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PART 1U.K.Preliminary

Citation and commencementU.K.

1.  These Regulations may be cited as the Lifts Regulations 2016 and come into force on 8th December 2016 (“the commencement date”).

InterpretationE+W+S

2.—(1) In these Regulations—

the “1974 Act” means the Health and Safety at Work etc. Act 1974 M1;

the “1978 Order” means the Health and Safety at Work (Northern Ireland) Order 1978 M2;

the “1987 Act” means the Consumer Protection Act 1987 M3;

the “1997 Regulations” means the Lifts Regulations 1997 M4;

F1...

F2...

[F3“approved body” has the meaning given to it in regulation 51 (approved bodies);]

“authorised representative” means a person established in the [F4United Kingdom] appointed in accordance with regulation 24(1);

“carrier” means the part of a lift by which persons or goods are supported in order to be lifted or lowered;

F5...

F6...

“conformity assessment” means the process demonstrating whether the essential health and safety requirements relating to a lift or a safety component for lifts have been fulfilled;

“conformity assessment body” means a person that performs conformity assessment activities, including calibration, testing, certification and inspection;

[F7“declaration of conformity” means a declaration of conformity required to be drawn up in accordance with—

(a)

in relation to lifts, regulation 8(1)(a) (declaration of conformity and UK marking: installer); and

(b)

in relation to safety components for lifts, regulation 17(1)(a) (declaration of conformity and UK marking: manufacturer);]

the “Department” means the Department for the Economy in Northern Ireland;

[F8“designated standard” has the meaning given to it in regulation 2A;]

the “Directive” means Directive 2014/33/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the member States relating to lifts and safety components for lifts (recast) M5 [F9(as it has effect immediately before IP completion day];

“distributor” means a person in the supply chain, other than the manufacturer or the importer, who makes a safety component for lifts available on the market;

“economic operator” means an installer, manufacturer, authorised representative, importer or distributor;

“enforcing authority” means any person enforcing these Regulations under regulation 61 (enforcement);

“essential health and safety requirements” means the requirements set out in Schedule 1 (essential health and safety requirements);

F10...

F11...

F12...

[F13“importer” means a person who—

(a)

is established in the United Kingdom and places a safety component for lifts from a country outside of the United Kingdom on the market; or

(b)

is established in Northern Ireland and places a safety component for lifts on the market that has been supplied to them for distribution, consumption or use in the course of a commercial activity, whether in return for payment or free of charge, from an EEA state;]

“installer” means a person who takes responsibility for the design, manufacture, installation and placing on the market of a lift;

“lift” means a lifting appliance—

(a)

serving specific levels,

(b)

having a carrier moving along guides which are rigid and inclined at an angle of more than 15 degrees to the horizontal, or along a fixed course even where it does not move along rigid guides, and,

(c)

intended for the transport of—

(i)

persons,

(ii)

persons and goods, or

(iii)

goods alone, if the carrier is accessible, that is to say a person may enter it without difficulty, and fitted with controls situated inside the carrier or within reach of a person inside the carrier;

“make available on the market” means the supply of a safety component for lifts for distribution, consumption or use on the [F14market of Great Britain] in the course of a commercial activity, whether in return for payment or free of charge, and related expressions must be construed accordingly;

“manufacturer” means a person who—

(a)

manufactures a safety component for lifts, or has such a safety component designed or manufactured; and

(b)

markets that safety component under that person's name or trade mark;

“market surveillance authority” has the meaning set out in regulation 60 (designation of market surveillance authority);

“model lift” means a representative lift whose technical documentation shows the way in which the essential health and safety requirements will be met for lifts that conform to the model lift defined by objective parameters and which uses identical safety components for lifts;

F15...

F16...

F17...

“place on the market” means—

(a)

make a safety component for lifts available on the [F18market of Great Britain] for the first time; or

(b)

supply a lift for use on the [F18market of Great Britain] in the course of a commercial activity, whether in return for payment or free of charge,

and related expressions must be construed accordingly;

“RAMS” means Regulation (EC) 765/2008 of the European Parliament and of the Council setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93 M6;

“recall” means—

(a)

in relation to a lift, any measure aimed at achieving the dismantling and safe disposal of a lift; and

(b)

in relation to a safety component for lifts, any measure aimed at achieving the return of a safety component for lifts that has already been made available to the installer or to the end-user,

and related expressions must be construed accordingly;

[F19“relevant conformity assessment procedure” means—

(a)

in relation to lifts, a conformity assessment procedure referred to in regulation 47 (conformity assessment procedures for lifts); and

(b)

in relation to safety components for lifts, a conformity assessment procedure referred to in regulation 48 (conformity assessment procedures for safety components for lifts);]

