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The Lifts Regulations 2016

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  1. Introductory Text

  2. PART 1 Preliminary

    1. 1.Citation and commencement

    2. 2.Interpretation

    3. 2A.Designated standard

    4. 3.Scope and application

    5. 4.Exception for trade fairs, exhibitions or demonstrations

    6. 5.Lifts where risks are wholly or partly covered by other enactments

  3. PART 2 Obligations of economic operators

    1. Installers

      1. 6.Design, manufacture, installation and testing in accordance with essential health and safety requirements

      2. 7.Technical documentation and conformity assessment

      3. 8. Declaration of conformity and UK marking

      4. 9.Retention of technical documentation and ... declaration of conformity

      5. 10.Labelling and instructions

      6. 11.Monitoring of lifts placed on the market

      7. 12.Duty to take action in respect of lifts placed on the market which are considered not to be in conformity

      8. 13.Provision of information and cooperation

      9. 14.Specific duties relating to buildings or constructions in which lifts are installed

    2. Manufacturers

      1. 15.Design and manufacture in accordance with essential health and safety requirements

      2. 16.Technical documentation and conformity assessment

      3. 17. Declaration of conformity and UK marking

      4. 18.Retention of technical documentation and ... declaration of conformity

      5. 19.Labelling and instructions

      6. 20.Compliance procedures for series production

      7. 21.Monitoring of safety components for lifts made available on the market

      8. 22.Duty to take action in respect of safety components for lifts placed on the market which are considered not to be in conformity

      9. 23.Provision of information and cooperation

    3. Authorised representatives

      1. 24.Appointment of authorised representatives

    4. Importers

      1. 25.Prohibition on placing on the market a safety component for lifts which is not in conformity with the essential health and safety requirements

      2. 26.Requirements which must be satisfied before an importer places a safety component for lifts on the market

      3. 27.Prohibition on placing on the market safety components for lifts considered not to be in conformity with the essential health and safety requirements

      4. 28.Information identifying importer

      5. 29.Instructions

      6. 30.Storage and transport

      7. 31.Monitoring of safety components for lifts made available on the market

      8. 32.Duty to take action in respect of safety components for lifts placed on the market which are considered not to be in conformity

      9. 33.Retention of technical documentation and ...declaration of conformity

      10. 34.Provision of information and cooperation

      11. 35.Cases in which obligations of manufacturers apply to importers

    5. Distributors

      1. 36.Duty to act with due care

      2. 37.Requirements which must be satisfied before a distributor makes a safety component for lifts available on the market

      3. 38.Prohibition on making available on the market where the safety component for lifts is not considered to be in conformity with the essential health and safety requirements

      4. 39.Storage and transport

      5. 40.Duty to take action in respect of safety components for lifts made available on the market which are not in conformity with Part 2

      6. 41.Provision of information and cooperation

      7. 42.Cases in which obligations of manufacturers apply to distributors

    6. All economic operators

      1. 43.Translation of declaration of conformity

      2. 44.Identification of economic operators

      3. 45.Prohibition on improper use of UK marking

      4. 45A.Obligations which are met by complying with obligations in the Directive

      5. 45B.Conformity assessment procedure obligation which is met by complying with the Directive

      6. 45C.Further use of the UK marking

      7. 45D.Qualifying Northern Ireland Goods

  4. PART 3 Conformity assessment

    1. 46.Presumption of conformity

    2. 47.Conformity assessment procedures for lifts

    3. 48.Conformity assessment procedures for safety components for lifts

    4. 49. Declaration of conformity

    5. 50.UK marking

    6. 50A.UK(NI) indication

    7. 50B.Register of notified bodies established in the United Kingdom

  5. PART 4 Approval of Conformity Assessment Bodies

    1. 51.Approved bodies

    2. 52.Approval of conformity assessment bodies

    3. 53.Presumption of conformity of approved bodies

    4. 54.Monitoring

    5. 55.Restriction, suspension or withdrawal of approval

    6. 56.Operational matters in relation to approved bodies

    7. 57.Subsidiaries and contractors

    8. 58.Register of approved bodies

    9. 59.UK national accreditation body

  6. PART 5 Market surveillance and enforcement

    1. 60.Designation of market surveillance authority

    2. 61.Enforcement

    3. 62.Enforcement powers

    4. 63.Exercise of enforcement powers

    5. 64.Evaluation of lifts or safety components for lifts presenting a risk

    6. 65.Enforcement action in respect of lifts and safety components for lifts which are not in conformity and which present a risk

    7. 66.EU safeguard procedure

    8. 67.Enforcement action in respect of lifts and safety components for lifts which are in conformity, but present a risk

    9. 68.Enforcement action in respect of formal non-compliance

    10. 69.Restrictive measures

    11. 70.Offences

    12. 71.Penalties

    13. 72.Defence of due diligence

    14. 73.Liability of persons other than principal offender

    15. 74.Time limit for prosecution of offences

    16. 75.Service of documents

    17. 76.Recovery of expenses of enforcement

    18. 77.Action by enforcing authority

    19. 78.Appeals against notices

    20. 79.Appropriate court for appeals against notices

    21. 80.Compensation

  7. PART 6 Miscellaneous

    1. 81.Review

    2. 82.Transitional provisions

    3. 83.Consequential revocations, savings and amendments

  8. Signature

    1. SCHEDULE 1

      Essential Health and Safety Requirements

      1. 1.Preliminary remarks

      2. 2.General

      3. 3.Risks for persons outside the car

      4. 4.Risks for persons in the car

      5. 5.Other risks

      6. 6.Marking

      7. 7.Instructions

    2. SCHEDULE 2

      Excluded lifts

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

      2. 2.Construction site hoists.

      3. 3.Cableways, including funicular railways.

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

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

      6. 6.Mine winding gear.

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

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

      9. 9.Lifting appliances connected to machinery and intended exclusively for access...

      10. 10.Rack and pinion trains.

      11. 11.Escalators and mechanical walkways.

    3. SCHEDULE 3

      List of safety components referred to in Article 1(1) of the Directive

      1. 1.Devices for locking landing doors.

      2. 2.Devices to prevent falls referred to in paragraph 4, sub-paragraphs...

      3. 3.Overspeed limitation devices.

      4. 4.(a) Energy-accumulating buffers: (i) non-linear, or (ii) with damping of...

      5. 5.Safety devices fitted to jacks of hydraulic power circuits where...

      6. 6.Electric safety devices in the form of safety circuits containing...

    4. SCHEDULE 4

      Approved body requirements

      1. 1.(1) A conformity assessment body must have legal personality and...

      2. 2.(1) A conformity assessment body must be a third party...

      3. 3.(1) A conformity assessment body, its top level management and...

      4. 4.A conformity assessment body, its top level management and the...

      5. 5.A conformity assessment body, its top level management and the...

      6. 6.A conformity assessment body must ensure that the activities of...

      7. 7.A conformity assessment body and its personnel must carry out...

      8. 8.A conformity assessment body must be capable of carrying out...

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

      10. 10.A conformity assessment body must have the means necessary to...

      11. 11.The personnel responsible for carrying out conformity assessment activities must...

      12. 12.A conformity assessment body must be able to demonstrate the...

      13. 13.The remuneration of the top level management and the personnel...

      14. 14.A conformity assessment body must have, and must satisfy the...

      15. 15.A conformity assessment body must ensure that its personnel observe...

      16. 16.Paragraph 15 does not prevent the personnel from providing information...

      17. 17.A conformity assessment body must participate in, or ensure that...

    5. SCHEDULE 5

      EU declaration of conformity

      1. PART 1 EU declaration of conformity for lifts

        1. 1.The ... declaration of conformity for lifts must be drafted...

      2. PART 2 EU declaration of conformity for safety components for lifts

        1. 2.The ... declaration of conformity for safety components for lifts...

    6. SCHEDULE 6

      Operational obligations of approved bodies

      1. 1.A notified An approved body must carry out conformity assessments...

      2. 2.A notified An approved body must carry out conformity assessments...

      3. 3.A notified An approved body must perform its activities taking...

      4. 4.A notified An approved body must respect the degree of...

      5. 5.Where a notified body finds that essential health and safety...

      6. 6.Where, in the course of the monitoring of conformity following...

      7. 7.Where the approved body has required an installer or a...

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

      9. 9.Where this paragraph applies, the approved body must—

      10. 10.A notified An approved body must inform the Secretary of...

      11. 11.A notified An approved body must make provision in its...

      12. 12.An approved body must provide other bodies approved by the...

      13. 13.An approved body must participate in the work of any...

    7. SCHEDULE 7

      Enforcement powers of the Secretary of State and the Department under the 1987 Act

      1. 1.Enforcement powers under the 1987 Act

      2. 2.Modifications to the 1987 Act

    8. SCHEDULE 8

      Enforcement powers of the Health and Safety Executive under the 1974 Act

      1. 1.Enforcement powers under the 1974 Act

      2. 2.Modifications to the 1974 Act

    9. SCHEDULE 9

      Enforcement powers of the Department under the 1978 Order

      1. 1.Enforcement powers under the 1978 Order

      2. 2.Modifications to the 1978 Order

    10. SCHEDULE 10

      Compliance, withdrawal and recall notices

      1. 1.Compliance notice

      2. 2.Withdrawal notice

      3. 3.Recall notice

      4. 4.Interpretation

    11. SCHEDULE 11

      TYPE EXAMINATION FOR LIFTS AND SAFETY COMPONENTS FOR LIFTS (Annex ...

      1. MODULE B A. Type examination of safety components for lifts Type examination ...

        1. 1.A. Type examination of safety components for lifts

        2. 2.The application for Type examination shall be lodged by the ...

        3. 3.The technical documentation shall make it possible to assess whether ...

        4. 4.The approved body shall: examine the technical documentation and the ...

        5. 5.Where the type of the safety component for lifts meets ...

        6. 6.The approved body shall keep itself apprised of any changes ...

        7. 7.The manufacturer shall inform the approved body that holds the ...

        8. 8.Each approved body shall inform the Secretary of State concerning ...

        9. 9.The other approved bodies may, on request, obtain a copy ...

        10. 10.The manufacturer shall keep with the technical documentation a copy ...

        11. 11.Authorised representative The manufacturer's authorised representative may lodge the application ...

        12. 1.B. Type examination of lifts

        13. 2.The application for Type examination shall be lodged by the ...

        14. 3.The technical documentation shall make it possible to assess the ...

        15. 4.The approved body shall: examine the technical documentation and supporting ...

        16. 5.The approved body shall draw up an evaluation report that ...

        17. 6.Where the type meets the essential health and safety requirements ...

        18. 7.The approved body shall keep itself apprised of any changes ...

        19. 8.The installer shall inform the approved body of any modifications ...

        20. 9.Each approved body shall inform the Secretary of State concerning ...

        21. 10.The other approved bodies may, on request, obtain a copy ...

        22. 11.The installer shall keep with the technical documentation a copy ...

        23. 12.Authorised representative The installer's authorised representative may lodge the application ...

    12. SCHEDULE 12

      FINAL INSPECTION FOR LIFTS (Annex V to the Directive)

      1. 1.Final inspection is the part of a conformity assessment procedure...

      2. 2.Obligations of the installer

      3. 3.Final inspection

      4. 3.1.The installer shall lodge an application for final inspection with...

      5. 3.2.The examinations shall include at least one of the following:...

      6. 3.3.The tests of the lift shall include at least the...

      7. 4.If the lift satisfies the essential health and safety requirements...

      8. 5.UK marking and declaration of conformity

      9. 5.1.The installer shall affix the UK marking in the car...

      10. 5.2.The installer shall draw up a written declaration of conformity...

      11. 6.Authorised representative

    13. SCHEDULE 13

      CONFORMITY TO TYPE BASED ON PRODUCT QUALITY ASSURANCE FOR SAFETY COMPONENTS FOR LIFTS (Annex VI to the Directive)

      1. MODULE E

        1. 1.Conformity to type based on product quality assurance for safety...

        2. 2.Obligations of the manufacturer

        3. 3.Quality system

        4. 3.1.The manufacturer shall lodge an application for assessment of his...

        5. 3.2.Under the quality system, each safety component for lifts shall...

        6. 3.3.The approved body shall assess the quality system to determine...

        7. 3.4.The manufacturer shall undertake to fulfil the obligations arising from...

        8. 3.5.The manufacturer or his authorised representative shall keep the approved...

        9. 4.Surveillance under the responsibility of the approved body

        10. 4.1.The purpose of surveillance is to make sure that the...

        11. 4.2.The manufacturer shall for assessment purposes allow the approved body...

        12. 4.3.The approved body shall periodically carry out audits to ensure...

        13. 4.4.Additionally, the approved body may pay unexpected visits to the...

        14. 5.UK marking and Declaration of conformity

        15. 5.1.The manufacturer shall affix the UK marking, and, under the...

        16. 5.2.The manufacturer shall draw up a written declaration of conformity...

        17. 6.The manufacturer shall for a period ending 10 years after...

        18. 7.Each approved body shall inform the Secretary of State of...

        19. 8.Authorised representative

    14. SCHEDULE 14

      CONFORMITY BASED ON FULL QUALITY ASSURANCE FOR SAFETY COMPONENTS FOR LIFTS (Annex VII to the Directive)

      1. MODULE H

        1. 1.Conformity based on full quality assurance for safety components for...

        2. 2.Obligations of the manufacturer

        3. 3.Quality system

        4. 3.1.The manufacturer shall lodge an application for assessment of his...

        5. 3.2.The quality system shall ensure compliance of the safety components...

        6. 3.3.The approved body shall assess the quality system to determine...

        7. 3.4.The manufacturer shall undertake to fulfil the obligations arising from...

        8. 3.5.The manufacturer shall keep the approved body which has approved...

        9. 4.Surveillance under the responsibility of the approved body

        10. 4.1.The purpose of surveillance is to make sure that the...

        11. 4.2.The manufacturer shall for assessment purposes allow the approved body...

        12. 4.3.The approved body shall carry out periodic audits to make...

        13. 4.4.Additionally, the approved body may pay unexpected visits to the...

        14. 5.UK marking and Declaration of conformity

        15. 5.1.The manufacturer shall affix the UK marking, and, under the...

        16. 5.2.The manufacturer shall draw up a written declaration of conformity...

        17. 6.The manufacturer shall, for a period ending 10 years after...

        18. 7.Each approved body shall inform the Secretary of State of...

        19. 8.Authorised representative

    15. SCHEDULE 15

      CONFORMITY BASED ON UNIT VERIFICATION FOR LIFTS (Annex VIII to the Directive)

      1. MODULE G

        1. 1.Conformity based on unit verification is the conformity assessment procedure...

        2. 2.Obligations of the installer

        3. 2.1.The installer shall take all measures necessary so that the...

        4. 2.2.The installer shall apply to a single approved body of...

        5. 3.The technical documentation shall allow an assessment of the conformity...

        6. 4.Verification

        7. 5.UK marking and Declaration of conformity

        8. 5.1.The installer shall affix the UK marking in the car...

        9. 5.2.The installer shall draw up a written declaration of conformity...

        10. 6.The installer shall keep with the technical documentation a copy...

        11. 7.Authorised representative

    16. SCHEDULE 16

      CONFORMITY TO TYPE WITH RANDOM CHECKING FOR SAFETY COMPONENTS FOR LIFTS (Annex IX to the Directive)

      1. MODULE C2

        1. 1.Conformity to type with random checking is the part of...

        2. 2.Manufacturing

        3. 3.The manufacturer shall lodge an application for random checking with...

        4. 4.The approved body shall carry out or have carried out...

        5. 5.UK marking and Declaration of conformity

        6. 5.1.The manufacturer shall affix the UK marking, and, under the...

        7. 5.2.The manufacturer shall draw up a written declaration of conformity...

        8. 6.Authorised representative

    17. SCHEDULE 17

      CONFORMITY TO TYPE BASED ON PRODUCT QUALITY ASSURANCE FOR LIFTS (Annex X to the Directive)

      1. MODULE E

        1. 1.Conformity to type based on product quality assurance is the...

        2. 2.Obligations of the installer

        3. 3.Quality system

        4. 3.1.The installer shall lodge an application for assessment of his...

        5. 3.2.Under the quality system, each lift shall be examined and...

        6. 3.3.The approved body shall assess the quality system to determine...

        7. 3.4.The installer shall undertake to fulfil the obligations arising from...

        8. 3.4.1.The installer shall keep the approved body which has approved...

        9. 3.4.2.The approved body shall assess the modifications proposed and decide...

        10. 4.Surveillance under the responsibility of the approved body

        11. 4.1.The purpose of surveillance is to make sure that the...

        12. 4.2.The installer shall, for assessment purposes, allow the approved body...

        13. 4.3.The approved body shall periodically carry out audits to ensure...

        14. 4.4.Additionally, the approved body may pay unexpected visits to the...

        15. 5.The installer shall, for 10 years after the last lift...

        16. 6.Each approved body shall inform the Secretary of State of...

        17. 7.UK marking and declaration of conformity

        18. 7.1.The installer shall affix the UK marking in the car...

        19. 7.2.The installer shall draw up a written Declaration of conformity...

        20. 8.Authorised representative

    18. SCHEDULE 18

      CONFORMITY BASED ON FULL QUALITY ASSURANCE PLUS DESIGN EXAMINATION FOR LIFTS (Annex XI to the Directive)

      1. MODULE H1

        1. 1.Conformity based on full quality assurance plus design examination for...

        2. 2.Obligations of the installer

        3. 3.Quality system

        4. 3.1.The installer shall lodge an application for assessment of his...

        5. 3.2.The quality system shall ensure compliance of the lifts with...

        6. 3.3.Design examination

        7. 3.3.1.When the design is not entirely in accordance with designated...

        8. 3.3.2.Where the design does not satisfy the applicable essential health...

        9. 3.3.3.The installer shall keep the approved body that has issued...

        10. 3.3.4.Each approved body shall inform the Secretary of State of...

        11. 3.3.5.The installer shall keep a copy of the design examination...

        12. 3.4.Assessment of the quality system The approved body shall assess...

        13. 3.5.The installer shall undertake to fulfil the obligations arising from...

        14. 4.Surveillance under the responsibility of the approved body

        15. 4.1.The purpose of surveillance is to make sure that the...

        16. 4.2.The installer shall, for assessment purposes, allow the approved body...

        17. 4.3.The approved body shall carry out periodic audits to make...

        18. 4.4.Additionally, the approved body may pay unexpected visits to the...

        19. 5.The installer shall, keep at the disposal of the enforcing...

        20. 6.Each approved body shall inform the Secretary of State of...

        21. 7.UK marking and Declaration of conformity

        22. 7.1.The installer shall affix the UK marking in the car...

        23. 7.2.The installer shall draw up a written declaration of conformity...

        24. 8.Authorised representative

    19. SCHEDULE 19

      CONFORMITY TO TYPE BASED ON PRODUCTION QUALITY ASSURANCE FOR LIFTS (Annex XII to the Directive)

      1. MODULE D

        1. 1.Conformity to type based on production quality assurance for lifts...

        2. 2.Obligations of the installer

        3. 3.Quality system

        4. 3.1.The installer shall lodge an application for assessment of his...

        5. 3.2.The quality system shall ensure compliance of the lifts with...

        6. 3.3.The approved body shall assess the quality system to determine...

        7. 3.4.The installer shall undertake to fulfil the obligations arising from...

        8. 3.4.1.The installer shall keep the approved body that has approved...

        9. 3.4.2.The approved body shall assess the modifications proposed and decide...

        10. 4.Surveillance under the responsibility of the approved body

        11. 4.1.The purpose of surveillance is to make sure that the...

        12. 4.2.The installer shall, for assessment purposes, allow the approved body...

        13. 4.3.The approved body shall carry out periodic audits to make...

        14. 4.4.Additionally, the approved body may pay unexpected visits to the...

        15. 5.The installer shall, keep at the disposal of the enforcing...

        16. 6.Each approved body shall inform the Secretary of State of...

        17. 7.UK marking and Declaration of conformity

        18. 7.1.The installer shall affix the UK marking in the car...

        19. 7.2.The installer shall draw up a written Declaration of conformity...

        20. 8.Authorised representative

  10. Explanatory Note

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