Search Legislation

Advanced Search

The Lifts Regulations 2016

Help about what version

What Version

Help about advanced features

Advanced Features

Changes to legislation:

There are outstanding changes not yet made by the legislation.gov.uk editorial team to The Lifts Regulations 2016. Any changes that have already been made by the team appear in the content and are referenced with annotations. Help about Changes to Legislation

Close

Changes to Legislation

Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the legislation in the affected provisions. Use the ‘more’ link to open the changes and effects relevant to the provision you are viewing.

View outstanding changes

Changes and effects yet to be applied to :

  • Sch. 4 para. 1 substituted by S.I. 2024/504 reg. 9
  • reg. 2(1) words substituted by S.I. 2019/696 Sch. 22 para. 2(2)(d) (This amendment not applied to legislation.gov.uk. Sch. 22 para. 2(2)(d) omitted immediately before IP completion day by virtue of S.I. 2020/1460, reg. 1(4), Sch. 3 para. 3)
  • reg. 2(1) words substituted by S.I. 2019/696 Sch. 22 para. 2(2)(n) (This amendment not applied to legislation.gov.uk. Sch. 22 para. 2(2)(n) substituted immediately before IP completion day by S.I. 2020/676, regs. 1(1), 4(10)(a))
  • reg. 2(1) words substituted by S.I. 2019/696 Sch. 22 para. 2(2)(r) (This amendment not applied to legislation.gov.uk. Sch. 22 para. 2(2)(r) substituted immediately before IP completion day by S.I. 2020/676, regs. 1(1), 4(10)(b))
  • reg. 2(1) words substituted in earlier amending provision S.I. 2019/696, Sch. 22 para. 2(2)(d) by S.I. 2020/852 reg. 4(2) Sch. 1 para. 1(k)(i) (This amendment not applied to legislation.gov.uk. Sch. 1 para. 1(k)(i) omitted immediately before it comes into force by virtue of S.I. 2020/1460, regs. 1(3), Sch. 4 para. 1(3))
  • reg. 50 word substituted by S.I. 2019/696 Sch. 22 para. 30(3) (This amendment not applied to legislation.gov.uk. Sch. 22 para. 30(3) substituted immediately before IP completion day by S.I. 2020/1460, reg. 1(4), Sch. 3 para. 14(4)(a))

Regulation 2(1)

SCHEDULE 1U.K.Essential Health and Safety Requirements

Preliminary remarksE+W+S

1.—(1) Obligations under essential health and safety requirements apply only where the corresponding risk exists for the lift or safety component for lifts in question when used as intended by the installer or the manufacturer.

(2) The essential health and safety requirements contained in [F1this Schedule] are imperatives. However, given the present state of the art, the objectives which they lay down may not be attainable. In such cases, and to the greatest extent possible, the lift or safety components for lifts must be designed and constructed in such a way as to approximate to those objectives.

(3) The manufacturer and the installer are under an obligation to carry out a risk assessment in order to identify all the risks which apply to their products; they must then design and construct them taking account of the assessment.

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

Preliminary remarksN.I.

1.—(1) Obligations under essential health and safety requirements apply only where the corresponding risk exists for the lift or safety component for lifts in question when used as intended by the installer or the manufacturer.

(2) The essential health and safety requirements contained in the Directive are imperatives. However, given the present state of the art, the objectives which they lay down may not be attainable. In such cases, and to the greatest extent possible, the lift or safety components for lifts must be designed and constructed in such a way as to approximate to those objectives.

(3) The manufacturer and the installer are under an obligation to carry out a risk assessment in order to identify all the risks which apply to their products; they must then design and construct them taking account of the assessment.

Extent Information

E18This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

GeneralE+W+S

2.—(1) The general requirements are as follows.

Application of [F2the Supply of Machinery (Safety) Regulations 2008/1597]

(2) Where the relevant risk exists and is not dealt with in [F3this Schedule], the essential health and safety requirements of [F4Schedule 2 to the Supply of Machinery (Safety) Regulations 2008/1597] apply. The essential health and safety requirements of point [F5paragraph 1.1.2 of Schedule 2 to the Supply of Machinery (Safety) Regulations 2008/1597] apply in any event.

Carrier

(3) The carrier of each lift must be a car. This car must be designed and constructed to offer the space and strength corresponding to the maximum number of persons and the rated load of the lift set by the installer.

(4) Where the lift is intended for the transport of persons, and where its dimensions permit, the car must be designed and constructed in such a way that its structural features do not obstruct or impede access and use by disabled persons and so as to allow any appropriate adjustments intended to facilitate its use by them.

Means of suspension and means of support

(5) The means of suspension and/or support of the car, its attachments and any terminal parts thereof must be selected and designed so as to ensure an adequate level of overall safety and to minimise the risk of the car falling, taking into account the conditions of use, the materials used and the conditions of manufacture.

(6) Where ropes or chains are used to suspend the car, there must be at least two independent cables or chains, each with its own anchorage system. Such ropes and chains must have no joins or splices except where necessary for fixing or forming a loop.

Control of loading (including overspeed)

(7) Lifts must be so designed, constructed and installed as to prevent normal starting if the rated load is exceeded.

(8) Lifts must be equipped with an overspeed governor.

(9) [F6The requirement of sub-paragraph (8)] do not apply to lifts in which the design of the drive system prevents overspeed.

(10) Fast lifts must be equipped with a speed-monitoring and speed-limiting device.

(11) Lifts driven by friction pulleys must be designed so as to ensure stability of the traction cables on the pulley.

Machinery

(12) All passenger lifts must have their own individual lift machinery. This requirement does not apply to lifts in which the counterweights are replaced by a second car.

(13) The installer must ensure that the lift machinery and the associated devices of a lift are not accessible except for maintenance and in emergencies.

Controls

(14) The controls of lifts intended for use by unaccompanied disabled persons must be designed and located accordingly.

(15) The function of the controls must be clearly indicated.

(16) The call circuits of a group of lifts may be shared or interconnected.

(17) Electrical equipment must be so installed and connected that—

(a)there can be no possible confusion with circuits which do not have any direct connection with the lift;

(b)the power supply can be switched while on load;

(c)movements of the lift are dependent on electrical safety devices in a separate electrical safety circuit;

(d)a fault in the electrical installation does not give rise to a dangerous situation.

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

GeneralN.I.

2.—(1) The general requirements are as follows.

Application of Directive 2006/42/EC

(2) Where the relevant risk exists and is not dealt with in [F47this Schedule], the essential health and safety requirements of Annex I to Directive 2006/42/EC of the European Parliament and of the Council apply. The essential health and safety requirements of point 1.1.2 of Annex I to Directive 2006/42/EC apply in any event.

Carrier

(3) The carrier of each lift must be a car. This car must be designed and constructed to offer the space and strength corresponding to the maximum number of persons and the rated load of the lift set by the installer.

(4) Where the lift is intended for the transport of persons, and where its dimensions permit, the car must be designed and constructed in such a way that its structural features do not obstruct or impede access and use by disabled persons and so as to allow any appropriate adjustments intended to facilitate its use by them.

Means of suspension and means of support

(5) The means of suspension and/or support of the car, its attachments and any terminal parts thereof must be selected and designed so as to ensure an adequate level of overall safety and to minimise the risk of the car falling, taking into account the conditions of use, the materials used and the conditions of manufacture.

(6) Where ropes or chains are used to suspend the car, there must be at least two independent cables or chains, each with its own anchorage system. Such ropes and chains must have no joins or splices except where necessary for fixing or forming a loop.

Control of loading (including overspeed)

(7) Lifts must be so designed, constructed and installed as to prevent normal starting if the rated load is exceeded.

(8) Lifts must be equipped with an overspeed governor.

(9) [F48The requirement of sub-paragraph (8)] do not apply to lifts in which the design of the drive system prevents overspeed.

(10) Fast lifts must be equipped with a speed-monitoring and speed-limiting device.

(11) Lifts driven by friction pulleys must be designed so as to ensure stability of the traction cables on the pulley.

Machinery

(12) All passenger lifts must have their own individual lift machinery. This requirement does not apply to lifts in which the counterweights are replaced by a second car.

(13) The installer must ensure that the lift machinery and the associated devices of a lift are not accessible except for maintenance and in emergencies.

Controls

(14) The controls of lifts intended for use by unaccompanied disabled persons must be designed and located accordingly.

(15) The function of the controls must be clearly indicated.

(16) The call circuits of a group of lifts may be shared or interconnected.

(17) Electrical equipment must be so installed and connected that—

(a)there can be no possible confusion with circuits which do not have any direct connection with the lift;

(b)the power supply can be switched while on load;

(c)movements of the lift are dependent on electrical safety devices in a separate electrical safety circuit;

(d)a fault in the electrical installation does not give rise to a dangerous situation.

Extent Information

E19This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments

Risks for persons outside the carE+W+S

3.—(1) The lift must be designed and constructed to ensure that the space in which the car travels is inaccessible except for maintenance or in emergencies. Before a person enters that space, normal use of the lift must be made impossible.

(2) The lift must be designed and constructed to prevent the risk of crushing when the car is in one of its extreme positions.

(3) The objective will be achieved by means of free space or refuge beyond the extreme positions.

(4) However, in specific cases, in affording [F7the Secretary of State] the possibility of giving prior approval, particularly in existing buildings, where this solution is impossible to fulfil, other appropriate means may be provided to avoid this risk.

(5) The landings at the entrance and exit of the car must be equipped with landing doors of adequate mechanical resistance for the conditions of use envisaged.

(6) An interlocking device must prevent during normal operation—

(a)starting movement of the car, whether or not deliberately activated, unless all landing doors are shut and locked;

(b)the opening of a landing door when the car is still moving and outside a prescribed landing zone.

(7) However, all landing movements with the doors open are allowed in specified zones on condition that the levelling speed is controlled.

Extent Information

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

Textual Amendments

Risks for persons outside the carN.I.

3.—(1) The lift must be designed and constructed to ensure that the space in which the car travels is inaccessible except for maintenance or in emergencies. Before a person enters that space, normal use of the lift must be made impossible.

(2) The lift must be designed and constructed to prevent the risk of crushing when the car is in one of its extreme positions.

(3) The objective will be achieved by means of free space or refuge beyond the extreme positions.

(4) However, in specific cases, in affording [F49relevant states] the possibility of giving prior approval, particularly in existing buildings, where this solution is impossible to fulfil, other appropriate means may be provided to avoid this risk.

(5) The landings at the entrance and exit of the car must be equipped with landing doors of adequate mechanical resistance for the conditions of use envisaged.

(6) An interlocking device must prevent during normal operation—

(a)starting movement of the car, whether or not deliberately activated, unless all landing doors are shut and locked;

(b)the opening of a landing door when the car is still moving and outside a prescribed landing zone.

(7) However, all landing movements with the doors open are allowed in specified zones on condition that the levelling speed is controlled.

Extent Information

E20This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments

Risks for persons in the carU.K.

4.—(1) Lift cars must be completely enclosed by full-length walls, fitted floors and ceilings included, with the exception of ventilation apertures, and with full-length doors. These doors must be so designed and installed that the car cannot move, except for the landing movements referred to in [F8paragraph 3 (7)], unless the doors are closed, and comes to a halt if the doors are opened.

(2) The doors of the car must remain closed and interlocked if the lift stops between two levels where there is a risk of a fall between the car and the shaft or if there is no shaft.

(3) In the event of a power cut or failure of components the lift must have devices to prevent free fall or uncontrolled movements of the car.

(4) The device preventing the free fall of the car must be independent of the means of suspension of the car.

(5) This device must be able to stop the car at its rated load and at the maximum speed anticipated by the installer. Any stop occasioned by this device must not cause deceleration harmful to the occupants whatever the load conditions.

(6) Buffers must be installed between the bottom of the shaft and the floor of the car.

(7) In this case, the free space referred to in [F9paragraph 3(3)] must be measured with the buffers totally compressed.

(8) This requirement does not apply to lifts in which the car cannot enter the free space referred to in [F10paragraph 3(3)] by reason of the design of the drive system.

(9) Lifts must be so designed and constructed as to make it impossible for them to be set in motion if the device provided for in [F11sub-paragraphs (3) to (5)] is not in an operational position.

Textual Amendments

Other risksU.K.

5.—(1) The landing doors and car doors or the two doors together, where motorised, must be fitted with a device to prevent the risk of crushing when they are moving.

(2) Landing doors, where they have to contribute to the protection of the building against fire, including those with glass parts, must be suitably resistant to fire in terms of their integrity and their properties with regard to insulation (containment of flames) and the transmission of heat (thermal radiation).

(3) Counterweights must be so installed as to avoid any risk of colliding with or falling on to the car.

(4) Lifts must be equipped with means enabling people trapped in the car to be released and evacuated.

(5) Cars must be fitted with two-way means of communication allowing permanent contact with a rescue service.

(6) Lifts must be so designed and constructed that, in the event of the temperature in the lift machine exceeding the maximum set by the installer, they can complete movements in progress but refuse new commands.

(7) Cars must be designed and constructed to ensure sufficient ventilation for passengers, even in the event of a prolonged stoppage.

(8) The car should be adequately lit whenever in use or whenever a door is opened; there must also be emergency lighting.

(9) The means of communication referred to in [F12sub-paragraph (5)] and the emergency lighting referred to in point 4.8 must be designed and constructed so as to function even without the normal power supply. Their period of operation should be long enough to allow normal operation of the rescue procedure.

(10) The control circuits of lifts which may be used in the event of fire must be designed and manufactured so that lifts may be prevented from stopping at certain levels and allow for priority control of the lift by rescue teams.

Textual Amendments

MarkingE+W+S

6.—(1) In addition to the minimum particulars required for any machine pursuant to point [F13paragraph 1.7.3 of Schedule 2 to the Supply of Machinery (Safety) Regulations 2008/1597], each car must bear an easily visible plate clearly showing the rated load in kilograms and the maximum number of passengers which may be carried.

(2) If the lift is designed to allow people trapped in the car to escape without outside help, the relevant instructions must be clear and visible in the car.

Extent Information

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

Textual Amendments

MarkingN.I.

6.—(1) In addition to the minimum particulars required for any machine pursuant to point 1.7.3 of Annex I to Directive 2006/42/EC, each car must bear an easily visible plate clearly showing the rated load in kilograms and the maximum number of passengers which may be carried.

(2) If the lift is designed to allow people trapped in the car to escape without outside help, the relevant instructions must be clear and visible in the car.

Extent Information

E21This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

InstructionsU.K.

7.—(1) The safety components for lifts listed in Schedule 3 must be accompanied by instructions, so the following can be carried out effectively and without danger—

(a)assembly;

(b)connection;

(c)adjustment;

(d)maintenance.

(2) Each lift must be accompanied by instructions. The instructions must contain at least the following documents—

(a)instructions containing the plans and diagrams necessary for normal use and relating to maintenance, inspection, repair, periodic checks and the rescue operations referred to in [F14paragraph 5 (4)];

(b)a logbook in which repairs and, where appropriate, periodic checks can be noted.

Textual Amendments

Regulation 3(2)(b)

SCHEDULE 2U.K.Excluded lifts

1.  Lifting appliances whose speed is not greater than 0.15m/s.U.K.

2.  Construction site hoists.U.K.

3.  Cableways, including funicular railways.U.K.

4.  Lifts specially designed and constructed for military or police purposes.U.K.

5.  Lifting appliances from which work can be carried out.U.K.

6.  Mine winding gear.U.K.

7.  Lifting appliances intended for lifting performers during artistic performances.U.K.

8.  Lifting appliances fitted in means of transport.U.K.

9.  Lifting appliances connected to machinery and intended exclusively for access to workstations including maintenance and inspection points on the machinery.U.K.

10.  Rack and pinion trains.U.K.

11.  Escalators and mechanical walkways.U.K.

Regulation 2(1)

SCHEDULE 3U.K.List of safety components [F15referred to in Article 1(1) of the Directive]

Textual Amendments

1.  Devices for locking landing doors.U.K.

2.  Devices to prevent falls referred to in [F16paragraph 4, sub-paragraphs (3) to (5)] of Schedule 1 to prevent the car from falling or uncontrolled movements.U.K.

Textual Amendments

3.  Overspeed limitation devices.U.K.

4.—(a) Energy-accumulating buffers:U.K.

(i)non-linear, or

(ii)with damping of the return movement.

(b)Energy-dissipating buffers.

5.  Safety devices fitted to jacks of hydraulic power circuits where these are used as devices to prevent falls.U.K.

6.  Electric safety devices in the form of safety circuits containing electric components.U.K.

Regulation 2(1)

SCHEDULE 4U.K.[F17Notified] [F17Approved ] body requirements

Textual Amendments

1.  A conformity assessment body must be established in the United Kingdom and have legal personality.U.K.

2.—(1) A conformity assessment body must be a third party body independent of the organisation or the lift or safety component for lifts it assesses.U.K.

(2) A body belonging to a business association or professional federation representing undertakings involved in the design, manufacturing, provision, assembly, use or maintenance of lifts or safety components for lifts which it assesses, may, on condition that its independence and the absence of any conflict of interest are demonstrated, be considered to be independent under sub-paragraph (1).

3.—(1) A conformity assessment body, its top level management and the personnel responsible for carrying out the conformity assessment activities must not be the designer, manufacturer, supplier, installer, purchaser, owner, user or maintainer of lifts or safety components for lifts, nor the representative of any of those parties.U.K.

(2) Sub-paragraph (1) does not preclude the use of assessed lifts or safety components for lifts that are necessary for the operations of the conformity assessment body or the use of such lifts or safety components for lifts for personal purposes.

(3) Sub-paragraph (1) does not preclude the possibility of exchange of technical information between the manufacturer or the installer and the conformity assessment body.

4.  A conformity assessment body, its top level management and the personnel responsible for carrying out the conformity assessment activities must not be directly involved in the design, manufacture or construction, the marketing, installation, use or maintenance of lifts or safety components for lifts, or represent the parties engaged in those activities.U.K.

5.  A conformity assessment body, its top level management and the personnel responsible for carrying out the conformity assessment activities must not engage in activity that may conflict with their independence of judgement or integrity in relation to conformity assessment activities for which they are [F18approved ] (including consultancy services).E+W+S

Extent Information

E5This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

5.  A conformity assessment body, its top level management and the personnel responsible for carrying out the conformity assessment activities must not engage in activity that may conflict with their independence of judgement or integrity in relation to conformity assessment activities for which they are notified (including consultancy services).N.I.

Extent Information

E22This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

6.  A conformity assessment body must ensure that the activities of its subsidiaries or subcontractors do not affect the confidentiality, objectivity or impartiality of their conformity assessment activities.U.K.

7.  A conformity assessment body and its personnel must carry out the conformity assessment activities with the highest degree of professional integrity and the requisite technical competence in the specific field and must be free from all pressures and inducements, particularly financial, which might influence their judgement or the results of their conformity assessment activities, especially as regards persons or groups of persons who have an interest in those activities.U.K.

8.  A conformity assessment body must be capable of carrying out all of the conformity assessment activities in relation to which it has been, or is to be, [F19approved], whether those activities are carried out by the conformity assessment body itself or on its behalf and under its responsibility.E+W+S

Extent Information

E6This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

8.  A conformity assessment body must be capable of carrying out all of the conformity assessment activities in relation to which it has been, or is to be, notified, whether those activities are carried out by the conformity assessment body itself or on its behalf and under its responsibility.N.I.

Extent Information

E23This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

9.  A conformity assessment body must have at its disposal—E+W+S

(a)personnel with technical knowledge and sufficient and appropriate experience to perform the conformity assessment activities;

(b)descriptions of procedures in accordance with which conformity assessment is carried out, ensuring the transparency and the ability of reproduction of those procedures, and have appropriate policies and procedures in place that distinguish between tasks it carries out as [F20an approved] body and other activities;

(c)procedures for the performance of activities which take due account of the size of an undertaking, the sector in which it operates, its structure, the degree of complexity of the product technology in question and the mass or serial nature of the production process.

Extent Information

E7This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

9.  A conformity assessment body must have at its disposal—N.I.

(a)personnel with technical knowledge and sufficient and appropriate experience to perform the conformity assessment activities;

(b)descriptions of procedures in accordance with which conformity assessment is carried out, ensuring the transparency and the ability of reproduction of those procedures, and have appropriate policies and procedures in place that distinguish between tasks it carries out as a notified body and other activities;

(c)procedures for the performance of activities which take due account of the size of an undertaking, the sector in which it operates, its structure, the degree of complexity of the product technology in question and the mass or serial nature of the production process.

Extent Information

E24This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland onl

10.  A conformity assessment body must have the means necessary to perform the technical and administrative tasks connected with the conformity assessment activities in an appropriate manner and must have access to the necessary equipment or facilities.U.K.

11.  The personnel responsible for carrying out conformity assessment activities must have—E+W+S

(a)sound technical and vocational training covering all the conformity assessment activities in relation to which the conformity assessment body has been [F21approved];

(b)satisfactory knowledge of the requirements of the assessments which the personnel carry out and adequate authority to carry out those assessments;

(c)appropriate knowledge and understanding of the essential health and safety requirements, the applicable harmonised standards, the Directive and these Regulations;

(d)the ability to draw up certificates, records and reports demonstrating that assessments have been carried out.

Extent Information

E8This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

11.  The personnel responsible for carrying out conformity assessment activities must have—N.I.

(a)sound technical and vocational training covering all the conformity assessment activities in relation to which the conformity assessment body has been notified;

(b)satisfactory knowledge of the requirements of the assessments which the personnel carry out and adequate authority to carry out those assessments;

(c)appropriate knowledge and understanding of the essential health and safety requirements, the applicable harmonised standards, the Directive and these Regulations;

(d)the ability to draw up certificates, records and reports demonstrating that assessments have been carried out.

Extent Information

E25This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

12.  A conformity assessment body must be able to demonstrate the impartiality of its top level management and the personnel responsible for carrying out the conformity assessment activities.U.K.

13.  The remuneration of the top level management and the personnel responsible for carrying out the conformity assessment activities must not depend on the number of assessments carried out or on the results of those assessments.U.K.

14.  A conformity assessment body must have, and must satisfy the Secretary of State that it has, adequate civil liability insurance in respect of its activities.U.K.

15.  A conformity assessment body must ensure that its personnel observe professional secrecy with regard to all information obtained in carrying out their tasks in accordance with these Regulations and that proprietary rights are protected.U.K.

16.  Paragraph 15 does not prevent the personnel from providing information to the Secretary of State or an enforcing authority.U.K.

17.  A conformity assessment body must participate in, or ensure that its personnel who are responsible for carrying out the conformity assessment activities are informed of, the relevant standardisation activities and the activities of [F22any coordination group of approved bodies for lifts established by the Secretary of State] and must apply as general guidance the administrative decisions and documents produced as a result of the work of that group.E+W+S

Extent Information

E9This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

17.  A conformity assessment body must participate in, or ensure that its personnel who are responsible for carrying out the conformity assessment activities are informed of, the relevant standardisation activities and the activities of the Coordination Group of Notified Bodies for Lifts established under the Directive and must apply as general guidance the administrative decisions and documents produced as a result of the work of that group.N.I.

Extent Information

E26This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Regulation 49(c)

SCHEDULE 5U.K.[F23EU] declaration of conformity

Textual Amendments

PART 1U.K.[F24EU] declaration of conformity for lifts

Textual Amendments

1.  The F25... declaration of conformity for lifts must be drafted in the same language as the instructions referred to in [F26paragraph 7(2)] of Schedule 1 and contain the following information—E+W+S

(a)business name and address of the installer;

(b)where appropriate, business name and address of the authorised representative;

(c)description of the lift, details of the type or series, serial number and address where the lift is installed;

(d)year of installation of the lift;

(e)all relevant provisions to which the lift conforms;

(f)a statement that the lift is in conformity with [F27relevant enactments];

(g)where appropriate, reference(s) to harmonised standard(s) used;

(h)where appropriate, the name, address and identification number of the [F28approved] body which carried out the [F29Type] examination of lifts set out in Part B of [F30Schedule 11 ] and the reference of the [F29Type] examination certificate issued by that [F28approved ] body;

(i)where appropriate, the name, address and identification number of the [F28approved] body which carried out the unit verification for lifts set out in [F31Schedule 15];

(j)where appropriate, the name, address and identification number of the [F28approved] body which carried out the final inspection for lifts set out in [F32Schedule 12];

(k)where appropriate, the name, address, and identification number of the [F28approved] body which approved the quality assurance system operated by the installer in accordance with the conformity assessment procedure set out in [F33Schedules 17, 18 or 19];

(l)the name and function of the person empowered to sign the declaration on behalf of the installer or the installer's authorised representative;

(m)place and date of signature;

(n)signature.

Extent Information

E10This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

1.  The EU declaration of conformity for lifts must be drafted in the same language as the instructions referred to in [F50paragraph 7(2)] of Schedule 1 and contain the following information—N.I.

(a)business name and address of the installer;

(b)where appropriate, business name and address of the authorised representative;

(c)description of the lift, details of the type or series, serial number and address where the lift is installed;

(d)year of installation of the lift;

(e)all relevant provisions to which the lift conforms;

(f)a statement that the lift is in conformity with [F51the relevant Union harmonisation legislation];

(g)where appropriate, reference(s) to harmonised standard(s) used;

(h)where appropriate, the name, address and identification number of the notified body which carried out the EU-type examination of lifts set out in Part B of Annex IV to the Directive (as amended from time to time) and the reference of the EU-type examination certificate issued by that notified body;

(i)where appropriate, the name, address and identification number of the notified body which carried out the unit verification for lifts set out in Annex VIII to the Directive (as amended from time to time);

(j)where appropriate, the name, address and identification number of the notified body which carried out the final inspection for lifts set out in Annex V to the Directive (as amended from time to time);

(k)where appropriate, the name, address, and identification number of the notified body which approved the quality assurance system operated by the installer in accordance with the conformity assessment procedure set out in Annex X, XI or XII to the Directive (as amended from time to time);

(l)the name and function of the person empowered to sign the declaration on behalf of the installer or the installer's authorised representative;

(m)place and date of signature;

(n)signature.

Extent Information

E27This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments

PART 2U.K.[F34EU] declaration of conformity for safety components for lifts

Textual Amendments

2.  The F35... declaration of conformity for safety components for lifts must contain the following information—E+W+S

(a)business name and address of the manufacturer;

(b)where appropriate, business name and address of the authorised representative;

(c)description of the safety component for lifts, details of type or series and serial number (if any); it may, where necessary for the identification of the safety component for lifts, include an image;

(d)safety function of the safety component for lifts, if not obvious from the description;

(e)year of manufacture of the safety component for lifts;

(f)all relevant provisions with which the safety component for lifts complies;

(g)a statement that the safety component for lifts is in conformity with the relevant Union harmonisation legislation;

(h)where appropriate, reference(s) to harmonised standard(s) used;

(i)where appropriate, the name, address and identification number of the [F28approved] body which carried out the [F36Type] examination of safety components for lifts set out in Part A of [F37Schedule 11 and Schedule 13], and the reference of the [F36Type] examination certificate issued by that [F28approved] body;

(j)where appropriate, the name, address and identification number of the [F28approved] body which carried out the conformity to type with random checking for safety components for lifts set out in [F38Schedule 16];

(k)where appropriate, the name, address and identification number of the [F28approved] body which approved the quality system operated by the manufacturer in accordance with the conformity assessment procedure set out in [F39Schedule 13 or 14];

(l)the name and function of the person empowered to sign the declaration on behalf of the manufacturer or the manufacturer's authorised representative;

(m)place and date of signature;

(n)signature.

Extent Information

E11This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

2.  The EU declaration of conformity for safety components for lifts must contain the following information—N.I.

(a)business name and address of the manufacturer;

(b)where appropriate, business name and address of the authorised representative;

(c)description of the safety component for lifts, details of type or series and serial number (if any); it may, where necessary for the identification of the safety component for lifts, include an image;

(d)safety function of the safety component for lifts, if not obvious from the description;

(e)year of manufacture of the safety component for lifts;

(f)all relevant provisions with which the safety component for lifts complies;

(g)a statement that the safety component for lifts is in conformity with the relevant Union harmonisation legislation;

(h)where appropriate, reference(s) to harmonised standard(s) used;

(i)where appropriate, the name, address and identification number of the notified body which carried out the EU-type examination of safety components for lifts set out in Part A of Annex IV and Annex VI to the Directive (as amended from time to time), and the reference of the EU- type examination certificate issued by that notified body;

(j)where appropriate, the name, address and identification number of the notified body which carried out the conformity to type with random checking for safety components for lifts set out in Annex IX to the Directive (as amended from time to time);

(k)where appropriate, the name, address and identification number of the notified body which approved the quality system operated by the manufacturer in accordance with the conformity assessment procedure set out in Annex VI or VII to the Directive (as amended from time to time);

(l)the name and function of the person empowered to sign the declaration on behalf of the manufacturer or the manufacturer's authorised representative;

(m)place and date of signature;

(n)signature.

Extent Information

E28This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Regulation 58

SCHEDULE 6U.K.Operational obligations of [F40 notified] [F40approved] bodies

Textual Amendments

1.  [F41A notified] [F41An approved] body must carry out conformity assessments in accordance with the relevant conformity assessment procedures.U.K.

Textual Amendments

2.  [F41A notified] [F41An approved] body must carry out conformity assessments in a proportionate manner, avoiding unnecessary burdens on economic operators.U.K.

Textual Amendments

3.  [F41A notified] [F41An approved] body must perform its activities taking due account of the size of an undertaking, the sector in which it operates, its structure, the degree of complexity of the product technology in question and the mass or serial nature of the production process.U.K.

Textual Amendments

4.  [F41A notified] [F41An approved] body must respect the degree of rigour and the level of protection required to ensure that the lift or the safety component for lifts is in conformity with the requirements of these Regulations.U.K.

Textual Amendments

5.  Where a notified body finds that essential health and safety requirements or corresponding harmonised standards or other technical specifications have not been met by an installer or a manufacturer, it must require the installer or the manufacturer to take appropriate corrective measures and must not issue a certificate of conformity or an approval decision.U.K.

6.  Where, in the course of the monitoring of conformity following the issue of a certificate or an approval decision, a notified body finds that a lift or safety component for lifts is no longer in conformity with the essential health and safety requirements, it must require the installer or the manufacturer to take appropriate corrective measures and must suspend or withdraw the certificate of conformity or approval decision (if necessary).U.K.

7.  Where [F42 the approved] body has required an installer or a manufacturer to take corrective measures and the installer or the manufacturer has failed to take such measures, or those measures have not had the required effect, [F42 the approved] body must restrict, suspend or withdraw any certificate of conformity or approval decision.E+W+S

Extent Information

E12This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

7.  Where the notified body has required an installer or a manufacturer to take corrective measures and the installer or the manufacturer has failed to take such measures, or those measures have not had the required effect, the notified body must restrict, suspend or withdraw any certificate of conformity or approval decision.N.I.

Extent Information

E29This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

8.  Paragraph 9 applies where a notified body is minded to—U.K.

(a)refuse to issue a certificate of conformity or approval decision; or

(b)restrict, suspend or withdraw a certificate of conformity or approval decision.

9.  Where this paragraph applies, [F43the approved] body must—E+W+S

(a)give the person applying for the certificate or approval decision, or the person to whom the certificate or approval decision was given, a notice in writing giving reasons and specifying the date on which the refusal, restriction, suspension or withdrawal is intended to take effect;

(b)give the person applying for the certificate or approval decision, or the person to whom the certificate or approval decision was given, an opportunity to make representations within a reasonable period from the date of the notice; and

(c)take account of any such representations before taking its decision.

Extent Information

E13This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

9.  Where this paragraph applies, the notified body must—N.I.

(a)give the person applying for the certificate or approval decision, or the person to whom the certificate or approval decision was given, a notice in writing giving reasons and specifying the date on which the refusal, restriction, suspension or withdrawal is intended to take effect;

(b)give the person applying for the certificate or approval decision, or the person to whom the certificate or approval decision was given, an opportunity to make representations within a reasonable period from the date of the notice; and

(c)take account of any such representations before taking its decision.

Extent Information

E30This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

10.  [F41A notified] [F41An approved] body must inform the Secretary of State of—U.K.

(a)any refusal, restriction, suspension or withdrawal of a certificate of conformity or approval decision;

(b)any circumstances affecting the scope of, or conditions for, notification under regulation 52 (notification);

(c)any request for information which it has received from an enforcing authority regarding conformity assessment activities; and

(d)on request, conformity assessment activities performed within the scope of its notification under regulation 52 and any other activity performed, including cross-border activities and subcontracting.

Textual Amendments

11.  [F41A notified] [F41An approved] body must make provision in its contracts with its clients enabling such clients to appeal against a decision—U.K.

(a)to refuse to issue a certificate of conformity or approval decision; or

(b)to restrict, suspend or withdraw a certificate of conformity or approval decision.

Textual Amendments

12.  [F41An approved] body must provide other bodies [F44approved by the Secretary of State] carrying out similar conformity assessment activities covering the same type of lifts or the same safety components for lifts with relevant information on issues relating to negative and, on request, positive conformity assessment results.E+W+S

Extent Information

E14This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

12.  A notified body must provide other bodies notified under the Directive carrying out similar conformity assessment activities covering the same type of lifts or the same safety components for lifts with relevant information on issues relating to negative and, on request, positive conformity assessment results.N.I.

Extent Information

E31This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

13.  [F41An approved] body must participate in the work of [F45any coordination group of approved bodies for lifts established by the Secretary of State], directly or by means of its designated representatives.E+W+S

Extent Information

E15This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

13.  A notified body must participate in the work of the Coordination Group of Notified Bodies for Lifts established under the Directive, directly or by means of its designated representatives.N.I.

Extent Information

E32This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Regulation 62(1)

SCHEDULE 7U.K.Enforcement powers of the Secretary of State and the Department under the 1987 Act

Enforcement powers under the 1987 ActU.K.

1.  For the purposes of enforcing these Regulations, the following sections of the 1987 Act apply subject to the modifications in paragraph 2—

(a)section 13 (prohibition notices and notices to warn);

(b)section 14 (suspension notices);

(c)section 16 (forfeiture: England and Wales and Northern Ireland);

(d)section 17 (forfeiture: Scotland);

(e)section 18 (power to obtain information);

(f)section 29 (powers of search etc);

(g)section 30 (provisions supplemental to s 29);

(h)section 31 (powers of customs officer to detain goods);

(i)section 33 (appeals against detention of goods);

(j)section 34 (compensation for seizure and detention);

(k)section 35 (recovery of expenses of enforcement);

(l)section 37 (power of Commissioners for Revenue and Customs to disclose information);

(m)section 45 (interpretation);

(n)section 46(1) (meaning of “supply”); and

(o)Schedule 2 (prohibition notices and notices to warn).

Modifications to the 1987 ActU.K.

2.  The sections of the 1987 Act referred to in paragraph 1 are to apply as if—

(a)in section 13—

(i)in subsection (1), “relevant” were omitted on each occasion that it appears;

(ii)in subsection (1), for “unsafe”, on each occasion that it appears, there were substituted “ non-compliant ”;

(iii)in subsection (2), the words from “; and the Secretary of State may” to the end were omitted; and

(iv)subsections (4) to (7) were omitted;

(b)in section 14—

(i)in subsection (1), after “any safety provision has been contravened in relation to any goods”, there were inserted “ or that any goods present a risk ”;

(ii)in subsection (2)(b), after “a safety provision has been contravened in relation to the goods”, there were inserted “ or that the goods present a risk ”;

(iii)in subsection (2)(c), “under section 15 below” were omitted; and

(iv)subsections (6) to (8) were omitted;

(c)in section 16—

(i)in subsection (1), after “a contravention in relation to the goods of a safety provision”, there were inserted “ or that the goods present a risk ”;

(ii)for subsection (2)(b) there were substituted—

“(b)where an application with respect to some or all of the goods has been made to a magistrates' court under regulation 78 (appeals against notices) of the Lifts Regulations 2016 or section 33, to that court; and”;

(iii)in subsection (3), after “a contravention in relation to the goods of a safety provision”, there were inserted “ or that the goods present a risk ”;

(iv)after subsection (4) there were inserted —

“(4A) A court may infer for the purposes of this section that any goods present a risk if it is satisfied that such a risk is presented by goods which are representative of those goods (whether by reason of being of the same design or part of the same consignment or batch or otherwise).”;

(v)in subsection (6), for “Subject to subsection (7) below, where” there were substituted “ Where ”; and

(vi)subsection (7) were omitted;

(d)in section 17—

(i)in subsection (1), after “a contravention of a safety provision”, there were inserted “ or where the goods present a risk ”;

(ii)in subsection (6), after “a contravention in relation to those goods of a safety provision”, there were inserted “ or that those goods present a risk ”; and

(iii)after subsection (7), there were inserted—

“(7A) The sheriff may infer for the purposes of this section that any goods present a risk if satisfied that such risk is presented by goods which are representative of those goods (whether by reason of being of the same design or part of the same consignment or batch or otherwise).”;

(e)in section 18, subsections (3) and (4) were omitted;

(f)in section 29—

(i)in subsection (4)(a), after “any contravention of any safety provision in relation to the goods”, there were inserted “ or whether the goods present a risk ”;

(ii)in subsection (4)(b), after “any such contravention”, there were inserted “ or whether the goods present a risk ”; and

(iii)in subsection (7), after “a contravention of any safety provision”, there were inserted “ or prevent goods from presenting risk ”;

(g)in section 30—

(i)after subsection (2)(a)(ii), for “and”, there were substituted—

“or

(iii)that any goods which any officer has power to inspect under section 29(4) are on any premises and their inspection is likely to demonstrate that they present a risk; and”; and

(ii)subsections (5), (7) and (8) were omitted;

(h)in section 31(1), for “Part II of this Act, or by section 29(4) of this Act”, there were substituted “ the Lifts Regulations 2016 ”;

(i)in section 34(1)—

(i)at the end of paragraph (a), “and” were omitted;

(ii)after paragraph (a), there were inserted—

“(aa)the goods do not present a risk; and”;

(j)in section 37(1), for “Part II of this Act”, there were substituted “ the Lifts Regulations 2016 ”;

(k)in section 45(1)—

(i)the definitions of “conditional sale agreement”, “credit-sale agreement”, “gas”, “motor vehicle”, “personal injury”, “subordinate legislation” and “substance” were omitted;

(ii)for the definition of “enforcement authority” there were substituted—

““enforcement authority” means an enforcing authority within the meaning of regulation 2(1) of the Lifts Regulations 2016;”;

(iii)for the definition of “goods” there were substituted—

““goods” means a lift or safety component for lifts within the meaning of regulation 2(1) of the Lifts Regulations 2016;”;

(iv)after the definition of “modifications”, there were inserted—

““non-compliant”, in relation to any goods, means that—

(a)a safety provision has been contravened in relation to the goods; or

(b)the goods present a risk;”

(v)after the definition of “premises”, there were inserted—

““present a risk” means present a risk within the meaning set out in regulation 2(4) of the Lifts Regulations 2016;”;

(vi)for the definition of “safety provision” there were substituted—

““safety provision” means any provision of the Lifts Regulations 2016;”; and

(vii)for the definition of “safety regulations” there were inserted—

““safety regulations” means the Lifts Regulations 2016;”

(l)in section 46(1), the words “and, in relation to gas or water, those references are to be construed as including references to providing the service by which the gas or water is made available for use” were omitted; and

(m)in Schedule 2—

(i)for “unsafe”, on each occasion that it appears, there were substituted “ non-compliant ”; and

(ii)for “safe”, on each occasion that it appears, there were substituted “ not non-compliant ”.

Regulation 62(2)

SCHEDULE 8U.K.Enforcement powers of the Health and Safety Executive under the 1974 Act

Enforcement powers under the 1974 ActU.K.

1.  For the purposes of enforcing these Regulations, the following sections of the 1974 Act apply subject to the modifications in paragraph 2—

(a)Section 10(1) (establishment of the Executive);

(b)section 19 (appointment of inspectors);

(c)section 20 (powers of inspectors);

(d)section 21 (improvement notices);

(e)section 22 (prohibition notices);

(f)section 23 (provisions supplementary to ss 21 and 22);

(g)section 24 (appeal against improvement or prohibition notice);

(h)section 25 (power to deal with cause of imminent danger);

(i)section 25A (power of customs officer to detain articles and substances);

(j)section 26 (power of enforcing authorities to indemnify inspectors);

(k)section 27 (obtaining of information by the Executive, enforcing authorities etc);

(l)section 27A (information communicated by Commissioners for Revenue and Customs);

(m)section 28 (restrictions on disclosure of information);

(n)section 33 (offences);

(o)section 34 (extension of time for bringing summary proceedings);

(p)section 35 (venue);

(q)section 39 (prosecution by inspectors);

(r)section 41 (evidence); and

(s)section 42 (power of court to order cause of offence to be remedied or, in certain cases, forfeiture).

Modifications to the 1974 ActU.K.

2.  The sections of the 1974 Act referred to in paragraph 1 are to apply as if—

(a)references to “relevant statutory provisions” were references to—

(i)the provisions of the 1974 Act set out in paragraph 1, as modified by this paragraph; and

(ii)these Regulations;

(b)references to “risk” were references to “risk” within the meaning of regulation 2(4) of these Regulations;

(c)in section 19—

(i)in subsection (1), for “Every enforcing authority” there were substituted “ The Executive ”;

(ii)in subsection (1), “within its field of responsibility” were omitted;

(iii)in subsection (2)(a), for “specified; and” there were substituted “ so specified. ”;

(iv)in subsection (2), paragraph (b) were omitted; and

(v)in subsection (3), for “enforcing authority which appointed him” there were substituted “ Executive ”;

(d)in section 20—

(i)in subsection (1), “within the field of responsibility of the enforcing authority which appointed him” were omitted;

(ii)in subsection (2)(c)(i), for “his (the inspector's) enforcing authority” there were substituted “ the Executive ”;

(iii)in subsection 2(h), for “him to have caused or to be likely to cause danger to health or safety”, there were substituted “contravene the relevant statutory provisions or present a risk; and

(iv)subsection (3) were omitted;

(e)in section 21—

(i)before paragraph (a), there were inserted—

“(za)is placing on the market a lift, or making available on the market a safety component for lifts, which presents a risk;”;

(ii)after “specifying the”, there were inserted “ risk, or ”; and

(iii)after “requiring that person to”, there were inserted “ address the risk or ”;

(f)for section 22(2) there were substituted—

“(2) An inspector may serve a notice (in this Part referred to as “a prohibition notice”) on a person if, as regards any activities to which this section applies, the inspector is of the opinion that, as carried on or likely to be carried on by or under the control of the person in question, the activities involve or, as the case may be, will involve—

(a)a risk; or

(b)a contravention of a relevant statutory provision.”;

(g)in section 23, subsections (3), (4) and (6) were omitted;

(h)in section 25A(1)—

(i)for “any enforcing authority or inspector”, there were substituted “ the Executive or an inspector ”; and

(ii)for “the authority”, there were substituted “ the Executive ”;

(i)in section 26, for each of the following references there were substituted “ the Executive ”

(i)“the enforcing authority which appointed him”;

(ii)“that authority”; and

(iii)“the authority”;

(j)in section 27—

(i)in subsection (1)(a), “or” were omitted;

(ii)in subsection (1)(b) were omitted;

(iii)in subsection (1), “or, as the case may be, to the enforcing authority in question” were omitted;

(iv)subsection (3)(a) were omitted; and

(v)in subsection (3)(b) for “functions; and” there were substituted “ functions. ”;

(k)in section 27A(2)—

(i)for “an enforcing authority” there were substituted “ the Executive ”; and

(ii)the words from “, other than the Office for Nuclear Regulation” to the end were omitted;

(l)in section 28—

(i)in subsection (1)(a), “, other than the Officer for Nuclear Regulation (or an inspector appointed by it),” were omitted;

(ii)in subsection (1)(a), “, by virtue of section 43A(6) below” were omitted;

(iii)in subsection (3)(a), “or any enforcing authority” were omitted;

(iv)in subsection (4), “or an enforcing authority” were omitted;

(v)in subsection (4), “(including, in the case of an enforcing authority, any inspector appointed by it)” were omitted;

(vi)in subsection (5)(a), “or the purposes of the enforcing authority in question in connection with the relevant statutory provisions” were omitted;

(vii)in subsection (7), “14(4)(a) or” were omitted;

(viii)in subsection (7), for paragraph (b), there were substituted—

“(b)for the purposes of any legal proceedings or for the purposes of a report of any such proceedings;”; and

(ix)subsection (9B) were omitted;

(m)in section 33—

(i)in subsection (1), paragraphs (a) to (i) and (k) to (m) were omitted;

(ii)for subsection (2), there were substituted—

“(2) A person guilty of an offence under section 33 is liable on summary conviction—

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

(ii)in Scotland or 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;” and

(iii)subsection (3) were omitted;

(n)in section 34—

(i)in subsection (1), paragraphs (a) and (b) were omitted;

(ii)in subsection (1), for the words from “and it appears” to the end, there were substituted “ and it appears from the investigation or, in a case falling within paragraph (d), from the proceedings at the inquiry, that any of the relevant statutory provisions was contravened at a time which is material in relation to the subject-matter of the investigation or inquiry, summary proceedings against any person liable to be proceeded against in respect of the contravention may be commenced at any time within three months of the conclusion of the investigation or inquiry. ”; and

(iii)subsections (3) to (6) were omitted;

(o)in section 35, for “any enforcing authority”, there were substituted “ the Executive ”;

(p)in section 39(1), for “enforcing authority which appointed him” there were substituted “ Executive ”; and

(q)in section 42, subsections (3A), (4) and (5) were omitted.

Regulation 62(3)

SCHEDULE 9U.K.Enforcement powers of the Department under the 1978 Order

Enforcement powers under the 1978 OrderU.K.

1.  For the purposes of enforcing these Regulations, the following sections of the 1978 Order apply subject to the modifications in paragraph 2—

(a)Article 12(1) (establishment of the Executive)

(b)Article 21 (appointment of inspectors);

(c)Article 22 (powers of inspectors);

(d)Article 23 (improvement notices);

(e)Article 24 (prohibition notices);

(f)Article 25 (provisions supplementary to Articles 23 and 24);

(g)Article 26 (appeal against improvement or prohibition notice);

(h)Article 27 (power to deal with cause of imminent danger);

(i)Article 27A (power of customs officer to detain articles and substances);

(j)Article 28 (power of enforcing authorities to indemnify their inspectors);

(k)Article 29 (obtaining of information);

(l)Article 29A (information communicated by Commissioners for Revenue and Customs);

(m)Article 30 (restrictions on disclosure of information);

(n)Article 31 (offences);

(o)Article 32 (extension of time for brining summary proceedings);

(p)Article 33 (venue);

(q)Article 36 (prosecutions by inspectors);

(r)Article 38 (evidence); and

(s)Article 39 (power of court to order cause of offence to be remedied and, in certain cases, forfeiture).

Modifications to the 1978 OrderU.K.

2.  The sections referred to in paragraph 1 apply as if—

(a)references to “relevant statutory provisions” were references to—

(i)the provisions of the 1978 Order set out in paragraph 1, as modified by this paragraph; and

(ii)these Regulations;

(b)references to “risk” were references to “risk” within the meaning of regulation 2(4) of these Regulations;

(c)in Article 21—

(i)in paragraph (1), for “Every enforcing authority” there were substituted “ the Department ”;

(ii)in paragraph (1), “within its field of responsibility” were omitted;

(iii)in sub-paragraph (2)(a), for “specified; and” there were substituted “ so specified. ”;

(iv)sub-paragraph 2(b) were omitted; and

(v)in paragraph (3), for “enforcing authority which appointed him” there were substituted “ Department ”;

(d)in Article 22—

(i)in paragraph (1), “within the field of responsibility of the enforcing authority which appointed him” were omitted;

(ii)in sub-paragraph (2)(c)(i), for “his (the inspector's) enforcing authority” there were substituted “ the Department ”;

(iii)in sub-paragraph 2(h), for “him to have caused or to be likely to cause danger to health or safety”, there were substituted “ contravene the relevant statutory provisions or present a risk ”; and

(iv)paragraph (3) were omitted;

(e)in Article 23—

(i)before paragraph (a), there were inserted—

“(za)is placing on the market a lift, or making available on the market a safety component for lifts, which presents a risk;”;

(ii)in paragraph (ii), after “specifying the”, there were inserted “ risk or ”; and

(iii)in paragraph (iv), after “requiring that person to”, there were inserted “ address the risk or ”;

(f)for Article 24(2), for “of serious personal injury” there were substituted “ or a contravention of a relevant statutory provision ”;

(g)in Article 25, paragraphs (3), (4) and (5) were omitted;

(h)in Article 27A(1)—

(i)for “any enforcing authority or inspector”, there were substituted “ the Department or an inspector ”;

(ii)for “the authority”, there were substituted “ the Department ”;

(i)in Article 28, for each of the following references there were substituted “ the Department ”

(i)“the enforcing authority which appointed him”;

(ii)“that authority”; and

(iii)“the authority”;

(j)in Article 29(1)—

(i)in subparagraph (b)—

(aa)for “an enforcing authority”, there were substituted “ the Department ”;

(bb)for “the authority's functions”, there were substituted “ its functions ”;

(ii)for “the Department concerned or the Executive”, there were substituted “ the Department ”; and

(iii)for “the Executive or, as the case may be, to the enforcing authority in question”, there were substituted “ the Department ”;

(k)in Article 29A(2), for “an enforcing authority” there were substituted “ the Department ”;

(l)in Article 30—

(i)for “Executive”, on each occasion that it appears, there were substituted “ Department ”;

(ii)in paragraph (3)(a), “or any enforcing authority” were omitted;

(iii)in paragraph (4), “or an enforcing authority” were omitted;

(iv)in paragraph (4), “or authority (including, in the case of an enforcing authority, any inspector appointed by it)” were omitted;

(v)in paragraph (5)(a), “or the purposes of the enforcing authority in question in connection with the relevant statutory provisions as the case may be” were omitted;

(vi)in paragraph (6), “16(4)(a) or” were omitted; and

(vii)in paragraph (6), for paragraph (b), there were substituted---

“(b)for the purposes of any legal proceedings or for the purposes of a report of any such proceedings;”;

(m)in Article 31—

(i)in paragraph (1), the sub-paragraphs (a) to (i) and (k) to (m) were omitted;

(ii)for paragraph (2), there were substituted—

“(2) A person guilty of an offence under Article 31 is liable on summary conviction to imprisonment for a term not exceeding 3 months or a fine not exceeding level 5 on the standard scale or both.”; and

(iii)paragraph (3) were omitted;

(n)in Article 32—

(i)in paragraph (1), sub-paragraphs (a) and (b) were omitted;

(ii)in paragraph (1), for the words from “and it appears” to the end, there were substituted “ and it appears from the investigation at the inquest that any of the relevant statutory provisions was contravened at a time which is material in relation to the subject-matter of the inquest, summary proceedings against any person liable to be proceeded against in respect of the contravention may be commenced at any time within three months of the conclusion of the inquest. ”; and

(iii)paragraphs (3) and (4) were omitted;

(o)in Article 33, for “any enforcing authority”, there were substituted “ the Department ”;

(p)in Article 36, for “enforcing authority which appointed him” there were substituted “ Department ”; and

(q)in Article 39, paragraphs (3A), (4) and (5) were omitted.

Regulation 62(4)

SCHEDULE 10U.K.Compliance, withdrawal and recall notices

Compliance noticeU.K.

1.—(1) An enforcing authority may serve a compliance notice on a relevant economic operator in respect of a lift or a safety component for lifts if the authority has reasonable grounds for believing that there is non-compliance.

(2) A compliance notice must—

(a)require the relevant economic operator on which it is served to—

(i)end the non-compliance within such period as may be specified in the notice; or

(ii)provide evidence, within such period as may be specified in the notice, demonstrating to the satisfaction of the enforcing authority that the non-compliance has not in fact occurred; and

(b)warn the economic operator that, if the non-compliance persists or if satisfactory evidence has not been produced under sub-paragraph (a) within the period specified in the notice, further action may be taken in respect of—

(i)the lift or lifts of the same type placed on the market by the relevant economic operator;

(ii)the safety component for lifts or safety components for lifts of the same type made available on the market by the relevant economic operator.

(3) A compliance notice may include directions as to the measures to be taken by the economic operator to secure compliance, including different ways of securing compliance.

(4) Subject to paragraph (5), an enforcing authority may revoke or vary a compliance notice by serving a notification on the economic operator.

(5) An enforcing authority may not vary a compliance notice so as to make it more restrictive for the economic operator or more onerous for the economic operator to comply.

Withdrawal noticeE+W+S

2.—(1) An enforcing authority may serve a withdrawal notice on a relevant economic operator in respect of a safety component for lifts if the authority has reasonable grounds for believing that—

(a)the safety component for lifts has been made available on the market; and

(b)there is non-compliance.

(2) A withdrawal notice must prohibit the relevant economic operator from making the safety component for lifts available on the market without the consent of the enforcing authority.

(3) A withdrawal notice may require the relevant economic operator to take action to alert end-users to any risk presented by the safety component for lifts.

(4) A withdrawal notice may require the relevant economic operator to keep the enforcing authority informed of the whereabouts of any safety component for lifts referred to in the notice.

(5) A consent given by the enforcing authority pursuant to a withdrawal notice, may impose such conditions on the making available on the market as the enforcing authority considers appropriate.

(6) Subject to paragraph (7), an enforcing authority may revoke or vary a withdrawal notice by serving a notification on the economic operator.

(7) An enforcing authority may not vary a withdrawal notice so as to make it more restrictive for the economic operator or more onerous for the economic operator to comply.

(8) A withdrawal notice has effect throughout the United Kingdom.

Extent Information

E16This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Withdrawal noticeN.I.

2.—(1) An enforcing authority may serve a withdrawal notice on a relevant economic operator in respect of a safety component for lifts if the authority has reasonable grounds for believing that—

(a)the safety component for lifts has been made available on the market; and

(b)there is non-compliance.

(2) A withdrawal notice must prohibit the relevant economic operator from making the safety component for lifts available on the market without the consent of the enforcing authority.

(3) A withdrawal notice may require the relevant economic operator to take action to alert end-users to any risk presented by the safety component for lifts.

(4) A withdrawal notice may require the relevant economic operator to keep the enforcing authority informed of the whereabouts of any safety component for lifts referred to in the notice.

(5) A consent given by the enforcing authority pursuant to a withdrawal notice, may impose such conditions on the making available on the market as the enforcing authority considers appropriate.

(6) Subject to paragraph (7), an enforcing authority may revoke or vary a withdrawal notice by serving a notification on the economic operator.

(7) An enforcing authority may not vary a withdrawal notice so as to make it more restrictive for the economic operator or more onerous for the economic operator to comply.

(8) A withdrawal notice has effect throughout [F52 Northern Ireland].

Extent Information

E33This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments

Recall noticeE+W+S

3.—(1) The enforcing authority may serve a recall notice on a relevant economic operator in respect of a lift or a safety component for lifts if the authority has reasonable grounds for believing that—

(a)the lift has been placed on the market or the safety component for lifts has been made available to end-users; and

(b)there is non-compliance.

(2) A recall notice must require the relevant economic operator to use reasonable endeavours to organise the dismantling and safe disposal of the lift or the return of the safety component for lifts from end-users to the relevant economic operator or another person specified in the notice.

(3) A recall notice may—

(a)require the recall to be effected in accordance with a code of practice;

(b)require the relevant economic operator to—

(i)contact end-users in order to inform them of the recall, to the extent that it is practicable to do so;

(ii)publish a notice in such form and such manner as is likely to bring to the attention of end-users any risk the lift or the safety component for lifts poses and the fact of the recall; or

(iii)make arrangements for the collection or return of the safety component for lifts from end-users or its disposal; or

(c)impose such additional requirements on the relevant economic operator as are reasonable and practicable with a view to achieving the dismantling and safe disposal of a lift or the return of the safety component for lifts.

(4) In determining what requirements to include in a recall notice, the enforcing authority must take into consideration the need to encourage distributors and end-users to contribute to its implementation.

(5) A recall notice may only be issued by the enforcing authority where—

(a)other action which it may require under these Regulations would not suffice to address the non-compliance;

(b)the action being undertaken by the relevant economic operator is unsatisfactory or insufficient to address the non-compliance;

(c)the enforcing authority has given not less than 10 days' notice to the relevant economic operator of its intention to serve such a notice; and

(d)the enforcing authority has taken account of any advice obtained under sub-paragraph (6).

(6) A relevant economic operator which has received notice from the enforcing authority of an intention to serve a recall notice may at any time prior to the service of the recall notice require the authority to seek the advice of such person as the Institute determines on the questions of—

(a)whether there is non-compliance; and

(b)whether the issue of a recall notice would be proportionate.

(7) Sub-paragraphs (5)(b), (c) and (d) do not apply in the case of a lift or safety component for lifts presenting a serious risk requiring, in the view of the enforcing authority, urgent action.

(8) Where a relevant economic operator requires the enforcing authority to seek advice under sub-paragraph (6), that relevant economic operator is to be responsible for the fees, costs and expenses of the Institute and of the person appointed by the Institute to advise the enforcing authority.

(9) In this regulation, “Institute” means the charitable organisation with registered number 803725 and known as the Chartered Institute of Arbitrators.

(10) A recall notice served by the enforcing authority may require the relevant economic operator to keep the authority informed of the whereabouts of a safety component for lifts to which the recall notice relates, so far as the relevant economic operator is able to do so.

(11) Subject to paragraph (12), an enforcing authority may revoke or vary a recall notice by serving a notification on the economic operator.

(12) An enforcing authority may not vary a recall notice so as to make it more restrictive for the economic operator or more onerous for the economic operator to comply.

(13) A recall notice has effect throughout the United Kingdom.

Extent Information

E17This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Recall noticeN.I.

3.—(1) The enforcing authority may serve a recall notice on a relevant economic operator in respect of a lift or a safety component for lifts if the authority has reasonable grounds for believing that—

(a)the lift has been placed on the market or the safety component for lifts has been made available to end-users; and

(b)there is non-compliance.

(2) A recall notice must require the relevant economic operator to use reasonable endeavours to organise the dismantling and safe disposal of the lift or the return of the safety component for lifts from end-users to the relevant economic operator or another person specified in the notice.

(3) A recall notice may—

(a)require the recall to be effected in accordance with a code of practice;

(b)require the relevant economic operator to—

(i)contact end-users in order to inform them of the recall, to the extent that it is practicable to do so;

(ii)publish a notice in such form and such manner as is likely to bring to the attention of end-users any risk the lift or the safety component for lifts poses and the fact of the recall; or

(iii)make arrangements for the collection or return of the safety component for lifts from end-users or its disposal; or

(c)impose such additional requirements on the relevant economic operator as are reasonable and practicable with a view to achieving the dismantling and safe disposal of a lift or the return of the safety component for lifts.

(4) In determining what requirements to include in a recall notice, the enforcing authority must take into consideration the need to encourage distributors and end-users to contribute to its implementation.

(5) A recall notice may only be issued by the enforcing authority where—

(a)other action which it may require under these Regulations would not suffice to address the non-compliance;

(b)the action being undertaken by the relevant economic operator is unsatisfactory or insufficient to address the non-compliance;

(c)the enforcing authority has given not less than 10 days' notice to the relevant economic operator of its intention to serve such a notice; and

(d)the enforcing authority has taken account of any advice obtained under sub-paragraph (6).

(6) A relevant economic operator which has received notice from the enforcing authority of an intention to serve a recall notice may at any time prior to the service of the recall notice require the authority to seek the advice of such person as the Institute determines on the questions of—

(a)whether there is non-compliance; and

(b)whether the issue of a recall notice would be proportionate.

(7) Sub-paragraphs (5)(b), (c) and (d) do not apply in the case of a lift or safety component for lifts presenting a serious risk requiring, in the view of the enforcing authority, urgent action.

(8) Where a relevant economic operator requires the enforcing authority to seek advice under sub-paragraph (6), that relevant economic operator is to be responsible for the fees, costs and expenses of the Institute and of the person appointed by the Institute to advise the enforcing authority.

(9) In this regulation, “Institute” means the charitable organisation with registered number 803725 and known as the Chartered Institute of Arbitrators.

(10) A recall notice served by the enforcing authority may require the relevant economic operator to keep the authority informed of the whereabouts of a safety component for lifts to which the recall notice relates, so far as the relevant economic operator is able to do so.

(11) Subject to paragraph (12), an enforcing authority may revoke or vary a recall notice by serving a notification on the economic operator.

(12) An enforcing authority may not vary a recall notice so as to make it more restrictive for the economic operator or more onerous for the economic operator to comply.

(13) A recall notice has effect throughout [F53 Northern Ireland].

Extent Information

E34This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments

InterpretationU.K.

4.  In this Schedule, “non-compliance” means that the lift or safety component for lifts—

(a)presents a risk; or

(b)is not in conformity with Part 2 or RAMS in its application to lifts or safety components for lifts.

Regulations 47 and 48

[F46SCHEDULE 11E+W+STYPE EXAMINATION FOR LIFTS AND SAFETY COMPONENTS FOR LIFTS (Annex IV to the Directive)

Textual Amendments

MODULE BE+W+S

A. Type examination of safety components for liftsE+W+S

1.  Type examination is the part of a conformity assessment procedure in which an approved body examines the technical design of a safety component for lifts and verifies and attests that the technical design of the safety component for lifts satisfies the applicable essential health and safety requirements of Schedule 1 and will enable a lift in which it is correctly incorporated to satisfy those requirements.

2.  The application for Type examination shall be lodged by the manufacturer, or his authorised representative, with a single approved body of his choice.E+W+S

The application shall include:

(a)the name and address of the manufacturer and, if the application is lodged by the authorised representative, his name and address as well and the place of manufacture of the safety components for lifts;

(b)a written declaration that the same application has not been lodged with any other approved body;

(c)the technical documentation;

(d)a representative specimen of the safety component for lifts or details of the place where it can be examined. The approved body may request further specimens if needed for carrying out the test programme;

(e)the supporting evidence for the adequacy of the technical design solution. This supporting evidence shall mention any documents, including other relevant technical specifications, that have been used, in particular where the relevant designated standards have not been applied in full. The supporting evidence shall include, where necessary, the results of tests carried out in accordance with other relevant technical specifications by the appropriate laboratory of the manufacturer, or by another testing laboratory on his behalf and under his responsibility.

3.  The technical documentation shall make it possible to assess whether the safety component for lifts meets the conditions referred to in point 1 and shall include an adequate analysis and assessment of the risk(s). The technical documentation shall specify the applicable requirements and cover, as far as relevant for the assessment, the design, manufacture and operation of the safety component for lifts.E+W+S

The technical documentation shall contain, where applicable, the following:

(a)a description of the safety component for lifts, including its area of use (in particular possible limits on speed, load and power) and conditions (in particular explosive environments and exposure to the elements);

(b)design and manufacturing drawings and diagrams;

(c)explanations necessary for the understanding of those drawings and diagrams and the operation of the safety component for lifts;

(d)a list of the designated standards applied in full or in part and, where those designated standards have not been applied, descriptions of the solutions adopted to enable the safety component for lifts to meet the conditions referred to in point 1, including a list of other relevant technical specifications applied. In the event of partly applied designated standards, the technical documentation shall specify the parts which have been applied;

(e)results of design calculations performed by or for the manufacturer;

(f)test reports;

(g)a copy of the instructions for the safety components for lifts;

(h)steps taken at the manufacturing stage to ensure that series-produced safety components for lifts conform to the safety component for lifts examined.

4.  The approved body shall:E+W+S

(a)examine the technical documentation and the supporting evidence to assess the adequacy of the technical design of the safety component for lifts;

(b)agree with the applicant on a location where the examinations and tests will be carried out;

(c)verify that the representative specimen(s) has(have) been manufactured in conformity with the technical documentation, and identify the elements which have been designed in accordance with the applicable provisions of the relevant designated standards, as well as the elements which have been designed in accordance with other relevant technical specifications;

(d)carry out appropriate examinations and tests, or have them carried out, to check whether, where the manufacturer has chosen to apply the specifications of the relevant designated standards, these have been applied correctly;

(e)carry out appropriate examinations and tests, or have them carried out, to check whether, where the specifications of the relevant designated standards have not been applied, the solutions adopted by the manufacturer applying other relevant technical specifications enable the safety component for lifts to meet the conditions referred to in point 1.

The approved body shall draw up an evaluation report that records the examinations, verifications and tests carried out and their outcome. Without prejudice to its obligations vis-à-vis the Secretary of State, the approved body shall release the content of that report, in full or in part, only with the agreement of the manufacturer.

5.  Where the type of the safety component for lifts meets the conditions referred to in point 1, the body shall issue a type examination certificate to the manufacturer. That certificate shall contain the name and address of the manufacturer the conclusions of the Type examination, any conditions of validity of the certificate and the particulars necessary to identify the approved type.E+W+S

The Type examination certificate may have one or more annexes attached.

The Type examination certificate and its annexes shall contain all relevant information to allow the conformity of manufactured safety components for lifts with the examined type to be evaluated and to allow for in-service control.

Where the type of the safety component for lifts does not satisfy the conditions referred to in point 1, the approved body shall refuse to issue a type examination certificate and shall inform the applicant accordingly, giving detailed reasons for its refusal.

The approved body shall keep a copy of the Type examination certificate, its annexes and additions, as well as the technical documentation and the evaluation report, for 15 years from the date of issue of that certificate.

6.  The approved body shall keep itself apprised of any changes in the generally acknowledged state of the art which indicate that the approved type may no longer meet the conditions referred to in point 1 and shall determine whether such changes require further investigation. If so, the approved body shall inform the manufacturer accordingly.E+W+S

7.  The manufacturer shall inform the approved body that holds the technical documentation relating to the Type examination certificate of any modification to the approved type that may affect the conformity of the safety component for lifts with the conditions referred to in point 1 or the conditions of validity of the Type examination certificate.E+W+S

The approved body shall examine the modification and inform the applicant whether the Type examination certificate remains valid or whether further examinations, verifications or tests are needed. As appropriate, the approved body shall issue an addition to the original Type examination certificate or ask for a new application for a type examination to be submitted.

8.  Each approved body shall inform the Secretary of State concerning the Type examination certificates and any additions thereto which it has issued or withdrawn, and shall, periodically or upon request, make available to the Secretary of State the list of such certificates and any additions thereto refused, suspended or otherwise restricted.E+W+S

Each approved body shall inform the other approved bodies concerning the Type examination certificates and any additions thereto which it has refused, withdrawn, suspended or otherwise restricted, and, upon request, concerning such certificates and/or additions thereto which it has issued.

9.  The other approved bodies may, on request, obtain a copy of the Type examination certificates and additions thereto.E+W+S

10.  The manufacturer shall keep with the technical documentation a copy of the Type examination certificates, its annexes and additions at the disposal of the enforcing authorities for 10 years after the safety component for lifts has been placed on the market.E+W+S

11.  Authorised representativeE+W+S

The manufacturer's authorised representative may lodge the application referred to in point 2 and fulfil the obligations set out in points 7 and 10, provided that they are specified in the mandate.

B. Type examination of liftsE+W+S

1.  Type examination of lifts is the part of a conformity assessment procedure in which an approved body examines the technical design of a model lift, or a lift for which there is no provision for an extension or variant, and verifies and attests that the technical design of the model lift or the lift meets the applicable essential health and safety requirements set out in Schedule 1.

Type examination of a lift includes an examination of a representative specimen of a complete lift.

2.  The application for Type examination shall be lodged by the installer or his authorised representative with a single approved body of his choice.E+W+S

The application shall include:

(a)the name and address of the installer; and, if the application is lodged by the authorised representative, his name and address as well;

(b)a written declaration that the same application has not been lodged with any other approved body;

(c)the technical documentation;

(d)details of the place where the specimen lift can be examined. The specimen lift submitted for examination shall include the terminal parts and be capable of serving at least three levels (top, middle and bottom);

(e)the supporting evidence for the adequacy of the technical design solution. This supporting evidence shall mention any documents, including other relevant technical specifications that have been used, in particular where the relevant designated standards have not been applied in full. The supporting evidence shall include, where necessary, the results of tests carried out in accordance with other relevant technical specifications by the appropriate laboratory of the installer, or by another testing laboratory on his behalf and under his responsibility.

3.  The technical documentation shall make it possible to assess the conformity of the lift with the applicable essential health and safety requirements set out in Schedule 1.E+W+S

The technical documentation shall contain, where applicable, the following:

(a)a description of the model lift indicating clearly all the permitted variations of the model lift;

(b)design and manufacturing drawings and diagrams;

(c)explanations necessary for the understanding of those drawings and diagrams and of the operation of the lift;

(d)a list of the essential health and safety requirements taken into consideration;

(e)a list of the designated standards applied in full or in part and, where those designated standards have not been applied, descriptions of the solutions adopted to meet the essential health and safety requirements of these Regulations, including a list of other relevant technical specifications applied. In the event of partly applied designated standards, the technical documentation shall specify the parts which have been applied;

(f)a copy of the declarations of conformity of the safety components for lifts incorporated in the lift;

(g)results of design calculations performed by or for the installer;

(h)test reports;

(i)a copy of the instructions referred to in point 7.2 of Schedule 1;

(j)steps taken at the installation stage to ensure that the series-produced lift conforms to the essential health and safety requirements set out in Schedule 1.

4.  The approved body shall:E+W+S

(a)examine the technical documentation and supporting evidence to assess the adequacy of the technical design of the model lift or of the lift for which there is no provision for an extension or variant;

(b)agree with the installer on a location where the examinations and tests will be carried out;

(c)examine the specimen lift to check that it has been manufactured in accordance with the technical documentation, and identify the elements which have been designed in accordance with the applicable provisions of the relevant designated standards, as well as the elements which have been designed in accordance with other relevant technical specifications;

(d)carry out appropriate examinations and tests, or have them carried out, to check whether, where the installer has chosen to apply the specifications of the relevant designated standards, these have been applied correctly;

(e)carry out appropriate examinations and tests, or have them carried out, to check whether, where the specifications of the relevant designated standards have not been applied, the solutions adopted by the installer applying other relevant technical specifications meet the corresponding essential health and safety requirements of these Regulations.

5.  The approved body shall draw up an evaluation report that records the examinations, verifications and tests carried out and their outcome. Without prejudice to its obligations vis-à-vis the Secretary of State, the approved body shall release the content of that report, in full or in part, only with the agreement of the installer.E+W+S

6.  Where the type meets the essential health and safety requirements set out in Schedule 1 applicable to the lift concerned, the approved body shall issue a Type examination certificate to the installer. That certificate shall contain the name and address of the installer, the conclusions of the Type examination, any conditions of validity of the certificate and the particulars necessary to identify the approved type.E+W+S

The Type examination certificate may have one or more annexes attached.

The Type examination certificate and its annexes shall contain all the information necessary to enable the conformity of lifts with the approved type to be assessed during the final inspection.

Where the type does not comply with the essential health and safety requirements set out in Schedule 1, the approved body shall refuse to issue a Type examination certificate and shall inform the installer accordingly, giving detailed reasons for its refusal.

The approved body shall keep a copy of the Type examination certificate, its annexes and additions, as well as the technical documentation and the evaluation report for 15 years from the date of issue of that certificate.

7.  The approved body shall keep itself apprised of any changes in the generally acknowledged state of the art which indicate that the approved type may no longer comply with the essential health and safety requirements set out in Schedule 1, and shall determine whether such changes require further investigation. If so, the approved body shall inform the installer accordingly.E+W+S

8.  The installer shall inform the approved body of any modifications to the approved type, including variations not specified in the original technical documentation, that may affect the conformity of the lift with the essential health and safety requirements set out in Schedule 1 or the conditions of validity of the Type examination certificate.E+W+S

The approved body shall examine the modification and inform the installer whether the Type examination certificate remains valid or whether further examinations, verifications or tests are needed. As appropriate the approved body shall issue an addition to the original Type examination certificate or ask for a new application for a Type examination to be submitted.

9.  Each approved body shall inform the Secretary of State concerning the Type examination certificates and any additions thereto which it has issued or withdrawn, and shall, periodically or upon request, make available to the Secretary of State the list of such certificates and any additions thereto refused, suspended or otherwise restricted.E+W+S

Each approved body shall inform the other approved bodies concerning the Type examination certificates and any additions thereto which it has refused, withdrawn, suspended or otherwise restricted, and, upon request, concerning such certificates and additions thereto which it has issued.

10.  The other approved bodies may, on request, obtain a copy of the Type examination certificates and additions thereto.E+W+S

11.  The installer shall keep with the technical documentation a copy of the Type examination certificate, including its annexes and additions, at the disposal of the enforcing authorities for 10 years after the lift has been placed on the market.E+W+S

12.  Authorised representativeE+W+S

The installer's authorised representative may lodge the application referred to in point 2 and fulfil the obligations set out in points 8 and 11, provided that they are specified in the mandate.

Regulations 47 and 50

SCHEDULE 12E+W+SFINAL INSPECTION FOR LIFTS (Annex V to the Directive)

1.  Final inspection is the part of a conformity assessment procedure whereby an approved body ascertains and certifies that a lift subject to a Type examination certificate or designed and manufactured according to an approved quality system satisfies the essential health and safety requirements set out in Schedule 1.E+W+S

Obligations of the installerE+W+S

2.  The installer shall take all measures necessary to ensure that the lift being installed complies with the applicable essential health and safety requirements set out in Schedule 1 and with one of the following:

(a)an approved type described in a Type examination certificate;

(b)a lift designed and manufactured in accordance with a quality system pursuant to Schedule 18 and the design examination certificate if the design is not wholly in accordance with the designated standards.

Final inspectionE+W+S

3.  An approved body chosen by the installer shall carry out the final inspection of the lift about to be placed on the market in order to check the conformity of the lift with the applicable essential health and safety requirements set out in Schedule 1.

3.1.  The installer shall lodge an application for final inspection with a single approved body of his choice and shall provide to the approved body the following documents:E+W+S

(a)the plan of the complete lift;

(b)the plans and diagrams necessary for final inspection, in particular control circuit diagrams;

(c)copy of the instructions referred to in Schedule 1, point 7.2;

(d)a written declaration that the same application has not been lodged with any other approved body.

The approved body may not require detailed plans or precise information not necessary for verifying the conformity of the lift.

The appropriate examinations and tests set out in the relevant designated standard(s) or equivalent tests shall be carried out in order to check the conformity of the lift with the applicable essential health and safety requirements set out in Schedule 1.

3.2.  The examinations shall include at least one of the following:E+W+S

(a)examination of the documents referred to in point 3.1 to check that the lift conforms with the approved type described in the Type examination certificate pursuant to Schedule 11, Part B;

(b)examination of the documents referred to in point 3.1 to check that the lift conforms with the lift designed and manufactured in accordance with an approved quality system pursuant to Schedule 18 and if the design is not wholly in accordance with the designated standards, with the design examination certificate.

3.3.  The tests of the lift shall include at least the following:E+W+S

(a)operation of the lift both empty and at maximum load to ensure correct installation and operation of the safety devices (end stops, locking devices, etc.);

(b)operation of the lift at both maximum load and empty to ensure the correct functioning of the safety devices in the event of loss of power;

(c)static test with a load equal to 1.25 times the rated load.

The rated load shall be that referred to in Schedule 1, paragraph 6.

After these tests, the approved body shall check that no distortion or deterioration which could impair the use of the lift has occurred.

4.  If the lift satisfies the essential health and safety requirements set out in Schedule 1, the approved body shall affix or have affixed its identification number adjacent to the UK marking in accordance with regulation 8 (declaration of conformity and UK marking) and regulation 50 (UK marking) and shall issue a final inspection certificate which mentions the examinations and tests carried out.E+W+S

The approved body shall fill in the corresponding pages in the logbook referred to in Schedule 1, paragraph 7(2).

If the approved body refuses to issue the final inspection certificate, it shall state the detailed reasons for refusal and indicate the necessary corrective measures to be taken. Where the installer again applies for final inspection, he shall apply to the same approved body.

UK marking and declaration of conformityE+W+S

5.1.  The installer shall affix the UK marking in the car of each lift which satisfies the essential health and safety requirements of these Regulations, and, under the responsibility of the approved body referred to in point 3.1, the latter's identification number adjacent to the UK marking in the car of each lift.E+W+S

5.2.  The installer shall draw up a written declaration of conformity for each lift and keep a copy of the Declaration of conformity and the final inspection certificate at the disposal of the enforcing authorities for 10 years after the placing on the market of the lift. A copy of the Declaration of conformity shall be made available to the relevant authorities upon request.E+W+S

Authorised representativeE+W+S

6.  The installer's obligations set out in points 3.1 and 5 may be fulfilled by his authorised representative, on his behalf and under his responsibility, provided that they are specified in the mandate.

Regulation 48

SCHEDULE 13E+W+SCONFORMITY TO TYPE BASED ON PRODUCT QUALITY ASSURANCE FOR SAFETY COMPONENTS FOR LIFTS (Annex VI to the Directive)

MODULE EE+W+S

1.  Conformity to type based on product quality assurance for safety components for lifts is the part of the conformity assessment procedure whereby an approved body assesses the quality system of a manufacturer in order to ensure that the safety components for lifts are manufactured and monitored in conformity with the type described in the Type examination certificate, satisfy the applicable requirements of Schedule 1 and will enable a lift to which they are correctly incorporated to satisfy those requirements.E+W+S

Obligations of the manufacturerE+W+S

2.  The manufacturer shall operate an approved quality system for final inspection and testing of the safety components for lifts as specified in point 3, and shall be subject to surveillance as specified in point 4.

Quality systemE+W+S

3.1.  The manufacturer shall lodge an application for assessment of his quality system for the safety components for lifts concerned with a single approved body of his choice.E+W+S

The application shall include:

(a)the name and address of the manufacturer and, if the application is lodged by the authorised representative, his name and address as well;

(b)a written declaration that the same application has not been lodged with any other approved body;

(c)the address of the premises where final inspection and testing of the safety components for lifts are carried out;

(d)all relevant information on the safety components for lifts to be manufactured;

(e)the documentation concerning the quality system;

(f)the technical documentation of the approved safety components for lifts and a copy of the Type examination certificate.

3.2.  Under the quality system, each safety component for lifts shall be inspected and appropriate tests as set out in the relevant designated standards or equivalent tests shall be carried out in order to ensure that it meets the conditions referred to in point 1. All the elements, requirements and provisions adopted by the manufacturer shall be documented in a systematic and orderly manner in the form of written policies, procedures and instructions. This quality system documentation shall permit a consistent interpretation of the quality programmes, plans, manuals and records.E+W+S

It shall contain in particular an adequate description of:

(a)the quality objectives;

(b)the organizational structure, responsibilities and powers of the management with regard to product quality;

(c)the examinations and tests that will be carried out after manufacture;

(d)the means of monitoring the effective operation of the quality system; and

(e)the quality records, such as inspection reports and test data, calibration data, reports on the qualifications of the personnel concerned, etc.

3.3.  The approved body shall assess the quality system to determine whether it satisfies the requirements referred to in point 3.2. It shall presume conformity with those requirements in respect of the elements of the quality systems that comply with the corresponding specifications of the relevant designated standard.E+W+S

In addition to experience in quality management systems, the auditing team shall have at least one member with experience of assessment in the lift technology concerned and knowledge of the essential health and safety requirements set out in Schedule 1.

The audit shall include an assessment visit to the manufacturer's premises.

The auditing team shall review the technical documentation referred to in point 3.1(f), in order to verify the manufacturer's ability to identify the relevant requirements of these Regulations and to carry out the necessary examinations with a view to ensuring compliance of the safety components for lifts with those requirements.

The decision shall be notified to the manufacturer. The notification shall contain the conclusions of the audit and the reasoned assessment decision.

3.4.  The manufacturer shall undertake to fulfil the obligations arising from the quality system as approved and to maintain it so that it remains adequate and efficient.E+W+S

3.5.  The manufacturer or his authorised representative shall keep the approved body which has approved the quality system informed of any intended changes of the quality system.E+W+S

The approved body shall assess the modifications proposed and decide whether the modified quality system will continue to satisfy the requirements referred to in point 3.2 or whether a reassessment is necessary.

It shall notify the manufacturer of its decision. The notification shall contain the conclusions of the examination and the reasoned assessment decision.

Surveillance under the responsibility of the approved bodyE+W+S

4.1.  The purpose of surveillance is to make sure that the manufacturer duly fulfils the obligations arising out of the approved quality system.E+W+S

4.2.  The manufacturer shall for assessment purposes allow the approved body access to the premises where final inspection, testing and storage are carried out and provide it with all necessary information, in particular:E+W+S

(a)the quality system documentation;

(b)the technical documentation;

(c)the quality records, such as inspection reports and test data, calibration data, reports on the qualifications of the personnel concerned.

4.3.  The approved body shall periodically carry out audits to ensure that the manufacturer maintains and applies the quality system and shall provide the manufacturer with an audit report.E+W+S

4.4.  Additionally, the approved body may pay unexpected visits to the manufacturer's premises where final inspection and testing of safety components for lifts are carried out.E+W+S

At the time of such visits, the approved body may, where necessary, carry out tests or have them carried out in order to check the proper functioning of the quality system. It shall provide the manufacturer, with a visit report and, if a test has been carried out, with a test report.

UK marking and Declaration of conformityE+W+S

5.1.  The manufacturer shall affix the UK marking, and, under the responsibility of the approved body referred to in point 3.1, the latter's identification number to each individual safety component for lifts that meets the conditions referred to in point 1.E+W+S

5.2.  The manufacturer shall draw up a written declaration of conformity for each safety component for lifts and keep a copy of it at the disposal of the enforcing authorities for 10 years after the safety component for lifts has been placed on the market. The Declaration of conformity shall identify the safety component for lifts for which it has been drawn up.E+W+S

6.  The manufacturer shall for a period ending 10 years after the safety component for lifts has been placed on the market, keep at the disposal of the enforcing authorities:E+W+S

(a)the technical documentation referred to in point 3.1(f);

(b)the documentation referred to in point 3.1(e);

(c)the information relating to the change referred to in point 3.5;

(d)the decisions and reports from the approved body which are referred to in the third paragraph of point 3.5 and in points 4.3 and 4.4.

7.  Each approved body shall inform the Secretary of State of quality system approval decision(s) issued or withdrawn, and shall, periodically or upon request, make available to the Secretary of State the list of approval decisions refused, suspended or otherwise restricted.E+W+S

Each approved body shall inform the other approved bodies of quality system approval decision(s) which it has refused, suspended or withdrawn and, upon request, of approval decision(s) which it has issued.

Authorised representativeE+W+S

8.  The manufacturer's obligations set out in points 3.1, 3.5, 5 and 6 may be fulfilled by his authorised representative, on his behalf and under his responsibility, provided that they are specified in the mandate.

Regulation 48

SCHEDULE 14E+W+SCONFORMITY BASED ON FULL QUALITY ASSURANCE FOR SAFETY COMPONENTS FOR LIFTS (Annex VII to the Directive)

MODULE HE+W+S

1.  Conformity based on full quality assurance for safety components for lifts is the conformity assessment procedure whereby an approved body assesses the quality system of a manufacturer to ensure that the safety components for lifts are designed, manufactured, inspected and tested in order to satisfy the applicable requirements of Schedule 1 and to enable a lift to which they are correctly incorporated to satisfy those requirements.E+W+S

Obligations of the manufacturerE+W+S

2.  The manufacturer shall operate an approved quality system for the design, manufacture, final inspection and testing of safety components for lifts as specified in point 3 and shall be subject to surveillance as specified in point 4.

Quality systemE+W+S

3.1.  The manufacturer shall lodge an application for assessment of his quality system with a single approved body of his choice. The application shall include:E+W+S

(a)the name and address of the manufacturer and, if the application is lodged by the authorised representative, his name and address as well;

(b)the address of the premises where the safety components for lifts are designed, manufactured, inspected and tested;

(c)all relevant information on safety components for lifts to be manufactured;

(d)the technical documentation described in point 3 of Schedule 11, Part A for one model of each category of safety component for lifts to be manufactured;

(e)the documentation on the quality system;

(f)a written declaration that the same application has not been lodged with any other approved body.

3.2.  The quality system shall ensure compliance of the safety components for lifts with the conditions referred to in point 1. All the elements, requirements and provisions adopted by the manufacturer shall be documented in a systematic and orderly manner in the form of written policies, procedures and instructions. This quality system documentation shall permit a consistent interpretation of the quality programmes, plans, manuals and records.E+W+S

It shall contain in particular an adequate description of:

(a)the quality objectives and the organizational structure, responsibilities and powers of the management with regard to the design and product quality;

(b)the technical design specifications, including standards that will be applied and, where the relevant designated standards will not be applied or not applied in full, the means, including other relevant technical specifications, that will be used to ensure that the conditions referred to in point 1 will be met;

(c)the design control and design verification techniques, processes and systematic actions that will be used when designing the safety components for lifts;

(d)the corresponding manufacturing, quality control and quality assurance techniques, processes and systematic actions that will be used;

(e)the examinations and tests that will be carried out before, during and after manufacture, and the frequency with which they will be carried out;

(f)the quality records, such as inspection reports and test data, calibration data, reports on the qualifications of the personnel concerned;

(g)the means of monitoring the achievement of the required design and product quality and the effective operation of the quality system.

3.3.  The approved body shall assess the quality system to determine whether it satisfies the requirements referred to in point 3.2. It shall presume conformity with those requirements in respect of the elements of the quality systems that comply with the corresponding specifications of the relevant designated standard.E+W+S

In addition to experience in quality management systems, the auditing team shall have at least one member with experience of assessment in the lift technology concerned and knowledge of the essential health and safety requirements set out in Schedule 1. The audit shall include an assessment visit to the manufacturer's premises.

The auditing team shall review the technical documentation referred to in point 3.1(d) to verify the manufacturer's ability to identify the applicable essential health and safety requirements set out in Schedule 1 and to carry out the necessary examinations with a view to ensuring compliance of the safety components for lifts with those requirements.

The decision shall be notified to the manufacturer and, where appropriate, to his authorised representative. The notification shall contain the conclusions of the audit and the reasoned assessment decision.

3.4.  The manufacturer shall undertake to fulfil the obligations arising from the quality system as approved and maintain it so that it remains adequate and efficient.E+W+S

3.5.  The manufacturer shall keep the approved body which has approved the quality system informed of any intended change to the quality system.E+W+S

The approved body shall assess the modifications proposed and decide whether the modified quality system will continue to satisfy the requirements referred to in point 3.2 or whether a reassessment is necessary.

It shall notify the manufacturer of its decision. The notification shall contain the conclusions of the assessment and the reasoned assessment decision.

Surveillance under the responsibility of the approved bodyE+W+S

4.1.  The purpose of surveillance is to make sure that the manufacturer duly fulfils the obligations arising out of the approved quality system.E+W+S

4.2.  The manufacturer shall for assessment purposes allow the approved body access to the design, manufacture, inspection and testing, and storage locations, and shall provide it with all necessary information, in particular:E+W+S

(a)the quality system documentation;

(b)the quality records provided for in the design part of the quality system such as results of analyses, calculations, tests;

(c)the technical documentation for the safety components for lifts manufactured;

(d)the quality records provided for in the manufacturing part of the full quality system, such as inspection reports and test data, calibration data, reports on the qualifications of the personnel concerned.

4.3.  The approved body shall carry out periodic audits to make sure that the manufacturer maintains and applies the quality system and shall provide the manufacturer with an audit report.E+W+S

4.4.  Additionally, the approved body may pay unexpected visits to the manufacturer. At the time of such visits, the approved body may, where necessary, carry out tests or have them carried out in order to check the proper functioning of the quality system. It shall provide the manufacturer with a visit report and, if tests have been carried out, with a test reportE+W+S

UK marking and Declaration of conformityE+W+S

5.1.  The manufacturer shall affix the UK marking, and, under the responsibility of the approved body referred to in point 3.1, the latter's identification number to each individual safety component for lifts that meets the conditions referred to in point 1.E+W+S

5.2.  The manufacturer shall draw up a written declaration of conformity for each safety component for lifts and keep a copy of it at the disposal of the enforcing authorities for 10 years after the safety component for lifts has been placed on the market. The declaration of conformity shall identify the safety component for lifts for which it has been drawn up.E+W+S

6.  The manufacturer shall, for a period ending 10 years after the safety component for lifts has been placed on the market, keep at the disposal of the enforcing authorities:E+W+S

(a)the documentation referred to in point 3.1(e);

(b)the technical documentation referred to in point 3.1(d);

(c)the information relating to the change referred to in the first paragraph of point 3.5;

(d)the decisions and reports from the approved body referred to in the third paragraph of point 3.5. and in points 4.3 and 4.4.

7.  Each approved body shall inform the Secretary of State of quality system approval decision(s) issued or withdrawn, and shall, periodically or upon request, make available to the Secretary of State the list of approval decisions refused, suspended or otherwise restricted.E+W+S

Each approved body shall inform the other approved bodies of quality system approval decisions which it has refused, suspended or withdrawn and, upon request, of approval decisions which it has issued.

The approved body shall keep a copy of the approval decision issued, its annexes and additions, as well as the technical documentation for 15 years from the date of their issue.

Authorised representativeE+W+S

8.  The manufacturer's obligations set out in points 3.1, 3.5, 5 and 6 may be fulfilled by his authorised representative, on his behalf and under his responsibility, provided that they are specified in the mandate.

Regulation 47 and 50

SCHEDULE 15U.K.CONFORMITY BASED ON UNIT VERIFICATION FOR LIFTS (Annex VIII to the Directive)

MODULE GU.K.

1.  Conformity based on unit verification is the conformity assessment procedure whereby an approved body assesses whether a lift complies with the applicable essential health and safety requirements set out in Schedule 1.U.K.

Obligations of the installerU.K.

2.1.  The installer shall take all measures necessary so that the manufacturing process and its monitoring ensure conformity of the lift with the applicable essential health and safety requirements set out in Schedule 1.U.K.

2.2.  The installer shall apply to a single approved body of his choice for unit verification.U.K.

The application shall contain:

(a)the name and address of the installer, and if the application is lodged by the authorised representative, his name and address as well;

(b)the location where the lift is installed;

(c)a written declaration to the effect that a similar application has not been lodged with another approved body;

(d)the technical documentation.

3.  The technical documentation shall allow an assessment of the conformity of the lift with the applicable essential health and safety requirements set out in Schedule 1.U.K.

The technical documentation shall contain at least the following elements:

(a)a description of the lift;

(b)design and manufacturing drawings and diagrams;

(c)explanations necessary for the understanding of those drawings and diagrams and of the operation of the lift;

(d)a list of the essential health and safety requirements taken into consideration;

(e)a list of the designated standards applied in full or in part and, where those designated standards have not been applied, descriptions of the solutions adopted to meet the essential health and safety requirements of these Regulations, including a list of other relevant technical specifications applied. In the event of partly applied designated standards, the technical documentation shall specify the parts which have been applied;

(f)a copy of the Type examination certificates of the safety components for lifts incorporated in the lift;

(g)results of design calculations performed by or for the installer;

(h)test reports;

(i)a copy of the instructions referred to in point 7.2 of Schedule 1.

VerificationU.K.

4.  The approved body chosen by the installer shall examine the technical documentation and the lift and carry out the appropriate tests as set out in the relevant designated standard(s), or equivalent tests, to check its conformity with the applicable essential health and safety requirements set out in Schedule 1. The tests shall include at least the tests referred to in point 3.3 of Schedule 12.

If the lift meets the essential health and safety requirements set out in Schedule 1 the approved body shall issue a certificate of conformity relating to the tests carried out.

The approved body shall fill in the corresponding pages of the logbook referred to in point 7.2 of Schedule 1.

If the approved body refuses to issue the certificate of conformity, it shall state in detail its reasons for refusal and indicate the necessary corrective measures to be taken. When the installer reapplies for unit verification he shall apply to the same approved body.

On request, the approved body shall provide the Secretary of State with a copy of the certificate of conformity.

UK marking and Declaration of conformityU.K.

5.1.  The installer shall affix the UK marking in the car of each lift which satisfies the essential health and safety requirements of these Regulations, and, under the responsibility of the approved body referred to in point 2.2, the latter's identification number adjacent to the UK marking in the car of each lift.U.K.

5.2  The installer shall draw up a written declaration of conformity for each lift and keep a copy of the Declaration of conformity at the disposal of the enforcing authorities for 10 years after the placing on the market of the lift. A copy of the declaration of conformity shall be made available to the relevant authorities upon request.U.K.

6.  The installer shall keep with the technical documentation a copy of the certificate of conformity at the disposal of the enforcing authorities for 10 years from the date on which the lift is placed on the market.U.K.

Authorised representativeU.K.

7.  The installer's obligations set out in points 2.2 and 6 may be fulfilled by his authorised representative, on his behalf and under his responsibility, provided that they are specified in the mandate.

Regulation 48

SCHEDULE 16U.K.CONFORMITY TO TYPE WITH RANDOM CHECKING FOR SAFETY COMPONENTS FOR LIFTS (Annex IX to the Directive)

MODULE C2U.K.

1.  Conformity to type with random checking is the part of the conformity assessment procedure whereby an approved body carries out checks on safety components for lifts to ensure that they are in conformity with the approved type as described in the Type examination certificate and satisfy the applicable requirements of Schedule 1 and will enable a lift in which they are correctly incorporated to satisfy those requirements.U.K.

ManufacturingU.K.

2.  The manufacturer shall take all measures necessary to ensure that the manufacturing process and its monitoring ensure that the manufactured safety components for lifts meet the conditions referred to in point 1.

3.  The manufacturer shall lodge an application for random checking with a single approved body of his choice.U.K.

The application shall include:

(a)the name and address of the manufacturer and, if the application is lodged by the authorised representative, his name and address as well;

(b)a written declaration that the same application has not been lodged with any other approved body;

(c)all relevant information on the safety components for lifts manufactured;

(d)the address of the premises where the sample of the safety components for lifts can be taken.

4.  The approved body shall carry out or have carried out checks on safety components for lifts at random intervals. An adequate sample of the final safety components for lifts, taken on site by the approved body, shall be examined and appropriate tests set out in the relevant designated standards, and/or equivalent tests set out in other relevant technical specifications, shall be carried out to check whether the safety components for lifts meets the conditions referred to in point 1. In cases where one or more of the safety components for lifts checked do not conform, the approved body shall take appropriate measures.U.K.

The points to be taken into account when checking the safety components for lifts will be defined by joint agreement between all the approved bodies responsible for this procedure, taking into consideration the essential characteristics of the safety components for lifts.

The approved body shall issue a certificate of conformity to type with respect to the examinations and tests carried out.

On request the approved body shall provide the Secretary of State with a copy of the certificate of conformity to type.

UK marking and Declaration of conformityU.K.

5.1.  The manufacturer shall affix the UK marking, and, under the responsibility of the approved body referred to in point 3, the latter's identification number to each individual safety component for lifts that meets the conditions referred to in point 1.U.K.

5.2.  The manufacturer shall draw up a written declaration of conformity for each safety component for lifts and keep a copy of it at the disposal of the enforcing authorities for 10 years after the safety component for lifts has been placed on the market. The Declaration of conformity shall identify the safety component for lifts for which it has been drawn up.U.K.

Authorised representativeU.K.

6.  The manufacturer's obligations may be fulfilled by his authorised representative, on his behalf and under his responsibility, provided that they are specified in the mandate. An authorised representative shall not fulfil the manufacturer's obligations set out in point 2.

Regulation 47

SCHEDULE 17U.K.CONFORMITY TO TYPE BASED ON PRODUCT QUALITY ASSURANCE FOR LIFTS (Annex X to the Directive)

MODULE EU.K.

1.  Conformity to type based on product quality assurance is the part of the conformity assessment procedure whereby an approved body assesses the product quality system of an installer to ensure that the lifts are in conformity with the approved type as described in the Type examination certificate or with a lift designed and manufactured under a full quality system approved in accordance with Schedule 18, and satisfy the applicable essential health and safety requirements set out in Schedule 1.U.K.

Obligations of the installerU.K.

2.  The installer shall operate an approved quality system for final inspection and testing of the lift as specified in point 3, and shall be subject to surveillance as specified in point 4.

Quality systemU.K.

3.1.  The installer shall lodge an application for assessment of his quality system for the lifts concerned with a single approved body of his choice.U.K.

The application shall include:

(a)the name and address of the installer, and if the application is lodged by the authorised representative, his name and address as well;

(b)all relevant information on the lifts to be installed;

(c)the documentation on the quality system;

(d)the technical documentation of the lifts to be installed;

(e)a written declaration that the same application has not been lodged with any other approved body.

3.2.  Under the quality system, each lift shall be examined and appropriate tests as set out in the relevant designated standards or equivalent tests shall be carried out in order to ensure its conformity with the applicable essential health and safety requirements set out in Schedule 1.U.K.

All the elements, requirements and provisions adopted by the installer shall be documented in a systematic and orderly manner in the form of written policies, procedures and instructions. This quality system documentation shall permit a consistent interpretation of the quality programmes, plans, manuals and quality records.

It shall contain in particular an adequate description of:

(a)the quality objectives;

(b)the organisational structure, responsibilities and powers of the management with regard to product quality;

(c)the examinations and tests that will be carried out before placing on the market, including at least the tests laid down in point 3.3 of Schedule 12;

(d)the means of monitoring the effective operation of the quality system;

(e)the quality records, such as inspection reports and test data, calibration data, reports on the qualifications of the personnel concerned.

3.3.  The approved body shall assess the quality system to determine whether it satisfies the requirements referred to in point 3.2. It shall presume conformity with those requirements in respect of the elements of the quality systems that comply with the corresponding specifications of the relevant designated standard.U.K.

The auditing team shall have at least one member with experience of assessment in the lift technology concerned and knowledge of the essential health and safety requirements set out in Schedule 1. The audit shall include an assessment visit to the premises of the installer and a visit to the installation site.

The decision shall be notified to the installer. The notification shall contain the conclusions of the audit and the reasoned assessment decision.

3.4.  The installer shall undertake to fulfil the obligations arising from the quality system as approved and to maintain it so that it remains adequate and efficient.U.K.

3.4.1.  The installer shall keep the approved body which has approved the quality system informed of any intended change to the system.U.K.

3.4.2.  The approved body shall assess the modifications proposed and decide whether the modified quality system will continue to satisfy the requirements referred to in point 3.2 or whether a reassessment is necessary.U.K.

It shall notify its decision to the installer or, where appropriate, to his authorised representative. The notification shall contain the conclusions of the assessment and the reasoned assessment decision.

The approved body shall affix, or cause to be affixed, its identification number adjacent to the UK marking in accordance with regulation 50.

Surveillance under the responsibility of the approved bodyU.K.

4.1.  The purpose of surveillance is to make sure that the installer duly fulfils the obligations arising out of the approved quality system.U.K.

4.2.  The installer shall, for assessment purposes, allow the approved body access to the installation, inspection and testing locations, and shall provide it with all necessary information, in particular:U.K.

(a)the quality system documentation;

(b)the technical documentation;

(c)the quality records, such as inspection reports and test data, calibration data, reports on the qualifications of the personnel concerned, etc.

4.3.  The approved body shall periodically carry out audits to ensure that the installer maintains and applies the quality system and shall provide the installer with an audit report.U.K.

4.4.  Additionally, the approved body may pay unexpected visits to the lift installation sites.U.K.

At the time of such visits, the approved body may, where necessary, carry out tests or have them carried out in order to check the proper functioning of the quality system and of the lift. It shall provide the installer with a visit report and, if tests have been carried out, with a test report.

5.  The installer shall, for 10 years after the last lift has been placed on the market, keep at the disposal of the enforcing authorities:U.K.

(a)the documentation referred to in point 3.1(c);

(b)the technical documentation referred to in point 3.1(d);

(c)the information relating to the changes referred to in point 3.4.1;

(d)the decisions and reports from the approved body which are referred to in the second paragraph of point 3.4.2 and in points 4.3 and 4.4.

6.  Each approved body shall inform the Secretary of State of quality system approval decision(s) issued or withdrawn, and shall, periodically or upon request, make available to the Secretary of State the list of approval decisions, refused, suspended or otherwise restricted.U.K.

Each approved body shall inform the other approved bodies of quality system approval decision(s) which it has refused, suspended or withdrawn and, upon request, of approval decision(s) which it has issued.

On request, the approved body shall provide the Secretary of State with a copy of the quality system approval decision(s) issued.

UK marking and declaration of conformityU.K.

7.1.  The installer shall affix the UK marking in the car of each lift which satisfies the essential health and safety requirements of these Regulations, and, under the responsibility of the approved body referred to in point 3.1, the latter's identification number adjacent to the UK marking in the car of each lift.U.K.

7.2.  The installer shall draw up a written Declaration of conformity for each lift and keep a copy of the Declaration of conformity at the disposal of the enforcing authorities for 10 years after the placing on the market of the lift. A copy of the Declaration of conformity shall be made available to the relevant authorities upon request.U.K.

Authorised representativeU.K.

8.  The installer's obligations set out in points 3.1, 3.4.1, 5 and 7 may be fulfilled by his authorised representative, on his behalf and under his responsibility, provided that they are specified in the mandate.

Regulation 47

SCHEDULE 18U.K.CONFORMITY BASED ON FULL QUALITY ASSURANCE PLUS DESIGN EXAMINATION FOR LIFTS (Annex XI to the Directive)

MODULE H1U.K.

1.  Conformity based on full quality assurance plus design examination for lifts is the conformity assessment procedure whereby an approved body assesses the quality system of an installer and, where appropriate, the design of the lifts, to ensure that the lifts satisfy the applicable essential health and safety requirements set out in Schedule 1.U.K.

Obligations of the installerU.K.

2.  The installer shall operate an approved quality system for the design, manufacture, assembly, installation, final inspection and testing of the lifts as specified in point 3, and shall be subject to surveillance as specified in point 4. The adequacy of the technical design of the lifts shall have been examined in accordance with point 3.3.

Quality systemU.K.

3.1.  The installer shall lodge an application for assessment of his quality system with a single approved body of his choice.U.K.

The application shall include:

(a)the name and address of the installer, and, if the application is lodged by the authorised representative, his name and address as well;

(b)all relevant information on the lifts to be installed, in particular information which makes for an understanding of the relationship between the design and operation of the lift;

(c)the documentation on the quality system;

(d)the technical documentation described in point 3 of Schedule 11, Part B;

(e)a written Declaration that the same application has not been lodged with any other approved body.

3.2.  The quality system shall ensure compliance of the lifts with the applicable essential health and safety requirements set out in Schedule 1. All the elements, requirements and provisions adopted by the installer shall be documented in a systematic and orderly manner in the form of written policies, procedures and instructions. This quality system documentation shall permit a consistent interpretation of the quality programmes, plans, manuals and quality records.U.K.

It shall contain in particular an adequate description of:

(a)the quality objectives and the organisational structure, responsibilities and powers of the management with regard to design and product quality;

(b)the technical design specifications, including standards that will be applied and, where the relevant designated standards will not be applied in full, the means, including other relevant technical specifications that will be used to ensure that the applicable essential health and safety requirements set out in Schedule 1 will be met;

(c)the design control and design verification techniques, processes and systematic actions that will be used when designing the lifts;

(d)the examinations and tests that will be carried out on acceptance of the supplies of materials, components and sub-assemblies;

(e)the corresponding assembly, installation, quality control and quality assurance techniques, processes and systematic actions that will be used;

(f)the examinations and tests that will be carried out before (inspection of installation conditions: shaft, housing of machinery, etc.), during and after installation (including at least the tests laid down in point 3.3 of Schedule 12);

(g)the quality records, such as inspection reports and test data, calibration data, reports on the qualifications of the personnel concerned;

(h)the means of monitoring the achievement of the required design and product quality and the effective operation of the quality system.

3.3.  Design examinationU.K.

3.3.1.  When the design is not entirely in accordance with designated standards, the approved body shall ascertain whether the design conforms to the essential health and safety requirements set out in Schedule 1 and, if it does, issue a design examination certificate to the installer, stating the limits of the certificate's validity and giving the details required for identification of the approved design.U.K.

3.3.2.  Where the design does not satisfy the applicable essential health and safety requirements set out in Schedule 1, the approved body shall refuse to issue a design examination certificate and shall inform the installer accordingly, giving detailed reasons for its refusal.U.K.

The approved body shall keep itself apprised of any changes in the generally acknowledged state of the art which indicate that the approved design may no longer comply with the essential health and safety requirements set out in Schedule 1, and shall determine whether such changes require further investigation. If so, the approved body shall inform the installer accordingly.

3.3.3.  The installer shall keep the approved body that has issued the design examination certificate informed of any modification to the approved design that may affect the conformity with the essential health and safety requirements set out in Schedule 1 or the conditions for validity of the certificate. Such modifications shall require additional approval — from the approved body that issued the design examination certificate — in the form of an addition to the original design examination certificate.U.K.

3.3.4.  Each approved body shall inform the Secretary of State of the design examination certificates and/or any additions thereto which it has issued or withdrawn, and shall, periodically or upon request, make available to the Secretary of State the list of design examination certificates and/or any additions thereto refused, suspended or otherwise restricted.U.K.

Each approved body shall inform the other approved bodies of the design examination certificates and/or any additions thereto which it has refused, withdrawn, suspended or otherwise restricted, and, upon request, of the certificates and/or additions thereto which it has issued.

3.3.5.  The installer shall keep a copy of the design examination certificate, its annexes and additions together with the technical documentation at the disposal of the enforcing authorities for 10 years after the lift has been placed on the market.U.K.

3.4.  Assessment of the quality systemU.K.

The approved body shall assess the quality system to determine whether it satisfies the requirements referred to in point 3.2. It shall presume conformity with those requirements in respect of the elements of the quality systems that comply with the corresponding specifications of the relevant designated standard.

The auditing team shall have at least one member with experience of assessment in the lift technology concerned and knowledge of the essential health and safety requirements set out in Schedule 1. The audit shall include an assessment visit to the installer's premises and a visit to an installation site.

The auditing team shall review the technical documentation referred to in point 3.1(d), to verify the installer's ability to identify the applicable essential health and safety requirements set out in Schedule 1 and to carry out the necessary examinations with a view to ensuring compliance of the lift with those requirements.

The decision shall be notified to the installer or, where appropriate, to his authorised representative. The notification shall contain the conclusions of the assessment and the reasoned assessment decision.

3.5.  The installer shall undertake to fulfil the obligations arising from the quality system as approved and to maintain it so that it remains adequate and efficient.U.K.

The installer shall keep the approved body that has approved the quality system informed of any intended change to the system.

The approved body shall assess the modifications proposed and decide whether the modified quality system will continue to satisfy the requirements referred to in point 3.2 or whether a reassessment is necessary.

It shall notify its decision to the installer or, where appropriate, to his authorised representative. The notification shall contain the conclusions of the assessment and the reasoned assessment decision.

The approved body shall affix, or cause to be affixed, its identification number adjacent to the UK marking in accordance with regulation 50.

Surveillance under the responsibility of the approved bodyU.K.

4.1.  The purpose of surveillance is to make sure that the installer duly fulfils the obligations arising out of the approved quality system.U.K.

4.2.  The installer shall, for assessment purposes, allow the approved body access to the design, manufacture, assembly, installation, inspection, testing and storage locations, and shall provide it with all necessary information, in particular:U.K.

(a)the quality system documentation;

(b)the quality records provided for in the design part of the quality system, such as results of analyses, calculations, tests;

(c)the quality records provided for in the part of the quality system concerning acceptance of supplies and installation, such as inspection reports and test data, calibration data, reports on the qualifications of the personnel concerned.

4.3.  The approved body shall carry out periodic audits to make sure that the installer maintains and applies the quality system and shall provide the installer with an audit report.U.K.

4.4.  Additionally, the approved body may pay unexpected visits to the premises of the installer or to the installation site of a lift. At the time of such visits, the approved body may, where necessary, carry out tests or have them carried out in order to check the proper functioning of the quality system. It shall provide the installer with a visit report and, if tests have been carried out, with a test report.U.K.

5.  The installer shall, keep at the disposal of the enforcing authorities for a period ending 10 years after the lift has been placed on the market:U.K.

(a)the documentation referred to in point 3.1(c);

(b)the technical documentation referred to in point 3.1(d);

(c)the information relating to the changes referred to in the second paragraph of point 3.5;

(d)the decisions and reports from the approved body which are referred to in the fourth paragraph of point 3.5 and in points 4.3 and 4.4.

6.  Each approved body shall inform the Secretary of State of full quality system approval decision(s) issued or withdrawn, and shall, periodically or upon request, make available to the Secretary of State the list of approval decisions refused, suspended or otherwise restricted.U.K.

Each approved body shall inform the other approved bodies of quality system approval decision(s) which it has refused, suspended or withdrawn, and, upon request, of approval decisions which it has issued.

The approved body shall keep a copy of the approval decision issued, its annexes and additions, as well as the technical documentation for 15 years from the date of their issue.

On request, the approved body shall provide the Secretary of State with a copy of the quality system approval decision(s) issued.

UK marking and Declaration of conformityU.K.

7.1.  The installer shall affix the UK marking in the car of each lift which satisfies the essential health and safety requirements of these Regulations, and, under the responsibility of the approved body referred to in point 3.1, the latter's identification number adjacent to the UK marking in the car of each lift.U.K.

7.2.  The installer shall draw up a written declaration of conformity for each lift and keep a copy of the Declaration of conformity at the disposal of the enforcing authorities for 10 years after the placing on the market of the lift. A copy of the Declaration of conformity shall be made available to the relevant authorities upon request.U.K.

Authorised representativeU.K.

8.  The installer's obligations set out in points 3.1, 3.3.3, 3.3.5, 5 and 7 may be fulfilled by his authorised representative, on his behalf and under his responsibility, provided that they are specified in the mandate.

Regulation 47

SCHEDULE 19U.K.CONFORMITY TO TYPE BASED ON PRODUCTION QUALITY ASSURANCE FOR LIFTS (Annex XII to the Directive)

MODULE DU.K.

1.  Conformity to type based on production quality assurance for lifts is the part of the conformity assessment procedure whereby an approved body assesses the production quality system of an installer to ensure that the lifts installed are in conformity with the approved type as described in the Type examination certificate or with a lift designed and manufactured under a quality system approved in accordance with Schedule 18 , and satisfy the applicable essential health and safety requirements set out in Schedule 1.U.K.

Obligations of the installerU.K.

2.  The installer shall operate an approved quality system for manufacture, assembly, installation, final inspection and testing of the lifts as specified in point 3, and shall be subject to surveillance as specified in point 4.

Quality systemU.K.

3.1.  The installer shall lodge an application for assessment of his quality system with a single approved body of his choice.U.K.

The application shall include:

(a)the name and address of the installer, and, if the application is lodged by the authorised representative, his name and address as well;

(b)all relevant information for the lifts to be installed;

(c)the documentation on the quality system;

(d)the technical documentation of the lifts to be installed;

(e)a written declaration that the same application has not been lodged with any other approved body.

3.2.  The quality system shall ensure compliance of the lifts with the applicable essential health and safety requirements set out in Schedule 1.U.K.

All the elements, requirements and provisions adopted by the installer shall be documented in a systematic and orderly manner in the form of written policies, procedures and instructions. The quality system documentation shall permit a consistent interpretation of the quality programmes, plans, manuals and records.

It shall contain in particular an adequate description of:

(a)the quality objectives and the organizational structure, responsibilities and powers of the management with regard to the product quality;

(b)the manufacturing, quality control and quality assurance techniques, processes and systematic actions that will be used;

(c)the examinations and tests that will be carried out before, during and after installation;

(d)the quality records, such as inspection reports and test data, calibration data, reports on the qualification of the personnel concerned;

(e)the means of monitoring the achievement of the required product quality and the effective operation of the quality system.

3.3.  The approved body shall assess the quality system to determine whether it satisfies the requirements referred to in point 3.2. It shall presume conformity with those requirements in respect of the elements of the quality system that comply with the corresponding specifications of the relevant designated standard.U.K.

The auditing team shall have at least one member with experience of assessment in the lift technology concerned and knowledge of the essential health and safety requirements set out in Schedule 1.

The audit shall include an assessment visit to the installer's premises and a visit to an installation site.

The decision shall be notified to the installer. The notification shall contain the conclusions of the audit and the reasoned assessment decision.

3.4.  The installer shall undertake to fulfil the obligations arising from the quality system as approved and to maintain it so that it remains adequate and efficient.U.K.

3.4.1.  The installer shall keep the approved body that has approved the quality system informed of any intended change to the system.U.K.

3.4.2.  The approved body shall assess the modifications proposed and decide whether the modified quality system will continue to satisfy the requirements referred to in point 3.2 or whether a reassessment is necessary.U.K.

It shall notify its decision to the installer or, where appropriate, to his authorised representative. The notification shall contain the conclusions of the assessment and the reasoned assessment decision.

The approved body shall affix, or cause to be affixed, its identification number adjacent to the UK marking in accordance with regulation 50.

Surveillance under the responsibility of the approved bodyU.K.

4.1.  The purpose of surveillance is to make sure that the installer duly fulfils the obligations arising out of the approved quality system.U.K.

4.2.  The installer shall, for assessment purposes, allow the approved body access to the manufacture, assembly, installation, inspection, testing and storage locations, and shall provide it with all necessary information, in particular:U.K.

(a)the quality system documentation;

(b)the technical documentation;

(c)the quality records, such as inspection reports and test data, calibration data, reports on the qualifications of the personnel concerned.

4.3.  The approved body shall carry out periodic audits to make sure that the installer maintains and applies the quality system and shall provide the installer with an audit report.U.K.

4.4.  Additionally, the approved body may pay unexpected visits to the installer. During such visits the approved body may, where necessary carry out tests, or have them carried out, in order to verify that the quality system is functioning correctly. The approved body shall provide the installer with a visit report and, if tests have been carried out, with a test report.U.K.

5.  The installer shall, keep at the disposal of the enforcing authorities for a period ending 10 years after the lift has been placed on the market:U.K.

(a)the documentation referred to in point 3.1(c);

(b)the technical documentation referred to in point 3.1(d);

(c)the information relating to the changes referred to in point 3.4.1;

(d)the decisions and reports from the approved body which are referred to in the second paragraph of point 3.4.2, and in points 4.3 and 4.4.

6.  Each approved body shall inform the Secretary of State of quality system approval decision(s) issued or withdrawn, and shall, periodically or upon request, make available to the Secretary of State the list of approval decisions refused, suspended or otherwise restricted.U.K.

Each approved body shall inform the other approved bodies of quality system approval decision(s) which it has refused, suspended or withdrawn, and, upon request, of approval decision(s) which it has issued.

On request, the approved body shall provide the Secretary of State with a copy of the quality system approval decision(s) issued.

UK marking and Declaration of conformityU.K.

7.1.  The installer shall affix the UK marking in the car of each lift which satisfies the essential health and safety requirements of these Regulations, and, under the responsibility of the approved body referred to in point 3.1, the latter's identification number adjacent to the UK marking in the car of each lift.U.K.

7.2.  The installer shall draw up a written Declaration of conformity for each lift and keep a copy of the Declaration of conformity at the disposal of the enforcing authorities for 10 years after the placing on the market of the lift. A copy of the Declaration of conformity shall be made available to the relevant authorities upon request.U.K.

Authorised representativeU.K.

8.  The installer's obligations set out in points 3.1, 3.4.1, 5 and 7 may be fulfilled by his authorised representative, on his behalf and under his responsibility, provided that they are specified in the mandate.]

Back to top

Options/Help

Print Options

You have chosen to open the Whole Instrument

The Whole Instrument you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.

Would you like to continue?

You have chosen to open Schedules only

The Schedules you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.

Would you like to continue?

Close

Legislation is available in different versions:

Latest Available (revised):The latest available updated version of the legislation incorporating changes made by subsequent legislation and applied by our editorial team. Changes we have not yet applied to the text, can be found in the ‘Changes to Legislation’ area.

Original (As Enacted or Made): The original version of the legislation as it stood when it was enacted or made. No changes have been applied to the text.

Close

See additional information alongside the content

Geographical Extent: Indicates the geographical area that this provision applies to. For further information see ‘Frequently Asked Questions’.

Show Timeline of Changes: See how this legislation has or could change over time. Turning this feature on will show extra navigation options to go to these specific points in time. Return to the latest available version by using the controls above in the What Version box.

Close

Opening Options

Different options to open legislation in order to view more content on screen at once

Close

More Resources

Access essential accompanying documents and information for this legislation item from this tab. Dependent on the legislation item being viewed this may include:

  • the original print PDF of the as enacted version that was used for the print copy
  • lists of changes made by and/or affecting this legislation item
  • confers power and blanket amendment details
  • all formats of all associated documents
  • correction slips
  • links to related legislation and further information resources
Close

Impact Assessments

Impact Assessments generally accompany all UK Government interventions of a regulatory nature that affect the private sector, civil society organisations and public services. They apply regardless of whether the regulation originates from a domestic or international source and can accompany primary (Acts etc) and secondary legislation (SIs). An Impact Assessment allows those with an interest in the policy area to understand:

  • Why the government is proposing to intervene;
  • The main options the government is considering, and which one is preferred;
  • How and to what extent new policies may impact on them; and,
  • The estimated costs and benefits of proposed measures.
Close

Timeline of Changes

This timeline shows the different points in time where a change occurred. The dates will coincide with the earliest date on which the change (e.g an insertion, a repeal or a substitution) that was applied came into force. The first date in the timeline will usually be the earliest date when the provision came into force. In some cases the first date is 01/02/1991 (or for Northern Ireland legislation 01/01/2006). This date is our basedate. No versions before this date are available. For further information see the Editorial Practice Guide and Glossary under Help.

Close

More Resources

Use this menu to access essential accompanying documents and information for this legislation item. Dependent on the legislation item being viewed this may include:

  • the original print PDF of the as made version that was used for the print copy
  • correction slips

Click 'View More' or select 'More Resources' tab for additional information including:

  • lists of changes made by and/or affecting this legislation item
  • confers power and blanket amendment details
  • all formats of all associated documents
  • links to related legislation and further information resources