“relevant economic operator” means, in relation to a lift or a safety component for lifts, an economic operator who has obligations in respect of that lift or safety component under Part 2;

“safety component for lifts” means a component for lifts listed in Schedule 3 F20...;

“technical documentation” has the meaning set out—

(a)

in relation to lifts, in regulation 7(b) (technical documentation and conformity assessment); or

(b)

in relation to safety components for lifts, regulation 16(b) (technical documentation and conformity assessment);

“technical specification” means a document that prescribes technical requirements to be fulfilled by a lift or a safety component for lifts;

[F21“UK marking” means the marking in the form set out in Annex 2 of RAMS;

“UK national accreditation body” means the body appointed by the Secretary of State in accordance with Article 4 of RAMS;]

“withdraw” means taking any measure aimed at preventing a safety component for lifts in the supply chain from being made available on the market and related expressions must be construed accordingly.

[F22(1A) Schedules 11 to 19 reproduce the provisions of Annexes IV to XII to the Directive (respectively) with amendments to correct deficiencies in retained EU law.

(1B) A reference to any provision of Schedules 11 to 19 is a reference to the equivalent provision of the relevant Annex to the Directive as set out in the relevant Schedule.]

(2) In these Regulations, a reference to a lift or a safety component for lifts being “in conformity with Part 2” means that—

(a)the lift or the safety component for lifts is in conformity with the essential health and safety requirements; and

(b)each relevant economic operator has complied with the obligations imposed on them under Part 2 which must be satisfied at or before the time at which they place the lift on the market or make the safety component for lifts available on the market.

F23(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) In these Regulations, “risk” means a risk to the health and safety of persons and, where appropriate, to the safety of property, except in—

(a)regulation 11 (monitoring of lifts placed on the market);

(b)regulation 21 (monitoring of safety components for lifts made available on the market);

(c)regulation 31 (monitoring of safety components for lifts made available on the market); and

(d)Schedule 1 (essential health and safety requirements).

F24(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Extent Information

E1This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

Marginal Citations

M4S.I. 1997/831, amended by S.I. 2004/693, 2005/831, 2008/1597, 2011/1043, 2014/469 and 2015/1630.

M5OJ L 96, 29.3.2014, p.251.

M6OJ L 218, 13.8.2008, p. 30.

InterpretationN.I.

2.—(1) In these Regulations—

the “1974 Act” means the Health and Safety at Work etc. Act 1974 F33;

the “1978 Order” means the Health and Safety at Work (Northern Ireland) Order 1978 F34;

the “1987 Act” means the Consumer Protection Act 1987 F35;

the “1997 Regulations” means the Lifts Regulations 1997 F36;

“accreditation” has the meaning set out in point 10 of Article 2 of RAMS;

“accreditation certificate” means a certificate, issued by the United Kingdom Accreditation Service or a national accreditation body in another [F37relevant state], attesting that a conformity assessment body meets the notified body requirements;

“authorised representative” means a person established in the [F38relevant market] appointed in accordance with regulation 24(1);

“carrier” means the part of a lift by which persons or goods are supported in order to be lifted or lowered;

“CE marking” means a marking which takes the form set out Annex II to RAMS;

“competent national authority” means an authority having responsibility for enforcing the law of a [F39relevant state] which implements the Directive;

“conformity assessment” means the process demonstrating whether the essential health and safety requirements relating to a lift or a safety component for lifts have been fulfilled;

“conformity assessment body” means a person that performs conformity assessment activities, including calibration, testing, certification and inspection;

the “Department” means the Department for the Economy in Northern Ireland;

the “Directive” means Directive 2014/33/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the member States relating to lifts and safety components for lifts (recast) F40;

“distributor” means a person in the supply chain, other than the manufacturer or the importer, who makes a safety component for lifts available on the market;

“economic operator” means an installer, manufacturer, authorised representative, importer or distributor;

“enforcing authority” means any person enforcing these Regulations under regulation 61 (enforcement);

“essential health and safety requirements” means the requirements set out in Schedule 1 (essential health and safety requirements);

“European Commission” means the Commission of the European Union;

“EU declaration of conformity” means a declaration of conformity required to be drawn up in accordance with—

(a)

in relation to lifts, regulation 8(1)(a) (EU declaration of conformity and CE marking); and

(b)

in relation to safety components for lifts, regulation 17(1)(a) (EU declaration of conformity and CE marking);

“harmonised standard” has the meaning set out in point 1(c) of Article 2 of Regulation (EU) 1025/2012 of the European Parliament and of the Council on European standardisation F41 (as amended from time to time);

“importer” means a person who—

(a)

is established in the [F42relevant market]; and

(b)

places a safety component for lifts from a [F43market outside of the relevant market on the relevant] market;

“installer” means a person who takes responsibility for the design, manufacture, installation and placing on the market of a lift;

“lift” means a lifting appliance—

(a)

serving specific levels,

(b)

having a carrier moving along guides which are rigid and inclined at an angle of more than 15 degrees to the horizontal, or along a fixed course even where it does not move along rigid guides, and,

(c)

intended for the transport of—

(i)

persons,

(ii)

persons and goods, or

(iii)

goods alone, if the carrier is accessible, that is to say a person may enter it without difficulty, and fitted with controls situated inside the carrier or within reach of a person inside the carrier;

“make available on the market” means the supply of a safety component for lifts for distribution, consumption or use on the [F44relevant] market in the course of a commercial activity, whether in return for payment or free of charge, and related expressions must be construed accordingly;

“manufacturer” means a person who—

(a)

manufactures a safety component for lifts, or has such a safety component designed or manufactured; and

(b)

markets that safety component under that person's name or trade mark;

“market surveillance authority” has the meaning set out in regulation 60 (designation of market surveillance authority);

“model lift” means a representative lift whose technical documentation shows the way in which the essential health and safety requirements will be met for lifts that conform to the model lift defined by objective parameters and which uses identical safety components for lifts;

“national accreditation body” has the meaning set out in point 11 of Article 2 of RAMS;

[F45“NI Protocol obligation” means any obligation created or arising by or under the Protocol on Ireland/ Northern Ireland in the EU withdrawal agreement, whether or not an obligation to which section 7A(2) of the European Union (Withdrawal) Act 2018 applies;]

“notified body requirements” means the requirements set out in Schedule 4 (notified body requirements);

“Official Journal” means the Official Journal of the European Union;

“place on the market” means—

(a)

make a safety component for lifts available on the [F46relevant] market for the first time; or

(b)

supply a lift for use on the [F46relevant] market in the course of a commercial activity, whether in return for payment or free of charge,

and related expressions must be construed accordingly;

“RAMS” means Regulation (EC) 765/2008 of the European Parliament and of the Council setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93 F47;

“recall” means—

(a)

in relation to a lift, any measure aimed at achieving the dismantling and safe disposal of a lift; and

(b)

in relation to a safety component for lifts, any measure aimed at achieving the return of a safety component for lifts that has already been made available to the installer or to the end-user,

and related expressions must be construed accordingly;

[F48“relevant conformity assessment procedure” means—

(a)

in relation to lifts, a conformity assessment procedure referred to in regulation 47 (conformity assessment procedures for lifts); and

(b)

in relation to safety components for lifts, a conformity assessment procedure referred to in regulation 48 (conformity assessment procedures for safety components for lifts);]

“relevant economic operator” means, in relation to a lift or a safety component for lifts, an economic operator who has obligations in respect of that lift or safety component under Part 2;

[F49“relevant market” means—

(a)

the market in Northern Ireland; and

(b)

the market of the EEA states;

“relevant state” means—

(a)

Northern Ireland; or

(b)

any EEA state;]

“safety component for lifts” means a component for lifts listed in Schedule 3 (list of safety components for lifts referred to in Article 1(1) of the Directive);

“technical documentation” has the meaning set out—

(a)

in relation to lifts, in regulation 7(b) (technical documentation and conformity assessment); or

(b)

in relation to safety components for lifts, regulation 16(b) (technical documentation and conformity assessment);

“technical specification” means a document that prescribes technical requirements to be fulfilled by a lift or a safety component for lifts;

[F50“UK(NI) indication” means the marking in the form set out in Schedule 1 to the Product Safety and Metrology etc. (Amendment etc.) (UK(NI) Indication) (EU Exit) Regulations 2020;]

“withdraw” means taking any measure aimed at preventing a safety component for lifts in the supply chain from being made available on the market and related expressions must be construed accordingly.

(2) In these Regulations, a reference to a lift or a safety component for lifts being “in conformity with Part 2” means that—

(a)the lift or the safety component for lifts is in conformity with the essential health and safety requirements; and

(b)each relevant economic operator has complied with the obligations imposed on them under Part 2 which must be satisfied at or before the time at which they place the lift on the market or make the safety component for lifts available on the market.

(3) In these Regulations (except in Part 4 (conformity assessment bodies) and Schedules 4 (notified body requirements) and 6 (operational obligations of notified bodies)), “notified body” means—

(a)a notified body within the meaning set out in regulation 51 (notified bodies); or

(b)a notified body under the laws of another [F51relevant state] which implements the Directive.

(4) In these Regulations, “risk” means a risk to the health and safety of persons and, where appropriate, to the safety of property, except in—

(a)regulation 11 (monitoring of lifts placed on the market);

(b)regulation 21 (monitoring of safety components for lifts made available on the market);

(c)regulation 31 (monitoring of safety components for lifts made available on the market); and

(d)Schedule 1 (essential health and safety requirements).

