LOLER
LOLER
LOLER
Executive
Contents
Introduction 4
The Regulations 6
Regulation 2 Interpretation 9
Regulation 3 Application 11
Further information 82
Introduction
About this LOLER open learning guidance
This guidance explains the Lifting Operations and Lifting Equipment Regulations
(LOLER) 1998. It aims to help you learn about and understand the Regulations
dealing with the lifting equipment in use every day in workplaces: factories,
offices, shops, hospitals, construction sites, warehouses, farms – wherever lifting
equipment is used at work.
Aims
The LOLER Regulations aim to make working life safer for everyone using and
coming into contact with lifting equipment: employers and employees, contractors
and others. Like all regulations, they need to be studied closely. The words have
been chosen carefully and sometimes have a precise legal meaning. At other times,
you need to interpret the Regulations according to your own situation.
The guidance aims to clarify when terms are used precisely and when you need to
interpret and apply the requirements of a regulation to your situation.
But anyone who wishes to know the requirements of LOLER 1998 should find this
guidance useful.
How to use it
You can cover the content in your own time and pace, either working through in
sequence, or selecting specific regulations as you need to know more.
Make sure that you have a copy of Safe use of lifting equipment. Lifting Operations
and Lifting Equipment Regulations 1998. Approved Code of Practice and Guidance
L113 (LOLER ACOP) when working through this open learning guidance.
Structure
Key points
A summary of the main coverage of the regulation.
Main commentary
The regulation is described in more detail, taking you through each part and giving
practical examples. Sometimes the words IF, AND, BUT, OR and NOT appear in
capital letters. This is because a great deal of law is based on what might happen
(IF . . . and sometimes AND), and it also has to take account of exceptions (BUT),
alternatives (OR), and prohibitions (NOT).
Case studies
Real-life situations in a variety of industrial and commercial sectors are used to
illustrate what could happen if the requirements of the regulation are not met.
Key terms
Important words and phrases used in each regulation are defined.
Activity
A practical task is provided to help you understand the regulation and apply it to
your situation. The feedback to the activity gives additional information and things
to think about. (Note that there is no activity for regulations 1–3, and 10–17.)
The Regulations
HSE has brought out two sets of Regulations, which implement the Amending
Directive to the Use of Work Equipment Directive (AUWED).
The Lifting Operations and Lifting Equipment Regulations 1998 (LOLER), the
subject of this open learning guidance, is one set and came into force on 5
December 1998. The 17 regulations of LOLER apply to all lifting equipment used in
the workplace, whether it is used to lift loads or people. All sectors of industry are
affected by LOLER.
The other set of Regulations is the Provision and Use of Work Equipment
Regulations 1998 (PUWER) which also came into force on 5 December 1998.
It implements the general non-lifting requirements of the Directive and replaces the
Provision and Use of Work Equipment Regulations 1992 in their entirety. Separate
open learning training guidance is available for this set of Regulations.
PUWER applies to all work equipment, including lifting equipment. LOLER deals
with the lifting risks where they exist.
Safe use of lifting equipment, the associated Approved Code of Practice and
Guidance (ACOP) includes the text of the Regulations and can be purchased from:
For general information on these Regulations and any matter relating to health and
safety, ring HSE’s Infoline Tel: 0845 345 0055
Fax: 0845 408 9566
Textphone: 0845 408 9577
e-mail: hse.infoline@natbrit.com or write to HSE Information Services, Caerphilly
Business Park, Caerphilly CF83 3GG.
Regulations 1, 2 and 3 set down the legal requirements, which enable LOLER to
be put into force. They govern:
■■ the title of the Regulations;
■■ when the Regulations come into force;
■■ the interpretation and meaning of particular terms;
■■ the geographical areas covered by LOLER;
■■ those to whom LOLER applies – the duty holders;
■■ the work situations in which LOLER applies.
Regulation 1
Citation and commencement
Regulation 1 states:
These Regulations may be cited as the Lifting Operations and Lifting Equipment
Regulations 1998 and shall come into force on 5th December 1998.
Regulation 2 Interpretation
Regulation 2 states:
“the 1974 Act” means the Health and Safety at Work etc Act 1974;
“accessory for lifting” means work equipment for attaching loads to machinery
for lifting;
“essential requirements” has the same meaning as in the Provision and Use of
Work Equipment Regulations 1998(d);
“lifting equipment” means work equipment for lifting or lowering loads and
includes its attachments used for anchoring, fixing or supporting it;
(2) Unless the context otherwise requires, any reference in these Regulations to –
(a) a numbered regulation or Schedule is a reference to the regulation or
Schedule in these Regulations so numbered; and
(b) a numbered paragraph is a reference to the paragraph so numbered in
the regulation or Schedule in which the reference appears.
(a) SI 1992/3073 to which there are amendments not relevant to these Regulations.
(b) OJ No. L399. 30.12.89, p.18; printed in the Schedule to SI 1992/3139.
(c) SI 1997/831.
(d) SI 1998/2306.
LOLER is aimed at the type of equipment that was covered by previous lifting
regulations and also at lifting equipment which presents similar risks. LOLER also
applies in any industries using this kind of equipment, including agriculture, which
did not previously have any specific legislation covering lifting operations.
Regulation 3 Application
Regulation 3 states:
(6) Subject to paragraphs (7) to (10), these Regulations shall not impose any
obligation in relation to a ship’s work equipment (whether that equipment is
used on or off the ship).
(8) In a case where the merchant shipping requirements are not applicable to
the ship’s work equipment by reason only that for the time being there is no
master, crew or watchman on the ship, those requirements shall nevertheless
be treated for the purpose of paragraph (7) as if they were applicable.
(9) Where the ship’s work equipment is used in a specified operation paragraph
(6) shall not apply to regulations 6 and 8 (each as applied by regulation 3).
(10) Paragraph (6) does not apply to a ship’s work equipment provided for
use or used in an activity (whether carried on in or outside Great Britain)
specified in the 1995 Order save that it does apply to –
(a) SI 1995/263.
(b) 1995 c.21.17
(c) SI 1988/1636, amended by SI 1998/2274.
(d) SI 1988/1639, amended by SI 1988/2274.
* Revoked by the Health and Safety at Work etc Act 1974 (Application outside Great Britain) Order
2001 (SI2001/2127).
LOLER generally applies throughout Great Britain, and wherever the Health and
Safety at Work etc Act 1974 applies. In some cases, LOLER may apply on board
sea-going ships where persons other than the master and crew are liable to be
exposed to risks from the use of the lifting equipment. The Health and Safety at
Work Act (Application outside Great Britain) Order 2001 extends the Regulations to
all offshore activities and sub-sea installations on the Great Britain continental shelf.
Therefore, LOLER applies to these activities.
LOLER applies to the way lifting equipment is used in commerce and industry. It
applies to employers and self-employed persons providing lifting equipment for use
at work and those in control of the use of lifting equipment. LOLER applies only to
work activities, for example:
n a crane on hire to a construction site;
n a contract lift;
n a passenger lift provided for the use of workers in an office block;
n refuse collection vehicles (lifting on public roads);
n patient hoists;
n fork-lift trucks.
Summary
Operator protection
Self-assessment questions
Regulation 4
Strength and stability
Key points
This regulation is about the adequacy of lifting equipment to carry out lifting
operations safely. It focuses on the strength of the component parts of the lifting
equipment, and stability in the whole lifting system. It places a duty on employers
to ensure, according to the load involved and the circumstances of the lifting
operation, that only equipment which is strong enough and sufficiently stable is
used.
Regulation 4 considers the safety risks of lifting equipment that could fail or
collapse under load because of:
■■ inadequate physical strength of any part of the equipment; OR
■■ instability in the lifting system.
Regulation 4 states:
(a) lifting equipment is of adequate strength and stability for each load, having
regard in particular to the stress induced at its mounting or fixing point;
(b) every part of a load and anything attached to it and used in lifting it is of
adequate strength.
