http://www.legislation.gov.uk/id/uksi/2016/1093

PART 1Preliminary

Citation and commencement1

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

E1Interpretation2

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;
F19...
F20...
F21“approved body” has the meaning given to it in regulation 51 (approved bodies);
“authorised representative” means a person established in the F48United 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;
F22...
F23...
“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;
F24“declaration of conformity” means a declaration of conformity required to be drawn up in accordance with—
1. a
  in relation to lifts, regulation 8(1)(a) (declaration of conformity and UK marking: installer); and
2. 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;
F25“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) M5F26(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);
F27...
F28...
F29...
F30“importer” means a person who—
1. 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
2. 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—
1. a
  serving specific levels,
2. 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,
3. c
  intended for the transport of—
  1. i
    persons,
  2. ii
    persons and goods, or
  3. 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 F36market 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—
1. a
  manufactures a safety component for lifts, or has such a safety component designed or manufactured; and
2. 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;
F31...
F32...
F33...
“place on the market” means—
1. a
  make a safety component for lifts available on the F37market of Great Britain for the first time; or
2. b
  supply a lift for use on the F37market 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 339/93M6;
“recall” means—
1. a
  in relation to a lift, any measure aimed at achieving the dismantling and safe disposal of a lift; and
2. 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;
F4“relevant conformity assessment procedure” means—
1. a
  in relation to lifts, a conformity assessment procedure referred to in regulation 47 (conformity assessment procedures for lifts); and
2. 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 F34...;
“technical documentation” has the meaning set out—
1. a
  in relation to lifts, in regulation 7(b) (technical documentation and conformity assessment); or
2. 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;
F35“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.

F181A

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.

F493

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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).

F505

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

E2Interpretation2

1

In these Regulations—

the “1974 Act” means the Health and Safety at Work etc. Act 1974 F11;
the “1978 Order” means the Health and Safety at Work (Northern Ireland) Order 1978 F12;
the “1987 Act” means the Consumer Protection Act 1987 F13;
the “1997 Regulations” means the Lifts Regulations 1997 F14;
“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 F38relevant state, attesting that a conformity assessment body meets the notified body requirements;
“authorised representative” means a person established in the F40relevant 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) F15;
“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—
1. a
  in relation to lifts, regulation 8(1)(a) (EU declaration of conformity and CE marking); and
2. 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 F16 (as amended from time to time);
“importer” means a person who—
1. a
  is established in the F41relevant market; and
2. b
  places a safety component for lifts from a F42market 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—
1. a
  serving specific levels,
2. 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,
3. c
  intended for the transport of—
  1. i
    persons,
  2. ii
    persons and goods, or
  3. 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 F43relevant 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—
1. a
  manufactures a safety component for lifts, or has such a safety component designed or manufactured; and
2. 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—
1. a
  make a safety component for lifts available on the F44relevant market for the first time; or
2. b
  supply a lift for 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;
“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 339/93F17;
“recall” means—
1. a
  in relation to a lift, any measure aimed at achieving the dismantling and safe disposal of a lift; and
2. 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;
F10“relevant conformity assessment procedure” means—
1. a
  in relation to lifts, a conformity assessment procedure referred to in regulation 47 (conformity assessment procedures for lifts); and
2. 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;
F46“relevant market” means—
1. a
  the market in Northern Ireland; and
2. b
  the market of the EEA states;
“relevant state” means—
1. a
  Northern Ireland; or
2. 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—
1. a
  in relation to lifts, in regulation 7(b) (technical documentation and conformity assessment); or
2. 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;
F47“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

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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.

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 F58enactments applicable to that lift or safety component.

E55Lifts where risks are wholly or partly covered by other F59NI Protocol obligation5

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 F60NI Protocol obligation applicable to that lift or safety component.

PART 2Obligations of economic operators

Installers

Design, manufacture, installation and testing in accordance with essential health and safety requirements6

Before placing a lift on the market, an installer must ensure that it has been designed, manufactured, installed and tested in accordance with the essential health and safety requirements.

E53Technical documentation and conformity assessment7

Before placing a lift on the market, an installer must—

a

have a relevant conformity assessment procedure carried out; and

b

draw up the technical documentation referred to—

i

for a lift in respect of which the conformity assessment procedure in regulation 47(1)(a) is being carried out, in point 3 of Part B of Module B in F61Schedule 11;

ii

for a lift in respect of which the conformity assessment procedure in regulation 47(1)(b) or 47(1)(d) is being carried out, in point 3.1(d) of Module H1 in F62Schedule 18;

iii

for a lift in respect of which the conformity assessment procedure in regulation 47(1)(c) is being carried out, in point 3 of Module G in F63Schedule 15.

E54Technical documentation and conformity assessment7

Before placing a lift on the market, an installer must—

a

have a relevant conformity assessment procedure carried out; and

b

draw up the technical documentation referred to—

i

for a lift in respect of which the conformity assessment procedure in regulation 47(1)(a) is being carried out, in point 3 of Part B of Module B in Annex IV to the Directive (as amended from time to time);

ii

for a lift in respect of which the conformity assessment procedure in regulation 47(1)(b) or 47(1)(d) is being carried out, in point 3.1(d) of Module H1 in Annex XI to the Directive (as amended from time to time);

iii

for a lift in respect of which the conformity assessment procedure in regulation 47(1)(c) is being carried out, in point 3 of Module G in Annex VIII to the Directive (as amended from time to time).

E51F64Declaration of conformity and F65UK marking8

E49Retention of technical documentation and EU declaration of conformity9

An installer must keep the technical documentation, the EU declaration of conformity and, where applicable, any approval decision, drawn up in respect of a lift for a period of 10 years beginning on the day on which the lift is placed on the market.

E48Labelling and instructions10

1

Before placing a lift on the market, an installer must—

a

ensure that it is labelled with—

i

the name, registered trade name or registered trade mark of the installer;

ii

a single postal address at which the installer can be contacted; and

iii

the type, batch or serial number of the lift or other element allowing the lift to be identified; and

b

ensure that it is accompanied by the instructions referred to in F2paragraph 7(2) of Schedule 1.

F772

the information referred to in paragraph (1) must be clear, legible and in easily understandable English.