F52(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Extent Information

E3This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments

F36S.I. 1997/831, amended by S.I. 2004/693, 2005/831, 2008/1597, 2011/1043, 2014/469 and 2015/1630.

F40OJ L 96, 29.3.2014, p.251.

F41OJ L 316, 14.11.2012, p.12.

F47OJ L 218, 13.8.2008, p. 30.

[F25Designated standardE+W+S

2A.—(1) Subject to paragraphs (6) and (7), in these Regulations a “designated standard” means a technical specification which is—

(a)adopted by a recognised standardisation body [F26or an international standardising body], for repeated or continuous application, with which compliance is not compulsory; and

(b)designated by the Secretary of State by publishing the reference to the standard and maintaining that publication in a manner the Secretary of State considers appropriate.

(2) For the purposes of paragraph (1), a “technical specification” means a document that prescribes technical requirements to be fulfilled by a product, process, service or system and which lays down one or more of the following—

(a)the characteristics required of a product, including—

(i)levels of quality, performance, interoperability, environmental protection, health, safety or dimensions, and

(ii)the requirements applicable to the product as regards the name under which the product is sold, terminology, symbols, testing and test methods, packaging, marking or labelling and conformity assessment procedures; and

(b)production methods and processes relating to the product, where these have an effect on the characteristics of the product.

(3) For the purposes of this regulation a “recognised standardisation body” means any one of the following organisations—

(a)the European Committee for Standardisation (CEN);

(b)the European Committee for Electrotechnical Standardisation (Cenelec);

(c)the European Telecommunications Standards Institute (ETSI);

(d)the British Standards Institution (BSI).

[F27(3A) In this regulation “international standardising body” has the same meaning as it has for the purposes of the Agreement on Technical Barriers to Trade, part of Annex 1A to the agreement establishing the World Trade Organisation signed at Marrakesh on 15 April 1994 (as modified from time to time).]

(4) When considering whether the manner of publication of a reference is appropriate in accordance with paragraph (1)(b), the Secretary of State must have regard to whether the publication will draw the standard to the attention of any person who may have an interest in the standard.

(5) Before publishing the reference to a technical specification adopted by the British Standards Institution, the Secretary of State must have regard to whether the technical specification is consistent with [F28such] technical specifications adopted by the other recognised standardisation bodies [F29or by international standardising bodies as the Secretary of State considers to be relevant.]

(6) The Secretary of State may remove from publication the reference to a standard which has been published in accordance with paragraph (1)(b).

(7) Where the Secretary of State removes the reference to a standard from publication, that standard is no longer a designated standard.

(8) In this regulation, a reference to a “product” is a reference to a lift or a safety component for lifts to which these Regulations apply.

(9) The Secretary of State may by regulations amend paragraph (3) to reflect any changes in the name or structure of the recognised standardisation bodies.

(10) Regulations made under paragraph (9) are to be made by statutory instrument.

(11) A statutory instrument containing regulations made under paragraph (9) is subject to annulment in pursuance of a resolution of either House of Parliament.]

Textual Amendments

Scope and applicationU.K.

3.—(1) Subject to paragraph (2), these Regulations apply to—

(a)lifts permanently serving buildings or constructions; and

(b)safety components for use in such lifts.

(2) These Regulations do not apply to—

(a)lifts and safety components for lifts which have been placed on the market [F30before] the commencement date;

(b)the lifts specified in Schedule 2 (excluded lifts); and

(c)safety components for the lifts referred to in paragraph (b).

(3) Nothing in these Regulations regarding the installation of a lift affects the application of the Construction Products Regulations 2013 M7.

Textual Amendments

Marginal Citations

Exception for trade fairs, exhibitions or demonstrationsU.K.

4.  Nothing in these Regulations prevents the showing of a lift or a safety component for lifts, which is not in conformity with Part 2, at a trade fair, exhibition or demonstration, provided that a visible sign clearly indicates that the lift or the safety component for lifts—

(a)is not in conformity with Part 2; and

(b)will not be placed on the market or made available on the market until it is brought into conformity with Part 2.

Lifts where risks are wholly or partly covered by other [F31enactments] E+W+S

5.  These Regulations do not apply to a lift or a safety component for lifts insofar as and to the extent that the essential health and safety requirements relate to risks wholly or partly covered by other specific [F32enactments] applicable to that lift or safety component.

Extent Information

E2This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

Lifts where risks are wholly or partly covered by other [F53NI Protocol obligation] N.I.

5.  These Regulations do not apply to a lift or a safety component for lifts insofar as and to the extent that the essential health and safety requirements relate to risks wholly or partly covered by other specific [F54NI Protocol obligation] applicable to that lift or safety component.

Extent Information

E4This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments