LEG 5 Day Diploma 2010 1

LEEA Intensive Diploma
Lifting Equipment General
A presentation by:
Barrie Dawson
©The Lifting Equipment Engineers Association 2010

Legislation & Standards

Legislation & Standards
This unit looks Legislation and various supporting regulations, codes of practice and
the use of standards in the field of both supply and use of Lifting Equipment.
We will look at why these are important from a competent person’s point of view.
The lesson will allow you to have confidence in which legislation is appropriate and
why we do things the way we do.

The Health and Safety at Work etc
Act 1974
• The Health and Safety at Work etc Act 1974 , also referred to as HASAW or HSW, is
the primary piece of legislation covering occupational health and safety in the
United Kingdom.
• The Health and Safety Executive is responsible for enforcing the Act and a number
of other Acts and Statutory Instruments relevant to the working environment.
• We need only consider sections 2, 6, 7 and 8 for this course.

HASAW Section 2
Employers’ general duty (What employers must do for you)
• Decide what could harm you in your job and the precautions to stop it. This is part of risk
assessment.
• In a way you can understand, explain how risks will be controlled and tell you who is
responsible for this.
• Consult and work with you and your health and safety representatives in protecting
everyone from harm in the workplace.
• Give you the health and safety training you need to do your job.
• Provide you with any equipment and protective clothing you need, and ensure it is properly
looked after.
• Provide toilets, washing facilities and drinking water.

HASAW Section 2
Continued:
• Provide adequate first-aid facilities.
• Report injuries, diseases and dangerous incidents at work.
• Have insurance that covers you in case you get hurt at work or ill through work.
• Display a hard copy or electronic copy of the current insurance certificate where
you can easily read it.
• Work with any other employers or contractors sharing the workplace or providing
employees (such as agency workers), so that everyone’s health and safety is
protected.

How does the employer manage
this duty of care?
POLICY
• Health & Safety Policy
• Arrangements for managing duty of ORGANISATION

care
• Everyone has a part to play PLANNING
• Communication and co-operation

MEASURE
HS(G)65 H&S Management model is REVIEW

recommended from HSE

HASAW Section 6
Specific duties for designers, manufacturers, importers and suppliers to
ensure:
• So far as is reasonably practicable, that articles they design, construct, make, supply
etc. are safe and without risk to health at all times.
• Carry out or arrange any testing and examination necessary to perform the duties
above
• Those supplying the item have adequate information about its designed and tested
use.
• So far as is reasonably practicable, that those supplied are given updated

information where it becomes known that the item gives rise to serious risk to H&S

HASAW Section 7
Duty of Employees at Work (What you must do )
• Follow the training you have received when using any work items your employer
has given you.
• Take reasonable care of your own and other people’s health and safety.
• Co-operate with your employer on health and safety.
• Tell someone (your employer, supervisor, or health and safety representative) if

you think the work or inadequate precautions are putting anyone’s health and
safety at serious risk.

HASAW Section 7
REMEMBER
All employees are under a duty to:
Take reasonable care of themselves, and others whom may be affected by

their acts or omissions
© Lifting Equipment Engineers Association 2010

Health and Safety at Work Act
Section 8
Should any member of staff be found to be interfering with these devices, and
they have been provided with the necessary information, training and adequate
supervision to use the machine correctly, disciplinary action would usually follow.

Management of Health and Safety at Work
Regulations 1999
• These regulations modify sections 2 and 7 of the Health and Safety at Work Act.
• Underlines the requirements for employers to provide instruction and training.
• Ensure that their personnel are properly trained to use any equipment necessary
in the course of their work.
• The regulations also place an obligation on employees to undergo such training

and follow the instructions given by their employer.
• Operatives are required to only use equipment for which they are trained and to
use it in the manner and for the purpose for which they have been trained

Management of Health & Safety at Work
Regulations 1999 (Employers Duties)
• Every employer must carry out a “Risk Assessment” in order to identify any health
and safety risk caused by their business (Reg.3)
• Risks identified, should then be eliminated or reduced by revised systems of work /

training
• Findings of risk assessments should be made available to employees along with the
preventative and protective measures implemented
• Adequate training / re-training to be provided upon recruitment or change of

equipment or procedures

Duty of Care to Employees
The key duties of employers is to provide a duty of care to all of there employees
To achieve this they need to provide:
I Information
I Instruction
T Training
S Supervision

So to Re-cap
Employees must use any

– machinery
– equipment
– dangerous substance
– transport equipment
– means of production or
– safety device
Provided by their employer, in accordance with the employers instructions as to its

safe use and in accordance with training provided.
Employees must inform the employer of any matter arising which may affect the
health & safety of himself or others

Only Use Equipment
In The Way You Have Been Trained To Use It

The Machinery Directive
Machinery Directive 2006/42/EC
A European CE Directive concerned with the mechanical and electrical safety of

machines.
The Machinery Directive is largely based on Risk Assessment and use of EU Standards
for critical features such as guards and emergency stops.
Has been adopted by the European Free Trade Association (EFTA) countries so it is
common in law throughout Greater Europe known as the European Economic Area
(EEA).
Implemented by the Supply of Machinery (Safety) Regulations. This regulation only

applies to the manufacturer if he is based in the EEA, or the initial importer into the
EEA if the manufacturer is based outside.

Definitions Of Terms Used
Lifting Equipment
This term is used in two different ways in LOLER. It is a generic term used to cover all
lifting accessories and appliances, but also has a more specific meaning covering
lifting appliances and their anchorages and fixings.
Lifting Accessories
Any device such as a sling, shackle, eyebolt, clamp, spreader beam etc used to
connect the load to a lifting appliance but which is not itself part of the load or the
appliance.
Lifting Machine/Lifting Appliance

A device or mechanism, such as a crane, winch, pulley block, gin wheel, chain block,
which does the work in lifting the load or provides the means of movement, or the
supporting structure and anchoring devices for such a mechanism, e.g. runway,
gantry etc, which may also permit a suspended load to be moved in the horizontal
plane.

Working Load Limit
(WLL sometimes called maximum SWL)
The maximum load or mass that an item of lifting equipment is designed to
sustain, i.e. raise, lower or suspend. This is the load required to be marked on an
item by the product standards.
Safe Working Load (SWL)

The maximum load or mass (as certified by a competent person) that an item of
lifting equipment may raise, lower or suspend under particular service conditions.
It is the SWL which is required to be marked on the item by LOLER and which
appears on any report of thorough examination.
The Minimum Breaking (or failure) Load (MBL)

The minimum breaking load is the calculated load at below which the item will not
break or fail due to distortion.

Coefficient of Utilisation (CoU), Factor of Safety (FOS), Working Coefficient
It is a factor which is applied to the MBL to determine the WLL. It varies with
the product to take account of the susceptibility to damage and considers the
type of stresses the item will meet in normal use.
Mode Factor
A factor applied by the user (slinger or rigger) that takes into account the
geometry of a sling assembly to obtain the maximum load it may lift for a
particular mode of use.

UK / European Legislation
European Machinery Directive

Essential Safety
Requirements
Law
UK
EU Member States have to
Supply of Machinery
legislate for Machinery
Directive & ESRs (Safety) Reg’s (1992)
(1994) (2005) (2008)

Supply of Machinery (SAFETY)
Regulations 2008
The Supply of Machinery (Safety) Regulations 2008 (SMS08)
– Implement the European Machinery Directive within the U.K
– Mandatory on member states of the European Union
– Designed to prevent barriers to trade

Supply of Machinery (SAFETY)
Regulations 2008
THE KEY WORD IS SUPPLY
– Related to section 46 of the consumer protection act 1987 (first
putting into service).
– Any machine supplied after 1st January 1995 is subject to these

regulations.
– Machines and equipment sold before 1995 are not covered.
– Second hand equipment is not covered unless imported from

outside the European Economic Area (EEA)

Supply of Machinery (Safety)
Regulations 2008
Lifting Equipment must be designed and built to sustain a static overload
• Manually operated machines 1.5 x W.L.L

• Other machines 1.25 x W.L.L
• Lifting accessories 1.5 x W.L.L
Machinery must be capable of sustaining a dynamic overload of :-
• 1.1 x W.L.L

Legal Requirements
– The competent person is responsible for the thorough checks
– So if you want a test certificate, ask for one irrespective of what the law
demands
– Note that YOU DO NOT have responsibility for keeping the records, including
test certificates.
If the certificate is not available:

you MAY STILL CARRY OUT A THOROUGH EXAMINATION.

PUWER and LOLER
PUWER: Provision and Use of Work Equipment Regulations 1998

applies to all work equipment
LOLER: Lifting Operations and Lifting Equipment Regulations 1998

applies to lifting equipment in addition to PUWER
Both LOLER and PUWER apply to all sectors of industry
Status of PUWER and LOLER
United Kingdom : Legal requirement
International : Good practice demanded by

customers and local authorities,
Integral to the LEEA Code of Practise
© Lifting
©The Equipment
Lifting Engineers
Equipment Association
Engineers 2010
Association 2010
Provision & Use of Work
Equipment Regulations (1998)
Effective from 5th December 1998.
Applicable to all areas of industry within GB including Offshore Installations.
Covering existing used, leased and new equipment.
WORK Equipment:
– Any machine, appliance, apparatus or tool and any assembly of components
which, in order to achieve a common end, functions as a whole.
PUWER:
– Will implement the non-lifting requirements of the Work Equipment Directive

The Essentials of PUWER
PUWER places duties on the employer to ensure that:
– Work equipment is suitable for the purpose for which it is to be used.
– The working conditions and risk to health and safety of personnel in which the
work equipment is used is to be considered.
– Equipment is suitably maintained and a log kept up to date.
– Equipment is inspected on a regular basis (ref. LOLER)
– All inspection & maintenance records are kept and recorded.
– All persons using work equipment have sufficient information pertaining to its
use, e.g. operating manuals and guides to safe use.

Summary of the Key Requirements of PUWER
• PUWER requires employer to address risks or hazards of equipment from all dates of
manufacture and supply.
• Equipment first provided for use after 31st December 1992 must comply with any
‘essential requirements’
• Equipment may still present a hazard or risk if: application different from that
originally envisaged safety depends upon the way it is installed technical mismatch
between the supply side and user side legislation
• How does the employer checks if the equipment complies?

• look for the CE marking
• obtain the EC declaration of conformity
© Lifting
©The Equipment
Lifting Engineers
Equipment Association
Engineers 2010
Association 2010
Key Regulations of PUWER
Regulation 4 Suitability of work equipment
Regulation 5 Maintenance
Regulation 6 Inspection
Regulation 7 Specific risks
Regulation 8 Information and instructions
Regulation 9 Training

Lifting Operations & Lifting Equipment
Regulations (1998)
Effective from 5th December 1998.
Applicable to all areas of industry within GB including Offshore Installations.
Covering existing used leased and new equipment.
Lifting Operation:
• An operation that includes lifting and lowering of a load. The “load” includes
people.
Lifting Equipment:
• Any work equipment used for lifting or lowering loads and includes
attachments used for anchoring, fixing or supporting it.

Organisation of Lifting Operations (Standard BS
7121)
Must be planned by a competent person
Must be supervised
Must be carried out in a safe manner

LOLER Key Points
Regulation 4 Strength and stability
Regulation 5 Lifting equipment for lifting persons
Regulation 6 Positioning and installation
Regulation 7 Marking of lifting equipment
Regulation 8 Organisation of lifting operations
Regulation 9 Thorough examination and inspection
Regulation 10 Reports and defects
Regulation 11 Keeping of information

Lifting Operations and Lifting Equipment
Regulations (LOLER)
Regulation 4 calls for employers to ensure that:
– Lifting equipment is of adequate strength and stability for each load,

particularly when stress may be induced at mounting or fixing points.
– Every part of a load and anything attached to it and used in lifting is of

adequate strength.

Regulations (LOLER)
Regulation 7 Marking of lifting equipment
Requires all lifting equipment to be marked with its SWL and information that
gives the items characteristics, e.g. Grade, angle of use etc.
Regulation 9 Thorough examination and inspection

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 the lifting
equipment has not been used before; and
In the case of lifting equipment for which an EC declaration of conformity 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

LOLER (1998) Key Points
ADDITIONAL DUTIES
LOLER places additional duties on the end user of the equipment to:
Plan each lifting operation – be supervised and use competent personnel to as certain
the centre of gravity of the load.
Know the weight of the load to be lifted.
Use the correct rated equipment for the lift(s).
Generic Risk Assessments and Method Statements should be in place for routine daily
lifts, e.g. overhead cranes, hoists and fork-trucks.
NB. Preparation for Risk Assessments and Method Statements are the responsibility of
the end-users involved with the lift, or any other task associated (Management
of Health & Safety Regulations 1999, Reg.3)

Marking of Equipment:
All equipment shall be clearly marked with a Safe Working Load and unique
identification number.
Inspections:
All equipment is to be thoroughly inspected before being put into service for the first
time
And
Where the safety of the equipment depends on the installation conditions, e.g.
chemicals, rust and other known hazards.
And
After assembly and re-assembly elsewhere.

Regulations (LOLER)
• A person making a thorough examination for an employer under regulation 9 shall -
(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 –The employer;
and
• 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.
• Every employer who has been notified under paragraph (1) shall ensure that the lifting
equipment is not used before the defect is rectified

Regulations (LOLER)
• Maximum fixed periods for thorough examinations and inspection of lifting

equipment as stated in regulation 9 of LOLER are: -
• Lifting accessories 6 months
• Lifting equipment 12 months
• Man-Riding Equipment 6 months
Or, in accordance with a “Written Scheme of Examination”
• The information to be contained in the report of thorough examination is given

in schedule 1 of LOLER

Lifting Operations and Lifting Equipment Regulations
(LOLER)
Regulation 11 Keeping of information
• 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.
• The employer shall ensure that the information contained in -
– (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;

Record Keeping
Declaration of Conformity
• Effectively the “birth certificate” of the equipment and should remain on file for the
life of the equipment. This declaration was introduced with the Supply of
Machinery Regulations 1992 (amended 1994)
Original Test Certificate

• Should remain on file for the lifetime of the equipment unless more recent tests
have been carried out.
Thorough Examination Report

• For lifting accessories, 2 years after the report was first made. Lifting equipment in
normal use – until the next report is made or two years have elapsed, whichever is
the latest.
N.B. lifting equipment that is assembled and then moved to new locations and
reassembled, a new examination is required.
This may involve a test if the Competent Person deems this necessary.

Documentation
The Competent Person undertaking the thorough examinations must have sight of
either:
– The Declaration of Conformity
– The original test certificate
– The last thorough examination report
Where no paperwork exists it is the duty of the competent person to set out the
appropriate action, i.e. if a test is required or not, or if a thorough examination may
be sufficient, but it is down to the Competent Person’s judgment.

Minimum information to be contained in a
Through Examination Report:
• Name and address of employer for whom the examination was made and the
address of the premises where the examination was carried out.
• The date of the next Thorough Examination in accordance with the interval period
• Identification marks or number of the equipment examined and also the rated
capacity of the equipment i.e. the SWL or WLL
• The date of the report and the date of last Thorough Examination.
• If a test is required or has been carried out and details of what has been done to the
equipment plus details of any parts that require attention.
• Name of the competent person making the report and address of their employers.

Storing the information:
Information can be kept as a hard copy, computer disc – provided the information is
protected from alteration and can be reproduced if required.
All information must be kept on the premises where the equipment is being used.
If not practical, the competent person must see sight of relevant paperwork before
leaving site following examination and/or test.

Competent Person
A Competent Person will have attained the appropriate theoretical and practical
knowledge, together with experience that will enable them to detect defects or
weaknesses in the equipment. This will be a combination of experience, training and
qualifications.
When is the equipment inspected or thoroughly examined?

– The end user should have sufficient training and knowledge to carry out a pre-use
check on the equipment to look for obvious defects.
– The Competent Person undertakes a more thorough examination within a 6 or 12
month period or as detailed in a written scheme of examination.
Thorough examinations are also required following any significant changes in the use,
such as:
– Involvement in an accident or incident
– Any significant change in conditions
– Following long periods out of use or in storage

Testing
– The Competent Person should decide whether a test is necessary, the nature
of the test and appropriate method of carrying it out.
Proof Load Testing
– Subject to the interpretation of the Competent Person and must take into
account any relevant information provided by the manufacturer.
– A proof load is never to be applied without reference to relevant British
Standards or manufacturer’s guidelines.