F783

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

E47Labelling and instructions10

1

Before placing a lift on the market, an installer must—

a

ensure that it is labelled with—

i

the name, registered trade name or registered trade mark of the installer;

ii

a single postal address at which the installer can be contacted; and

iii

the type, batch or serial number of the lift or other element allowing the lift to be identified; and

b

ensure that it is accompanied by the instructions referred to in F74paragraph 7(2) of Schedule 1.

2

The information referred to in paragraph (1) above must be—

a

in the case of the information referred to in paragraph (1)(a), in a language that can be easily understood by the end-users and the competent national authority in the F75relevant state in which the lift is to be placed on the market;

b

in the case of the information referred to in paragraph 1(b), in a language which can be easily understood by the end-users in the F75relevant state in which the lift is to be placed on the market; and

c

clear and understandable.

3

Where the lift is to be placed on the market in F76Northern Ireland the language which can be easily understood by end-users is English.

Monitoring of lifts placed on the market11

1

When appropriate, having regard to the risks to the health and safety of end-users presented by a lift, the installer must investigate complaints that lifts installed by it are not in conformity with Part 2.

2

An installer must keep a register and promptly make entries in that register of any—

i

complaints; and

ii

lifts that are not in conformity with Part 2.

3

An installer must keep an entry made in the register for a period of at least 10 years beginning on the day on which the obligation to make the entry arose.

E45Duty to take action in respect of lifts placed on the market which are considered not to be in conformity12

Following a reasoned request from the enforcing authority, and within such period as the enforcing authority may specify, an installer must provide the authority with all the information and documentation necessary to demonstrate that a lift is in conformity with Part 2—

a

E39Retention of technical documentation and EU declaration of conformity18

A manufacturer must keep the technical documentation, the EU declaration of conformity and, where appropriate, any approval decision, drawn up in respect of a safety component for lifts for a period of 10 years beginning on the day on which the safety component for lifts is placed on the market.

E38Labelling and instructions19

1

Before placing a safety component for lifts on the market, a manufacturer must—

a

ensure that it is labelled with—

i

the name, registered trade name or registered trade mark of the manufacturer;

ii

a single postal address at which the manufacturer can be contacted; and

iii

the type, batch or serial number of the safety component for lifts or other element allowing the safety component to be identified;

b

ensure that it is accompanied by the instructions referred to in F3paragraph 7(1) of Schedule 1.

F952

The information referred to in paragraph (1) must be clear, legible and in easily understandable English.

3

Where the size or nature of the safety component for lifts does not allow the information referred to in paragraph (1)(a) to be indicated on the safety component for lifts, that information must be provided on the label referred to in regulation 50(2).

F964

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

E37Labelling and instructions19

1

Before placing a safety component for lifts on the market, a manufacturer must—

a

ensure that it is labelled with—

i

the name, registered trade name or registered trade mark of the manufacturer;

ii

a single postal address at which the manufacturer can be contacted; and

iii

the type, batch or serial number of the safety component for lifts or other element allowing the safety component to be identified;

b

ensure that it is accompanied by the instructions referred to in F93paragraph 7(1) of Schedule 1.

2

The information referred to in paragraph (1) above must be—

a

in the case of the information referred to in paragraph (1)(a), in a language that can be easily understood by the end-users and the competent national authority in the F94relevant state in which the safety component for lifts is to be made available to end-users;

b

in the case of the information referred to in paragraph 1(b), in a language which can be easily understood by the end-users in the F94relevant state in which the safety component for lifts is to be made available to end-users; and

c

clear and understandable.

3

4

Where the safety component for lifts is to be made available to end-users in F97Northern Ireland the language which can be easily understood by end-users is English.

E36Compliance procedures for series production20

When appropriate, having regard to the risks to the health and safety of end-users presented by a safety component for lifts, the manufacturer must—

a

carry out sample testing of safety components for lifts manufactured by it which are made available on the market;

b

investigate complaints that safety components for lifts manufactured by it are not in conformity with Part 2;

c

keep distributors and installers informed of actions carried out under sub-paragraphs (a) and (b).

2

A manufacturer must keep a register and promptly make entries in that register of any—

i

complaints;

ii

safety components for lifts that are not in conformity with Part 2; and

iii

safety component for lifts recalls.

3

A manufacturer must keep an entry made in the register for a period of at least 10 years beginning on the day on which the obligation to make the entry arose.

E34Duty to take action in respect of safety components for lifts placed on the market which are considered not to be in conformity22

6

An installer or a manufacturer who has appointed an authorised representative to perform on their behalf an obligation under these Regulations remains responsible for the proper performance of that obligation.

E32Appointment of authorised representatives24

1

An installer or a manufacturer may, by written mandate, appoint a person as their authorised representative to perform specified tasks on the installer or the manufacturer's behalf.

2

The mandate must allow the authorised representative to do at least the following—

a

in relation to lifts covered by the mandate, perform the installer's obligations under—

i

regulation 9 (retention of technical documentation and EU declaration of conformity); and

ii

regulation 13 (provision of information and cooperation);

b

in relation to safety components for lifts covered by the mandate, perform the manufacturer's obligations under—

i

regulation 18 (retention of technical documentation and EU declaration of conformity); and

ii

regulation 23 (provision of information and cooperation).

3

An installer or manufacturer may not be appointed to perform the installer's or manufacturer's obligations—

a

b

4

5

6

Importers

Prohibition on placing on the market a safety component for lifts which is not in conformity with the essential health and safety requirements25

An importer must not place a safety component for lifts on the market unless it is in conformity with the essential health and safety requirements.

E30Requirements which must be satisfied before an importer places a safety component for lifts on the market26

1

Before placing a safety component for lifts on the market, an importer must ensure that—

a

a relevant conformity assessment procedure has been carried out by the manufacturer;

b

the manufacturer has drawn up the technical documentation;

c

the safety component for lifts—

i

bears the F105UK marking; and

ii

is accompanied by the F106... declaration of conformity and any required labels; and

d

the manufacturer has complied with the requirement in regulation 19 (labelling and instructions).

2

In paragraph 1(c)(ii), “required labels” means any labels that are required to be attached to the safety component for lifts pursuant to regulation 19(3).

E29Requirements which must be satisfied before an importer places a safety component for lifts on the market26

1

Before placing a safety component for lifts on the market, an importer must ensure that—

a

a relevant conformity assessment procedure has been carried out by the manufacturer;

b

the manufacturer has drawn up the technical documentation;

c

the safety component for lifts—

i

bears the CE marking; and

ii

is accompanied by the EU declaration of conformity and any required labels; and

d

the manufacturer has complied with the requirement in regulation 19 (labelling and instructions).

2

In paragraph 1(c)(ii), “required labels” means any labels that are required to be attached to the safety component for lifts pursuant to regulation 19(3).

Prohibition on placing on the market safety components for lifts considered not to be in conformity with the essential health and safety requirements27

1

Where an importer considers, or has reason to believe, that a safety component for lifts is not in conformity with the essential health and safety requirements, the importer must not place the safety component for lifts on the market.

2

Where the safety component for lifts presents a risk, the importer must inform the manufacturer and the market surveillance authority of that risk.

E27Information identifying importer28

1

Before placing a safety component for lifts on the market , an importer must indicate on the safety component for lifts—

a

the name, registered trade name or registered trade mark of the importer; and

b

a postal address at which the importer can be contacted.

2

The information specified in paragraph (1) must be in a language which can be easily understood by end-users and the F108market surveillance authority.

F1093

Paragraph (1) does not apply where—

a

either—

i

it is not possible to set out the information specified in paragraph (1) on the safety component for lifts; or

ii

the importer has imported the safety component from an EEA state or Switzerland and places it on the market within the period of F232seven years beginning with IP completion day; and

b

before placing the safety component for lifts on the market, the importer sets out the information specified in paragraph (1)—

i

on the packaging; or

ii

in a document accompanying the safety component for lifts.

E28Information identifying importer28

1

Before placing a safety component for lifts on the market , an importer must indicate on the safety component for lifts—

a

the name, registered trade name or registered trade mark of the importer; and

b

a postal address at which the importer can be contacted.

2

The information specified in paragraph (1) must be in a language which can be easily understood by end-users and the competent national authority in the F107relevant state in which the safety component for lift is to be made available to such end-users.

3

Where it is not possible to indicate the information specified in paragraph (1) on the safety component for lifts, the importer must indicate that information—

a

on the packaging; or

b

in a document accompanying the safety component for lifts.

E25Instructions29

F1131

When placing a safety component for lifts on the market, an importer must ensure that it is accompanied by the instructions referred to in paragraph 7 of Schedule 1 and that they are clear, legible and in easily understandable English.

F1142

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

E26Instructions29

1

When placing a safety component for lifts on the market, an importer must ensure that it is accompanied by the instructions referred to in F110paragraph 7 (1) of Schedule 1 in a language which can be easily understood by end-users in the F111relevant state in which the safety component for lifts is to be made available to such end-users.

2

Where the safety component for lifts is being made available to end-users in F112Northern Ireland, the language which can be easily understood by end-users is English.

Storage and transport30

Where an importer has responsibility for a safety component for lifts, the importer must ensure that the conditions under which the safety component for lifts is stored or transported do not jeopardise its conformity with the essential health and safety requirements.

Monitoring of safety components for lifts made available on the market31

1

When appropriate, having regard to the risks to the health and safety of end-users presented by a safety component for lifts, the importer must—

a

carry out sample testing of safety components for lifts made available on the market by the importer;

b

investigate complaints that safety components for lifts made available on the market by the importer are not in conformity with Part 2;

c

keep distributors and installers informed of any actions carried out under sub-paragraphs (a) and (b).

2

An importer must keep a register and must promptly make entries in that register of any—

i

complaints;

ii

safety components for lifts that are not in conformity with Part 2; and

iii

safety components for lifts recalls.

3

An importer must keep an entry made in the register for a period of at least 10 years beginning on the day on which the obligation to make the entry arose.

keep a copy of the EU declaration of conformity and, where applicable, any approval decision, at the disposal of enforcing authorities; and

b

ensure that the technical documentation can be made available to enforcing authorities, upon request.

Provision of information and cooperation34

1

Following a reasoned request from the enforcing authority, and within such period as the enforcing authority may specify, an importer must provide the authority with all the information and documentation necessary to demonstrate that a safety component for lifts is in conformity with Part 2—

a

in paper or electronic form; and

b

in a language that can be easily understood by the enforcing authority.

2

An importer must, at the request of the enforcing authority, cooperate with the authority on any action taken to—

a

evaluate a safety component for lifts in accordance with regulation 64 (evaluation of lifts or safety components for lifts presenting a risk); or

b

eliminate the risks posed by a safety component for lifts which the importer has placed on the market.

Cases in which obligations of manufacturers apply to importers35

1

An economic operator who would, but for this regulation, be considered an importer (“A”), is to be considered a manufacturer for the purposes of these Regulations and is subject to the relevant obligations of the manufacturer under this Part, where A—

a

places a safety component for lifts on the market under A's own name or trademark; or

b

modifies a safety component for lifts already placed on the market in such a way that it may affect whether the safety component for lifts is in conformity with Part 2.

Distributors

Duty to act with due care36

When making a safety component for lifts available on the market, a distributor must act with due care to ensure that it is in conformity with Part 2.

E21Requirements which must be satisfied before a distributor makes a safety component for lifts available on the market37

1

Before making a safety component for lifts available on the market, the distributor must ensure that—

a

the safety component for lifts—

i

bears the F121UK marking;

ii

is accompanied by the F122... declaration of conformity and the required documents; and

F120iii

is accompanied by the instructions referred to in paragraph 7 of Schedule 1 and that they are clear, legible and in easily understandable English;

b

the manufacturer has complied with the requirements set out in regulation 19 (labelling and instructions); and

c

the importer has complied with the requirements set out in regulation 28 (information identifying importer).

F1232

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3

In paragraph 1(a)(ii), “required documents” means any labels or documents that are required to be provided with the safety component for lifts pursuant to—

a

regulation 19(3); and

b

regulation 28(3).

E22Requirements which must be satisfied before a distributor makes a safety component for lifts available on the market37

1

Before making a safety component for lifts available on the market, the distributor must ensure that—

a

the safety component for lifts—

i

bears the CE marking;

ii

is accompanied by the EU declaration of conformity and the required documents; and

iii

is accompanied by the instructions referred to in F117paragraph 7(1) of Schedule 1 in a language which can be easily understood by end-users in the F118relevant state in which the safety component for lifts is to be made available on the market;

b

1

In this regulation, any reference to an Article or an Annex is a reference to an Article of or an Annex to the Directive.

2

Paragraph (3) applies where, prior to the manufacture of a safety component, the manufacturer ensures that the conformity assessment procedure set out in Annex IV, Part A and referred to in Article 15(a) and (b) as EU-type examination, has been carried out in relation to a model of the safety component in accordance with Article 15(a) or (b).

3

Where this paragraph applies—

a

the requirement in regulation 48(a) or (b) to submit the model of the safety component for the conformity assessment procedure referred to in that regulation as Type examination is to be treated as being satisfied;

b

any reference to “relevant conformity assessment procedure” in regulations 16(a), 17(1), 26(1)(a), 45(1)(b) and 49(b) is to be read as including the conformity assessment procedure referred to in Article 15(a) or (b) as EU-type examination; and;

c

any reference to “technical documentation” in regulations 16(b), 18, 26(1)(b) and 33(b) is to be read as including the technical documentation relating to the design of the safety component referred to in Annex IV, Part A.

4

Paragraph (5) applies where, a lift is designed and manufactured in accordance with a model lift that has undergone the conformity assessment procedure set out in Annex IV, Part B, referred to in Article 16(1)(a) as EU-type examination.

5

Where this paragraph applies—

a

the condition in regulation 47(1)(a) that the lift is designed and manufactured in accordance with a model lift which has undergone a Type examination set out in Part B of Schedule 11, is to be treated as being satisfied;

b

any reference to “relevant conformity assessment procedure” in regulations 7(a), 8(1), 45(1)(b) and 49(b) is to be read as including the conformity assessment procedure set out in Annex IV, Part B and referred to in Article 16(1)(a) as EU-type examination; and

c

any reference to “technical documentation” in regulations 7(b) and 9 is to be read as including the technical documentation relating to the design of the lift referred to in Annex IV, Part B.

Expiry of regulations 45A and 45B45C

1

1

Where paragraph (2) applies a safety component for lifts is to be treated as being in conformity with Part 2.

2

This paragraph applies where—

a

a safety component for lifts—

i

is in conformity with Part 2, as that Part applies in Northern Ireland; and

ii

is qualifying Northern Ireland goods; and

b

an importer has complied with the obligations set out in paragraph (3).

3

The obligations referred to in paragraph (2)(b) are that, before placing the safety component for lifts on the market, the importer—

a

complies with regulation 28;

b

ensures that—

i

the relevant conformity assessment procedure has been carried out in accordance with Part 3, as that Part applies in Northern Ireland;

ii

the manufacturer has drawn up the technical documentation; and

iii

the safety component bears the CE marking.

4

In this regulation—

“CE marking” has the meaning given to it in regulation 2(1), as it applies in Northern Ireland;
“qualifying Northern Ireland goods” has the meaning given to it in regulations made under section 8C(6) of the European Union (Withdrawal) Act 2018;
“technical documentation” means the documentation a manufacturer must draw up in accordance with regulation 16(b), as it applies in Northern Ireland.

PART 3Conformity assessment

i

final inspection for lifts set out in F136Schedule 12;

ii

conformity to type based on product quality assurance for lifts set out in F137Schedule 17;

iii

conformity to type based on production quality assurance for lifts set out in F138Schedule 19;

b

if the lift is designed and manufactured under a quality assurance system approved in accordance with F139Schedule 18—

i

final inspection for lifts set out in F140Schedule 12;

ii

conformity to type based on product quality assurance for lifts set out in F141Schedule 17;

iii

conformity to type based on production quality assurance for lifts set out in F142Schedule 19;

c

conformity based on unit verification for lifts set out in F143Schedule 15;

d

conformity based on full quality assurance plus design examination for lifts set out in F144Schedule 18.

2

Where one of the procedures in paragraph (1)(a) or (1)(b) is carried out and the person responsible for the design and manufacture of the lift and the person responsible for the installation and testing of the lift are not the same person, the former must supply to the latter all the necessary documents and information to enable the latter to ensure the correct and safe installation and testing of the lift.

3

Where one of the procedures in paragraph (1)(a) is carried out, the installer must ensure that all permitted variations between the model lift and the lifts derived from the model lift are clearly specified (with maximum and minimum values) in the technical documentation referred to in regulation 7(b).

4

When using the F5any of the procedures in paragraph (1), in order to demonstrate the conformity of a lift with the essential health and safety requirements, the installer may demonstrate the similarity of a range of equipment—

a

by calculation;

b

on the basis of design plans; or

c

using both of the methods specified in sub-paragraphs (a) and (b).

in relation to safety components for lifts, in Part 2 of Schedule 5.

by the notified body itself; or

b

under the instructions of the F155approved body, by the installer or the installer's authorised representative or by the manufacturer or the manufacturer's authorised representative.

by the notified body itself; or

b

under the instructions of the notified body, by the installer or the installer's authorised representative or by the manufacturer or the manufacturer's authorised representative.

F9UK(NI) indication50A

1

Where the CE marking is affixed on the basis of an assessment or a certificate issued by a notified body established in the United Kingdom, a UK(NI) indication must be affixed in relation to the lift or safety component, in accordance with this regulation.

2

The UK(NI) indication must be affixed—

a

visibly, legibly and indelibly; and

b

before a lift or safety component is placed on the market in Northern Ireland.

3

The UK(NI) indication must accompany the CE marking, wherever that is affixed in accordance with regulation 50.

4

The UK(NI) indication must be affixed by—

a

the manufacturer; or

b

the manufacturer's authorised representative.

5

When placing a lift or safety component on the market in Northern Ireland, an importer must ensure that the manufacturer has complied with their obligations under this regulation.

Register of notified bodies established in the United Kingdom50B

1

The Secretary of State must ensure that—

a

each notified body established in the United Kingdom is assigned an identification number; and

b

there is a register of—

i

notified bodies established in the United Kingdom;

ii

their notified body identification number;

iii

the activities for which they have been notified;

iv

any restrictions on those activities.

2

The Secretary of State must ensure that the register referred to in paragraph (1) is maintained and made publicly available.

3

The Secretary of State may authorise the United Kingdom Accreditation Service to compile and maintain the register in accordance with paragraph (1)(b).

F6PART 4F6Notification of conformity assessment bodiesF6Approval of Conformity Assessment Bodies

Annotations:

Amendments (Textual)

Pt. 4 substituted (E.W.S.) (31.12.2020) by The Product Safety and Metrology etc. (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/696), reg. 1, Sch. 22 para. 31 (with Sch. 22 para. 37) (as amended by S.I. 2020/676, regs. 1(1), 2 and S.I. 2020/852, regs. 2(2), 4(2), Sch. 1 para. 1(k)(iv)(v)); 2020 c. 1, Sch. 5 para. 1(1)

E4Approved bodies51

1

An approved body is a conformity assessment body which—

a

has been approved by the Secretary of State pursuant to the procedure set out in regulation 52 (approval of conformity assessment bodies); or

b

immediately before IP completion day was a notified body in respect of which the Secretary of State had taken no action under regulation 57(1) or (2) as they had effect immediately before IP completion day to suspend or withdraw the body's status as a notified body.

2

Paragraph (1) has effect subject to regulation 55 (restriction, suspension or withdrawal of approval).

3

In this Part—

“notified body” means a body—
1. a
  which the Secretary of State had before IP completion day notified to the European Commission and the member State of the European Union, in accordance with Article 20 of the Directive; and
2. b
  in respect of which no objections had been raised, as referred to in regulation 51(1)(b), as it had effect immediately before IP completion day; and
“approved body requirements” means the requirements set out in Schedule 4.

1

The Secretary of State may approve only those conformity assessment bodies that qualify for approval.

2

A conformity assessment body qualifies for approval if the first and second conditions below are met.

3

The first condition is that the conformity assessment body has applied to the Secretary of State to become an approved body and that application is accompanied by—

a

a description of—

i

the conformity assessment activities that the conformity assessment body intends to carry out;

ii

the relevant conformity assessment procedure in respect of which the conformity assessment body claims to be competent;

iii

the product in respect of which the conformity assessment body claims to be competent, where “product” has the meaning given to it in Regulation 2A(8); and

b

either—

i

an accreditation certificate; or

ii

the documentary evidence necessary for the Secretary of State to verify, recognise and regularly monitor the conformity assessment body's compliance with the approved body requirements.

4

The second condition is that the Secretary of State is satisfied that the conformity assessment body meets the approved body requirements.

5

For the purposes of paragraph (4), the Secretary of State may accept an accreditation certificate, provided in accordance with paragraph (3)(b), as sufficient evidence that the conformity assessment body meets the approved body requirements.

6

When deciding whether to approve a conformity assessment body that qualifies for approval, the Secretary of State may–

a

have regard to any other matter which appears to the Secretary of State to be relevant; and

b

set conditions that the conformity assessment body must meet.

7

For the purposes of this regulation “accreditation certificate” means a certificate, issued by the UK national accreditation body, attesting that a conformity assessment body meets the approved body requirements.

E13Notification52

1

The Secretary of State may notify to the European Commission and other F175 relevant states only those conformity assessment bodies that qualify for notification.

2

A conformity assessment body qualifies for notification if the first and second conditions below are met.

3

The first condition is that the conformity assessment body has applied to the Secretary of State to become a notified body and the application is accompanied by—

a

a description of—

i

the conformity assessment activities that the conformity assessment body intends to carry out;

ii

the conformity assessment procedures for which the conformity assessment body claims to be competent; and

iii

the lift or safety component for lifts for which the conformity assessment body claims to be competent; and either

b

an accreditation certificate; or

c

the documentary evidence necessary for the Secretary of State to verify, recognise and regularly monitor the conformity assessment body's compliance with the notified body requirements.

4

The second condition is that the Secretary of State is satisfied that the conformity assessment body meets the notified body requirements.

5

6

When deciding whether to notify a conformity assessment body that qualifies for notification to the European Commission and the other F175 relevant states, the Secretary of State may—

a

have regard to any other matter which appears to the Secretary of State to be relevant; and

b

set conditions that the conformity assessment body must meet.

7

The Secretary of State must inform the European Commission of the United Kingdom's procedures for assessment and notification of conformity assessment bodies, and any changes to those procedures.

E6Presumption of conformity of approved bodies53

1

Where a conformity assessment body demonstrates its conformity with the criteria laid down in a designated standard (or part of such standard), the Secretary of State is to presume that the conformity assessment body meets the approved body requirements covered by that standard (or that part of that standard).

2

The presumption in paragraph (1) is rebuttable.

1

Where the Secretary of State determines that an approved body—

a

no longer meets an approved body requirement, or

b

is failing to fulfil its obligations under these Regulations, other than a condition referred to in regulation 54(b),

the Secretary of State must restrict, suspend or withdraw the body's status as an approved body under regulation 51 (approved bodies).

2

Where the Secretary of State determines that an approved body no longer meets a condition referred to in regulation 54(b), the Secretary of State may restrict, suspend or withdraw the body's status as an approved body under regulation 51.

3

In deciding what action is required under paragraph (1) or (2), the Secretary of State must have regard to the seriousness of the non-compliance.

4

Before taking action under paragraph (1) or (2), the Secretary of State must—

a

give notice in writing to the approved body of the proposed action and the reasons for it;

b

give the approved body an opportunity to make representations to the Secretary of State regarding the proposed action within a reasonable period from the date of the notice; and

c

consider any such representations made by the approved body.

5

Where the Secretary of State has taken action in respect of an approved body under paragraph (1) or (2), or where an approved body has ceased its activity, the approved body must, at the request of the Secretary of State—

a

transfer its files relating to the activities it has undertaken as an approved body to another approved body or to the Secretary of State; or

b

keep its files relating to the activities it has undertaken as an approved body available for the Secretary of State and market surveillance authorities for a period of 10 years from the date they were created.

6

The activities undertaken as an approved body referred to in paragraph (5) include any activities that the body has undertaken as a notified body.

E16Restriction, suspension or withdrawal of approval55

1

The Secretary of State must monitor each notified body with a view to verifying that the notified body—

a

continues to meet the notified body requirements;

b

meets any conditions set in accordance with regulation 52(6)(b); and

c

carries out its functions in accordance with these Regulations.

2

The Secretary of State must inform the European Commission of the United Kingdom's procedures for the monitoring of notified bodies, and any changes to those procedures.

assessing whether a conformity assessment body meets the notified body requirements; and

b

monitoring notified bodies (in accordance with regulation 55).

E7Subsidiaries and contractors57

1

An approved body may subcontract specific conformity assessment activities, or use a subsidiary to carry out such activities provided—

a

the body is satisfied that the subcontractor or subsidiary meets the approved body requirements;

b

the body has informed the Secretary of State that it is satisfied that the subcontractor or subsidiary meets those requirements; and

c

the economic operator for whom the activities are to be carried out has consented to the activities being carried out by that person.

2

The approved body which subcontracts specific conformity assessment activities or uses a subsidiary to carry out such activities remains responsible for the proper performance of those activities (irrespective of where the subcontractor or subsidiary is established).

3

Where an approved body subcontracts, or uses a subsidiary to carry out, a specific conformity assessment activity, the approved body must, for a period of 10 years beginning on the day on which the activity is first carried out, keep available for inspection by the Secretary of State all relevant documentation concerning—

a

the assessment of the qualifications of the subcontractor or the subsidiary; and

b

the conformity assessment activity carried out by the subcontractor or subsidiary.

4

In this regulation “subsidiary” has the meaning given to it in section 1159 of the Companies Act 2006.

in the absence of a request under sub-paragraph (a), ensure that its files relating to the activities it has undertaken as a notified body are kept available for the Secretary of State and each enforcing authority for a period of 10 years beginning on the day on which the relevant document was created.

E14Register of approved bodies58

1

The Secretary of State must—

a

assign an approved body identification number to each approved body; and

b

compile and maintain a register of—

i

approved bodies;

ii

their approved body notification numbers;

iii

the activities for which they have been approved; and

iv

any restrictions on those activities.

2

The register referred to in paragraph (1) must be made publicly available.

E19Register of approved bodies58

When a notified body carries out a relevant conformity assessment procedure, Schedule 6 has effect (operational obligations of notified bodies).

E18UK national accreditation body59

The Secretary of State may authorise the UK national accreditation body to carry out the following activities on behalf of the Secretary of State—

a

assessing whether a conformity assessment body meets the approved body requirements;

b

monitoring approved bodies in accordance with regulation 54; and

c

compiling and maintaining the register of approved bodies, in accordance with regulation 58.

E11Subsidiaries and contractors59

b

in relation to lifts for private use and consumption or safety components for such lifts, the Secretary of State,

is the market surveillance authority.

2

In Northern Ireland, the Department is the market surveillance authority.

3

The Secretary of State and the Department may appoint a person to act on their behalf for the purposes of market surveillance under these Regulations and RAMS (in its application to lifts and safety components for lifts).

Enforcement61

1

The market surveillance authority must enforce these Regulations, and RAMS in its application to lifts and safety components for lifts, or ensure that they are enforced.

2

The Secretary of State and the Department may appoint a person to act on their behalf for the purposes of enforcing these Regulations and RAMS in its application to lifts and safety components for lifts.

3

Where the enforcing authority is not also the market surveillance authority, the enforcing authority must notify the market surveillance authority of the proposed action.

4

In Scotland, only the Lord Advocate may commence proceedings for an offence.

Enforcement powers62

1

Schedule 7 (enforcement powers of the Secretary of State and the Department under the 1987 Act) is to have effect where the enforcing authority is the Secretary of State or in relation to lifts for private use and consumption or safety components for such lifts, the Department.

2

Schedule 8 (enforcement powers of the Health and Safety Executive under the 1974 Act) is to have effect where the enforcing authority is the Health and Safety Executive.

3

Schedule 9 (enforcement powers of the Department under the 1978 Order) is to have effect where the enforcing authority is the Department in relation to lifts for use in the work place or safety components for such lifts.

4

In addition to the powers available to an enforcing authority under paragraph (1), (2) or (3), the authority may use the powers set out in Schedule 10 (compliance, withdrawal and recall notices).

E72Exercise of enforcement powers63

When enforcing these Regulations, the enforcing authority must exercise its powers in a manner which is consistent with—

a

regulation 64 (evaluation of lifts or safety components for lifts presenting a risk);

b

regulation 65 (enforcement action in respect of lifts or safety components for lifts which are not in conformity and which present a risk);

F177c

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

d

regulation 67 (enforcement action in respect of lifts or safety components for lifts which are in conformity, but present a risk);

e

regulation 68 (enforcement action in respect of formal non-compliance); and

f

regulation 69 (restrictive measures).

E71Exercise of enforcement powers63

When enforcing these Regulations, the enforcing authority must exercise its powers in a manner which is consistent with—

a

regulation 64 (evaluation of lifts or safety components for lifts presenting a risk);

b

regulation 65 (enforcement action in respect of lifts or safety components for lifts which are not in conformity and which present a risk);

c

regulation 66 (EU safeguard procedure);

d

regulation 67 (enforcement action in respect of lifts or safety components for lifts which are in conformity, but present a risk);

e

regulation 68 (enforcement action in respect of formal non-compliance); and

f

regulation 69 (restrictive measures).

Evaluation of lifts or safety components for lifts presenting a risk64

1

Where the market surveillance authority has sufficient reason to believe that a lift or safety component for lifts presents a risk, the market surveillance authority must carry out an evaluation in relation to the lift or the safety component for lifts covering the relevant requirements of Part 2 applying in respect of that lift or safety component for lifts.

2

Where an enforcing authority other than the market surveillance authority has sufficient reason to believe that a lift or safety component for lifts presents a risk, that enforcing authority must carry out an evaluation in relation to the lift or the safety component for lifts covering the relevant requirements of Part 2 applying in respect of that lift or safety component for lifts.

reasonable and commensurate with the nature of the risk presented by the lift or safety component for lifts.

E70Enforcement action in respect of lifts and safety components for lifts which are not in conformity and which present a risk65

1

Where, in the course of the evaluation referred to in regulation 64, an enforcing authority finds that—

prescribed by the enforcing authority; and

b

reasonable and commensurate with the nature of the risk presented by the lift or safety component for lifts.

~~Where the market surveillance authority is not the Secretary of State and it has taken action under paragraph (3) or (4), it must inform the Secretary of State.~~

6

~~Where the Secretary of State receives notification under paragraph (5), or has taken action under paragraphs (3) or (4), the Secretary of State must inform the European Commission of the action taken~~ ~~F204 in respect of Northern Ireland~~.

F2057

~~. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .~~

E68Enforcement action in respect of lifts and safety components for lifts which are in conformity, but present a risk67

a

prescribed by the enforcing authority; and

b

reasonable and commensurate with the nature of the risk presented by the lift or the safety component for lifts.

ii

withdraw a safety component for lifts; or

iii

recall a safety component for lifts.

Offences70

1

It is an offence for a person to contravene or fail to comply with any requirement of regulation 6 to 12, 13(2), 14 to 22, 23(2), 25 to 33, 34(2), 36 to 40, 41(2), 44 or 45.

2

It is an offence for any person to contravene or fail to comply with any requirement of a withdrawal or recall notice served on that person by an enforcing authority under these Regulations.

E64Penalties71

1

Subject to paragraph (2), a person guilty of an offence under regulation 70 is liable on summary conviction—

a

in England and Wales, to a fine or imprisonment for a term not exceeding 3 months or to both;

b

in Scotland and Northern Ireland, to a fine not exceeding level 5 on the standard scale or imprisonment for a term not exceeding 3 months or to both.

2

A person guilty of an offence under regulation 9, 13(2), 18, 23(2), 34(2) or 41(2) is liable on summary conviction —

a

in England and Wales, to a fine;

b

in Scotland or Northern Ireland, to a fine not exceeding the level 5 on the standard scale.

E63Penalties71

1

Subject to paragraph (2) F219and (3), a person guilty of an offence under regulation 70 is liable on summary conviction—

a

in England and Wales, to a fine or imprisonment for a term not exceeding 3 months or to both;

b

in Scotland and Northern Ireland, to a fine not exceeding level 5 on the standard scale or imprisonment for a term not exceeding 3 months or to both.

2

A person guilty of an offence under regulation 9, 13(2), 18, 23(2), 34(2) or 41(2) is liable on summary conviction —

a

in England and Wales, to a fine;

b

in Scotland or Northern Ireland, to a fine not exceeding the level 5 on the standard scale.

F2183

A person guilty of an offence under regulation 70(2) insofar as the requirement relates to a UK(NI) indication is liable on summary conviction to a fine not exceeding level 5 on the standard scale.

to the act or default of another person; or

b

to reliance on information supplied by another person.

Liability of persons other than principal offender73

1

Where the commission of an offence by one person (“A”) under regulation 70 is due to anything which another person (“B”) did or failed to do in the course of business, B is guilty of the offence and may be proceeded against and punished, whether or not proceedings are taken against A.

2

Where a body corporate commits an offence, a relevant person is also guilty of the offence where the body corporate's offence was committed—

a

with the consent or connivance of the relevant person; or

b

as a result of the negligence of the relevant person.

3

In paragraph (2), “relevant person” means—

a

a director, manager, secretary or other similar officer of the body corporate;

b

in relation to a body corporate managed by its members, a member of that body corporate performing managerial functions;

c

in relation to a Scottish partnership, a partner; or

d

a person purporting to act as a person described in sub-paragraphs (a), (b) or (c).

Time limit for prosecution of offences74

1

In England and Wales, an information relating to an offence under regulation 70 may be so tried if it is laid within 12 months after the date on which evidence sufficient in the opinion of the prosecutor to justify the proceedings comes to the knowledge of the prosecutor.

2

In Scotland—

a

summary proceedings for an offence under regulation 70 may be commenced before the end of 12 months after the date on which evidence sufficient in the Lord Advocate's opinion to justify the proceedings came to the Lord Advocate's knowledge; and

b

section 136(3) of the Criminal Procedure (Scotland) Act 1995 M8 (time limit for certain offences) applies for the purpose of this paragraph as it applies for the purpose of that section.

3

In Northern Ireland summary proceedings for an offence under regulation 70 may be instituted within 12 months after the date on which evidence sufficient in the opinion of the prosecutor to justify proceedings comes to the knowledge of the prosecutor.

4

No proceedings may be brought more than 3 years after the commission of the offence.

5

For the purposes of this regulation a certificate of the prosecutor (or in Scotland, the Lord Advocate) as to the date on which the evidence referred to paragraphs (1), (2) or (3) came to light, is conclusive evidence.

6

This regulation has effect subject to—

a

in England and Wales and Scotland, paragraphs 1(o) and 2(n) of Schedule 8 (enforcement powers of the Health and Safety Executive under the 1974 Act);

b

in Northern Ireland, paragraphs 1(o) and 2(n) of Schedule 9 (enforcement powers of the Department under the 1978 Order).

Service of documents75

1

Any document required or authorised by these Regulations to be served on a person may be served by—

a

delivering it to that person in person;

b

leaving it at that person's proper address; or

c

sending it by post or electronic means to that person's proper address.

2

In the case of a body corporate, a document may be served on a director of that body.

3

In the case of a partnership, a document may be served on a partner or a person having control or management of the partnership business.

4

For the purposes of this regulation, “proper address” means—

a

in the case of a body corporate or its director—

i

the registered or principal office of that body; or

ii

the email address of the secretary or clerk of that body;

b

in the case of a partnership, a partner or person having control or management of the partnership business—

i

the principal office of the partnership; or

ii

the email address of a partner or person having that control or management;

c

in any other case, a person's last known address, which includes an email address.

5

If a person to be served with a document has specified an address in the United Kingdom (other than that person's proper address) at which that person or someone on that person's behalf will accept service, that address must also be treated as that person's proper address.

6

In this regulation, “partnership” includes a Scottish partnership.

Recovery of expenses of enforcement76

1

This regulation applies where a person commits an offence under regulation 70.

2

The court may (in addition to any other order it may make as to costs or expenses) order the person to reimburse the enforcing authority for any expenditure which the enforcing authority has incurred in investigating the offence.

Action by enforcing authority77

1

An enforcing authority may itself take action which an economic operator could have been required to take by a notice served under these Regulations where the conditions for serving such a notice are met and either—

a

the enforcing authority has been unable to identify any economic operator on whom to serve such a notice; or

b

the economic operator on whom such a notice has been served has failed to comply with it.

2

If the enforcing authority has taken action as a result of the condition in paragraph (1)(b) being met, the authority may recover from the economic operator, as a civil debt, any costs or expenses reasonably incurred by the enforcing authority in taking the action.

3

A civil debt recoverable under paragraph (2) may be recovered summarily—

a

in England and Wales by way of a complaint pursuant to section 58 of the Magistrates' Courts Act 1980 M9;

b

in Northern Ireland in proceedings under article 62 of the Magistrates' Courts (Northern Ireland) Order 1981 M10.

a compliance notice served in accordance with Schedule 10 (compliance, withdrawal and recall notices);

v

a withdrawal notice served in accordance with Schedule 10;

vi

a recall notice served in accordance with Schedule 10.

Appropriate court for appeals against notices79

1

In England and Wales or Northern Ireland, the appropriate court for the purposes of regulation 78 is—

a

the court in which proceedings have been brought in relation to the lift or the safety component for lifts for an offence under regulation 70 (offences);

b

an employment tribunal seized of appeal proceedings against a notice which relates to the lift or the safety component for lifts and which has been served under or by virtue of paragraph 1 of Schedule 8 (enforcement powers of the Health and Safety Executive under the 1974 Act);

c

5

Reports under this regulation are afterwards to be published at intervals not exceeding 5 years.

E62Review81

1

The Secretary of State must from time to time—

a

carry out a review of these Regulations;

b

set out the conclusions of the review in a report; and

c

publish the report.

2

In carrying out the review the Secretary of State must, so far as is reasonable, have regard to how the Directive is implemented in other F220relevant states.

3

The report must, in particular—

a

set out the objectives intended to be achieved by the regulatory system established by these Regulations;

b

assess the extent to which those objectives are achieved; and

c

assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved by a system that imposes less regulation.

4

The first report under this regulation must be published before the end of the period of five years beginning on the commencement date.

5

Reports under this regulation are afterwards to be published at intervals not exceeding 5 years.

E59Transitional provisions82

1

For the purposes of these Regulations, a certificate or approval decision issued by a notified body under the 1997 Regulations, or any enactment of another member State which implemented the 1995 Directive, is to be treated as a certificate or approval decision issued under the Directive.

2

In this regulation, “1995 Directive” means Directive 95/16/EC of the European Parliament and of the Council on the approximation of the laws of the member States relating to lifts M11.

F2213

F237In paragraphs (4) to (8)—

“pre-exit period” means the period beginning with the commencement date and ending immediately before IP completion day;
“product” means a lift or a safety component to lifts to which these Regulations apply.

4

Subject to paragraph (5), where a product was made available on the market during the pre-exit period, despite the amendments made by Schedule 22 to the Product Safety and Metrology etc. (Amendment etc.) (EU Exit) Regulations 2019, any obligation to which a person was subject under these Regulations as they had effect immediately before IP completion day, continues to have effect as it did immediately before IP completion day, in relation to that product.

5

Paragraph (4) does not apply to—

a

any obligation of any enforcing authority to inform the European Commission or the member States of any matter; or

in any event, after 31st December 2027.

E60Transitional provisions82

1

2

In this regulation, “1995 Directive” means Directive 95/16/EC of the European Parliament and of the Council on the approximation of the laws of the member States relating to lifts.

E57Consequential revocations, savings and amendments83

1

Subject to paragraph (2), the 1997 Regulations are revoked.

2

F230Subject to the modifications made in paragraph (3A), the 1997 Regulations continue to apply, as if they had not been revoked, to lifts and safety components for lifts placed on the market before the commencement date.

3

Accordingly, despite their repeal by paragraph (12)—

a

the entry in paragraph 3(3) of Schedule 5 to the Consumer Rights Act 2015 M12;

b

the entries in paragraph 9(3) of that Schedule; and

c

ii

for “relevant products (within the meaning of Schedule 15 to the Regulations) for private use and consumption”, substitute “ lifts for private use and consumption and safety components for such lifts ”;

c

in paragraph 10—

i

omit the entry “paragraph 2(a) or 3(1) of Schedule 15 to the Lifts Regulations 1997 (SI 1997/831)”; and

ii

at the appropriate place, insert—

regulation 61(1) or (2) of the Lifts Regulations 2016 (SI 2016/1093);

E58Consequential revocations, savings and amendments83

1

7

8

The Lifting Operations and Lifting Equipment Regulations 1998 F225 are amended as follows—

a

b

in regulation 9(1)(b), for “the Lifts Regulations 1997”, substitute “ the Lifts Regulations 2016 ”.

9

The Lifting Operations and Lifting Equipment Regulations (Northern Ireland) 1999 F226 are amended as follows—

a

b

in regulation 9(1)(b), for “the Lifts Regulations 1997”, substitute “ the Lifts Regulations 2016 ”.

10

In regulation 3(2)(a) of the Cableway Installations Regulations 2004 F227, for “the Lifts Regulations 1997”, substitute “ the Lifts Regulations 2016 ”.

11

In Schedule 1 to the Enterprise Act 2002 (Part 9 Restrictions on Disclosure of Information Specification) Order 2004 F228, for “Lifts Regulations 1997”, substitute “ Lifts Regulations 2016 ”.

12

Subject to paragraph (3), Schedule 5 to the Consumer Rights Act 2015 is amended as follows—

a

in paragraph 3(3), for “paragraph 3(1) of Schedule 15 to the Lifts Regulations 1997 (SI 1997/831)”, substitute “ regulation 61(1) and (2) of the Lifts Regulations 2016 (SI 2016/1093) ”;

b

in paragraph 9(3)—

i

for “Lifts Regulations 1997 (SI 1997/831)”, substitute “ Lifts Regulations 2016 (SI 2016/1093) ”;

ii

c

in paragraph 10—

i

omit the entry “paragraph 2(a) or 3(1) of Schedule 15 to the Lifts Regulations 1997 (SI 1997/831)”; and

ii

at the appropriate place, insert—

regulation 61(1) or (2) of the Lifts Regulations 2016 (SI 2016/1093);

Margot James Parliamentary Under Secretary of State, Minister for Small Business, Consumers and Corporate Responsibility Department for Business, Energy and Industrial Strategy