Key terms
Lifting equipment Equipment, including accessories,
which is designed and used for carrying
loads.
The requirements for adequate strength of lifting equipment are explained in the
ACOP especially the need for:
n forces and weights to be considered, including the aggregated weight to be
lifted;
n failure modes;
n equipment selected for lifting to be appropriate to, and compatible with, the
circumstances and conditions of use;
n a factor of safety.
Employers must be able to show they have taken ALL these into account.
Adequate strength
98 You should assess whether the lifting equipment has adequate
strength for the proposed use. Account should be taken of the
combination of forces to which the lifting equipment will be subjected
as well as the weight of any associated accessories used in the lifting
operation.
99 The lifting equipment selected should not be unduly susceptible to
any of the foreseeable failure modes likely to arise in service, for
example fracture, wear or fatigue.
100 The lifting equipment used should provide an appropriate factor of
safety against failure under foreseeable failure modes.
A member of the public was crushed when a crane jib collapsed onto a
van she was driving. The crawler tracked crane, which was being used for
constructing a sea wall nearby, was fitted with a 42.7-metre main jib plus
a 12.2-metre fly jib. While the crane was being manoeuvred, the jib started
and continued to rise. Its root welds failed and the jib collapsed over the
back of the crane. Because of the nature of the tracks and methods of
controlling the crane, the movement was jerky, causing high inertia loads
on the jib system. These, in addition to high loads on the jib due to over-
travel, caused the welds on a backstop to fail.
Key terms
Combination of forces The combined effect of all forces acting
on the lifting equipment including those
which are static (eg weight) and those
caused by movement of the equipment
or its load.
The ACOP deals with the requirement for adequate stability in lifting equipment, first
by noting the general need to prevent equipment in use from overturning and to
provide stabilising measures; it then concentrates on the particular needs of certain
categories of equipment which are at risk of stability problems:
n mobile equipment;
n equipment assembled and dismantled on-site;
n equipment which operates on rails;
n equipment which runs on pneumatic tyres.
Employers need to assess equipment for stability on the basis of all factors which
could come into play. Equipment should be selected which is inherently stable, by
design. If the circumstances of a particular lifting operation might put stability at
risk, then additional stabilising measures must be taken.
Adequate stability
104 You should ensure the lifting equipment has adequate stability for
its proposed use. You should take account of any combination of
destabilising forces that may adversely affect the stability of lifting
equipment.
105 Where appropriate, you should take suitable effective measures to
provide sufficient resistance to overturning in order to ensure the
adequate stability of the lifting equipment.
106 Where the safe use of the lifting equipment depends on the use or
positioning of stabilising arrangements, the equipment should not be
used unless these are in place and operating effectively.
Key terms
Destabilising forces Forces which cause equipment to
become unstable due, for example,
to movement of the load, uneven or
sloping ground, wind or a combination
of these.
112 You should ensure that lifting equipment which is mobile or which
is dismantled and reassembled at different locations is used in such
a way as to ensure its stability during its use under all foreseeable
conditions. Particular account should be taken of the nature of the
ground and other surfaces on which the equipment might be used.
Key terms
Mobile Lifting equipment which has wheels or
tracks and is capable of being driven
or otherwise moved (eg towed) to the
location of the lift.
A crane driver was seriously injured when he was crushed against a metal
skip when his mobile crane overturned. The accident happened while he
was loading items of scrap machinery from a textile factory, which was
being demolished, onto a lorry. As he slewed the crane to lower the load
onto the lorry, it overturned.
The primary cause of the accident was the state of the ground and the fact
that the load, at the limit of the crane’s capacity, started to spin as it was
being slewed over the lorry. Heavy rain had made the ground soft under the
crane’s wheels. Under this combination of conditions the crane overturned.
No assessment of the site conditions or plan for the job had been done.
Key terms
Rails A track for supporting and guiding
wheels.
Immediate investigation of the cause revealed that the crane’s wheels had
come off the rails that ran the length of the warehouse. Corrosion of the
rails had led to them cracking and eventually breaking on one side.
It was critical that the crane’s load of chemicals was removed, since
prolonged contact with air would have caused it to overheat and possibly
self-ignite.
Key terms
Pneumatic tyres Tyres which are inflated by compressed
air.
Preventing overload
This part of the regulation is about ensuring that the parts of the load that become
connected to the lifting equipment during lifting operations are sufficiently strong.
Examples are lifting lugs welded in place to facilitate lifting, jacking or lifting points.
Key terms
Part of the load Includes anything which connects the
load to the lifting equipment and is
lifted.
The owner of the containers did not have in place an appropriate inspection
system for ensuring that damage and any wear in the lifting brackets could
be identified and remedied.
Activity
Under the regulation, the employer has a duty to assess lifting equipment stability
in the circumstances of each lifting operation. Describe how this is handled in your
situation. List who is responsible for:
n assessment;
n selecting and allocating lifting equipment for jobs.
Self-assessment questions
1 What two characteristics of lifting equipment are dealt with by regulation 4(a)?
2 What is the key consideration of regulation 4(b)?
3 What duty does regulation 4 place on employers?
4 Define the term ‘load’.
5 What is the employer’s duty in respect of the requirement for adequate
strength?
6 As well as the weight to be lifted, what other considerations apply when
assessing lifting equipment for a particular lifting operation?
7 In selecting lifting equipment for use, employers need to be aware of the
standard modes of failure of critical components. What term is used to
describe the extra provision for safety which must be available?
8 What must employers consider when assessing the stability of lifting
equipment?
9 What is the criterion for adequate stability?
10 What duty is placed on employers where stabilising measures are required to
ensure that equipment is stable?
11 What types of equipment are considered here?
12 What is the duty placed on the employer in these circumstances?
13 To what critical feature of these lifting operations must particular attention be
paid?
14 What should be done to minimise the risk of derailment of lifting equipment?
15 What requirements apply to rails used for lifting equipment?
16 What is the critical requirement concerning tyres on lifting equipment?
17 What provision must be made where lifting equipment has tyres?
18 What is the main requirement in regulation 4(b)?
19 Are lifting points part of the lifting equipment or part of the load?
Regulation 5
Lifting equipment for lifting
persons
Key points
Regulation 5 is about making sure the many kinds of equipment used for lifting
people are safe. Remember that lifting equipment can, and often does, carry
people who may not be aware that any hazard exists. They can’t be expected to
be as vigilant for their safety as you would like. In these everyday circumstances,
the equipment’s design and operation have to be comprehensively safe.
Regulation 5 states:
(1) Every employer shall ensure that lifting equipment for lifting persons –
(2) Every employer shall ensure that if the risk described in paragraph (1)(c)
cannot be prevented for reasons inherent in the site and height differences –
(a) the carrier has an enhanced safety coefficient suspension rope or chain;
and
(b) the rope or chain is inspected by a competent person every working day.
Regulation 5 applies to all lifting equipment used for lifting or lowering people,
whether specifically designed or adapted for the purpose. The requirements of this
regulation apply over and above the requirements of other LOLER regulations.
Examples of lifting machinery that may be used for lifting and carrying people (if
the necessary precautions are taken) but which is not specifically designed for the
purpose include:
n a fork-lift truck;
n a telescopic handler;
n a fixed or mobile crane.
Key terms
Lifting equipment In this regulation only, lifting equipment
means all equipment for lifting people,
with or without a carrier.
Regulation 5(1)(a) deals with carriers such as lift cars that are totally enclosed.
Regulation 5(1)(b) deals with carriers that are not fully enclosed, such as mobile
elevating work platforms (MEWPs).
128 The raising and lowering of people by work equipment which is not
specifically designed for the purpose should only be undertaken in
exceptional circumstances, when it is not practicable to gain access
by less hazardous means. Where it is necessary to use such work
equipment then you should ensure that all necessary precautions are
taken to ensure safety, including appropriate supervision.
Regulation 5(1)(a)
Protecting people who are working from carriers which are not fully
enclosed
This focuses on the need for an assessment of the risks that arise from other work
equipment, structures or objects that a person falling from the carrier could strike.
If a person could fall more than 2 m, the carrier should be fitted with suitable edge
protection. Gates and barriers should be designed so that when they are opened
or closed, people are not exposed to the risk of falling. This means that they
should:
n not open outwards;
n be fitted with a device to prevent them from opening inadvertently.
Regulation 5(1)(b)
143 Regulation 5(1)(b) deals with persons working from carriers which are
not fully enclosed.
144 Where a person in such a carrier might fall 2 m or more, the carrier
should be fitted with suitable edge protection. This should also be
provided where a person might fall less than 2 m where there are
factors that would increase the likelihood of a fall or the risk of
serious injury.
145 Any edge protection on the carrier should be suitable for the
purposes for which it is to be used and it should be securely fixed to
the carrier.
146 The floor area of any carrier on which persons need to be present
should be slip-resistant.
As a result of the accident, the stadium owners replaced the platform with
a lift that gives mobility horizontally as well as vertically and have included
use of harnesses in a safety training programme.
An 11-year-old boy was fatally injured when he was trapped between the
top of a lift car and the ledge on the inside of the lift wall. The boy was one
of a group of children who, after gaining unauthorised access to the shaft
and then to the top of the lift car, had operated the car-top control to ride
up and down the shaft on top of the lift car. (This is known as ‘lift surfing’.)
You may also need further measures to ensure safety, for instance:
n derating the equipment;
n daily inspections by a competent person;
n providing effective training for everyone involved in the lifting operation.
It is also important that the lifting equipment is positioned so that, should the
primary means of lifting fail, the effects are minimised.
Anyone trapped must be able to raise the alarm and make their predicament
known so they can be freed.
The trapped operatives raised the alarm from inside the lift and an
emergency crew was quickly on the scene. They cleared the fault at the
landing gates, lowered the lift and rescued the operatives. At this point it
became clear that all four had breathing difficulties and were suffering from
the effects of fume inhalation. All of them needed urgent hospital treatment.
As a result of this incident, all personnel lifts in the warehouse were fitted
with fresh air breathing apparatus.
Regulation 5(2)
This refers to mine winding gear. Compliance with the Mines (Shafts and Winding)
Regulations 1993 satisfies the requirements of regulation 5(2). Equipment used
for the lifting of people should have a safety coefficient relating to its strength of at
least twice that required for general lifting operations.
Key terms
Safety coefficient Applied to safety ropes and chains,
it means the factor of safety in the
specification which gives the additional
strength needed to guarantee their
performance.
Activity
2 From the safety records you keep in your organisation, find out:
n the number of incidents that have been concerned with equipment for
lifting people;
n the specific types of equipment that were involved.
Self-assessment questions
Regulation 6
Positioning and installation
Key points
Regulation 6 states:
(1) Every employer shall ensure that lifting equipment is positioned or installed in
such a way as to reduce to as low as is reasonably practicable the risk –
(2) Every employer shall ensure that there are suitable devices to prevent a
person from falling down a shaft or hoistway.
Key terms
Load drifting Uncontrolled movement of a load,
for example spinning, swinging, over-
running.
The ACOP deals with minimising the risk of being struck by lifting equipment, or its
load, in five typical situations:
n avoiding lifting over people;
n providing adequate space to avoid crushing;
n providing substantial hoist enclosures; OR
n when the height of travel is less than 2 m, providing effective underside
protection;
n avoiding or preventing access to trapping points.
Regulation 6(1)(a)
162 Lifting equipment should be positioned or installed to minimise the
need to lift loads over people.
163 In particular, lifting equipment should be positioned and installed to
prevent crushing when it is in its extreme positions.
164 A load moving along a fixed path, such as a conventional lift or
hoist, should be efficiently protected by a suitable and substantial
enclosure, or some other equally effective measure, to minimise the
risk of a person being struck by the equipment or the load.
165 In the case of lifting equipment which follows a fixed path, but whose
maximum height of travel above ground or floor level is no more
than 2 m, you should provide an enclosure where practicable. Where
this is not practicable, you should provide a barrier or gate or other
equally effective means, to prevent any person being endangered by
the underside of the lifting equipment or by any fitting attached to it.
166 You should position or install lifting equipment with a travelling or
slewing motion to prevent trapping points. Where this is not possible
you should take effective measures to prevent access of persons to
such trapping points.
Key terms
Extreme position Where equipment is at the end of its
normal travel or movement, in any
direction.
A platform hoist on a building site was not properly enclosed and resulted
in a serious injury to a site visitor. The hoist was being operated by a
roofing subcontractor to raise the roofing tiles 8 m to an upper floor
landing. The hoist operator was inexperienced and the hoist platform
suddenly fell freely, striking the person who had walked into the hoistway.
Although the hoist had been provided with front gates, neither the sides nor
rear were enclosed. Later testing found that the hoist was in good working
order.
A fisherman was injured when he was trapped while unloading fish from the
hold of his fishing vessel using a mechanical elevator.
He was shovelling fish when his foot became caught between the down-
running paddle and the fixed structure of the elevator; he was drawn into
the machine. A safety switch was operated by a second fisherman but it
had been bypassed and did not operate.
The aim of this part of the regulation is to ensure that loads are always under
control and that there is never a risk of uncontrolled freefall.
The positioning and installation of lifting equipment have a lot of bearing on the
safety of lifting operations and on the risks created by loads which are insecure,
or whose movements are uncontrolled. The ACOP specifies what is required to
ensure safety where:
n loads are likely to drift;
n loads must be prevented from falling freely;
n power failure could give rise to loads being released;
n loads could separate from lifting hooks and other devices.
Various devices may be used to minimise the risks, such as multiple ropes and
safety gear.
Note: gravity discharge of loads, for example piling or grain filling, is not included in
this part of the regulation.
Regulation 6(1)(b)(i)
170 Appropriate measures should be taken to prevent a freely suspended
load from moving in an uncontrolled manner where the risks justify it.
171 Runway beams supporting lifting equipment should be level and of
sufficient stiffness to prevent equipment drifting or running away.
Regulation 6(1)(b)(ii)
172 Where appropriate, lifting equipment should be fitted with suitable
devices to minimise any risk from the load falling freely.
Regulation 6(1)(b)(iii)
175 You should ensure that where, in the event of a power failure, the
lifting equipment will not be able to maintain its hold on the load,
appropriate measures are in place to prevent persons being exposed
to any consequential risks.
177 Hooks and other similar devices provided for lifting should be of a
type that reduces the risk of the load becoming displaced from the
hook or other devices.
Key terms
Tag lines Ropes or chains attached to loads for
the purpose of keeping them steady
during lifting.
179 Where two or more items of lifting machinery are used they should be
installed or positioned so as to prevent the loads and/or parts of the
equipment coming into contact with one another.
This regulation deals with proper enclosures of shafts and hoistways. It aims to
protect people from coming into contact with lifting equipment and prevent them
from falling into shafts and hoistways.
Key terms
Gates The normal means of closure at points
of entry or exit to a hoist.
Inspectors found that the door interlocking beak on three of the five
landings failed to engage the interlocking system. The lift contractor
responsible for the installation claimed that due to various pressures
he was under, commissioning checks had not been carried out prior
to handing over the lifts for use. He was required to replace all door
mechanisms and complete all the checks to verify the correct working of
the interlocking systems before the lifts could resume operation.
Activity
Find out, in your situation, how many incidents in the past two years have resulted
from risks covered in regulation 6.
Self-assessment questions
Regulation 7
Marking of lifting equipment
Key points
Regulation 7 states:
(a) subject to sub-paragraph (b), machinery and accessories for lifting loads are
clearly marked to indicate their safe working loads;
(b) where the safe working load of machinery for lifting loads depends on its
configuration –
(i) the machinery is clearly marked to indicate its safe working load for each
configuration; or
(ii) information which clearly indicates its safe working load for each
configuration is kept with the machinery;
(c) accessories for lifting are also marked in such a way that it is possible to
identify the characteristics necessary for their safe use;
(d) lifting equipment which is designed for lifting persons is appropriately and
clearly marked to this effect; and
(e) lifting equipment which is not designed for lifting persons but which might
be so used in error is appropriately and clearly marked to the effect that it is
not designed for lifting persons.
Key terms
Safe working load (SWL) The maximum load that the equipment
may safely lift.
Marking the safe working load (SWL) has different requirements according to the
type of equipment. Where equipment has one fixed SWL, for example an overhead
crane, regulation 7(a) requires this to be clearly marked.
Where the SWL of lifting equipment can vary to suit different lifting operations, the
ACOP for 7(b) sets down requirements.
Regulation 7(b)
189 You should ensure that where lifting machinery has a safe working
load which varies with its operating radius or is dependent upon how
it is configured, it is either clearly marked or adequate information is
provided to indicate to the user the corresponding safe working load.
Any marking should be clearly visible or the information be readily
available to the operator or user.
190 Where there is a significant hazard arising from the use of the
machinery it should be provided with appropriate equipment or
devices such as rated capacity indicators and rated capacity limiters.
197 Any structural element of any lifting equipment which is occasionally
dismantled or partially dismantled, and which is, or may become,
separated from the lifting equipment, should be marked to indicate
the equipment of which it is a part.
Key terms
Operating radius The distance horizontally between
the lifting equipment and the point of
suspension of its load.
When a restaurant changed hands and was being refurbished, the local
authority enforcement officer called to examine the new premises. She
asked the owner how wine, spirits and beer would be lifted to the new
bar in the restaurant’s dining area on the first floor. The owner said that
he would use the existing dumb waiter from the store/kitchen level on the
ground floor which he claimed had room enough to take wine cases and
beer casks. There was no readily visible marking of the lifting capacity
of the dumb waiter and the owner was not aware of it. The inspector
examined the pulley system in the equipment’s lifting void and identified
a weight stamped on the pulley wheel of 0.5 cwt (about 25 kg). This
was clearly inadequate and the restaurant was prohibited from using it.
The owner was required to carry out an engineer’s survey of the lifting
requirements and to implement its recommendations for appropriate
equipment and safe operation.
Although the crane was fitted with an automatic load indicator which
displayed its safe working load, the crane driver had not been told and was
not aware of the weight of the load being lifted. He thought the automatic
load indicator was for guidance only; the charts in the crane for calculating
how much could be lifted had been defaced and were more or less
unreadable.
Key terms
Accessory May be a single item (eg shackle) or an
assembly of items (eg lifting beam and
slings).
The load, which had been supported on bearers of various heights, was
lifted only a few millimetres when the endless chain snapped, causing the
fabrication to topple.
The safe working load of the endless chain was 2 tonnes and the
fabrication weighed 10 tonnes. No information could be found about the
lifting capacity of the endless chain. Its SWL was established by testing
during the investigation.
This deals with marking lifting equipment to indicate that it has been designed for
lifting people, and specifically the requirement to display the maximum number that
may be carried.
Note that:
n the information is to be clearly displayed in the carrier;
n the SWL must also be displayed.
Key terms
Carrier The cage, car or other device which
contains the passengers.
The main point about this part of the regulation is that lifting equipment which is
not designed for lifting people should be clearly marked to say that it should not be
used for lifting people if there is any chance that it might be used in error.
Activity
List two items of common lifting equipment and accessories used at your site –
if possible one for lifting people, and one general item of lifting equipment. Then:
n write down how both items are marked – what does the information say about
the equipment’s lifting capability and SWL?
n describe the equipment, and the markings, on equipment designed to lift
people;
n explain any changes needed in the markings in order to comply with the
regulation and draw up a plan of action for making the changes.
Self-assessment questions
1 What terms are used in regulation 7 (and the associated PUWER regulation
23) to explain how equipment must be marked to ensure its safe use?
2 Explain one of the two things employers must do about marking information
when equipment can be configured – or arranged – in a number of ways.
3 Regulation 7 says that it must be clearly shown when lifting equipment has
been designed for lifting a particularly valuable load. What is the load?
4 What marking provisions must be made for lifting accessories so that they are
used safely?
5 What term is used in regulation 7(a) and (b) for the clear marking and
indication of the lifting capacity of the equipment?
6 State the three kinds of lifting equipment whose lifting capacity varies
according to use and so come within the scope of regulation 7(b).
7 Explain three ways information about lifting capacity should be provided to
users.
8 What marking must be provided when a permanent assembly of lifting
accessories is used?
9 When must the weight of an accessory be taken into account and be clearly
marked in lifting operations?
10 Because of its characteristics, an accessory may be unsuitable for particular
applications. How should this be conveyed to users?
11 What information must be clearly displayed in equipment that is designed to
carry people?
12 What is the purpose of the additional marking required in equipment that is
occasionally dismantled?
Regulation 8
Organisation of lifting operations
Key points
This regulation is about making sure that the actual lifting operation is safe. It
deals with what must be done before, during and after lifting to make sure that
the operation is carried out without endangering anyone. It is in two parts:
■■ part 1 contains the main provisions;
■■ part 2 is a statement about what ‘lifting operations’ means.
The main requirements of part 1 are that lifting operations must be:
■■ planned;
■■ supervised; and
■■ safe.
Regulation 8 states:
(1) Every employer shall ensure that every lifting operation involving lifting
equipment is –
(2) In this regulation “lifting operation” means an operation concerned with the
lifting or lowering of a load.
This is the heart of the regulation. It links to the requirement to provide suitable
work equipment, which is required by PUWER regulation 4.
Note that the planning principles in BS 7121(2) (dealing with the safe use of cranes)
can be applied to other types of lifting equipment.
For routine lifting operations an initial plan may only be required once, for example
for fork-lift trucks in a warehouse. However, it may be necessary to review the
plan to make sure that nothing has changed and the plan remains valid. Complex
routine lifting operations may, depending on the circumstances, need to be
planned each time the lifting operation is carried out.
Regulation 8(1)(a)
210 The person planning the operation should have adequate practical
and theoretical knowledge and experience of planning lifting
operations.
211 The plan will need to address the risks identified by the risk
assessment and identify the resources required, the procedures and
the responsibilities so that any lifting operation is carried out safely.
212 The plan should ensure that the lifting equipment remains safe for the
range of lifting operations for which the equipment might be used.
213 Where two or more items of lifting equipment are used
simultaneously to lift a load, where appropriate a written plan should
be drawn up and applied to ensure safety.
Key terms
The plan The proposed arrangements based
on considering all relevant factors,
in two parts: one dealing with initial
planning, the other with individual lifting
operations.
For offloading the heavier items of its cargo such as coils of strip steel, a
ship was moved to a birth adjacent to a mobile crane, which was weighted
to lift heavier loads than the normal dockside cranes.
The accident happened when an attempt was made to unload one of the
larger coils from the side of the ship that was away from the dock. Usually
a wire mat sling would have been passed through the hollow centre of
the coil to do this, but the coil was against other cargo so this was not
possible. A coil boom was therefore put through the coil centre from one
side, but it only reached part way.
While the coil was being dragged across the hold so it could be lifted out,
the coil boom slipped out. The coil rolled to the opposite side of the ship
and crushed the stevedore.
In addition to the unsafe method of using the coil boom, the investigation
found that the crane had been used beyond its SWL. While the weight of
the coil would have been within the SWL at the crane’s minimum radius, the
crane was grossly overloaded at the radius at which it was being used.
Crucially, however, there had been no written plan of work for this complex
lifting operation.
The duty on employers to provide supervision under the Health and Safety at Work
etc Act 1974 (HSW Act) 2(2)(c) is extended by LOLER regulation 3(5) to other duty
holders. Providing the right supervision ensures compliance with both the HSW Act
and LOLER.
The key term in this part of the regulation which you need to understand is
‘appropriate supervision’.
Key terms
Appropriate supervision Supervision which is proportionate
to the risk and takes account of the
personnel involved in the particular
lifting operation, such as those with
disabilities and the inexperienced.
The ACOP details 12 factors to be considered when carrying out a lifting operation
safely:
n working under suspended loads;
n visibility;
n attaching/detaching and securing loads;
n environment;
n location;
n overturning;
n proximity hazards;
n derating;
n lifting persons;
n overload;
n pre-use checking;
n continuing integrity of the equipment.
Key terms
Left suspended The situation in which a load hangs
from, or is supported by, lifting
equipment which is stationary.
A mechanic and his supervisor were seriously injured when they were
crushed by a vehicle hoist which crashed to the ground. The vehicle was
positioned on a centre post vehicle hoist in the elevated position. The two
employees were working under the car when the hoist crashed and trapped
them.
The accident was due to lack of maintenance and poor workshop practice
in leaving the hoist in an elevated position for 48 hours over the weekend.
The hoist was short of hydraulic oil and had air in the system. Because of
the air, the ram would rise slowly at first, then after a pause when the air
pressure increased, it would rise quickly to its maximum height. The ram
tended to jam in this position.
The hoist, with the car in this position, was left for the 48 hours with the
control in ‘hold’. Normally loss of air would have caused the hoist to
descend, but because of the poor maintenance and the sticking of the ram,
the car remained elevated on the table without support. As soon as the
employees started work on the car’s exhaust system, the table became
dislodged and crashed to the ground.
Visibility
This part of the regulation is about making sure that a form of communication
is used to guide operators of lifting equipment when they cannot see either
directly or indirectly the path travelled by their load. The emphasis here is that the
communication must be appropriate, and that measures must be taken to prevent
the load striking anyone or anything.
Visibility
237 If the operator of lifting equipment cannot observe the full path of the
load, either directly or by means of auxiliary devices, the employer
should ensure that a responsible person has appropriate means of
communication to guide the operator. Measures should be taken to
prevent the load striking anything or any person.
Key terms
Full path of the load The route to be travelled between the
start and finish of the lifting operation.
Key terms
Securing the load By proper use of lifting accessories and
other necessary materials, loads need
to be held stable and intact.
During the operation, the securing bars sprang open. The top beam
toppled, knocking the driver off the lorry’s trailer. The beam, weighing
three-quarters of a tonne, landed across his back and caused the fatal
injuries.
You need to implement safe systems of work and provide measures in the event
of:
n severe weather conditions (eg fog, lightning, heavy rain);
n unsafe conditions following severe weather (eg waterlogged or unsuitable
ground).
You must make sure there is adequate site access/egress for, and suitable space
to position and install the lifting equipment (eg outriggers).
Environment
253 The use of lifting equipment in the open air should be halted where
meteorological conditions deteriorate to the point that it could affect
the integrity of the lifting equipment or expose persons to danger.
You should also ensure that appropriate measures are in place to
minimise the risks to exposed persons.
Location
256 Lifting equipment should only be used where there is sufficient
headroom.
Key terms
Integrity of lifting equipment Physical soundness and suitability for
the task or purpose.
There had been weather warnings that conditions were rapidly getting
worse. The possibility that tag lines would be needed had been discussed,
but was not acted upon. As the crane brought the module above its landing
points, the wind made it sway. On lowering, it drifted away from its support
pads, crushing one of the rig technicians.
The lifting operation was abandoned and the module was parked on an
open area of the deck pending investigation.
Overturning
Instability, tilting and overturning are everyday concerns of those who carry out
lifting operations. This part of 8(1)(c) deals with controlling such risks by:
n preventing use where equipment would be subject to overturning movements;
n having measures in place to prevent tilting and overturning; AND by
n not using lifting equipment to drag loads.
Overturning
258 Lifting equipment should not be used in a manner likely to cause it to
overturn.
259 You should ensure that appropriate measures are in place to prevent
lifting equipment from tilting, overturning and, where appropriate,
moving or slipping. The employer should ensure that suitable checks
are made to achieve this.
260 Lifting equipment should not be used to drag loads if such
operations are liable to cause damage or overload the lifting
equipment.
Key terms
Overturning When equipment turns over completely
(ie through 180° or more).
The driver of a crane was struck by the jib when the crane was pulled over.
After loading scrap metal tanks on to a contractor’s lorry, the lorry moved
forwards and pulled over the mobile crane used in the loading operation. A
four-legged sling had been left hanging from the crane hook and one of the
sling hooks had snagged on the load as the lorry moved away.
Proximity hazards
The ACOP addresses the risks arising from lifting equipment operating close to
other structures or load formations that represent a hazard.
General rules and guidance for safe distances from overhead power lines are
provided in HSE Guidance Note Avoidance of danger from overhead electric power
lines.(3) Part III of PUWER describes general precautions for mobile work equipment.
Proximity hazards
265 You should take suitable measures to minimise the risks from lifting
equipment due to its proximity to other objects.
266 Where anyone is working near the wheel tracks of an overhead
crane, the crane should not be allowed to approach within 6 m of
them if they would be liable to be struck by it.
Key terms
Proximity hazard A danger when lifting equipment is used
near to it.
Derating
Here the ACOP is concerned with a way to control risk by reducing the safe load
at which lifting equipment operates; in this way, an additional factor of safety is
provided.
Derating
274 Where appropriate, the safe working load of the lifting equipment
should be reduced to take into account the environment and mode in
which it is being used.
Key terms
Safe working load The maximum load that the equipment
may safely lift.
Look at the case study on page 43. The load, which had been imposed on
the crane in lifting the coil at the far side of the ship, exceeded its SWL. The
crane should have been derated for lifting at this radius. It would not then
have been capable of the coil lifting operation and the tragic consequences
of the case would have been avoided.
Lifting persons using lifting equipment not designed for the purpose
Ideally, only lifting equipment designed for the purpose should be used for lifting
people. However, the ACOP takes account of the fact that other lifting equipment
can be used for this purpose, in certain circumstances, and addresses the risks
involved.
Lifting of persons
276 You should ensure that where persons are lifted by lifting equipment
primarily designed for lifting loads other than persons, the control
position of the lifting equipment is manned at all times.
277 You should ensure that persons being lifted on such equipment have
a reliable means of communication with the equipment operator or
some other responsible person.
280 You should ensure that in the event of failure of the lifting equipment
that the persons being lifted are not exposed to danger and a reliable
means of rescue is available.
Key terms
Control position The position from which the controls of
the lifting equipment are operated.
Overload
Here the ACOP provides for the exceptional circumstances in which lifting
equipment lifts a load greater than its SWL.
Overload
281 A load greater than the safe working load should not be lifted except
where, for the purposes of a test, the competent person requires it.
Key terms
Competent person Individual authorised to carry out
specific instructions. A competent
person must have appropriate practical
and theoretical knowledge and
experience. (See regulation 9 for a fuller
definition.)
Pre-use checking
This is about providing employees with information and training so that they
can check lifting equipment. Users are in the best position to identify faults in
equipment. Employers need to ensure that employees have appropriate training
and instructions to be able to make sure that the lifting equipment is safe to use.
Key terms
Safe to use The objective of pre-use checking: that
is, to ensure that the lifting equipment is
safe to use and free from obvious faults
or defects.
Difficulties in unloading can arise from limited working space and inefficient
storage in the warehouse.
This accident occurred despite the stores being well managed and
maintained and there being adequate, unobstructed space. It was due
to defects in the lifting equipment which would have been evident if the
equipment had been checked before the unloading operation had been
carried out.
A lift truck driver reversed to withdraw the forks of the truck from beneath a
load of banded timber. As he reversed, he tilted the mast slightly to enable
him to withdraw the forks. While he was looking backwards, the two front
bundles fell forward and burst their loads. They collapsed on, and seriously
injured, a trailer driver who was standing close to the operation.
The accident investigation found that the lift truck’s fork blades were of
different lengths and slightly different heights. The bearers on which the
load was landed didn’t provide adequate clearance for the fork blades to
be withdrawn, so they dragged the bearers and propelled the load of timber
forward.
Key terms
Damage or deterioration (of The harmful effects of unsuitable
accessories) storage or environments on the integrity
of accessories.
A steel erector was seriously injured when he was struck by a steel pipe
weighing a tonne. It had slipped from a chain sling while being lifted into
position by a telescopic jib crane.
The condition of the sling was suspect; several links were badly corroded. It
provided only a few good links to which the chain hook could be fastened.
So the pipe was very loosely wrapped.
The lifting equipment at the site had been poorly maintained and there were
no provisions for organised and secure storage of slings, chains and other
lifting accessories.
Activity
1 Regulation 8(1)(a)
Before you do this activity, you may want to work through the rest of this open
learning guidance. As a minimum, make sure you understand all of regulation
8. Then, using the details in the DIY timber warehouse example just given (page
52), list the points which do not comply with the regulation.
2 Regulation 8(1)(c)
How many accidents per year are recorded where you work which are caused
by, or involve, lifting equipment (excluding fork-lift trucks)?
Self-assessment questions
24 What is the one and only permitted use of lifting equipment above its SWL?
25 Who must be present when equipment is used in this way?
26 How can employers ensure that lifting equipment is regularly checked and safe
to use?
27 What is the employer’s duty regarding keeping lifting accessories?
Regulation 9
Thorough examination
and inspection
Key points
Parts 1–4 contain the main provisions for the thorough examination of lifting
equipment:
■■ before it is put into service for the first time;
■■ after installation or reassembly;
■■ during its exposure to conditions which cause deterioration; AND
■■ of the requirement for evidence of the last such examination when the
equipment is used outside the undertaking.
Parts 5–7 deal with exclusions and matters relating to previous regulations.
Regulation 9 states:
(1) Every employer shall ensure that before lifting equipment is put into service for
the first time by him it is thoroughly examined for any defect unless either –
(a) the lifting equipment has not been used before; and
(b) in the case of lifting equipment for which an EC declaration of conformity
could or (in the case of a declaration under the Lift Regulations 1997)
should have been drawn up, the employer has received such declaration
made not more than 12 months before the lifting equipment is put
into service;
(2) Every employer shall ensure that, where the safety of lifting equipment
depends on the installation conditions, it is thoroughly examined –
(a) after installation and before being put into service for the first time; and
(b) after assembly and before being put into service at a new site or in a new
location,
(3) Subject to paragraph (6), every employer shall ensure that lifting equipment
which is exposed to conditions causing deterioration which is liable to result in
dangerous situations is –
to ensure that health and safety conditions are maintained and that any
deterioration can be detected and remedied in good time.
(5) This regulation does not apply to winding apparatus to which the Mines
(Shafts and Winding) Regulations 1993(a) apply.
(6) Where lifting equipment was before the coming into force of these Regulations
required to be thoroughly examined by a provision specified in paragraph (7),
the first thorough examination under paragraph (3) shall be made before the
date by which a thorough examination would have been required by that
provision had it remained in force.
(a) section 22(2), 25(2), 26(1)(d) and 27(2) of the Factories Act 1961(b);
(b) regulations 34(2) and 37(1) of the Shipbuilding and Ship-repairing
Regulations 1960(c);
(c) regulations 28(3), 40 and 46(1) of the Construction (Lifting Operations)
Regulations 1961(d);
(d) regulations 3(1) and (2) and 6(1) of the Offices, Shops and Railway
Premises (Hoists and Lifts) Regulations 1968(e);
(e) regulations 6(1)( c) of and Part III of Schedule 1 to the Offshore
Installations (Operational Safety, Health and Welfare) Regulations 1976(f);
(f) regulation 15 of the Docks Regulations 1988(g).
(a) SI 1993/302.
(b) 1961 c.34; sections 22(2) and 27(2) were amended by SI 1992/195.
(c) 1960/1932; amended by SI 1992/195.
(d) 1961/1581; amended by SI 1992/195.
(e) 1968/849; amended by SI 1992/195.
(f) SI 1976/1019.
(g) SI 1988/1655; amended by SI 1992/195.
Key terms
Defect Fault or weakness in equipment, or any
of its components, which could arise
during the manufacture, construction,
installation, OR when in use. Could be
due to damage, wear, deterioration,
factors inherent in the materials used.
Testing
The level of examination, and the requirement for testing, is based on an
assessment of risk and determined by the competent person. Some overload tests
can cause damage to lifting equipment and it is crucial that the competent person
takes account of manufacturer’s instruction and other information.
Testing
301 The competent person should decide whether a test is necessary.
The nature of the test method will also be a matter for a competent
person: they should determine the most appropriate method of
carrying it out.
This part of the regulation is all about carrying out a thorough examination before
the lifting equipment is put into operation. The extent of the examination depends
on the extent of the information available to the competent person. For new lifting
equipment, a thorough examination may not be needed since it is assumed this
has been done by the manufacturer or supplier. Confirmation of this is through the
Declaration of Conformity.
note what the ACOP says about equipment that needs to be installed.
Key terms
Installation When lifting equipment is erected or
built on-site.
The competent person needs to examine thoroughly the parts of the equipment
specified within the examination scheme; these should include the parts that are
subject to wear and tear, and deterioration and which could lead to dangerous
situations.
Key terms
Examination scheme A specification, usually in writing, of
what must be examined, how and when
the examination will be carried out.
Under the Health and Safety at Work etc Act 1974, lifts in the majority of
industries have been subject to similar inspection standards as those now
required under LOLER. However, until LOLER, passenger lifts in residential
homes were not required to undergo a thorough examination every six
months under any specific regulation.
A passenger lift in one such home was carrying a small group of elderly
residents, when the lift doors jammed. The residents were trapped inside
the lift for over an hour before a technician was able to free the doors and
enable the group to leave the lift. Because of the incident, two individuals
suffered panic attacks resulting in breathing difficulties; a third became
worryingly disorientated for a period. All passengers were badly shaken in
one way or another.
During the review of the incident, it emerged that neither the passenger lift
nor its component parts had been examined in the three years since the lift
was installed.
This part of the regulation is about carrying out inspections to the lifting equipment
where the risks which were identified through the risk assessment could be
addressed through regular inspection. Examples of conditions that can be detected
by inspection include:
n rapid wear which arises from using the equipment in severe environments, as is
often the case in construction;
n when there is wear through repeated operations (eg of a hoist interlock);
n malfunction (eg of a rated capacity indicator);
n where tampering of safety devices may occur (eg defeating an interlock).
Regulation 9(3)(b)
333 The frequency and extent of the inspections required will depend on
the potential risk from the lifting equipment. The inspection should
include, where appropriate, visual checks and functional tests.
334 You should ensure that the persons who determine the nature of
the inspections required and who carry out the inspections are
competent to do so.
If you receive lifting equipment from another operation you must have evidence of
the last time that the thorough examination was carried out.
This covers parts 5–7 of the regulation. The effects on other legal instruments of
regulation 9 are set down. They refer to:
n lifting equipment to which the regulation does NOT apply – 9(5);
n the situation in which equipment was examined under other provisions which
are superseded by regulation 9. The dates of their first examination under
regulation 9 will not be before the dates originally set – 9(6).
The other provisions referred to, and the regulations concerned, are given in 9(7).
Activity
1 Describe what currently happens in your situation to check the strength,
stability and operational safety of lifting equipment when it is installed or
reconfigured on-site.
2 From the point of view as an employer, describe how your lifting equipment is
currently thoroughly examined. Then list any further factors you need to take
into account to implement the requirements of regulation 9.
Self-assessment questions
Regulation 10
Reports and defects
Key points
This regulation deals with formally reporting the findings of thorough examinations
(the subject of regulation 9). It sets out:
■■ what must be reported;
■■ other necessary information;
■■ who must and who should receive copies of reports;
■■ how soon reports are issued;
■■ the duties arising from reports.
The regulation has four main parts, and there is a Schedule setting out the
information which must be contained in a report (see page 74).
Regulation 10 states:
(a) notify the employer forthwith of any defect in the lifting equipment which in
his opinion is or could become a danger to persons;
(b) as soon as is practicable make a report of the thorough examination in
writing authenticated by him or on his behalf by signature or equally
secure means and containing the information specified in Schedule 1 to –
(i) the employer; and
(ii) any person from whom the lifting equipment has been hired or leased;
(c) where there is in his opinion a defect in the lifting equipment involving
an existing or imminent risk of serious personal injury send a copy of the
report as soon as is practicable to the relevant enforcing authority.
(a) notify the employer forthwith of any defect in the lifting equipment which in
his opinion is or could become a danger to persons;
(b) as soon as is practicable make a record of the inspection in writing.
(3) Every employer who has been notified under paragraph (1) shall ensure that
the lifting equipment is not used –
(a) where the defective lifting equipment has been hired or leased by the
employer, the Executive; and
(b) otherwise, the enforcing authority for the premises in which the defective
lifting equipment was thoroughly examined.
The regulation requires the competent person to notify the enforcing authority
(Local Authority or HSE) of defects involving existing or imminent risks of serious
personal injury. Examples of such injuries include:
n amputation;
n electric shock;
n fracture other than to fingers, thumbs or toes.
These are examples of reportable major injuries under the RIDDOR Regulations; if
you require further information about these, please contact HSE Infoline Tel:
0845 345 0055.
Reports must be in usable formats and contain the information detailed in Schedule
1 of LOLER.
Key terms
Defect Fault or weakness in equipment, or any
of its components, which could arise
during the manufacture, construction,
installation, OR when in use. Could be
due to damage, wear, deterioration,
factors inherent in the materials used.
Self-assessment questions
Regulation 11
Keeping of information
Key points
Regulation 11 states:
(1) Where, after the coming into force of these Regulations, an employer obtaining
lifting equipment to which these Regulations apply receives an EC declaration
of conformity relating to it, he shall keep the declaration for so long as he
operates the lifting equipment.
(a) every report made to him under regulation 10(1)(b) is kept available for
inspection –
(i) in the case of a thorough examination under paragraph (1) of
regulation 9 of lifting equipment other than an accessory for lifting, until
he ceases to use the lifting equipment;
(ii) in the case of a thorough examination under paragraph (1) of
regulation 9 of an accessory for lifting, for two years after the report is
made;
(iii) in the case of a thorough examination under paragraph (2) of
regulation 9, until he ceases to use the lifting equipment at the place it
was installed or assembled;
(iv) in the case of a thorough examination under paragraph (3) of
regulation 9, until the next report is made under that paragraph or the
expiration of two years, whichever is later;
(b) every record made under regulation 10(2) is kept available until the next
such record is made.
You need to be aware of the need to keep records of thorough examination and
other documents, and of appropriate places for keeping them. Effective record-
keeping assists with the management of lifting equipment.
Key terms
EC declaration of conformity A declaration that the lifting equipment
meets the requirements of the
Machinery Directive (implemented in the
UK by the Supply of Machinery (Safety)
Regulations 1992).
Self-assessment questions
1 How long must employers keep EC documents that apply to lifting equipment
in their use?
2 How long must the following reports of lifting equipment be kept:
(a) reports of lifting equipment examined before being used for the first time;
(b) reports of accessories for lifting examined before being used for the first
time;
(c) reports of lifting equipment examined after reinstallation or reassembly at
a new location;
(d) reports of lifting equipment examined periodically or under an examination
scheme?
Regulation 12
Exemption for the armed forces
Key points
Regulation 12 states:
(1) The Secretary of State for Defence may, in the interests of national security,
by a certificate in writing exempt any of the home forces, any visiting force or
any headquarters from any of the requirements of these Regulations and
any such exemption may be granted subject to conditions and to a limit of
time and may be revoked by the said Secretary of State by a certificate in
writing at any time.
(a) “the home forces” has the same meaning as in section 12(1) of the
Visiting Forces Act 1952(a);
(b) “headquarters” has the same meaning as in article 3(2) of the Visiting
Forces and International Headquarters (Application of Law) Order 1965(b);
(c) “visiting force” has the same meaning as it does for the purposes of any
provision of Part I of the Visiting Forces Act 1952.
Regulations 13 and 14
Amendments to other
Regulations
Key points
Regulation 13 states:
(a) in paragraph (2) by substituting for the word “31” wherever occurring the word
“48”; and
(b) in paragraph (4) by omitting the word “32”.
Regulation 14 states:
Regulations 15 and 16
Repeal of provisions in other Acts
Key points
Provisions made in the following Acts are repealed by these LOLER Regulations.
They are:
■■ Factories Act 1961;
■■ Mines and Quarries Act 1954.
Regulation 15 states:
Regulation 16 states:
Regulation 17
Revocation of instruments
Key points
Regulation 17 states:
Schedule 1
Information to be contained in a
report of a thorough examination
1 The name and address of the employer for whom the thorough examination
was made.
2 The address of the premises at which the thorough examination was made.
3 Particulars sufficient to identify the lifting equipment including where known its
date of manufacture.
4 The date of the last thorough examination.
5 The safe working load of the lifting equipment or (where its safe working load
depends on the configuration of the lifting equipment) its safe working load for
the last configuration in which it was thoroughly examined.
6 In relation to the first thorough examination of lifting equipment after installation
or after assembly at a new site or in a new location –
(a) that it is such a thorough examination;
(b) (if such be the case) that it has been installed correctly and would be safe
to operate.
7 In relation to a thorough examination of lifting equipment other than a thorough
examination to which paragraph 6 relates –
(a) whether it is a thorough examination –
(i) within an interval of 6 months under regulation 9(3)(a)(i);
(ii) within an interval of 12 months under regulation 9(3)(a)(ii);
(iii) in accordance with an examination scheme under regulation 9(3)(a)(iii);
or
(iv) after the occurrence of exceptional circumstances under regulation
9(3)(a)(iv);
(b) (if such be the case) that the lifting equipment would be safe to operate.
8 In relation to every thorough examination of lifting equipment –
(a) identification of any part found to have a defect which is or could become
a danger to persons, and a description of the defect;
(b) particulars of any repair, renewal or alteration required to remedy a defect
found to be a danger to persons;
(c) in the case of a defect which is not yet but could become a danger to
persons –
(i) the time by which it could become such a danger;
(ii) particulars of any repair, renewal or alteration required to remedy it;
(d) the latest date by which the next thorough examination must be carried
out;
(e) where the thorough examination included testing, particulars of any test;
(f) the date of the thorough examination.
9 The name, address and qualifications of the person making the report; that he
is self-employed or, if employed, the name and address of his employer.
10 The name and address of a person signing or authenticating the report on
behalf of its author.
11 The date of the report.
Schedule 2
Revocation of instruments
(1) Title (2) Reference (3) Extent of revocation
Regulation 4: Activity
In your situation, the assessment and allocation of lifting equipment may be well
under control and operate without exposing users and others to risk of accident
arising from instability. If not, plan how to make improvements. Remember also
that individuals who operate lifting equipment need to be fully informed about the
capability of their equipment to withstand destabilising conditions.
10 Equipment should not be used unless they are in place and operating
effectively.
11 Mobile equipment and equipment which is assembled and then dismantled at
the site of the lifting operations.
12 The employer should ensure that this type of equipment is used such that it will
be stable under all foreseeable conditions.
13 The nature of the ground and other surfaces on which the equipment might be
used.
14 Suitable devices should be fitted which minimise the risk of derailment.
15 There are four requirements:
n a surface sufficiently firm to support rails;
n rails need to have an even running surface;
n rails need to be properly joined;
n rails need to be laid so that equipment and its load can move freely and
without danger of derailment.
16 That they are inflated to the correct pressure according to the load being lifted.
17 Suitable means of checking tyre pressure.
18 That every part of the load and anything attached to it and used in lifting it is of
adequate strength.
19 They are part of the load.
Regulation 5: Activities
1 What did you find when you carried out this basic risk assessment? If you
concluded that people could be at risk, you are bound under LOLER to take
measures to reduce the risk as much as possible. LOLER requires that a risk
assessment be done formally, using a recognised method. If you are unsure
what this entails, find out.
2 If your reaction was ‘What safety records?’ or if you found more than five
separate incidents, this is an area to look at very carefully. Study the equipment
involved. See if there is a particular type that is proving to be problematic.
Regulation 6: Activity
Are your records complete? Do they accurately give information about the risks in
positioning and installing lifting equipment?
Regulation 7: Activity
The activity may have helped you to discover gaps, inconsistencies or errors in the
marking of lifting equipment. Any machinery designed for lifting people requires
specific markings, as does machinery which may inadvertently be used for lifting
people, but which is not designed to do so.
Regulation 8: Activities
1 You could have listed the following – you may have found more:
n unplanned lifting operation – 8(1)(a);
n crane used outside its SWL – 8(1)(a);
n no appropriate supervision – 8(1)(b);
n not carried out safely – 8(1)(c) – meaning
– no pre-use check;
– crane should have been derated;
– crane used for dragging;
– load unsecured;
– unsafe environment.
2 HSE has recorded the following: these are national figures relating to the failure,
collapse or overturning of lifting equipment.
1992/3 1993/4 1994/5 1995/6 1996/7
723 677 791 780 1085
1 Equipment remains safe for the range of lifting operations for which the
equipment might be used.
2 It will identify the resources needed, the procedure which applies and the
responsibilities of those involved.
3 The competent person should possess adequate practical and theoretical
knowledge and experience of planning similar lifting operations.
4 When two or more items of lifting equipment, such as cranes, are used at the
same time to lift a load as well as other complex or unusual lifting operations.
5 (a) An initial plan which ensures equipment is suitable for the range of tasks to
be done;
(b) Plans for individual lifting operations to ensure they can be carried out
safely.
6 ‘unprotected’; ‘occupied by persons’
7 (a) Where practicable, people are not present under loads which are left
suspended;
(b) Access to the danger zone is prevented;
(c) The suspended load has been properly secured.
8 That a responsible person has the means of communication to guide the
operator.
9 The load must be prevented from striking anything or any person on its path of
travel.
10 (a) The attachment points on the load.
(b) The environmental conditions.
(c) The configuration of their use.
11 Authorisation by the person who is responsible for securing, attaching and
detaching the load that it is safe to do so.
12 ‘disintegrating while being lifted’
13 By first lifting it a safe distance.
14 That the use of lifting equipment is halted.
15 That there is enough headroom to prevent damage, overloading or loss of
control of the equipment. There should also be sufficient site access/egress for
the lifting equipment and employers need to consider whether there is
suffiicient space to safely position and install the equipment.
16 The lifting equipment should not be used.
17 ‘tilting’; ‘overturning’; ‘moving’; ‘slipping’
18 Dragging loads.
19 Suitable measures should be taken to minimise the risks.
20 The environment and operating mode proposed.
21 The control position of the lifting equipment must always be manned.
22 ‘those lifted’; ‘the equipment operator’
23 The people being lifted must not be exposed to danger and a reliable means of
rescue must be provided.
24 For the purpose of testing during a thorough examination.
25 A competent person.
26 By providing employees who operate and use lifting equipment with
appropriate training and instruction so that they are able to ensure that the
equipment is safe to use.
27 That they are stored in conditions that do not lead to damage or deterioration.
Regulation 9: Activities
1 (a) The competent person must notify the employer ‘forthwith’ of any defect in
the equipment which could become a danger;
(b) ‘As soon as practicable’ the competent person must make a report of
the examination to the employer and anyone from whom the equipment is
leased or hired. Where there is a defect that is an existing or imminent
risk of serious personal injury, he or she must send a copy of the report to
the enforcing authority.
2 The employer must ensure that the lifting equipment is not used before the
defect is rectified or not used after a time which is specified in the report.
3 The Health and Safety Executive.
Further information
References
1 Five steps to risk assessment INDG163(rev2) HSE Books 2006 (single copy
free or priced packs of 10 ISBN 978 0 7176 6189 3)
www.hse.gov.uk/pubns/indg163.pdf
2 Code of practice for safe use of cranes BS 7121:1989
3 Avoidance of danger from overhead electric power lines GS6 (Third edition)
HSE Books 1997 ISBN 978 0 7176 1348 9
Safe use of lifting equipment. Lifting Operations and Lifting Equipment Regulations
1998. Approved Code of Practice and guidance L113 HSE Books 1998
ISBN 978 0 7176 1628 2
Safe use of work equipment. Provision and Use of Work Equipment Regulations
1998. Approved Code of Practice and guidance L22 (Third edition) HSE Books
2008 ISBN 978 0 7176 6295 1
Safety in working with lift trucks HSG6 (Third edition) HSE Books 2000
ISBN 978 0 7176 1781 4
Hydrogen cracking of grade T(8) chain and components PM39 (Second edition)
HSE Books 1998 ISBN 978 0 7176 1530 8
Health and safety in tyre and exhaust fitting premises HSG62 HSE Books 1991
ISBN 978 0 7176 1686 2
Safety in the use of pallets PM15 (Third edition) HSE Books 1998
ISBN 978 0 7176 1522 3
Code of practice for hand signalling for use in agricultural operations BS 6736:1986
Shafts and winding in mines. Approved Code of Practice on the Mines (Shafts and
Winding) Regulations 1993 L42 HSE Books 1993 ISBN 978 0 11 882164 3
Workplace health, safety and welfare. Workplace (Health, Safety and Welfare)
Regulations 1992. Approved Code of Practice and Guidance L24 HSE Books 1992
ISBN 978 0 7176 0413 5
Safety signs and signals. Health and Safety (Safety Signs and Signals) Regulations
1996. Guidance on Regulations L64 HSE Books 1997 ISBN 978 0 7176 0870 6
Further information
HSE priced and free publications can be viewed online or ordered from
www.hse.gov.uk or contact HSE Books, PO Box 1999, Sudbury, Suffolk
CO10 2WA Tel: 01787 881165 Fax: 01787 313995. HSE priced publications
are also available from bookshops.
For information about health and safety ring HSE’s Infoline Tel: 0845 345 0055
Fax: 0845 408 9566 Textphone: 0845 408 9577 e-mail: hse.infoline@natbrit.com or
write to HSE Information Services, Caerphilly Business Park, Caerphilly CF83 3GG.
The Stationery Office publications are available from The Stationery Office,
PO Box 29, Norwich NR3 1GN Tel: 0870 600 5522 Fax: 0870 600 5533
e-mail: customer.services@tso.co.uk Website: www.tso.co.uk (They are also
available from bookshops.) Statutory Instruments can be viewed free of charge
at www.opsi.gov.uk.
British Standards
British Standards can be obtained in PDF or hard copy formats from the BSI online
shop: www.bsigroup.com/Shop or by contacting BSI Customer Services for hard
copies only Tel: 020 8996 9001 e-mail: cservices@bsigroup.com.