and Electronic Equipment (Amendment) Regulations,
2009 2009
Waste Electrical and Electronic Equipment (Amendment) (No.2)
Regulations, 2009 2009
Waste Electrical and Electronic Equipment (Amendment) Regulations,
2010 2010
Environmental Protection (Controls on Ozone-Depleting Substances)
Regulations, 2011 2011
Environmental Noise
Control of Pollution Act, 1974 1974
Noise and Statutory Nuisance Act, 1993 1993
Noise Act, 1996 1996
Cleaner Neighbourhoods and Environment Act, 2005 2005
Environmental Noise (England) Regulations, 2006 2006
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Topic Area and Legislation Title Promulgated
Environmental Noise (England)(Amendment) Regulations, 2008 2008
Environmental Noise (England) (Amendment) Regulations, 2009 2009
Environmental Noise (England) (Amendment) Regulations, 2010 2010
Remediation
Contaminated Land (England) Regulations, 2006 2006
Circular 01/2006 on Contaminated Land 2006
Environmental Damage (Prevention and Remediation) Regulations, 2009 2009
External Emergencies
Control of Major Accident Hazards Regulations, 1999 2005
Control of Major Accident Hazards (Amendment) Regulations, 2005 2005
Control of Major Accident Hazards (Amendment) Regulations, 2008 2008
Control of Major Accident Hazards (Amendment) Regulations, 2009 2009
Occupational Health and Safety Laws and Regulations
A listing of applicable United Kingdom health and safety laws and regulations is presented in
Table 2. The regulations can be accessed online at the following websites:
Table 2
United Kingdom Occupational Health and Safety Legislation
Topic Area and Legislation Title Promulgated
General
Health and Safety at Work etc. Act 1974, as amended 1974
Employers’ Health and Safety Policy Statements (Exception)
Regulations, 1975 1975
Reporting of Injuries, Diseases and Dangerous Occurrences Regulations,
1995 (RIDDOR) 1995
Management of Health and Safety at Work Regulations 1999 1999
Management of Health and Safety at Work (Amendment) Regulations
2006 2006
Health and Safety Representatives and Committees
The Safety Representatives and Safety Committees Regulations 1977
(as amended) 1977
The Health and Safety (Consultation with Employees) Regulations 1996
(as amended) 1996
Worker Right-To-Know
The Health and Safety Information for Employees Regulations, 1989 1989
Health and Safety (Training for Employment) Regulations, 1990 1990
Health and Safety (Safety Signs and Signals) Regulations, 1996 1996
Employee Medical and Well-Being
The Health and Safety (First-Aid) Regulations 1981 1981
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Topic Area and Legislation Title Promulgated
Work Environments
Workplace (Health, Safety and Welfare) Regulations, 1992 1992
The Confined Spaces Regulations, 1997 1997
Machinery and Equipment
Lifting Operations and Lifting Equipment Regulations, 1998 1998
Electrical Safety
Electricity at Work Regulations, 1989 1989
Industrial Hygiene
Control of Substances hazardous to Health Regulations, 2002, as
amended 2002
Control of Noise at Work Regulations, 2005 2005
Regulation No. 2739 on the Control of Asbestos Regulations, 2006 2006
Personal Protective Equipment
The Personal Protective Equipment at Work Regulations 1992 1992
Internal Emergency and Fire Prevention and Safety
Fire Safety and Safety of Places of Sport Act, 1987 1987
Fire Precautions (Factories, Offices, Shops and Railway Premises)
Order, 1989 1989
Fire Precautions (Workplace) Regulations, 1997 1997
Management of Health and Safety at Work Regulations, 1999 1999
Fire Precautions (Workplace) (Amendment) Regulations, 1999 1999
Management of Health and Safety at Work and Fire Precautions
(Workplace) (Amendment) Regulations, 2003 2003
Ergonomics
The Health and Safety (Display Screen Equipment) Regulations 1992 1992
Manual Handling Operations Regulations, 1992 1992
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ENVIRONMENTAL PROFILE QUESTIONS
Questions for this Profile were based on the various laws and regulations presented earlier that
were readily available and translated. Questions were categorized under one or more of the
following titles:
• General Environmental Requirements.
• Air Quality/ Emissions.
• Wastewater Discharges.
• Water Resources.
• Hazardous Waste Management.
• Solid (Non-Hazardous) Waste Management.
• Radioactive Materials Handling and Disposal.
• Hazardous/ Dangerous Substances Compliance Programs.
• Environmental Noise.
• Tank Storage Management.
• Remediation.
• Property Transactions/ Due Diligence.
• External Emergency Planning.
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General Environmental Requirements
No. General Environmental Requirements Checklist Questions Regulatory
Citation
1.1 Does the facility carry out any of the following or other
“prescribed processes” and if so, has it obtained approval
(permit) of such activity prior to its initiation?
• Carbonization and associated processes;
• Gasification and associated processes;
• Combustion processes (where the net rated thermal input is not less than 0.4 megawatts);
• Petroleum processes;
• Iron and steel;
• Non-ferrous metals;
• Smelting processes;
• Cement and lime manufacture and associated processes;
• Processes involving asbestos;
• Other mineral fibers;
• Other mineral processes;
• Glass manufacture and production;
• Ceramic production;
• Petrochemical processes;
• The manufacture and use of organic chemicals;
• Acid processes;
• Processes involving halogens;
• Inorganic chemical processes;
• Chemical fertilizer production;
• Pesticide production;
• Pharmaceutical production;
• The storage of chemicals in bulk;
• Incineration of wastes;
• Recovery processes;
• The production of fuel from waste;
• Paper and pulp manufacturing processes;
• Di-isocyanale processes;
• Tar and bitumen processes;
• Processes involving uranium;
• Coating processes and printing;
• The manufacture of dyestuffs, printing ink and coating materials;
Environmental Protection
Act, 1990, Art. 6
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• Timber processes;
• Processes involving rubber; and
• The treatment and processing of animal or vegetable matter.
Regulatory Note - The details of each of these activities and to
what extent they are “prescribed” is listed in detail in the
following regulations and its amendments:
• The Environmental Protection (Prescribed Processes and Substances) Regulations 1991;
• The Environmental Protection (Prescribed Processes and Substances) (Amendment) Regulations 1992;
• The Environmental Protection (Prescribed Processes and Substances) (Amendment) Regulations 1993;
• The Environmental Protection (Prescribed Processes and Substances) (Amendment) (No. 2) Regulations 1993;
• The Environmental Protection (Prescribed Processes and Substances Etc.) (Amendment) Regulations 1994;
• The Environmental Protection (Prescribed Processes and Substances Etc.) (Amendment) (No. 2) Regulations 1994;
• The Environmental Protection (Prescribed Processes and Substances) (Amendment) Regulations 1995;
• The Environmental Protection (Prescribed Processes and Substances Etc.) (Amendment) (Petrol Vapour Recovery) Regulations 1996; and
• The Environmental Protection (Prescribed Processes and Substances) (Amendment) (Hazardous Waste Incineration) Regulations 1998.
These are accessible from the National Archives legislation.gov
website at:
http://www.legislation.gov.uk/all?title=prescribed%20process.
1.2 If the facility has any “prescribed processes” and a permit for
such activities, were there any “conditions” outlined in the permit
and have they all been implemented as requested?
Environmental Protection
Act, 1990, Art. 7
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1.3 Has the facility had an environmental impact assessment (EIA)
performed on it prior to initiation of operation and had it
approved by the authorities, and if so, did the approval contain
any additional requirements and were they implemented?
Town and Country
Planning (Environmental
Impact Assessment)
(England and Wales)
Regulations
1.4 If the facility has not had an EIA performed, does it fit any of the
business activities listed in Schedules 1 or 2 of this regulation,
and if so, has it made a determination that it does not require an
EIA, either through a separate exemption from the authorities or
through other environmental permits, etc.?
The Schedules due to size and formats could not be included in
this report, but are available online at:
http://www.legislation.gov.uk/uksi/1999/293/made.
Town and Country
Planning (Environmental
Impact Assessment)
(England and Wales)
Regulations
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Air Quality/Emissions
No. Air Quality/Emissions Requirements Checklist Questions Regulatory
Citation
1.5 If the facility has any smoke stacks that are being used, does
the facility limit the emission of dark smoke to not longer than 10
minutes in the aggregate in any period of 8 hours; or, if soot-
blowing is carried out within any such period, for not longer than
14 minutes in the aggregate in that period?
Regulatory Note - These limits of 10 minutes and 14 minutes
shall be increased in the case of a chimney serving 2 furnaces
to 18 minutes and 25 minutes respectively, in the case of a
chimney serving 3 furnaces to 24 minutes and 34 minutes
respectively, and in the case of a chimney serving 4 or more
furnaces to 29 minutes and 41 minutes respectively.
Exemptions: The rules for dark smoke and smoke control
areas in this and following questions does not apply to any
process which is a “prescribed process” under the
Environmental Protection Act, 1990, from the date which the
determination for that process is made.
Dark Smoke (Permitted
Periods) Regulations,
1958, Art. 3
1.6 If emitting dark smoke, does the facility prevent the continuous
emission of dark smoke, caused otherwise than by soot-blowing,
for a period exceeding 4 minutes; or the emission of black
smoke for more than 2 minutes in the aggregate in any period of
30 minutes?
Regulatory Note - The Clean Air (Emission of Dark Smoke)
(Exemption) Regulations, 1969, allows for the emitting of dark
smoke caused by the burning of any matter prescribed in
column (1) of Schedule 1 (see charts below), if the facility
complies with the conditions specified in column (2) against that
matter, be exempted from section 1(1) of the Clean Air Act
(which prohibits the emission of dark smoke from industrial or
trade premises).
Dark Smoke (Permitted
Periods) Regulations,
1958, Art. 4
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No. Air Quality/Emissions Requirements Checklist Questions Regulatory
Citation
1.7 Does the facility prohibit or prevent the emission of dark smoke
from its operation through any chimney, including those served
by a furnace of any fixed boiler or industrial plant, unless
authorized by permit or by exemption under another regulation?
Regulatory Note – In this Act “dark smoke” means smoke
which, if compared in the appropriate manner with a chart of the
M1type known on July 5, 1956 (the date of the passing of the
Clean Air Act 1956) as the Ringelmann Chart, would appear to
be as dark as or darker than shade 2 on the chart.
Clean Air Act, 1993, Art. 1
1.8 Does the facility prohibit or prevent the emission of dark smoke
from any industrial or trade premises for any reason unless
authorized by permit or by exemption under another regulation?
Clean Air Act, 1993, Art. 2
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No. Air Quality/Emissions Requirements Checklist Questions Regulatory
Citation
1.9 If the facility has a furnace, does it prevent it from being used for
the following if in a building, unless exempted by the local
authority?
• To burn pulverized fuel; or
• To burn, at a rate of 45.4 kilograms or more an hour, any other solid matter; or
• To burn, at a rate equivalent to 366.4 kilowatts or more, any liquid or gaseous matter, unless the furnace is provided with plant for arresting grit and dust which has been approved by the local authority or which has been installed in accordance with plans and specifications submitted to and approved by the local authority, and that plant is properly maintained and used.
Clean Air Act, 1993, Art. 6
1.10 If the facility has a furnace served by a chimney, or has a fixed
boiler or industrial plant, does it ensure that does not knowingly
cause or permit a furnace to be used in the building for the
following?
• To burn pulverized fuel; or
• To burn, at a rate of 45.4 kilograms or more an hour, any other solid matter; or
• To burn, at a rate equivalent to 366.4 kilowatts or more, any liquid or gaseous matter, any liquid or gaseous matter, unless the height of the chimney serving the furnace has been approved for the purposes of this section and any conditions subject to which the approval was granted are complied with.
Clean Air Act, 1993, Art.
14
1.11 If the facility has a chimney for emitting smoke and other air
emissions from a furnace, boiler, or other industrial plant has it
sought out and obtained an approval of the chimney’s height
from the local authority?
Clean Air Act, 1993, Art.
15
1.12 If the facility ha other chimneys other than one serving a
furnace, for carrying smoke, grit, dust, or gases from the
building, has it obtained approval from the local authority for that
chimney prior to its use?
Clean Air Act, 1993, Art.
16
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No. Air Quality/Emissions Requirements Checklist Questions Regulatory
Citation
1.13 Does the facility know if it is located in a designated “smoke
control area” and if it is, does it ensure that no smoke, grit, dust,
or gases from its operations are emitted, unless otherwise
exempted or allowed by permit?
Clean Air Act, 1993, Art.
19
1.14 Does the facility only use authorized fuels if located in a
designated “smoke control area,” unless otherwise exempted or
allowed by permit?
Regulatory Note - Authorized fuels are designated by
regulations by area (e.g., the Smoke Control Areas
(Authorised Fuels) (England) (Amendment) Regulations,
2010). A complete list of authorized fuels is updated and
available online at:
http://smokecontrol.defra.gov.uk/fuels.php.
Clean Air Act, 1993, Art.
23
1.15 If the facility produces energy or steam onsite and it has a
generator, furnace, or boiler with a rated thermal input above the
threshold levels (see below), does the facility have a permit (or
approval) from the Environment Agency or the local authority?
Regulatory Note - A facility needs a Part A (1) environmental
permit for:
• Appliances with an aggregated rated thermal input of 50 megawatts (MW) or more
• Appliances burning waste oil, recovered oil or any fuel manufactured from waste, with a rated thermal input of 3 to 50MW - unless it is part of a Part A (2) or Part B activity.
A facility needs a Part B environmental permit for:
• Appliances with a rated thermal input of 20 to 50MW
• Appliances burning waste excluded from the Waste Incineration Directive (WID) with a rated thermal input of 0.4 to 3MW.
Part A (1) is regulated by the Environment Agency and Part B by
the local authority.
Environmental Protection
Act, 1990, Art. 6,
and
Environmental Permitting
(England and Wales)
Regulations 2010,
Schedule 1
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No. Air Quality/Emissions Requirements Checklist Questions Regulatory
Citation
1.16 If the facility plans to install and use a new furnace in a building,
fixed boiler, or industrial plant, or if the facility plans to make
changes to an existing furnace, has the facility obtained
approval of the furnace plans and specifications from the local
authority prior to implementation?
Local Authority Rules
1.17 Does the facility not use any heavy fuel oil which has a sulfur
content exceeding 1%?
Regulatory Note - This requirement shall not apply to the use
of heavy fuel oil in the following circumstances:
(a) In a new plant which is operated in accordance with a permit which contains a condition that emission limit values for sulfur dioxide are at least as stringent as those set out for such plant in Annex IV to Directive 2001/80/EC of the European Parliament and of the Council on the limitation of emissions of certain pollutants into the air from large combustion plants;
(b) In an existing plant which:
(i) Until December 31, 2007, is operated in accordance with a permit which contains a condition which prohibits the emissions of sulfur dioxide from the plant exceeding 1,700 mg/Nm3 at an oxygen content in the flue gas of 3% by volume on a dry basis; or
(ii) On or after January 1, 2008, is operated in accordance with a permit which contains a condition that emission limit values for sulfur dioxide are at least as stringent as those set out for new plants in Part A of Annex IV to Directive 2001/80/EC;
(c) In a combustion plant, other than a new or existing plant to which sub-paragraphs (a) or (b) apply, which is operated in accordance with a permit which contains a condition which prohibits the emissions of sulfur dioxide from the plant exceeding 1,700 mg/Nm3 at an oxygen content in the flue gas of 3% by volume on a dry basis; or
(d) In combustion plants forming part of a refinery other than:
(i) A new plant to which paragraph (a) applies; or
(ii) An existing plant to which sub-paragraph (b)(ii) applies; and
(e) Where the combustion plants are operated in accordance with a permit which contains a condition that their monthly average of emissions of sulfur dioxide averaged over all plants in the refinery, irrespective of the fuel or fuel
Sulphur Content of Liquid
Fuels (England and
Wales) Regulations 2007,
Art. 4
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No. Air Quality/Emissions Requirements Checklist Questions Regulatory
Citation
combination used, does not exceed 1,700 mg/Nm3.
Regulatory Note - Schedule 1 (sulfur content of liquid fuels
permits) has effect for this requirement (at link below):
http://www.legislation.gov.uk/uksi/2007/79/made.
Wastewater Discharges
No. Wastewater Discharge Requirements
Checklist Questions
Regulatory
Citation
1.18 Does the facility generate any wastewater discharges other than
normal sanitary sewerage discharges, and if so, are they
included in any operating environmental permit or local
sewerage authority’s requirements?
1.19 If the facility has any wastewater discharges with any of the
following substances (Schedule 1) at a concentration greater
than the background concentration or a trade effluent deriving
from a process of a description mentioned in Schedule 2 where
either asbestos or chloroform would be present in the effluent in
a concentration greater than the background concentration, has
it obtained prior consent for such discharges and if so are there
any restrictions or discharge limits that apply and are they met?
Schedule 1 substances are:
• Mercury and its compounds;
• Cadmium and its compounds;
• gamma-Hexachlorocyclohexane;
• DDT;
• Pentachlorophenol and its compounds;
• Hexachlorobenzene;
• Hexachlorobutadiene;
• Aldrin;
• Dieldrin;
Trade Effluents
(Prescribed Processes
and Substances)
Regulations, 1989, Art. 3
& 4, as amended in 1990
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No. Wastewater Discharge Requirements
Checklist Questions
Regulatory
Citation
• Endrin;
• Carbon Tetrachloride;
• Polychlorinated Biphenyls;
• Dichlorvos;
• 1, 2-Dichloroethane;
• Trichlorobenzene;
• Atrazine;
• Simazine;
• Tributyltin compounds;
• Triphenyltin compounds;
• Trifluralin;
• Fenitrothion;
• Azinphos-methyl;
• Malathion; and
• Endosulfan.
Schedule 2 processes are:
• Any process for the production of chlorinated organic chemicals;
• Any process for the manufacture of paper pulp;
• Any process for the manufacture of asbestos cement;
• Any process for the manufacture of asbestos paper or board; and
• Any industrial process involving the use in any 12 month period of more than 100 kilograms of the product resulting from the crushing of asbestos ore.
1.20 If the facility generates wastewater (either as sanitary and/or
trade effluent) are they only discharged to the local sewerage
system with the consent of the local sewerage operator’s
consent?
Water Industry Act 1991,
Art. 118
1.21 Does the facility ensure that all discharges of any effluent into a
public sewer are only accomplished by means of a drain or
sewer?
Water Industry Act 1991,
Art. 118
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Hazardous Waste Management
No. Hazardous Waste Management Checklist Questions Regulatory
Citation
1.22 Does the facility prohibit the depositing of controlled waste or
extractive waste, or knowingly cause or knowingly permit
controlled or extractive waste to be deposited in or on any land
unless an environmental permit authorizing the deposit is in
force and the deposit is in accordance with the license?
Regulatory Note - “Controlled waste” means household,
industrial and commercial waste or any such waste.
The above requirement does not apply in relation to a waste
operation that is an exempt waste operation, and does not apply
in relation to the carrying on of any of the following activities:
• The disposal of liquid waste under a consent under Chapter 2 of Part 3 of the Water Resources Act 1991;
• A waste operation which is or forms part of an operation which:
─ Is the subject of a license under Part 2 of the Food and Environment Protection Act 1985; or
─ By virtue of an order under section 7 of that Act, does not require such a license; and
• The disposal of agricultural waste in or on land under an authorization under regulation 18 of the Groundwater Regulations 1998.
Environmental Protection
Act, 1990, Art. 33
1.23 Does the facility prohibit the submitting of a controlled waste, or
knowingly cause or knowingly permit controlled waste to be
submitted, to any listed operation (other than an operation within
the meaning of the previous question) that is carried out in or on
any land, or by means of any mobile plant, and is not carried out
under and in accordance with an environmental permit?
Regulatory Note - The above requirement does not apply in
relation to a waste operation that is an exempt waste operation,
and does not apply in relation to the carrying on of any of the
following activities:
• The disposal of liquid waste under a consent under Chapter 2 of Part 3 of the Water Resources Act 1991;
• A waste operation which is or forms part of an operation which:
─ Is the subject of a license under Part 2 of the Food and Environment Protection Act 1985; or
Environmental Protection
Act, 1990, Art. 33
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No. Hazardous Waste Management Checklist Questions Regulatory
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─ By virtue of an order under section 7 of that Act, does not require such a license; and
• The disposal of agricultural waste in or on land under an authorization under regulation 18 of the Groundwater Regulations 1998.
1.24 Does the facility prohibit the treating, keeping, or disposing of
controlled waste or extractive waste in a manner likely to cause
pollution of the environment or harm to human health?
Regulatory Note - The above requirement does not apply in
relation to a waste operation that is an exempt waste operation,
and does not apply in relation to the carrying on of any of the
following activities:
• The disposal of liquid waste under a consent under Chapter 2 of Part 3 of the Water Resources Act 1991;
• A waste operation which is or forms part of an operation which:
─ Is the subject of a license under Part 2 of the Food and Environment Protection Act 1985; or
─ By virtue of an order under section 7 of that Act, does not require such a license; and
• The disposal of agricultural waste in or on land under an authorization under regulation 18 of the Groundwater Regulations 1998.
Environmental Protection
Act, 1990, Art. 33
1.25 Does the facility if it imports, produces, carries, keeps, treats, or
disposes of controlled waste or, as a broker, has control of such
waste, take all such measures applicable to them in that
capacity as are reasonable in the circumstances as follows?
• Prevent any contravention by any other person of the requirements to article 33 as provided the aforementioned questions;
• Prevent any contravention by any other person of regulation 6 of the Pollution Prevention and Control (Scotland)
Regulations 2000 or of a condition of a permit granted under regulation 7 of those Regulations;
• Prevent any contravention by any other person of regulation 9 of the Pollution Prevention and Control (England and Wales) Regulations 2000 or of a condition of a permit granted under regulation 10 of those Regulations;
Environmental Protection
Act, 1990, Art. 34
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No. Hazardous Waste Management Checklist Questions Regulatory
Citation
• Prevent the escape of the waste from his control or that of any other person; and
• On the transfer of the waste, to secure:
─ That the transfer is only to an authorized person or to a person for authorized transport purposes; and
─ That there is transferred such a written description of the waste as will enable other persons to avoid a contravention of that section or any condition of a permit granted under regulation 7 of those Regulations or any condition of a permit granted under regulation 10 of those regulations] and to comply with the duty under this subsection as respects the escape of waste.
1.26 Does the facility have any substances (as waste) as listed in
Schedules 1 through 3 of this regulation or is listed in the List of
Waste (England) Regulations, 2005 that would make this
facility a generator of hazardous wastes and therefore subject to
these regulations?
Regulatory Note - The Schedules are included in this report as
Attachment B. The list of wastes is too large to include in this
report, but is available online at:
http://www.legislation.gov.uk/uksi/2005/895/made.
Hazardous Waste
(England and Wales)
Regulations 2005, Art. 3 &
6
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External Emergency Planning
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1.27 Does the facility have any dangerous substances listed in
column 1 of Parts 2 or 3 of Schedule 1 present in a quantity
equal to or exceeding the quantity listed in the entry for that
substance in column 2 of those Parts, and if so, then the
requirements of these regulations apply, except that regulations
7 to 14 (requiring safety reports and emergency plans) shall only
apply to an establishment where such a dangerous substance is
present in a quantity equal to or exceeding the quantity listed in
the entry for that substance in column 3 of those Parts?
Regulatory Note – The presence of dangerous substances
shall not include the presence of dangerous substances in the
following activities:
(a) The transport of those substances and their intermediate
temporary storage by road, rail, inland waterways, sea or air,
including their loading and unloading and transport to and from
another means of transport at docks, wharves and marshalling
yards; or
(b) The transport of those substances in a pipeline or pumping
station.
Schedule 1 is available at:
http://www.legislation.gov.uk/uksi/2005/1088/schedule/1/made.
Control of Major Accident
Hazards (Amendment)
Regulations, 1999, Art. 3
1.28 Does the facility take all measures necessary to prevent major
accidents and limit their consequences for persons and the
environment?
Control of Major Accident
Hazards (Amendment)
Regulations, 1999, Art. 4
1.29 Does the facility without delay but at all events within 3 months
after the establishment becomes subject to this regulation
prepare, and thereafter keep, a document setting out its policy
with respect to the prevention of major accidents (in these
regulations referred to as a “major accident prevention policy
document”), and implement such policy?
Control of Major Accident
Hazards (Amendment)
Regulations, 1999, Art. 5
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Regulatory Note – The policy referred to in this question shall
be designed to guarantee a high level of protection for persons
and the environment by appropriate means, structures and
management systems.
1.30 Does the major accident prevention policy document take
account of the principles specified in paragraphs 1 and 2 of
Schedule 2 (listed below) and include sufficient particulars to
demonstrate that the operator has established a safety
management system which takes account of the principles
specified in paragraphs 3 and 4 of that Schedule?
Regulatory Note – Schedule 2 references:
2. For the purpose of implementing the operator’s major accident prevention policy and safety management system account shall be taken of the following elements. The requirements laid down in the major accident prevention policy document should be proportionate to the major accident hazards presented by the establishment.2. The major accident prevention policy should be established in writing and should include the operator’s overall aims and principles of action with respect to the control of major accident hazards.
3. The safety management system should include the part of the general management system which includes the organizational structure, responsibilities, practices, procedures, processes and resources for determining and implementing the major accident prevention policy.
4. The following issues shall be addressed by the safety management system:
a. Organization and personnel—the roles and responsibilities of personnel involved in the management of major hazards at all levels in the organization. The identification of training needs of such personnel and the provision of the training so identified. The involvement of employees and, where appropriate, sub-contractors;
b. Identification and evaluation of major hazards—adoption and implementation of procedures for systematically identifying major hazards arising from normal and abnormal operation and the assessment of their likelihood and severity;
c. Operational control—adoption and implementation of procedures and instructions for safe operation, including maintenance of plant, processes, equipment and
Control of Major Accident
Hazards (Amendment)
Regulations, 1999, Art. 5
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temporary stoppages;
d. Management of change—adoption and implementation of procedures for planning modifications to, or the design of new installations, processes or storage facilities;
e. Planning for emergencies—adoption and implementation of procedures to identify foreseeable emergencies by systematic analysis and to prepare, test and review emergency plans to respond to such emergencies;
f. Monitoring performance—adoption and implementation of procedures for the on-going assessment of compliance with the objectives set by the operator’s major accident prevention policy and safety management system, and the mechanisms for investigation and taking corrective action in the case of non-compliance. The procedures should cover the operator’s system for reporting major accidents or near misses, particularly those involving failure of protective measures, and their investigation and follow-up on the basis of lessons learnt; and
g. Audit and review—adoption and implementation of procedures for periodic systematic assessment of the major accident prevention policy and the effectiveness and suitability of the safety management system; the documented review of performance of the policy and safety management system and its updating by senior management.
1.31 In the event of the modification of the establishment or
installation, the process carried on there, or the nature or
quantity of dangerous substances present there which could (in
each case) have significant repercussions with respect to the
prevention of major accidents, has the facility reviewed and
where necessary revise the major accident prevention policy
document?
Control of Major Accident
Hazards (Amendment)
Regulations, 1999, Art. 5
1.32 Does the facility notify the competent authority of the information
specified in Schedule 3 and listed below within a reasonable
period of time prior to the start of the operation of an
establishment or prior to the start of construction of an
operation?
• Name and address of the operator;
• Address of the establishment concerned;
Control of Major Accident
Hazards (Amendment)
Regulations, 1999, Art. 6
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• Name or position of the person in charge of the establishment;
• Information sufficient to identify the dangerous substances or category of dangerous substances present;
• Quantity and physical form of the dangerous substances present;
• Description of the activity or proposed activity of the installation concerned;
• Details of the elements of the immediate environment liable to cause a major accident or to aggravate the consequences thereof.
Regulatory Note – A facility in operation by February 3, 2000
shall send to the competent authority a notification containing
the information specified in Schedule 3, unless already
contained (and still valid) in a prior notification.
Where these time requirements do not apply, the operator of the
establishment shall send to the competent authority a
notification containing the information specified in Schedule 3
within 3 months after the establishment becomes subject to this
regulation.
1.33 Does the facility notify the competent authority forthwith in the
event of any of the following conditions?
• There being any significant increase in the quantity of dangerous substances notified:
─ Under this regulation, or
─ In the report referred to in aforementioned questions;
• There being any significant change in:
─ The nature or physical form of the dangerous substances so notified,
─ The processes employing them, or
─ Any other information notified to the competent authority under this regulation in respect of the establishment;
• Modification of the establishment or an installation which could have significant repercussions with respect to the prevention of major accidents;
• Regulation 7 ceasing to apply (i.e., quantities of substances are no longer below column 3 of Schedule 1 thereby
Control of Major Accident
Hazards (Amendment)
Regulations, 1999, Art. 6
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requiring a safety report) to the establishment by virtue of a change in the quantity of dangerous substances present there; or
• Permanent closure of an installation in the establishment.
1.34 Does the facility have dangerous substances present in a
quantity equal to or exceeding the quantity listed in the entry for
that substance in column 3 of Schedule 1?
Regulatory Note – When exceeding column 3 quantities, the
facility must comply with articles (aka regulations) 7 to 14
(requiring safety reports and emergency plans) of these
Regulations.
Schedule 1 is available online at:
http://www.legislation.gov.uk/uksi/2005/1088/schedule/1/made.
Control of Major Accident
Hazards (Amendment)
Regulations, 1999, Art. 3
1.35 Has the facility sent a “safety report” to the competent authority
containing specified information (listed below), to revise that
report in specified circumstances, and not to start the
construction or operation of the establishment until it has
received from the competent authority the conclusions of its
examination of the report?
Explanatory Note – The safety report shall contain information
which is sufficient for the purpose specified in paragraph 3(a) of
Part 1 of Schedule 4 and comprising at least such of the
information specified in Part 2 of that Schedule as is relevant for
that purpose. Schedule 4 is available online at:
http://www.legislation.gov.uk/uksi/2005/1088/schedule/1/made.
Regulatory Note – This regulation applies when the facility has
dangerous substances present in a quantity equal to or
exceeding the quantity listed in the entry for that substance in
column 3 of Schedule 1, available online at:
http://www.legislation.gov.uk/uksi/2005/1088/schedule/1/made.
Control of Major Accident
Hazards (Amendment)
Regulations, 1999, Art. 7
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HEALTH AND SAFETY PROFILE QUESTIONS
Questions for this Profile were based on the various laws and regulations presented
earlier that were readily available and translated. Questions were categorized under one
of the following titles:
• General Occupational Health and Safety Requirements.
• Health and Safety Representatives and Committees.
• Worker Right-to-Know/Hazard Communication.
• Employee Medical and Well-Being Requirements.
• Work Environment and Controls.
• Machinery, Equipment, and Controls.
• Electrical Safety.
• Chemical and Substance Management.
• Industrial Hygiene and Exposure Limits.
• Personal Protection Equipment.
• Internal Emergency Response Requirements.
• Ergonomics and Work Organization.
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General Occupational Health and Safety Requirements
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2.1 Does the facility ensure, so far as is reasonably practicable, the
health, safety and welfare at work of all his employees and in
particular the following actions?
• The provision and maintenance of plant and systems of work that are, so far as is reasonably practicable, safe and without risks to health;
• Arrangements for ensuring, so far as is reasonably practicable, safety and absence of risks to health in connection with the use, handling, storage and transport of articles and substances;
• The provision of such information, instruction, training and supervision as is necessary to ensure, so far as is reasonably practicable, the health and safety at work of his employees;
• So far as is reasonably practicable as regards any place of work under the employer’s control, the maintenance of it in a condition that is safe and without risks to health and the provision and maintenance of means of access to and egress from it that are safe and without such risks; and
• The provision and maintenance of a working environment for his employees that is, so far as is reasonably practicable, safe, without risks to health, and adequate as regards facilities and arrangements for their welfare at work.
Health and Safety at Work
etc. Act 1974, as
amended, Art. 2
2.2 Does the facility or its owner if it has five or more employees
prepare and as often as may be appropriate revise a written
statement of their general policy with respect to the health and
safety at work of its employees and the organization and
arrangements for the carrying out of that policy?
Regulatory Note: The minimum number of employees was
established by the Employers' Health and Safety Policy
Statements (Exception) Regulations, 1975; amending the
Health and Safety at Work etc. Act, 1974.
Health and Safety at Work
etc. Act 1974, as
amended, Art. 2
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2.3 Does the facility make all employees aware of the company’s
general policy with respect to the health and safety at work of
its employees and the organization and arrangements for the
carrying out of that policy, along with any revisions?
Health and Safety at Work
etc. Act 1974, as
amended, Art. 2
2.4 Does the facility operate its business and workplace in such a
way as to ensure, so far as is reasonably practicable, that
persons not in its employment who may be affected thereby are
not thereby exposed to risks to their health or safety and inform
them of such risks?
Health and Safety at Work
etc. Act 1974, as
amended, Art. 3
2.5 Does the facility use the best practicable means for preventing
the emission into the atmosphere from the premises of noxious
or offensive substances and for rendering harmless and
inoffensive such substances as may be so emitted?
Regulatory Note: The foregoing provisions of this section shall
not apply in relation to any process which is a “prescribed
process” as from the date which is the determination date for
that process. For the purposes of this section, the
“determination date” for a prescribed process is:
• In the case of a process for which an authorization is granted, the date on which the enforcing authority grants it, whether in pursuance of the application or, on an appeal, of a direction to grant it;
• In the case of a process for which an authorization is refused, the date of the refusal or, on an appeal, of the affirmation of the refusal.
Health and Safety at Work
etc. Act 1974, as
amended, Art. 5
2.6 If the facility designs, manufactures, imports, or supplies any
article for use at work or any article of fairground equipment,
does it ensure that the article(s) meet the following conditions?
(a) Ensure, so far as is reasonably practicable, that the article is so designed and constructed that it will be safe and without risks to health at all times when it is being set, used, cleaned or maintained by a person at work;
(b) Carry out or arrange for the carrying out of such testing and examination as may be necessary for the performance of the duty imposed by paragraph (a);
Health and Safety at Work
etc. Act 1974, as
amended, Art. 6.1
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(c) Take such steps as are necessary to secure that persons supplied by that person with the article are provided with adequate information about the use for which the article is designed or has been tested and about any conditions necessary to ensure that it will be safe and without risks to health at all such times as are mentioned in paragraph (a) above and when it is being dismantled or disposed of; and
(d) Take such steps as are necessary to secure, so far as is reasonably practicable, that persons so supplied are provided with all such revisions of information provided to them by virtue of the preceding paragraph as are necessary by reason of its becoming known that anything gives rise to a serious risk to health or safety.
Regulatory Note: Fairground equipment means any
fairground ride, any similar plant which is designed to be in
motion for entertainment purposes with members of the public
on or inside it or any plant which is designed to be used by
members of the public for entertainment purposes either as a
slide or for bouncing upon, and in this definition the reference to
plant which is designed to be in motion with members of the
public on or inside it includes a reference to swings, dodgems
and other plant which is designed to be in motion wholly or
partly under the control of, or to be put in motion by, a member
of the public.
2.7 Does the facility that undertakes the design or manufacture of
any article for use at work or of any article of fairground
equipment, carry out or arrange for the carrying out of any
necessary research with a view to the discovery and, so far as
is reasonably practicable, the elimination or minimization of any
risks to health or safety to which the design or article may give
rise?
Health and Safety at Work
etc. Act 1974, as
amended, Art. 6.2
2.8 Does the facility that erects or installs any article for use at work
in any premises where that article is to be used by persons at
work or who erects or installs any article of fairground
equipment to ensure, so far as is reasonably practicable, that
nothing about the way in which the article is erected or installed
makes it unsafe or a risk to health at any such time as is
mentioned in paragraph (a) of subsection (1)?
Regulatory Note: Paragraph (a) of subsection (1) states:
“Ensure, so far as is reasonably practicable, that the article is
so designed and constructed that it will be safe and without
Health and Safety at Work
etc. Act 1974, as
amended, Art. 6.3
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risks to health at all times when it is being set, used, cleaned or
maintained by a person at work.”
2.9 If the facility manufactures, imports, or supplies any substance,
does it ensure the following?
(a) Ensure, so far as is reasonably practicable, that the substance will be safe and without risks to health at all times when it is being used, handled, processed, stored or transported by a person at work or in premises to which section 4 (see note below) above applies;
(b) Carry out or arrange for the carrying out of such testing and examination as may be necessary for the performance of the duty imposed on him by the preceding paragraph
(c) Take such steps as are necessary to secure that persons supplied by that person with the substance are provided with adequate information about any risks to health or safety to which the inherent properties of the substance may give rise, about the results of any relevant tests which have been carried out on or in connection with the substance and about any conditions necessary to ensure that the substance will be safe and without risks to health at all such times as are mentioned in paragraph (a) above and when the substance is being disposed of; and
(d) Take such steps as are necessary to secure, so far as is reasonably practicable, that persons so supplied are provided with all such revisions of information provided to them by virtue of the preceding paragraph as are necessary by reason of its becoming known that anything gives rise to a serious risk to health or safety.
Regulatory Note: It shall be the duty of any person who
undertakes the manufacture of any substance, to carry out or
arrange for the carrying out of any necessary research with a
view to the discovery and, so far as is reasonable practicable,
the elimination or minimization of any risks to health or safety to
which the substance may give rise at all such times as are
mentioned in paragraph (a) above.
Nothing in the preceding provisions of this section (6) shall be
taken to require a person to repeat any testing, examination or
research which has been carried out otherwise than by him or
at his instance, in so far as it is reasonable for him to rely on the
results thereof for the purposes of those provisions.
Health and Safety at Work
etc. Act 1974, as
amended, Art. 6.4 - 6.6
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“Section 4” as referenced in bullet (a) refers to a clause that
relates to a business or facility that makes provisions or allows
non-employees to use the premise or portion thereof as a place
of work or a place for these non-employees to use materials
and substances located there for their use.
2.10 Does the facility not intentionally or recklessly interfere with or
misuse anything provided in the interests of health, safety or
welfare in pursuance of any of the relevant statutory provisions
of the UK?
Health and Safety at Work
etc. Act 1974, as
amended, Art. 8
2.11 Does the facility ensure that it does not levy or permit to be
levied on any employee of theirs any charge in respect of
anything done or provided in pursuance of any specific
requirement of the relevant statutory provisions?
Health and Safety at Work
etc. Act 1974, as
amended, Art. 9
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Health and Safety Representatives and Committees
No. Health and Safety Representatives and Committees Checklist
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2.12 Which regulations apply to the facility based on the type of
employees who work or are employed at the operation,
following the chart shown below?
2.13 If the facility has employees who are union members or are
otherwise not represented by the safety representatives under
the 1977 Regulations, does the facility consult with these
employees in good time on matters relating to their health and
safety at work and, in particular, with regard to the following
items?
• The introduction of any measure at the workplace which may substantially affect the health and safety of those employees;
• Arrangements for appointing or, as the case may be, nominating persons in accordance with regulations 6(1) and 7(1)(b) of the Management of Health and Safety at Work Regulations 1992(5);
• Any health and safety information the facility is required to provide to those employees by or under the relevant statutory provisions; and
The Health and Safety
(Consultation with
Employees) Regulations
1996, Art. 3
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• The planning and organization of any health and safety training the facility is required to provide to those employees by or under the relevant statutory provisions; and
• The health and safety consequences for those employees of the introduction (including the planning thereof) of new technologies into the workplace.
2.14 Is the consultation performed directly with the employees or in
respect of any group of employees, with one or more persons
in that group who were elected by the employees in that group
at the time of the election, to represent that group for the
purposes of such consultation (and any such persons are in
these Regulations referred to as “representatives of employee
safety”)?
The Health and Safety
(Consultation with
Employees) Regulations
1996, Art. 4
2.15 If employees are represented by one or more representatives
of employee safety, does the facility inform the employees who
are represented by those representatives of the names of those
representatives, and the group of employees represented by
those representatives?
The Health and Safety
(Consultation with
Employees) Regulations
1996, Art. 4
2.16 Does the facility not consult with persons as a representative of
employee safety if they meet the following conditions?
• That person has notified the employer that he does not intend to represent the group of employees for the purposes of such consultation;
• That person has ceased to be employed in the group of employees which he represents;
• The period for which that person was elected has expired without that person being re-elected; or
• That person has become incapacitated from carrying out his functions under these regulations.
The Health and Safety
(Consultation with
Employees) Regulations
1996, Art. 4
2.17 When the facility discontinues consultation with a person as a
representative of employee safety, does it inform the
employees in the group concerned of that fact?
The Health and Safety
(Consultation with
Employees) Regulations
1996, Art. 4
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2.18 If the facility has normally been consulting representatives of
employee safety but decides to consult employees directly,
does the facility inform the employees and the representatives
of that fact?
The Health and Safety
(Consultation with
Employees) Regulations
1996, Art. 4
2.19 Does the facility if it consults with employees directly, make
available to those employees such information, within the
facility’s knowledge, as is necessary to enable them to
participate fully and effectively in the consultation?
The Health and Safety
(Consultation with
Employees) Regulations
1996, Art. 5
2.20 When the facility consults with the representatives of employee
safety does it make available to those representatives such
information, within the facility’s knowledge the following?
• Information necessary to enable them to participate fully and effectively in the consultation and in the carrying out of their functions under these Regulations; and
• Information contained in any record which the facility is required to keep by regulation 7 of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995(6) and which relates to the workplace or the group of employees represented by those representatives.
The Health and Safety
(Consultation with
Employees) Regulations
1996, Art. 5
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Worker Right-to-Know/Hazard Communication
No. Worker Right-to-Know/Hazard Communication Checklist
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2.21 Does the facility make all employees aware of the company’s
general policy with respect to the health and safety at work of its
employees and the organization and arrangements for the
carrying out of that policy, along with any revisions?
Health and Safety at Work
etc. Act 1974, as
amended, Art. 2
2.22 Does the facility operate its business and workplace in such a
way as to ensure, so far as is reasonably practicable, that
persons not in its employment who may be affected thereby are
not thereby exposed to risks to their health or safety and inform
them of such risks?
Health and Safety at Work
etc. Act 1974, as
amended, Art. 3
2.23 Does the facility, in relation to each of his employees, ensure
that the approved poster is kept displayed in a readable
condition at a place which is reasonably accessible to the
employee while he/she is at work, and in such a position in that
place as to be easily seen and read by that employee; or give to
the employee the approved leaflet?
Explanatory Note: “The approved poster” or “the approved
leaflet” means, respectively, a poster or leaflet in the form
approved and published for the purposes of these Regulations
by the Health and Safety Executive, as revised from time to
time.
Regulatory Note: An employer shall be treated as having
complied with requirement from the date these Regulations
come into force or the date the employee commences
employment with him/her (if later) if he/she gives to the
employee the approved leaflet as soon as is reasonably
practicable after that date.
Health and Safety
Information for Employees
Regulations 1989, Art. 4
2.24 Does the facility who gives to his/her employee a leaflet give
with the leaflet a written notice containing the name of the
enforcing authority for the premises where the employee works,
and the address of the office of that authority for the area in
which those premises are situated; and the address of the office
of the employment medical advisory service for the area in
which those premises are situated?
Health and Safety
Information for Employees
Regulations 1989, Art. 4
and 5
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Explanatory Note: “Employment medical advisory service”
means the employment medical advisory service referred to in
section 55 of the Health and Safety at Work etc. Act, 1974.
The enforcing authority for premises refers to the enforcing
authority which has responsibility for the enforcement of section
2 of the 1974 Act in relation to the main activity carried on in
those premises.
Employee Medical and Well-Being Requirements
No. Employee Medical and Well-Being Requirements Checklist
Questions
Regulatory
Citation
2.25 Does the facility ensure that its employees are provided with
health surveillance as is appropriate with regard to the risks to
their health and safety which were identified by the workplace
health risk assessment?
Management of Health
and Safety at Work
Regulations 1999, Art. 6
2.26 Does the facility ensure that any necessary contacts with
external services are arranged, particularly as regards first-aid,
emergency medical care and rescue work?
Management of Health
and Safety at Work
Regulations 1999, Art. 9
2.27 Does the facility provide, or ensure that there are provided, such
equipment and facilities as are adequate and appropriate in the
circumstances for enabling first-aid to be rendered to their
employees if they are injured or become ill at work?
Regulatory Note: In these Regulations, unless the context
otherwise requires, “first-aid” means:
• In cases where a person will need help from a medical practitioner or nurse, treatment for the purpose of preserving life and minimizing the consequences of injury and illness until such help is obtained; and
• Treatment of minor injuries which would otherwise receive no treatment or which do not need treatment by a medical practitioner or nurse.
The Health and Safety
(First-Aid) Regulations
1981, Art. 2 & 3.1
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2.28 Subject to paragraphs (3) and (4) below, does the facility
provide, or ensure that there is provided, such number of
suitable persons (also defined below) as is adequate and
appropriate in the circumstances for rendering first-aid to his
employees if they are injured or become ill at work?
Regulatory Note: Paragraphs (3) and (4) of Article 3 are:
(3) Where a person is absent in temporary and exceptional
circumstances it shall be sufficient compliance with that
paragraph if the employer appoints a person, or ensures that a
person is appointed, to take charge of:
(a) The situation relating to an injured or ill employee who
will need help from a medical practitioner or nurse; and
(b) The equipment and facilities provided under Article 3.1
[the preceding question above] throughout the period of any
such absence.
(4) Where having regard to:
(a) The nature of the undertaking; and
(b) The number of employees at work; and
(c) The location of the establishment, it would be adequate
and appropriate if instead of a person for rendering first-aid
there was a person appointed to take charge as in
paragraph (3)(a) and (b), then instead of complying with the
requirements of this question [paragraph (2) of this Article]
the employer may appoint such a person, or ensure that
such a person is appointed.
Suitable persons are those that have:
(a) Such training and has such qualification as the Health
and Safety Executive may approve for the time being in
respect of that case or class of case; and
(b) Such additional training, if any, as may be appropriate in
the circumstances of that case.
The Health and Safety
(First-Aid) Regulations
1981, Art. 3.2 – 3.4
2.29 Does the facility inform its employees of the arrangements that
have been made in connection with the provision of first-aid,
including the location of equipment, facilities, and personnel?
The Health and Safety
(First-Aid) Regulations
1981, Art. 4
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2.30 Does the facility adapt any measure taken in compliance with
the requirements of this regulation to take account of any
employee or group of employees whose health is likely to be
particularly at risk from exposure to noise?
Control of Noise at Work
Regulations 2005, Art. 6
Work Environments and Controls
No. Work Environment and Controls Checklist Questions Regulatory
Citation
2.31 Is effective and suitable provision made to ensure that every
enclosed workplace is ventilated by a sufficient quantity of fresh
or purified air and includes an effective device to give visible or
audible warning of any failure of the plant where necessary for
reasons of health or safety?
Regulatory Note: This regulation shall not apply to any
enclosed workplace or part of a workplace which is subject to
the provisions of:
(a) Section 30 of the Factories Act 1961;
(b) Regulations 49 to 52 of the Shipbuilding and Ship-Repairing
Regulations 1960;
(c) Regulation 21 of the Construction (General Provisions)
Regulations 1961;
(d) Regulation 18 of the Docks Regulations 1988.
The Workplace (Health,
Safety and Welfare)
Regulations, 1992, Art. 6
2.32 During working hours, is the temperature in all workplaces inside
any building kept at a reasonable level and are there a sufficient
number of thermometers provided to enable persons at work to
determine the temperature in any workplace inside a building?
The Workplace (Health,
Safety and Welfare)
Regulations, 1992, Art. 7
2.33 Is a method of heating or cooling prevented from being used
which results in the escape into a workplace of fumes, gas or
vapor of such character and to such extent that they are likely to
be injurious or offensive to any person?
The Workplace (Health,
Safety and Welfare)
Regulations, 1992, Art. 7
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2.34 Is lighting maintained as follows at a minimum?
• Every workplace shall have suitable and sufficient lighting.
• The lighting mentioned in bullet (1) shall, so far as is reasonably practicable, be by natural light.
• Without prejudice to the generality of bullet (1), suitable and sufficient emergency lighting shall be provided in any room in circumstances in which persons at work are specially exposed to danger in the event of failure of artificial lighting.
The Workplace (Health,
Safety and Welfare)
Regulations, 1992, Art. 8
2.35 Is every workplace and the furniture, furnishings and fittings
therein kept sufficiently clean; and the surfaces of the floors,
walls and ceilings of all workplaces inside buildings are capable
of being kept sufficiently clean; and that as far as is reasonably
practicable, waste materials are not allowed to accumulate in a
workplace except in suitable receptacles?
The Workplace (Health,
Safety and Welfare)
Regulations, 1992, Art. 9
2.36 Does every room where persons work have sufficient floor area,
height and unoccupied space for purposes of health, safety and
welfare?
Regulatory Note: It shall be sufficient compliance with this
regulation in a workplace which is not a new workplace (i.e., in
existence prior to 1993), a modification, an extension and which,
immediately before this regulation came into force in respect of
it, was subject to the provisions of the Factories Act 1961, if the
workplace does not contravene the provisions of Part I of
Schedule 1.
The Workplace (Health,
Safety and Welfare)
Regulations, 1992, Art. 10
2.37 Is every workstation arranged so that it is suitable both for any
person at work in the workplace who is likely to work at that
workstation and for any work of the undertaking which is likely to
be done there?
Regulatory Note: Without prejudice to the generality of this
question, every workstation outdoors shall be so arranged that:
• So far as is reasonably practicable, it provides protection from adverse weather;
• It enables any person at the workstation to leave it swiftly or, as appropriate, to be assisted in the event of an emergency; and
• It ensures that any person at the workstation is not likely to slip or fall.
The Workplace (Health,
Safety and Welfare)
Regulations, 1992, Art. 11
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2.38 Is a suitable seat provided for each person at work in the
workplace whose work includes operations of a kind that the
work (or a substantial part of it) can or must be done sitting?
Regulatory Note: A seat shall not be suitable for the purpose
of paragraph (3) unless it is suitable for the person for whom it is
provided as well as for the operations to be performed; and a
suitable footrest is also provided where necessary.
The Workplace (Health,
Safety and Welfare)
Regulations, 1992, Art. 11
2.39 Is every floor in a workplace and the surface of every traffic
route in a workplace made of a construction such that the floor
or surface of the traffic route is suitable for the purpose for which
it is used; and that the floor, or surface of the traffic route, shall
have no hole or slope, or be uneven or slippery so as, in each
case, to expose any person to a risk to his health or safety; and
every such floor shall have effective means of drainage where
necessary?
Regulatory Note: In considering whether a hole or slope
exposes any person to a risk to his health or safety no account
shall be taken of a hole where adequate measures have been
taken to prevent a person falling; and account shall be taken of
any handrail provided in connection with any slope.
The Workplace (Health,
Safety and Welfare)
Regulations, 1992, Art. 12
2.40 As far as is reasonably practicable, is every floor in a workplace
and the surface of every traffic route in a workplace kept free
from obstructions and from any article or substance which may
cause a person to slip, trip or fall?
The Workplace (Health,
Safety and Welfare)
Regulations, 1992, Art. 12
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Machinery, Equipment and Controls
No. Machinery, Equipment and Controls Checklist Questions Regulatory
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2.41 Is the workplace and the equipment, devices, and systems to
which this regulation applies (see questions above), maintained
(including cleaned as appropriate) in an efficient state, in
efficient working order, and in good repair; and are subject to a
suitable system of maintenance?
The Workplace (Health,
Safety and Welfare)
Regulations, 1992, Art. 5
2.42 Does the facility ensure that (a) lifting equipment is of adequate
strength and stability for each load, having regard in particular to
the stress induced at its mounting or fixing point; (b) every part
of a load and anything attached to it and used in lifting it is of
adequate strength?
Lifting Operations and
Lifting Equipment
Regulations, 1998, Art. 4
2.43 Does the facility have any lifting equipment for lifting persons
and if so, does it ensure the following?
(a) Is such as to prevent a person using it being crushed, trapped or struck or falling from the carrier;
(b) Is such as to prevent so far as is reasonably practicable a person using it, while carrying out activities from the carrier, being crushed, trapped or struck or falling from the carrier;
(c) Subject to paragraph (2), has suitable devices to prevent the risk of a carrier falling; and
(d) Is such that a person trapped in any carrier is not thereby exposed to danger and can be freed.
(2) Every employer shall ensure that if the risk described in
paragraph (c) cannot be prevented for reasons inherent in
the site and height differences:
(a) The carrier has an enhanced safety coefficient
suspension rope or chain; and
(b) The rope or chain is inspected by a competent
person every working day.
Lifting Operations and
Lifting Equipment
Regulations, 1998, Art. 5
2.44 Does the facility ensure that lifting equipment is positioned or
installed in such a way as to reduce to as low as is reasonably
practicable the risk of the lifting equipment or a load striking a
person; or from a load (i) drifting; (ii) falling freely; or (iii) being
Lifting Operations and
Lifting Equipment
Regulations, 1998, Art. 6
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released unintentionally; and it is otherwise safe?
Regulatory Note: Every employer shall ensure that there are
suitable devices to prevent a person from falling down a shaft or
hoistway.
2.45 Does the facility shall ensure that subject to the following list,
machinery and accessories for lifting loads are clearly marked to
indicate their safe working loads:
• Where the safe working load of machinery for lifting loads depends on its configuration:
─ The machinery is clearly marked to indicate its safe working load for each configuration; or
─ Information which clearly indicates its safe working load for each configuration is kept with the machinery; and
accessories for lifting are also marked in such a way that it is
possible to identify the characteristics necessary for their safe
use; lifting equipment which is designed for lifting persons is
appropriately and clearly marked to this effect; and lifting
equipment which is not designed for lifting persons but which
might be so used in error is appropriately and clearly marked to
the effect that it is not designed for lifting persons?
Lifting Operations and
Lifting Equipment
Regulations, 1998, Art. 7
2.46 Does the facility ensure that every lifting operation involving
lifting equipment is properly planned by a competent person;
appropriately supervised; and carried out in a safe manner?
Regulatory Note: In this regulation “lifting operation” means an
operation concerned with the lifting or lowering of a load.
Lifting Operations and
Lifting Equipment
Regulations, 1998, Art. 8
2.47 Does the facility ensure that before lifting equipment is put into
service for the first time it is thoroughly examined for any defect
unless either the lifting equipment has not been used before; or,
if obtained from the undertaking of another person, it is
accompanied by physical evidence?
Lifting Operations and
Lifting Equipment
Regulations, 1998, Art. 9
2.48 Does the facility ensure that, where the safety of lifting
equipment depends on the installation conditions, it is
thoroughly examined after installation and before being put into
service for the first time; and after assembly and before being
Lifting Operations and
Lifting Equipment
Regulations, 1998, Art. 9
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put into service at a new site or in a new location, to ensure that
it has been installed correctly and is safe to operate?
Industrial Hygiene and Exposure Limits
No. Industrial Hygiene and Exposure Limits Checklist Questions Regulatory
Citation
2.49 Does the facility use the best practicable means for preventing
the emission into the atmosphere from the premises of noxious
or offensive substances and for rendering harmless and
inoffensive such substances as may be so emitted?
Regulatory Note: The foregoing provisions of this section
shall not apply in relation to any process which is a “prescribed
process” as from the date which is the determination date for
that process. For the purposes of this section, the
“determination date” for a prescribed process is:
• In the case of a process for which an authorization is granted, the date on which the enforcing authority grants it, whether in pursuance of the application or, on an appeal, of a direction to grant it;
• In the case of a process for which an authorization is refused, the date of the refusal or, on an appeal, of the affirmation of the refusal.
Health and Safety at
Work etc. Act 1974, as
amended, Art. 5
2.50 Does the facility prohibit the importation into the United
Kingdom, other than from another member State, of the
following substances and articles?
• 2-naphthylamine,
• Benzidine,
• 4-aminodiphenyl,
• 4-nitrodiphenyl, their salts and any substance containing any of those compounds in a total concentration equal to or greater than 0.1 per cent by mass; and
• Matches made with white phosphorus.
Control of Substances
Hazardous to Health
Regulations 2002, Art. 4
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2.51 Does the facility prohibit any person in its operations from
supplying during the course of or for use at work a substance or
article listed below?
• 2-naphthylamine,
• Benzidine,
• 4-aminodiphenyl,
• 4-nitrodiphenyl, their salts and any substance containing any of those compounds in a total concentration equal to or greater than 0.1 per cent by mass; and
• Matches made with white phosphorus.
Control of Substances
Hazardous to Health
Regulations 2002, Art. 4
2.52 Does the facility prohibit the those substances described in
Column 1 of Schedule 2 to the extent set out in the
corresponding entry in Column 2 of that Schedule?
Regulatory Note: The Schedule could not be included here,
but is available online at:
http://www.legislation.gov.uk/uksi/2002/2677/schedules/made.
Control of Substances
Hazardous to Health
Regulations 2002, Art. 4
2.53 Does the facility prevent the supplying during the course of or
for use at work, benzene, or a substance containing benzene
unless its intended use is not prohibited by item 11 of Schedule
2?
Regulatory Note: The Schedule could not be included here,
but is available online at:
http://www.legislation.gov.uk/uksi/2002/2677/schedules/made.
Control of Substances
Hazardous to Health
Regulations 2002, Art. 4
Regulation Articles 6 to 13 of the Control of Substances Hazardous to Health Regulations, 2002,
discussed in the next several questions are applicable to business and industrial operations, except in the
following situations:
• Where and to the extent that the following Regulations apply, namely:
─ The Coal Mines (Respirable Dust) Regulations, 1975;
─ The Control of Lead at Work Regulations, 2002; and
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─ The Control of Asbestos at Work Regulations, 2002;
• Where the substance is hazardous to health solely by virtue of its radioactive, explosive or flammable properties, or solely because it is at a high or low temperature or a high pressure; and
• Where the risk to health is a risk to the health of a person to whom the substance is administered in the course of his medical treatment.
2.54 If operations or work in the facility is liable to expose any
employee to any substance hazardous to health, has the facility
made a suitable and sufficient assessment of the risk created
by that work to the health of those employees and of the steps
that need to be taken to meet the requirements of these
regulations; and implemented those steps?
Regulatory Note: These substances may be any that are very
toxic, toxic, harmful, corrosive or irritant, including:
• Any preparation (mixture) that is dangerous for supply, as above;
• Any substance which has a Workplace Exposure Limit (WEL);
• Any biological agents used at work;
• Any dust other than one with a WEL at a concentration in air above 10 mg/m3 averaged over 8 hours, or any such respirable dust above 4 mg/m3 over 8 hours; and
• Any other substance that creates a risk to health because of its properties and the way it is used or is present in the workplace.
The current WELs are available online at:
http://www.hse.gov.uk/pubns/priced/eh40.pdf.
Control of Substances
Hazardous to Health
Regulations 2002, Art. 6
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Internal Emergency Response Requirements
No. Internal Emergency Response Requirements Checklist Questions Regulatory
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2.55 Does the facility have a fire certificate, and if so, does it specify
conditions or requirements to be met or maintained. And if so,
are they met?
Regulatory Note: Every fire certificate issued with respect to
any premises shall specify:
• The particular use or uses of the premises which the certificate covers; and
• The means of escape in case of fire with which the premises are provided; and
• The means (other than means for fighting fire) with which the relevant building is provided for securing that the means of escape with which the premises are provided can be safely and effectively used at all material times; and
• The type, number and location of the means for fighting fire (whether in the premises or affecting the means of escape) with which the relevant building is provided; and
• The type, number and location of the means with which the relevant building is provided for giving to persons in the premises warning in case of fire,
• And may, where appropriate, do so by means of or by reference to a plan.
Fire Precautions Act,
1971, Art 1 & 6
2.56 Does the facility fit the description of one of the following places
of operation and if so, has the facility filed for and obtained from
the fire authority a “fire certificate” having submitted the following
information to obtain such a certificate?
Premises Requiring a Fire Certificate:
• Premises constituting, or forming part of, a factory within the meaning of the Factories Act 1961 and premises to which sections 123(1) and 124 of that Act (application to electrical stations and institutions) apply (in this Schedule referred to as “factory premises”);
• Office premises within the meaning of the Offices, Shops and Railway Premises Act 1963, or premises deemed to be such premises for the purposes of that Act (in this Schedule referred to as “office premises”);
• Railway premises within the meaning of that Act of 1963, or premises deemed to be such premises for the purposes of
Fire Precautions Act,
1971, Art 1, 5, & Schedule
2
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that Act (in this Schedule referred to as “railway premises”); and
• Shop premises within the meaning of that Act of 1963, or premises deemed to be such premises for the purposes of that Act (in this Schedule referred to as “shop premises”).
Certificate Application Information:
• Must specify the particular use or uses of the premises which it is desired to have covered by the certificate; and
• Must give such information as may be prescribed about the premises and any prescribed matter connected with them; and
• If the premises consist of part of a building, must, in so far as it is available to the applicant, give such information as may be prescribed about the rest of the building and any prescribed matter connected with it.
Regulatory Note: Mines are generally excluded from this requirement. These requirements for a fire certificate are further amended by the Fire Precautions (Factories, Offices, Shops and Railway Premises) Order, 1989 discussed below.
2.57 After an application is made for a fire certificate does the facility
ensure that, when the application is made and pending its
approval, the following is met?
• The means of escape in case of fire with which the premises are provided can be safely and effectively used at all material times;
• The means for fighting fire with which the premises are provided are maintained in efficient working order; and
• Any person employed to work in the premises receives instruction or training in what to do in case of fire.
Fire Precautions Act,
1971, Art 1
2.58 Does the facility, before making any material changes to the
operation as noted below, give notice of the changes to the fire
authority?
• It is proposed to make a material extension of, or material structural alteration to, the premises; or
• It is proposed to make a material alteration in the internal arrangement of the premises or in the furniture or equipment with which the premises are provided; or
Fire Precautions Act,
1971, Art 8
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• The occupier of the premises proposes to begin to keep explosive or highly flammable materials of any prescribed kind anywhere under, in or on the relevant building in a quantity or aggregate quantity greater than the quantity prescribed for the purposes of this paragraph as the maximum in relation to materials of that kind,
2.59 If the facility or any portion thereof has been exempted from
needing to have a fire certificate and the facility for any of its
exempted areas decides to subsequently conduct any of the
following activities in an exempted area, does it then notify the
fire authority of such proposed actions before implementation?
• A proposal to make:
─ An extension of, or structural alteration to, the premises which would affect the means of escape from the premises; or
─ An alteration in the internal arrangement of the premises, or in the furniture or equipment with which the premises are provided, which would affect the means of escape from the premises; or
• On the part of the occupier, to begin to keep explosive or highly flammable materials of any prescribed kind anywhere under, in or on the building which constitutes or comprises the premises in a quantity or aggregate quantity greater than the quantity prescribed for the purposes of this paragraph as the maximum in relation to materials of that kind; or
• In a case where the notice of exemption under section 5A of this Act includes a statement under subsection (8) of that section, to make such a use of the premises as will involve there being in the premises at any one time a greater number of persons in relation to whom the statement applies than is specified or treated as specified in the statement.
Fire Precautions Act,
1971, Art 8A
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ATTACHMENT A – Air Quality Limit Values
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ATTACHMENT B – Hazardous Waste Substances and Properties
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ATTACHMENT C – Disposal of Polychlorinated Biphenyls (PCBs)
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ATTACHMENT D – Minimum Requirements under Directive 90/270/EEC for Display Screens