Codes of Practice
There are various types of Codes of Practice :-
• Approved Codes of Practice (ACoP)
• Recommended CoP
• Trade or Professional Code of Practice
• Technical Publications
• Safety Information sheets
Most modern legislation is published with an approved code of practice

e.g. LOLER, PUWER etc

Codes of Practice
Status of the Approved Code of Practice (ACoP)
– An ACOP is a step down from the regulations
– The requirements are not absolute
– Normally be expected to follow them
– Provide a benchmark against which a court may judge alternatives
Status of the Guidance

– Guidance is another step down in status
– Does not have a special status in law
– The guidance is not compulsory
– If you follow the guidance you will normally do enough to comply with the law
Health and safety inspectors seek to secure compliance with the law and may refer
to this guidance as illustrating good practice. Section 20, 21 & 22 of HSAWA

Questions ?
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LEEA Intensive Diploma

Lifting Equipment General

©The Lifting Equipment Engineers Association 2010

©The Lifting Equipment Engineers Association 2010

©The Lifting Equipment Engineers Association 2010

• We need only consider sections 2, 6, 7 and 8 for this course.

©The Lifting Equipment Engineers Association 2010

• Provide toilets, washing facilities and drinking water.

©The Lifting Equipment Engineers Association 2010

• Provide adequate first-aid facilities.

• Report injuries, diseases and dangerous incidents at work.

©The Lifting Equipment Engineers Association 2010

• Arrangements for managing duty of ORGANISATION

• Everyone has a part to play PLANNING

• Communication and co-operation

HS(G)65 H&S Management model is REVIEW

©The Lifting Equipment Engineers Association 2010

• So far as is reasonably practicable, that those supplied are given updated

©The Lifting Equipment Engineers Association 2010

• Co-operate with your employer on health and safety.

• Tell someone (your employer, supervisor, or health and safety representative) if

©The Lifting Equipment Engineers Association 2010

All employees are under a duty to:

Take reasonable care of themselves, and others whom may be affected by

© Lifting Equipment Engineers Association 2010

©The Lifting Equipment Engineers Association 2010

• Underlines the requirements for employers to provide instruction and training.

• The regulations also place an obligation on employees to undergo such training

©The Lifting Equipment Engineers Association 2010

• Risks identified, should then be eliminated or reduced by revised systems of work /

• Adequate training / re-training to be provided upon recruitment or change of

©The Lifting Equipment Engineers Association 2010

To achieve this they need to provide:

© Lifting Equipment Engineers Association 2010

Employees must use any

Provided by their employer, in accordance with the employers instructions as to its

©The Lifting Equipment Engineers Association 2010

©The Lifting Equipment Engineers Association 2010

A European CE Directive concerned with the mechanical and electrical safety of

Implemented by the Supply of Machinery (Safety) Regulations. This regulation only

©The Lifting Equipment Engineers Association 2010

Lifting Machine/Lifting Appliance

© Lifting Equipment Engineers Association 2010

Safe Working Load (SWL)

The Minimum Breaking (or failure) Load (MBL)

© Lifting Equipment Engineers Association 2010

© Lifting Equipment Engineers Association 2010

European Machinery Directive

©The Lifting Equipment Engineers Association 2010

The Supply of Machinery (Safety) Regulations 2008 (SMS08)

– Implement the European Machinery Directive within the U.K

– Mandatory on member states of the European Union

– Designed to prevent barriers to trade

©The Lifting Equipment Engineers Association 2010

– Any machine supplied after 1st January 1995 is subject to these

– Machines and equipment sold before 1995 are not covered.

– Second hand equipment is not covered unless imported from

© Lifting Equipment Engineers Association 2010

Lifting Equipment must be designed and built to sustain a static overload

• Manually operated machines 1.5 x W.L.L

Machinery must be capable of sustaining a dynamic overload of :-

©The Lifting Equipment Engineers Association 2010

– The competent person is responsible for the thorough checks

If the certificate is not available: