REPUBLIC OF TRINIDAD AND TOBAGO

THE OCCUPATIONAL SAFETY AND HEALTH REGULATIONS

MADE BY THE MINISTER UNDER SECTION 99 OF THE OCCUPATIONAL

SAFETY AND HEALTH ACT NO 1 OF 2004 (AS AMENDED)

THE LIFTING OPERATIONS AND LIFTING EQUIPMENT

REGULATIONS, 2009

ARRANGEMENT OF REGULATIONS
1. Citation and Commencement
2. Interpretation
3. Application
4. Suitability, Strength, Stability and Maintenance
5. Lifting Equipment for lifting persons
6. Positioning and Installation
7. Marking of Lifting Equipment
8. Organisation of Lifting Operations
9. Thorough Examination and Inspection
10. Reports and Defects
11. Keeping of Information
12. Operators of Lifting Equipment
13. Modification of Lifting Equipment

Schedule 1. Information to be contained in a report of a thorough examination.

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Citation and Commencement
1. These Regulations may be cited as the Lifting Operations and Lifting Equipment
Regulations 2009 and shall come into force on…………………, 2009.

Interpretation
2. (1) In these Regulations, unless the context otherwise requires –
“competent person” means a qualified engineer recognized by the Board
of Engineering who has adequate knowledge of and experience in the
construction, maintenance, operation and repair of lifting equipment;
“examination scheme” means a suitable scheme drawn up by a competent
person for such thorough examinations of lifting equipment and lifting
accessories at such intervals as may be appropriate;
“lifting accessory” means any work equipment for attaching loads to
lifting equipment;
“lifting equipment” means work equipment for lifting or lowering loads
and includes its attachments used for anchoring, fixing or supporting the
lifting equipment;
“lifting operation” means an operation concerned with the lifting or
lowering of a load;
“load” includes any material, persons or animals (or any combination of
these) that are lifted or intend to be lifted by the lifting equipment;
“the OSH Act” means the Occupational Safety and Health Act No. 1 of
2004 as amended by Act No. 3 of 2006;
“thorough examination” in relation to a thorough examination under
paragraph (1), (2), (3) or (4) of regulation 9—
(a) means a thorough examination by a competent person;
(b) where it is appropriate to carry out testing for the purpose described in
the paragraph, includes such testing by a competent person as is
appropriate for the purpose, and “thoroughly examined” shall be construed
accordingly;

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 “work equipment” includes any machinery, appliance, apparatus, tool or
installation for use in an industrial establishment (whether exclusively or
not).
(2) Terms not otherwise defined in these Regulations shall have the meaning
assigned to it in the OSH Act.
(3) Unless the context otherwise requires, any reference in these Regulations -
(a) to a numbered regulation or Schedule is a reference to the

regulation or Schedule in these Regulations so numbered; and

(b) to a numbered paragraph is a reference to the paragraph so

numbered in the regulation or Schedule in which the reference

appears.

Application
3. (1) The requirements imposed by these Regulations on an employer in respect
of lifting equipment shall apply in relation to lifting equipment provided
for use or used by an employee at an industrial establishment.
(2) The requirements imposed by these Regulations on an employer shall also
apply—
(a) to a self-employed person, in respect of lifting equipment he uses
at an industrial establishment but only limited to the extent of his
control;
(b) subject to paragraph (4), to a person who has control to any extent
of—
(i) lifting equipment;
(ii) a person at work who uses or supervises or manages the use
of lifting equipment; or
(iii) the way in which lifting equipment is used;
(3) Any reference in paragraph (2) to a person having control is a reference to
a person having control in connection with the carrying on by him of a
trade, business or other undertaking (whether for profit or not).

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 (4) The requirements imposed by these Regulations on an employer shall not
apply to a person in respect of lifting equipment supplied by him by way
of sale, agreement for sale or hire-purchase agreement.

Suitability, Strength, Stability and Maintenance

4. (1) Every employer shall ensure that lifting accessories and equipment are so
constructed or adapted as to be suitable for the purpose for which it is used
or provided.
(2) In selecting lifting accessories and equipment, every employer shall have
regard to the working conditions and to the risks to the health and safety of
persons which exist in the premises or undertaking in which that lifting
accessory or equipment are to be used and any additional risk posed by the
use of that lifting accessory or equipment.
(3) Every employer shall ensure that -
(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 any lifting accessory used is of adequate
strength and dimensions.
(4) Every employer shall ensure that lifting accessories and equipment are
maintained in an efficient state, in efficient working order and in good
repair.

Lifting equipment for lifting persons

5. (1) Every employer shall ensure that lifting equipment for lifting persons -
(a) subject to sub-paragraph (b), is such as to prevent a person using it
being crushed, trapped, struck or falling from the carrier;
(b) is such as to prevent so far as is reasonably practicable a person
using it, while carrying out activities from the carrier, being
crushed, trapped, struck or falling from the carrier,

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 (c) subject to paragraph (2), has suitable devices to prevent the risk of
a carrier falling;
(d) is such that a person trapped in any carrier is not thereby exposed
to danger and can be freed.
(2) Every employer shall ensure, if the risk described in paragraph (1)(c)
cannot be prevented for reasons inherent in the site and height differences,
that —
(a) the carrier has an enhanced safety coefficient suspension rope or
chain; and
(b) the rope or chain is inspected in accordance with an examination
scheme.

Positioning and installation

6. (1) Every employer shall ensure that lifting accessories and equipment are
positioned or installed in such a way as to reduce to as low as is
reasonably practicable the risk—
(a) of the lifting accessories or equipment or load striking a person; or
(b) of the lifting accessories or equipment or the load—
(i) drifting;
(ii) falling freely; or
(iii) being released unintentionally;
and it is otherwise safe.
(2) Every employer shall ensure that there are suitable devices to prevent a
person from falling down a shaft or hoistway.

Marking of lifting equipment

7. (1) Every employer shall ensure that all lifting accessories and equipment are
marked in a clearly visible manner with any markings appropriate for
reasons of health and safety.
(2) Every employer shall ensure that—

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 (a) subject to sub-paragraph (b), lifting accessories and equipment are
conspicuously marked to indicate their safe working loads;
(b) where the safe working load of lifting equipment depends on its
configuration—
(i) the lifting equipment 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 lifting equipment;
(c) lifting accessories 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 or intended to be used for
lifting persons is appropriately and clearly marked to this effect.
(3) Every employer shall ensure that lifting equipment are equipped with
warnings or warning devices or alarms which are appropriate for reasons
of safety and health and which are maintained in an efficient state, in
efficient working order and in good repair.
(4) Without prejudice to the generality of paragraph (3), warnings given by
warning devices or alarms on lifting equipment shall not be appropriate
unless they are unambiguous, easily perceived and easily understood.

Organisation of lifting operations

8. Every employer shall ensure that every lifting operation involving lifting
equipment is—
(a) properly planned by a person appropriately trained in such operation;
(b) appropriately supervised; and
(c) carried out so far as is reasonably practicable, without risks to plant,
machinery and persons.

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Thorough examination and inspection
9. (1) Every employer shall ensure that all lifting accessories and equipment are
thoroughly examined by a competent person in accordance with an
examination scheme.
(2) Every employer shall ensure that before lifting accessories and equipment
are put into service for the first time it is thoroughly examined for any
defect by a competent person and certified as fit for use unless the lifting
accessory or equipment is obtained from the undertaking of another person
and it is accompanied by physical evidence referred to in paragraph (5).
(3) 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,
to ensure that it has been installed correctly and is safe to operate.
(4) Every employer shall ensure that lifting equipment which is exposed to
conditions causing deterioration which is liable to result in dangerous
situations is—
(a) thoroughly examined—
(i) in the case of lifting equipment for lifting persons or a
lifting accessory, at least every 6 months; or
(ii) in the case of other lifting equipment, at least every 12
months; or
(iii) in accordance with an examination scheme.
(b) thoroughly examined every time exceptional circumstances which
are liable to jeopardise the safety of the lifting equipment have
occurred; and
(c) inspected by a competent person at suitable intervals between
thorough examinations,

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 to ensure that health and safety conditions are maintained and that any
deterioration can be detected and remedied within a reasonable time.
(5) Every employer shall ensure that no lifting equipment—
(a) leaves his undertaking; or
(b) if obtained from the undertaking of another person, is used in his
undertaking,
unless it is accompanied by physical evidence that the last thorough
examination required to be carried out under this regulation has been
carried out.

Reports and defects

10. (1) 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 —
(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 immediately to the Chief Inspector of the
Agency.
(2) A person making an inspection 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 record of the inspection in writing.

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 (3) Every employer who has been notified under paragraph (1) shall ensure
that the lifting equipment is not used—
(a) before undertaking such repairs as are necessary to ensure that the
defect is rectified; or
(b) in a case to which sub-paragraph (c) of paragraph 8 of Schedule 1
applies, after a time specified under that sub-paragraph and before
the defect is rectified.

Keeping of information
11. 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 regulation 9 (1) and
(2) 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 regulation 9 (1) and
(2) of an accessory for lifting, for two years after the report is
made;
(iii) in the case of a thorough examination under regulation 9 (3), 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 regulation 9 (4), 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 lifting
equipment becomes unserviceable.

Operators of Lifting Equipment

12. No person shall operate or be permitted to operate, a lifting equipment unless –

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 a) the person operating the equipment is certified in writing by a competent
person to be sufficiently trained and competent to operate such equipment;
or
b) the person operating the equipment does so for the purpose of training
under the supervision of a competent person; and
c) the person operating the equipment has within the last twelve months been
issued by a medical practitioner registered under the Medical Board Act a
certificate of fitness to operate such lifting equipment and the certificate
has not subsequently been revoked.

Modification of Lifting Equipment

13. No modification can be carried out on any lifting equipment unless it has been
approved by the manufacturer.

Made this day of 2009.

Minister of Labour and Small and Micro Enterprise Development

Laid in the Senate this day of 2009.

Laid in the House of Representatives this day of 2009.

Clerk of the House

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 SCHEDULE 1 Regulation 10(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 thorough examination;
(b) (if such be the case) that it has been installed correctly and is 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(4) (a)(i);
(ii) within an interval of 12 months under regulation 9(4)(a)(ii);
(iii) in accordance with an examination scheme under regulation
9(4)(a)(iii) or 5(2)(b); or
(iv) after the occurrence of exceptional circumstances under regulation
9(4)(b);
(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;

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 (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 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.

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REPUBLIC OF TRINIDAD AND TOBAGO

APPROVED CODE OF PRACTICE

FOR THE LIFTING OPERATIONS AND LIFTING EQUIPMENT
REGULATIONS, 2009

Table of Contents

I Notice of Approval 1
II Introduction 2
Regulation 1 Citation and Commencement 3
Regulation 2 Interpretation 3
Lifting Attachments…………………………………………. 3
Lifting Accessories…………………………………………. 3
Load………………..…………………………………………. 3
Lifting Equipment and Operations covered and
not covered by LOLER……………………………………… 3

Regulation 3 Application 4
Examples of Persons LOLER applies to…………………. 4
Examples of Persons LOLER does not apply to……….. 6

Regulation 4 Suitability, Strength, Stability and Maintenance 6

Selection and Suitability of Lifting Equipment………….. 6
Risk Assessment……………………………………………… 6
Material of Manufacture…………………………………… 7
Means of access……………………………………………… 7
Protection against slips, trips and falls………………….. 8
Effect of high wind………………………………………….. 9
Adequate Strength…………………………………………… 10
Adequate Stability…………………………………………… 11
Preventing Overload………………………………………... 13
Regulation 4 (3) (b)…………………………………………. 13
Maintenance………………………………………………….. 14

Regulation 5 Lifting Equipment for lifting persons 15

Definition of Carrier………………………………………… 16
Regulation 5(1)(a) Enclosed Carriers……………………. 16
Regulation 5(1)(b) Other Carriers………………………… 17
 Regulation 5(1)(c) Prevention of Carrier falling………… 18
Regulation 5(1)(d) Person trapped in Carrier……………. 19
Regulation 5(2)……………………………………………….. 19

Regulation 6 Positioning and Installation 20

Regulation 6(1)(a)……………………………………………... 20
Regulation 6(1)(b)(i)…………………………………………… 21
Regulation 6(1)(b)(ii)………………………………………….. 21
Regulation 6(1)(b)(iii)…………………………………………. 21
Regulation 6(2)…………………………………………………. 22

Regulation 7 Marking of Lifting Equipment 23

Regulation 7(1)…..……………………………………………... 23
Regulation 7(2)(a)……………………………………………… 23
Regulation 7(2)(b)……………………………………………… 24
Regulation 7(2)(c)……………………………………………… 26
Regulation 7(2)(d)……………………………………………… 27
Regulation 7(2)(e)……………………………………………… 27
Regulation 7(3) and (4) Warnings and/or warning devices
in Lifting Equipment…………………………………………… 27

Regulation 8 Organisation of Lifting Operations 28

Regulation 8(a)…..……………………………………………... 28
Initial Planning……………………………………………. 29
A person appropriately trained in lifting operations………. 29
Planning of individual lifting operations……………………. 30
Regulation 8(b)…..……………………………………………… 30
Regulation 8(c)…...……………………………………………… 31
Working under suspended loads………………………………. 31
Operator Protection…………………………………………….. 32
Visibility………………………………………………………….. 32
Attaching/Detaching and securing loads……………………. 33
Environment……………………………………………………… 34
Location………………………………………………………….. 34
Overturning……………………………………………………… 35
Proximity Hazards……………………………………………… 36
Derating………………………………………………………….. 37
Lifting of Persons……………………………………………….. 37
Overload…………………………………………………………. 38
Pre-use check……………………………………………………. 38

Regulation 9 Thorough Examination and Inspection 39

Competent Person…..…………………………………………… 39
Regulation 9(1)………..……………………………………. 40
 Testing…………………………………………………….………. 41
Regulation 9(2) Initial Thorough Examination……………… 41
Regulation 9(3) Installation and Reconfiguration…………...41
Regulation 9(4)(a) In service Thorough Examinations…….. 43
Examination Scheme……………………………………………. 44
Regulation 9 (4) (b) Exceptional Circumstances……………. 45
Regulation 9 (4) (c) Inspections……………………………….. 45
Regulation 9 (5)………………………………………………….. 47

Regulation 10 Reports and Defects 48

Regulation 11 Keeping of Information 50
Regulation 12 Operators of Lifting Equipment 50
Regulation 13 Modification of Lifting Equipment 50
Appendix 1 Non-Exhaustive Examples of Lifting Equipment and
Operations covered by LOLER 51

Appendix 2 Non-Exhaustive Examples of Lifting Equipment and

Operations NOT covered by LOLER 53
 Approved Code of Practice
For the Lifting Operations and Lifting Equipment Regulations, 2009
Page 1 of 53

I NOTICE OF APPROVAL
By virtue of section 67 of the Occupational Safety and Health Act No. 1 of 2004 as amended by Act
No. 3 of 2006 and with the consent of the Honourable Minister of Labour and Small and Micro
Enterprise Development and after consultation with governmental departments, other bodies and
members of the public, the Occupational Safety and Health Authority has on …………..2009
approved and issued the following Approved Code of Practice (ACOP) on the Lifting Operations
and Lifting Equipment Regulations, 2009.

The ACOP gives practical guidance with respect to the requirements of the Lifting Operations and
Lifting Equipment Regulations, 2009 and the Occupational Safety and Health Act No. 1 of 2004 as
amended by Act No. 3 of 2006.

Signed,

Chairman
Occupational Safety and Health Authority

(Insert date)
 Approved Code of Practice for the
Lifting Operations and Lifting Equipment Regulations, 2009
Page 2 of 53

II INTRODUCTION

What is the Approved Code of Practice (ACOP)?

The Lifting Operations and Lifting Equipment Regulations, 2009 (LOLER), which came into force
on ………………., 2009 was enacted under section 99 of the Occupational Safety and Health Act
No. 1 of 2004 (as amended) (hereinafter referred to “the OSH Act”).

LOLER gives the broad legal requirements to ensure the reduction of the risk to people’s safety and
health from the use and operation of lifting equipment. However, methods of meeting the broad
requirements stated in the Regulations cannot be listed in the actual Regulations as it is oftentimes
highly technical and subject to frequent changes based on new technologies.

Thus, the ACOP is a separate document which gives the practical guidance, prescriptive details and
specifications on how to comply and implement the requirements outlined in the more general
LOLER.

The ACOP does NOT contain the actual sections of LOLER. Rather reference is made to the
particular sections and practical guidance is given on that specific section. The ACOP must be
read together with LOLER and the OSH Act.

Who needs to read the ACOP?

All persons with responsibility directly or indirectly for work and lifting equipment and its use, for
example, employers, employees, self-employed and those who hire work and lifting equipment
must read this document together with LOLER and the OSH Act. Throughout the document we
have referred to the employer and self-employed people who have duties as “you”. Where the
ACOP is addressed to some other duty-holder, for example, a competent person, the text makes it
clear who it is intended for.

What is the legal status of the ACOP?

Pursuant to section 68 of the OSH Act a failure on the part of any person to observe any provision
of the ACOP shall not of itself render him liable to any civil or criminal proceedings, but any
provision of the ACOP which appears to the Court to be relevant to an alleged contravention shall
be admissible in evidence in the proceedings.

Therefore, if you are prosecuted for a breach of the OSH Act and/or LOLER, and it is proved that
you did not follow the relevant provision of the ACOP, you will need to show that you have
complied with the law in some other way or the court will find you at fault.

Can the ACOP be amended?

Section 67 (4) of the OSH Act provides that the Authority may from time to time revise the whole
or any part of the ACOP with the consent of the Minister of Labour and Small and Micro Enterprise
Development and after consultation with any appropriate departments or other bodies.
 Approved Code of Practice for the
Lifting Operations and Lifting Equipment Regulations, 2009
Page 3 of 53
Regulation 1 Citation and Commencement
1. LOLER comes into force on (Insert date) and all duty holders will need to comply with all of
the requirements of the Regulations from this date.

2. Regulation 9 of the LOLER requires lifting equipment to be thoroughly examined by a

competent person. Any lifting equipment thoroughly examined before (Insert date LOLER
comes into force) will not require a further thorough examination until the date indicated by the
competent person or until the expiration of the current examination report. A piece of lifting
equipment that has been recently thoroughly examined will not require a further thorough
examination solely because LOLER has come into force.

Regulation 2 Interpretation
3. Regulation 2 is a series of definitions used in LOLER. However, the list is not exhaustive
and it must be read together with the substantive Act – the OSH Act as stated in Regulation
2 (2).

Lifting Attachments
4. The definition of lifting equipment includes the attachments used for anchoring, fixing or
supporting the lifting equipment. This covers, for example, the runway of an overhead
travelling crane or the bolts supporting a wall mounted lifting arm. Although the runway of
the overhead travelling crane is not “attached” to the crane, it is nevertheless supporting it
and is part of the lifting equipment.

Lifting Accessories
5. Lifting accessory is defined as any work equipment for attaching loads to lifting equipment.
This definition includes chains, ropes, slings, hooks, shackles and eyebolts. Although some
items for example, hooks and links of a chain are not themselves “lifting accessories” but
rather are components of lifting accessories they should be subject to the same requirements
as lifting accessories.

Load
6. A load is defined as including any material, persons or animals (or any combination of
these) that are lifted by the lifting equipment. Pallets, skips, ladles and similar containers for
carrying material loads, and which are not permanently attached to the lifting machinery
should be treated as the load as they normally remain with the contents once the lifting
operation is complete. In some circumstances, such as in the use of a mobile crane, the
weight of the lifting accessories including the hook block will need to be considered as part
of the load being lifted.

Lifting Equipment and Operations covered and not covered by LOLER

7. The guiding principles as to whether equipment will be covered by LOLER or not is:

(i) LOLER only applies to lifting equipment which is provided for use in an industrial
establishment.
 Approved Code of Practice for the
Lifting Operations and Lifting Equipment Regulations, 2009
Page 4 of 53

(ii) LOLER will not apply to work equipment, which does not have lifting as its
principal function or which performs only a limited lifting function.

(iii) Whilst LOLER applies primarily to lifting operations involving vertical movement,
lifting operations at an angle or on a slope does not automatically disqualify LOLER
from applying. However horizontal movement alone of a load is not covered by
LOLER.

8. Appendix 1 of this ACOP contains some examples of the types of equipment and operations
that are covered by LOLER. This list is not exhaustive and does not itemize all equipment
covered by LOLER. Rather Appendix 1 is to give you some examples to illustrate the range
of equipment, which should be assessed for the application of LOLER.

9. Appendix 2 of this ACOP contains some examples of the types of equipment and operations
that are NOT covered by LOLER. It is reiterated that this list (like Appendix 1) is not
exhaustive and Appendix 2 does not itemize all equipment not covered by LOLER. In some
cases where LOLER does not apply it is likely that the OSH Act or other Regulations will be
applicable and will require similar levels of precautions.

Regulation 3 Application
10. LOLER has general application and applies wherever the OSH Act applies. The OSH Act
applies in all industrial establishments throughout Trinidad and Tobago. Thus, LOLER
applies to all sectors and industries where lifting equipment are used ranging from, but not
limited to, agriculture, manufacturing, factories, offices, shops, schools, hospitals, hotels,
places of entertainment, forestry, marine and offshore works.

Examples of persons LOLER applies to

11. LOLER also applies where there may not be a direct ‘employment’ relationship between the
user and the persons who control the use of the lifting equipment. It will apply, for example,
where a subcontractor carries out work on another person’s premises with lifting equipment
provided by that person or a third party.

12. Some examples of duty holders under the requirements of LOLER are:

(a) employers (whether individuals, partnerships or companies) have a duty to ensure

that lifting equipment provided for their employees and the self-employed working
for them comply with these Regulations;

(b) the self-employed must comply with the same duties in respect of lifting equipment
they use at work;

(c) employers who choose to allow their employees to provide their own lifting
equipment;
 Approved Code of Practice for the
Lifting Operations and Lifting Equipment Regulations, 2009
Page 5 of 53
(d) employers who may provide their lifting equipment to others working on their
premises and they clearly have some control over the equipment provided;

(e) employers who have control of lifting equipment or its management or the way it is
used (e.g. lifting equipment hire/rental companies irrespective if long or short term
rentals) also have duties as far as their control permits. For instance, those hiring out
cranes may, in practice, have some control over the way the crane is used or
maintained by their customers. The crane hire company has a duty under LOLER to
ensure that when a mobile crane is hired out, physical evidence accompanies it (e.g.
a copy of the last examination report) and the user should ensure that this evidence is
available. After installation of a tower crane the user should ensure that the crane is
thoroughly examined by a competent person before it is put into use to make sure it
is safe to operate. Normally this will be done by the hire company, particularly if
they erect the crane;

(f) users of lifting equipment (as an employer or a self-employed person) also has the
duty to manage the subsequent lifting operations in a safe manner and to ensure that
the periodic thorough examinations are undertaken at the frequencies laid down in
LOLER or the examination scheme if there is one. The user may well come to an
arrangement with the hirer under which the hirer carries out the thorough
examinations but that does not alter the user’s duty to make sure they are done. For
example, users of long term hired fork-lift trucks have a have a duty to ensure that
the truck is safe for their employees to use and that it is thoroughly examined at
appropriate intervals. Such thorough examinations may be arranged by the user or
the hire company through agreement. You should note that these thorough
examinations do not remove the need for the user to ensure that necessary
inspections and pre-use checks are carried out and defects reported and remedied as
necessary;

(g) third parties who enters into a contract with an organization to undertake the lifting
operation on their behalf, that is, the third party provides the crane and the operator.
In these circumstances the crane owner has the duty to ensure that the crane is
properly maintained, examined and safe to use and that the lifting operation is
carried out safely;

(h) persons in control of industrial establishments who provide lifting equipment which
are used by members of the public or other people at work must comply with their
duties under LOLER. This applies where the owner of the office block or a shopping
mall provides a lift or an escalator for use by employees and members of the public.
The owner has a duty under LOLER to ensure that the passenger lift or the escalator
is safe to use and that it receives periodic thorough examinations and, where
appropriate, inspections;

(i) owners of nursing homes, hospitals, clinics where hoists are used to lift patients;

(j) owners of ships, marine vessels etc where cranes, electromagnets etc are used as
lifting equipment.
 Approved Code of Practice for the
Lifting Operations and Lifting Equipment Regulations, 2009
Page 6 of 53

Examples of persons LOLER does NOT apply to

13. Section 3 (4) of LOLER states that the Regulation does NOT apply to persons who have
supplied lifting equipment by way of sale, agreement for sale or hire-purchase agreement.

Regulation 4 Suitability, Strength, Stability and Maintenance

Selection and Suitability of Lifting Equipment

14. When selecting lifting equipment and lifting accessories you should take account of
ergonomic risks.

15. Ergonomic design takes account of the size and shape of the human body and should ensure
that the design is compatible with human dimensions. Operating positions, working heights,
reach distances etc. can be adapted to accommodate the intended operator. Operation of the
equipment should not place undue strain on the user. Operators should not be expected to
exert undue force or stretch or reach beyond their normal strength or physical reach
limitations to carry out tasks.

16. This regulation deals with the safety of lifting equipment and lifting accessories from three
aspects:
(a) its initial integrity;
(b) the place where it will be used; and
(c) the purpose for which it will be used.

Risk Assessment
17. The risk assessment carried out under the OSH Act will help you select lifting equipment
and lifting accessories and assess its suitability for particular tasks. Because of the general
risk assessment requirements in the OSH Act there is no specific regulation requiring a risk
assessment in LOLER.

18. Most duty holders will be capable of making the risk assessment themselves using expertise
within their own organisations to identify the measures which need to be taken regarding
their lifting equipment. In a few cases, for example where there are complex hazards or
equipment, it may need to be done in conjunction with the help of external health and safety
advisors.

19. For many items of lifting equipment and lifting accessories, particularly machinery, you will
know from experience what measures need to be taken to comply. Where this is not the case
there is usually a straightforward method of identifying the measures that need to be taken,
because these are described in either general guidance or guidance specific to a particular
industry or piece of equipment. However, you will need to decide whether these are
appropriate.

20. Where guidance does not exist, or is not appropriate, the main factors you need to take into
account are the severity of any injury or ill health likely to result from any hazard present,
the likelihood of that happening and the numbers exposed. This will help you to identify the
measures that need to be taken to eliminate or reduce the risks to an acceptable level.
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21. The selection of suitable lifting equipment and lifting accessories for particular tasks and
processes makes it possible to eliminate or reduce many risks to the health and safety of
people at the workplace. This applies both to the normal use of the equipment as well as to
other operations such as maintenance. For example:

(a) selection of a mobile elevating work platform (MEWP). It should have a platform of
sufficient size and capacity to accommodate the number of people who need to be
present on it as well as any work equipment or loads that it will need to carry;
(b) use of a barrel clamp attachment when using a fork-lift truck to lift barrels onto a
pallet; and
(c) ensuring that dynamo eyebolts and collar eyebolts are used in appropriate
circumstances.

Material of manufacture
22. You should only select lifting equipment and lifting accessories if it is made of materials
which are suitable for the conditions under which it will be used.

23. All materials have unique physical properties and will behave in different ways depending
on the conditions to which they are exposed. For example:
(a) some materials are more likely to suffer the effects of exposure to high temperature
but can operate safely at low temperatures. For others the reverse is true; and
(b) some materials are not suitable for use in acidic or alkaline atmospheres, e.g. grade T
or 8 alloy steel is not suitable for use in acidic conditions because it is susceptible to
a phenomenon known as “hydrogen embrittlement”.

24. The risk assessment will need to include:

(a) how often the lifting equipment will be used;
(b) where the lifting equipment will be used;
(c) the nature and characteristics of the load that the lifting equipment will lift; and
(c) any limitations on use specified by the manufacturer or supplier.

25. Some materials may need to be specially treated by the manufacturer to make them suitable
for use in particular conditions, for example to prevent chemical attack. These special
treatments need to be periodically repeated to ensure that the lifting equipment can continue
to be used safely. If this is necessary then the supplier should provide this information with
the lifting equipment and you should follow their recommendations.

Means of access
26. Where access to or egress from any part of the lifting equipment is required you should
provide a safe means of doing so.

27. Any means of access or egress which forms part of the lifting equipment should be suitable
for the purpose.

28. You need to consider the consequences of falling from heights or into dangerous substances
while gaining access to or egress from the lifting equipment. Typical examples where a
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proper and safe means of access will be necessary include gaining access to the cab of a
tower crane and the operating position of a mobile elevating work platform (MEWP).

29. The need for proper and safe access for the operator to reach the operating position is
generally recognised but safe access to other parts of the lifting equipment may also be
necessary for the purpose of erecting, dismantling, inspecting, maintenance and repair. You
therefore need to consider all those parts of the lifting equipment to which access may be
required, regularly or irregularly, and to the people who need this access.

30. Where practicable, you should provide a permanent means of access rather than relying
upon temporary means. Where appropriate, this should be a permanent feature fitted to the
lifting equipment or some other structure.

31. If modifications are considered necessary in order to provide a permanent means of access
to the lifting equipment, then these may affect the strength and stability of the equipment.
You may therefore need to seek advice and approval from the manufacturer or supplier
before any modifications are made.

Protection against slips, trips and falls

32. These requirements apply to those parts of the lifting equipment where people may need to
be present in order to operate, maintain, inspect and/or carry out repairs.

33. Where a person is required to be present on any part of the lifting equipment, e.g. for
operational, maintenance or inspection purposes, the working place, particularly if a
platform, for that activity should be such as to minimise the risks of accidents arising from
slips, trips and falls.

34. Any floor area on which persons may need to be present should be slip resistant. Steel plate
with a slightly raised, roughened surface can provide a suitable surface. Slip-resistance can
also be achieved by the use of special surface coatings but these may need to be reapplied at
suitable intervals to maintain effectiveness.

35. Where you are using lifting equipment in situations where the accumulation of liquids or
dust may pose a risk of slipping, adequate drainage is needed. Routine maintenance
measures will need to be taken to ensure that any drainage holes do not become blocked and
that dust is safely disposed of.

36. The working place where people need to be present should be of adequate size and strength
for them and any items that need to be on it.

37. Where there is an opening in the floor area it should be either adequately covered or fenced.
Where the cover or any part of the fencing has to be removed it should be replaced as soon
as possible.

38. Any edge protection should be suitable for the purpose and be securely fixed to the lifting
equipment.
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39. Any gate or barrier or other device in the edge protection should open inwards or in such
another way that is safe.

40. Where there is a risk of an object falling from a working place on the lifting equipment such
that it may injure a person below, suitable edge protection should be provided.

41. Where there is a risk of a person at that working place falling more than 2 m, you should
provide suitable edge protection comprising two guard rails, toe board, and mid-rail, or other
similar means of equivalent protection. Edge protection should be sufficiently high, and
sufficiently filled in, to prevent falls (of people or objects) over or through it. The edge
protection and its mounting points should be of adequate strength to withstand any person or
object liable to fall against it.

42. You should also provide the working place with edge protection 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. Some situations where a potential fall of less than 2 m may also require edge
protection to be provided are:
(a) where a traffic route passes close to the edge of the lifting equipment;
(b) where large numbers of people are present;
(c) where a person might fall onto a sharp or dangerous surface or material/substance; or
(d) where a person might fall into fast flowing or deep water.

43. You may need to consider the removal edge protection or the exposure of an unguarded
edge in order for people, work equipment or materials to gain access to the working area.
Where this is required you should ensure that only the minimum of edge protection
necessary is removed and that it is repositioned as soon as possible after access has been
gained. Where people need to approach the edge, for example to help manoeuvre a load onto
the working area, and the edge protection needs to be removed, any person on the working
area may need to wear a safety harness.

Effects of high wind

44. Where lifting equipment, lifting accessories and/or its load, may be affected by high wind
the equipment should be fitted with appropriate devices so as to detect dangerous situations
and allow measures to be taken to cease using the equipment.

45. Some lifting equipment used in the open air - such as tower cranes, container cranes, mobile
elevating work platforms - can become unstable if used in high wind conditions. Where
lifting equipment may be used in areas exposed to high winds it is advisable to refer to 'wind
maps'. These will give an indication of the wind speeds that can be expected in that area and
will aid your selection of suitably designed lifting equipment capable of withstanding the
normal expected wind conditions.

46. Where appropriate, the maximum wind speed in which the lifting equipment can be used
should be provided. Measures therefore need to be in place to determine the wind speed and
also reduce its effect.
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47. The weather forecasting services will provide a general idea of the expected wind conditions
on a day-to-day basis for a particular area. However, they cannot provide an accurate
indication of the prevailing wind conditions at a particular moment in time for a particular
area. Some means of providing a reliable measure of the wind speed, including gusts, may
therefore be necessary.

48. The most common way of providing an instantaneous indication of the wind speed is to fix
an anemometer to the lifting equipment. If used, it should be fixed in the most exposed
position, usually on the top of the lifting equipment. Where this is not possible then other
alternatives could be used, for example a hand-held anemometer or, more usually, estimates
using the Beaufort Scale. However, these alternative methods may not give an accurate
indication of the wind speed in the most exposed position.

49. The shape of the load, and the way it is lifted, may also increase the effects of the wind and
consequently may affect the stability of the lifting equipment. The larger the surface area of
the load presented to the wind then the greater the effect a gust of wind will have on the load
and consequently to the stability of the lifting equipment, as well as on the safety of nearby
workers. This will also need to be taken into account when selecting lifting equipment for
use.

50. To reduce wind effects on the lifting equipment, lifting accessories and/or the load it may be
necessary to set 'wind action levels', i.e. the wind speed(s) that require additional measures
to be taken to ensure that the lifting equipment remains stable. The manufacturer may be
able to provide this information.

51. The measures will vary depending upon the lifting equipment but could include ceasing to
use the lifting equipment until the wind dies down but ensuring the lifting equipment is left
in a safe condition. This could apply to suspended access systems or to rope access work.

52. There may be some instances where the wind could also affect the stability of lifting
equipment used indoors. This could be the case where doors are opened allowing the wind
to 'funnel' through a building. You therefore need to take the stability of lifting equipment
into account if such situations could arise.

Adequate strength
53. You should assess whether the lifting equipment and lifting accessories have 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.

54. The lifting equipment and lifting accessories selected should not be unduly susceptible to
any of the foreseeable failure modes likely to arise in service, for example fracture, wear or
fatigue.

55. The lifting equipment and lifting accessories used should provide an appropriate factor of
safety against failure under foreseeable failure modes.
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56. The lifting equipment should have adequate strength but you should pay particular attention
to the mounting or fixing points. The mounting or fixing points not only include where the
lifting equipment is secured to another surface but also where parts of the lifting equipment
are fixed together, e.g. two jib sections of a crane. In addition to the downward force of the
weight of the load, you should consider additional forces, e.g. any wind loading since this
may place extra stresses on the lifting equipment. Furthermore, any modifications to lifting
equipment may also affect the wind loading. For example, fitting Christmas decorations and
messages or advertising hoardings etc. to a tower crane should only be carried out after a
careful consideration of the risks that may arise from such changes to the wind loading and
the potential effect on the stability of the lifting equipment.

57. A competent person should ensure that the strength and stability of the lifting equipment and
lifting accessories continues to be adequate for the tasks that they are intended to be used
for.

58. For difficult or unusual lifts you may need to contact the supplier or manufacturer of the
lifting equipment to ensure that it is strong enough for the use you propose.

Adequate stability
59. 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 the lifting equipment.

60. 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.

61. 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.

62. Where lifting equipment is anchored to other work equipment or structures you should
ensure that this equipment or structure can withstand the forces that the lifting equipment
and its use will impose on them.

63. A number of factors can affect the stability of the lifting equipment. These include:

(a) the strength of the ground or surface on which the lifting equipment is positioned or
located, e.g. spreader plates may be needed so they can safely support the weight of
the equipment and the maximum load to be lifted;

(b) stability of the surface under load conditions, e.g. if the lifting equipment is too close
to an excavation the ground may slowly subside or collapse suddenly;

(c) whether the surface on which the lifting equipment operates is on a slope and the
angle of any slope - this imposes horizontal as well as vertical forces;

(d) the size and nature of the load (e.g. whether the load itself is unstable);
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(e) how the load is intended to be lifted; and

(f) the maximum wind loading that may occur.

64. You can use various methods or combinations of methods to improve the stability of lifting
equipment. These include:
(a) designing a suitable base on which to position the lifting equipment;
(b) using an anchorage system;
(c) using counterbalancing weights; and
(d) using ballast, outriggers or stabilisers.

Lifting a load from water

65. Where you are lifting a load from water you will need to take account of additional factors.
The load will appear to be lighter while it is in the water because of the water's supporting
action and the lifting equipment may be subject to ‘shock loading’ when the load is lifted
out of the water.

66. If the lifting equipment is situated on a floating vessel it will be effectively operating on a
variable out-of-level base and thus subject to significantly different loading conditions than
is the case on firm level ground. In addition, the distance between the water level and the
deck (and therefore the stability margins) of the floating vessel will vary as the lifting
operation is carried out. Such lifting equipment will be subject to greater dynamic loading
than when used on land. For example, for a crane there will be increased side loading on the
jib and greater forces in the slewing mechanisms, brakes and clutches due to changes in
inclination of the vessel. The crane must therefore be derated from its normal land-based
duties. The extent of such derating should be determined by a competent person based on
the manufacturer of the lifting equipment's recommendations for floating duties.

Lifting equipment – fixed, mobile, dismantled/reassembled, on rails, fitted with tyres

67. 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.

68. Examples of mobile lifting equipment include:

(a) mobile cranes;
(b) fork-lift trucks; and
(c) forwarders and cable cranes in forestry.

69. Examples of lifting equipment which can be dismantled and reassembled include:
(a) tower cranes;
(b) construction site hoists; and
(c) mast climbing work platforms

70. You should note that fixed equipment, as well as mobile equipment, needs to be of adequate
stability while performing lifting operations.
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71. The requirement to ensure that the lifting equipment has adequate strength and stability for
the task links with your duty under Regulation 8 (c) of LOLER to ensure that all lifting
operations involving lifting equipment are carried out in a safe manner.

72. Where lifting equipment is used on rails it should be fitted with suitable devices, for
example to remove loose material from the rails, to minimise the risks of the equipment
being derailed.

73. The surface on which rail-mounted lifting equipment runs (with or without its load) should
be sufficiently firm to support tie rails The rails should have an even running surface; be
properly joined; laid so that the lifting equipment and its load can move freely and without
danger of derailment.

74. Ground settlement can cause rails to be become misaligned and the running surface to
become uneven. You should not allow such settlement to develop to the extent that the
lifting equipment can become unstable or derailed in use.

75. Mobile lifting equipment fitted with pneumatic tyres should not be used to lift loads unless
the tyres are inflated to the correct pressure. You should provide suitable means to check
this.

76. You should ensure that tyre pressures are checked on a regular basis using an appropriate
pressure gauge to confirm that they are at the pressures recommended by the manufacturer.
This is an important part of the lifting regime for lifting equipment.

Preventing overload
77. Where there is a significant risk of overturning and/or overloading arising from the use of
the equipment it should be provided where appropriate with equipment or devices such as
rated capacity indicators and rated capacity limiters. Such devices provide audible and/or
visual warning when the safe lifting limits are being approached.

Regulation 4 (3) (b)

78. Regulation 4 (3) (b) of LOLER provides that every employer shall ensure that every part of
a load and anything attached to it and used in lifting it is of adequate strength.

79. Timber pallets are examples of items, which may be part of a load (if, for example, they are
banded together). These must be of adequate strength for the particular load and lifting
operation. Regulation 4 of LOLER applies to the strength of the container.

80. Any points provided on the load to assist in lifting it are part of the load and not part of the
lifting equipment, though there are exceptions such as the use of eyebolts, which screw into
the load. However, you should take steps to ensure that any such lifting points are of
adequate strength for the task based on an assessment of the risks associated with a
particular lifting operation. Examples of lifting points include lugs that are welded on to a
steel beam before it is lifted and removed afterwards and permanent fittings such as those on
a skip, which may be lifted frequently.
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81. In some circumstances where the risks justify it, you will need to arrange to test the strength
of the lifting points to ensure that they are suitable for a lifting operation. This is particularly
important in circumstances where lifting points are produced by welding lugs onto a load to
allow a lifting operation to be carried out.

82. You should not normally lift loads by banding, straps or wrappings, which have been
provided primarily to keep the load intact unless they are designed for this purpose.
Examples include boxes and cartons secured together. Such items are rarely strong enough
to provide lifting points. Even if such loads are supported as they are lifted, e.g. on the forks
of a fork-lift truck or in a net attached to crane hook, you should check that the banding etc
will withstand expected stresses arising from hoisting and swinging the load. When using
eyebolts you should not use them if they are distorted or have damaged threads and when
using flexible bulk containers you should not use them if the suspension loops are damaged.

Maintenance
83. Regulation 4 (4) of LOLER states that every employer is to maintain lifting equipment and
lifting accessories in an efficient state, efficient working order and in good repair. This
Regulation builds on the general duty stipulated in section 6 (2) (a) of the OSH Act, which
requires employers to maintain plant and systems of work so that it is safe. It is important
that lifting equipment and lifting accessories are maintained so that their performance does
not deteriorate to the extent that it puts people at risk.

84. “Efficient” relates to how the condition of the lifting equipment might affect health and
safety. It is not concerned with productivity. Some parts of lifting equipment such as guards,
emergency shutdown systems and pressure relief devices have to be maintained to do their
job at all times. The need to maintain other parts may not be as obvious, for example failure
to lubricate bearings or replace clogged filters might lead to danger because of seized parts
or overheating. Some maintenance routines affect both the way the equipment works and its
safety. Checking and replacing worn or damaged friction linings in the clutch on a guillotine
will ensure it operates correctly, but could also prevent the drive mechanism jamming, so
reducing the risk of repeat uncovenanted strokes.

85. The frequency at which maintenance activities are carried out should also take into account
the:
(a) intensity of use - frequency and maximum working limits;
(b) operating environment, for example marine, outdoors;
(c) variety of operations - is the equipment performing the same task all the time or does
this change?
(d) risk to safety and health from malfunction or failure.

86. You must ensure that lifting equipment and accessories are stored in conditions that do not
lead to damage or deterioration. This requires the provision of suitable storage facilities.

87. Lifting equipment and accessories also need to be stored in a suitable environment to
prevent rusting, rotting or deterioration. The particular environment will depend on the type
of lifting accessory such as:
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(a) the need for a dry atmosphere to prevent rusting;
(b) the separation from chemicals that could have a corrosive effect on them;
(c) storage of artificial fibre lifting slings out of direct sunlight and away from heat
sources; and
(d) protection from attack by rodents.

Regulation 5 Lifting equipment for lifting persons

88. The raising and lowering of people by lifting equipment, which is not specifically designed
for the purposes, 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 lifting
equipment then you should ensure that all necessary precautions are taken to ensure safety,
including appropriate supervision.

89. If lifting equipment is not marked to indicate that it can be used to lift people it should only
be used if a risk assessment has confirmed it can be used safely and adequate precautions are
taken. It should then be appropriately marked to indicate that it is for lifting people and the
number of people it can lift safely.

90. If however the lifting equipment is marked to indicate that it cannot be used to lift people
(Regulation 7 (2) (e) of LOLER) then it must not be used for this purpose.

91. Examples of lifting machinery, which is not specifically designed for lifting people, but
which could be used if the necessary precautions are taken include a fork-lift truck, a
telescopic handler and a crane (fixed or mobile).

92. Although equipment such as fork-lift trucks, telescopic handlers and cranes are primarily
designed for the purpose of handling materials, when fitted with a suitably designed carrier
or working platform they can provide a safer alternative to other means of access (such as a
ladder). You should recognise, however, that such an arrangement will not provide the same
level of safety as purpose-built equipment such as a mobile elevated work platform
(MEWP). Where it is reasonably practicable to obtain and use purpose-built equipment for
lifting people, particularly for regular and/or routine operations, then you should use such
equipment.

93. If equipment such as a fork-lift truck, telescopic handler or crane is used for lifting people
then you must take adequate precautions.

Fork Lift truck

94. People should never be lifted on the fork arms or a pallet balanced on the fork arms of a lift
truck because they can easily fall off. You should use a properly maintained purpose-built
working platform with suitable edge protection and toe boards. When loaded with people,
tools and materials it should be compatible with the lift truck on which it is fitted to ensure
security and stability in use. It should be effectively secured to the truck’s elevating carriage
or fork to prevent it being displaced or tipping unduly. Persons carried on a platform should
be prevented from reaching any dangerous parts (e.g. the chains of truck) by effective
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screens or guards. They should also be protected against any overhead hazards that might
exist (e.g. from coming into contact with rafters in the ceiling).

Telescopic handler
95. Telescopic handlers are a specific type of fork-lift truck. They should never be used to lift
people unless a suitable working platform is used. You should use a working platform of
safe design, made of sound and suitable material, of adequate strength and ensure that it is
properly maintained. It should be effectively secured to the forks. In order to prevent
inadvertent operation, the operator should scotch or lock out the tilt mechanism when the
equipment is to be used with a working platform. Suitable means of communication between
the operator and platform should be provided (manual signals may be sufficient in many
circumstances).

Cranes
96. The crane used should be adequate and suitable for the task, have a freefall capability lock-
out and should be used equipped with appropriate devices such as a hoisting limiter,
lowering limiter, rated capacity indicator and rated capacity limiter. The carrier should be
adequately attached to the crane (e.g. by a shackle or a hook with a latch). The crane and
carrier should be inspected every day by a competent person. The crane and associated
equipment should be suitably derated.

Definition of Carrier
97. In Regulation 5 of LOLER the term “carrier” is a generic term used to describe the device
which supports people while being lifted or lowered. It includes the following:
(a) the car of a passenger lift;
(b) the cage of a construction site hoist;
(c) a platform on a mobile elevating work platform (MEWP);
(d) a cradle suspended from the hook block of a crane;
(e) a bosun’s chair; and
(f) the harness used for a rope based access system e.g. by an arborist.

98. There is a distinction between carriers which are totally enclosed [this is covered by
Regulation 5 (1) (a) of LOLER] such as a lift car, and those which are not fully enclosed
[this is covered by Regulation 5 (1) (b) of LOLER] such as a window cleaner’s cradle. The
risks, for example, of someone being struck by something while they are in or on the carrier,
or of falling from it, are very different between these types of carriers and the Regulation
deals separately with the two types.

Regulation 5 (1) (a) Enclosed carriers

99. Regulation 5 (1) (a) of LOLER applies to enclosed carries such as a lift car. Any person in
such a car should be suitably protected from being injured by something outside of it. To
achieve this, the car should normally be fully enclosed when in use.
100. The use of the word “prevent” in the phrase “such as to prevent a person using it being
crushed, trapped or struck or falling from the carrier” makes it an absolute requirement. This
is the reason that this Regulation applies only to carriers such as lift cars where it is possible
to meet this requirement.
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101. “Using” in this context means “travelling in it”. This Regulation should not be applied to
work, e.g. maintenance or examination of the car, shaft or hoisting ropes, carried out from
the top of the lift car.

102. You should take appropriate precautions to prevent someone who is entering or leaving the
car from being struck by it. There should be a suitable enclosure around the car and, where
necessary, appropriate protective devices to prevent access to the danger zone.

103. Any door or gate which is necessary in order to gain access or egress to/from the car should
open so as to prevent any person falling accidentally from the car.

104. Any motorised doors fitted to a lift car should be fitted with a suitable device to prevent the
user being crushed by it when entering or leaving. Lift cars should be fitted with full-length
doors so designed and installed that the car cannot move unless the doors are closed and
comes to a halt if the doors are opened. The doors of the car must remain closed and
interlocked if the lift stops between two levels.

105. The doors of the hoistway should also be of solid construction with smooth interior surfaces.
In addition, the doors and the hoistway opposite the open side of a carrier without internal
doors should, throughout its height of travel, be smooth and flush with each other.

106. However, some lifting equipment cannot comply with Regulation 5 (1) (a) of LOLER such
as a paternoster lift. Such equipment should be dealt with under Regulation 5 (1) (b) of
LOLER.

Regulation 5 (1) (b) Other carriers

107. Regulation 5 (1) (b) of LOLER deals with persons “working from” carriers, rather than
“travelling in” carriers and it is normally not possible to fully enclose the carrier to prevent
the user being struck or crushed. Thus this requirement is qualified by “so far as is
reasonably practicable”.

108. Regulation 5 (1) (b) of LOLER applies to lifting equipment such as mobile elevating work
platforms and to operations where the person using the carrier is “carrying out activities
from the carrier”.

109. In some work situations persons may “use” such a carrier but:
(i) not “carry out activities from it” e.g. someone being raised/transferred in a crane
skip; or
(ii) not “carry out activities from the carrier” e.g. a maintenance engineer working on
top of a lift car.
In such situations, Regulation 5 (1) (a) of LOLER may then apply. However, in practice
employers should comply with Regulation 5 (1) (b) of LOLER through the adoption of good
working practices.

110. Where a person in a carrier, which is not fully enclosed, 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
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the risk of serious injury. 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.

111. The floor area of any carrier on which persons need to be present should be slip-resistant.

112. As part of the risk assessment carried out to satisfy your duties, you should assess the risks
arising from other work equipment, structures or objects, which the persons being lifted,
may strike. Fully enclosed carriers and falling object protection on carriers can reduce the
risks in such circumstances. They should be used wherever there is a need provided that it is
reasonably practicable to do so, taking into account the nature of the work involved.

113. Where this is not practical, e.g. when working from a MEWP, suitable alternative
precautions are needed. Depending on the type of lifting equipment that is used, the risk
assessment will identify the precautions that are needed. Examples include a 2 m high
enclosure around a construction site hoist and hold-to-run controls.

114. The carrier (such as a cage or basket) should be of a safe design, made of sound and suitable
material and of adequate strength. If access doors are fitted to the carrier they should not
open outwards and should be fitted with a device to prevent inadvertent opening.

115. Some of the measures required to prevent people being crushed or struck by the lifting
equipment, e.g. high fencing, may also help prevent the user falling from the carrier and
therefore achieve compliance with this Regulation. However, where the risk cannot be
adequately controlled by these measures further steps may be necessary, for example you
may need to use safety harnesses with lanyards attached to designated anchor points.

Regulation 5 (1) (c) Prevention of carrier falling

116. Because it may not be possible in practice to “prevent” a carrier falling, devices such as twin
ropes, and procedures, such as de-rating a lifting machine, can reduce the risk to an
acceptable level. Where persons are lifted on a platform suspended from the hoist rope of a
crane, the precautions should include de-rating the safe working load (SWL) by 50%.Lift
cars must have devices to prevent free-fall which should be independent of the means of
suspension of the car.

117. Where practicable, other carriers should be fitted with suitable devices or other effective
measures taken, to prevent the carrier falling in the event of failure of the primary means of
support. For example:
(a) multiple ropes (with independent anchorages);
(b) multiple cylinders;
(c) ropes, chains or hydraulic pipes with a high factor of safety;
(d) safety gear; and
(e) check valves (for hydraulically powered systems)

118. In addition to the suitable devices mentioned above, further measures may be necessary to
ensure safety with certain equipment such as a cradle lifted by a crane. These include:
(a) derating the equipment;
(b) daily inspections of the equipment by a competent person; and
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(c) providing adequate instruction and training for all persons involved in the lifting
operation (persons being lifted, operator of the lifting equipment, supervisor etc).

119. You should position or install the lifting equipment to minimise the effects of a failure of the
primary means of lifting. See Regulation 6 of LOLER for more details on positioning and
installation.

Regulation 5 (1) (d) Person trapped in carrier

120. The word “trapped” [which also appears in Regulation 5 (1) (a) of LOLER] should be
interpreted as meaning that a person cannot escape from the carrier. You should ensure that
in the event of malfunction of the lifting equipment that persons being lifted are not exposed
to danger and a reliable means of rescue is available.

121. If a person becomes trapped in a carrier they should be able to summon other people to their
assistance. If other people are working nearby then a shout for help may be sufficient. In
some circumstances a telephone or radio link within the carrier, or the fitting of an alarm
bell or klaxon which can be used to summon help, might be needed. These devices should
be regularly maintained and inspected by a competent person to ensure they continue to
function properly.

122. An emergency means of lowering the carrier to a safe position may be appropriate to deal
with a user who has become trapped or, where this is not possible, self-rescue equipment
such as a rope ladder or an inertia reel system could be provided. There is a need to ensure
that the use of such equipment does not make the carrier unstable thereby increasing the risk
to the user. The use of emergency lowering and self-rescue equipment may only be
appropriate where potential users have received training in its use and are competent to use
it.

Regulation 5 (2)
123. This Regulations states that every employer shall ensure, if the risk described in Regulation
5 (1) (c) of LOLER cannot be prevented for reasons inherent in the site and height
differences, that –

(a) the carrier has an enhanced safety coefficient suspension rope or chain; and
(b) the rope or chain is inspected in accordance with an examination scheme.

124. 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. This is the arithmetic
ratio between the highest load guaranteed by the manufacturer that the lifting equipment or
accessory is able to lift and the maximum working load marked on the equipment.
Regulation 6 Positioning and installation
125. Regulation 6 of LOLER applies to both permanently installed and mobile lifting equipment
although different measures will need to be taken in each case to control the risks.
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126. “Installed” refers only to lifting equipment, which is assembled at a particular location, and
not to mobile lifting equipment, which is positioned in a particular location to carry out
lifting operations.

Regulation 6 (1) (a)

127. Lifting equipment should be positioned or installed to minimise the need to lift loads over
people.

128. In particular, lifting equipment should be positioned and installed to prevent crushing when
it is in its extreme positions.

129. 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, the lifting accessory or the
load.

130. 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.

131. 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.

132. As part of the planning required by regulation 8 of LOLER (which deals with the
organisation of lifting operations) you will need to address, among other things, whether the
equipment has been (or will be) installed or positioned to ensure that the risks of the
equipment, or the lifting accessory or its load, injuring people is minimised. The measures
that you need to take to control the risks will depend upon the type of equipment and where
and how it is used.

133. It may be necessary to ensure the dimensions of any passageways or paths that are provided
for access are sufficient that any persons using them will not be put at risk from any lifting
operation. Any gap into which persons may enter, which may be reduced, for example, by a
slewing motion, should be at least 0.5 m and preferably never less than 0.6 m.

134. You may need to cover such a passageway to help protect persons should a lifting accessory
or a load drop unexpectedly.

135. The words “and it is otherwise safe” were included to cover situations such as 2 cranes
colliding, or the equipment or the lifting accessory or the load striking a building, with
consequential risk to people. It is not intended to be an absolute requirement and compliance
will be achieved if the risks are reduced as low as is reasonably practicable.
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Regulation 6 (1) (b) (i)
136. Appropriate measures should be taken to prevent a freely suspended load from moving in an
uncontrolled manner where the risks justify it.

137. Runway beams supporting lifting equipment should be level and of sufficient stiffness to
prevent lifting equipment drifting or running away.

Regulation 6 (1) (b) (ii)

138. Where appropriate, lifting equipment and lifting accessories should be fitted with suitable
devices to minimise any risk of the load falling freely.

139. This Regulation aims to ensure that loads are under control at all times to minimise risks to
persons in the vicinity of the lifting operation. The aim is to prevent uncontrolled free fall. It
is not, however, intended to prohibit gravity discharge of loads (such as grain filling a silo
from a feed-pipe) or operations which involve a controlled free fall, for example piling
where risks to people from such operations can be almost eliminated.

140. Various methods can be used to minimise the risk from the load falling out of control. These
include:
(a) multiple ropes/chains;
(b) lifting mechanisms with a high factor of safety or strength;
(c) safety gear;
(d) check valves (for hydraulic systems); and
(e) safety nets for palletised loads.

Regulation 6 (1) (b) (iii)

141. 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.

142. The requirement is to prevent a load being released unintentionally. Pneumatic, hydraulic,
vacuum or magnetic equipment may need to be adapted or have a back-up power supply that
take over in the event of a power failure. You may need to warn people working on the
equipment or in its vicinity of the potential danger should a power failure occur. In some
circumstances where hardware precautions are not practical you may need to exclude people
from the danger zone.

143. Hooks and other similar devices and all lifting accessories provided for lifting should be of a
type that reduces the risk of the load becoming displaced from the hook or other devices or
lifting accessory.

144. Wherever possible, hooks should be used that have safety catches fitted or are shaped to
prevent the accidental displacement of the sling etc. Where this is not possible, an
alternative acceptable method is to secure the throat of the hook by mousing. If vertical plate
clamps are used it is important that they do not open if the load strikes a surface.
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145. Where two or more items of lifting equipment 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.

146. The best way to avoid a collision between items of lifting equipment or their loads is to
position or install the lifting equipment so that their operating paths do not overlap.
Equipment that may be affected by this requirement include:
(a) tower cranes;
(b) overhead travelling cranes;
(c) telescopic reach trucks; and
(d) forestry equipment moving and processing trees at the landing area of a cable crane.

147. Appropriate precautions should be taken to prevent the lifting equipment or the lifting
accessory or the load striking another structure or vehicle during the lifting operation, which
could result in risks to people from the loads being displaced or the equipment or structure
being damaged.

148. Devices can be fitted onto a tower crane, for example, such as a motion-limiting device that
prevents the boom from moving into a potentially dangerous position. The crane paths
should be clearly defined and you should consider marking out demarcation lines on the
ground which mark the boundary of the path the load will be lifted. Even if motion limiting
devices are fitted, a safe system of work should always be followed.

Regulation 6 (2)
149. Suitable and substantial gates, or other equally effective means, should be provided at any
access and/or egress points to any hoist way or shaft enclosure.

150. Any such gate, or other equally effective means, should be fitted with efficient interlocking
or other devices, such that:
(a) the gate cannot be opened except when the lifting equipment is at the landing and
(b) the lifting equipment cannot be moved away from the landing until the gate is closed.

If it is not reasonably practicable to fit such devices, you should provide alternative
arrangements to ensure that the gate is kept closed and fastened except when the lifting
equipment is at rest at the landing. Any gate needs to be of suitable height to prevent people
toppling over or reaching over it and it should be of adequate strength.

151. You should adequately fence the shaft or hoist way at places where people may fall down
them, e.g. landings. Such places will be indicated by the results of the risk assessment. The
base of the hoist way should be protected by a cage. Gates or doors should be provided at all
landings and kept closed at all times except when loading or unloading. They should be
fitted with interlocks, which prevent the lift moving until the gates are closed. The type of
gate needed will depend on the results of the risk assessment. One factor that you should
consider is who might have access to the shaft or hoist way. For example, a lift in a place
where children could have access requires imperforate doors (i.e. without openings that
could become trapping points). However, in older buildings space constraints could mean
that lattice doors are still being used. This creates trapping and shearing hazards, particularly
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for the young and elderly. Where practicable, such doors should be replaced by imperforate
types. However, if this is not possible you should provide suitably located protective plates
at the leading edge to prevent access of fingers and toe pickets on the lower section of the
gate to prevent foot access through the gates. Any enclosure and gate should normally be at
least 2 m high.

Regulation 7 Marking of lifting equipment

Regulation 7 (1)
152. You must consider all markings that are appropriate for safety and health reasons. For
example, stop and start controls need to be readily identified, the maximum safe working
load, etc. Once identified you must ensure that these markings are marked in a clearly
visible manner on the lifting equipment and lifting accessory. Also you should consider any
other markings that might be appropriate for your own purposes, for example, numbering
machines to aid identification.

153. Markings may use words, letters, numbers or symbols and the use of colour or shape may be
significant. There are nationally or internationally agreed markings relating to some hazards,
which can guide you. Markings should as far as possible conform to such published
standards or as required by any appropriate legislation.

154. However, all markings, instructions and manuals for lifting equipment must have a version
in English.

Regulation 7 (2) (a)

155. A “Safe Working Load” (SWL) is a value or set of values based on the strength and/or
stability of the equipment when lifting. A range of SWLs can be specified for the same
equipment when used in different configurations. The SWL is usually expressed in terms of
the maximum load that the equipment may safely lift, as for cranes and lifting attachments,
or the actual capacity of the equipment in the case of fork-lift trucks.

156. Regulation 7(2) (a) refers to lifting equipment with one fixed SWL such as an overhead
crane, some fork-lift trucks or an accessory such as a shackle or sling. Where possible, the
actual value of the SWL should be marked on the equipment but where this is not possible a
coding system should be used, which easily provides the user with the SWL. Examples of
such systems may include colour coding or attaching some form of label.

157. Sometimes other phrases are used to mean the SWL such as “rated-capacity” or “working
load limit”. However, the term Working Load Limit (WLL) may be seen sometimes as
replacing SWL as the load beyond which lifting equipment should not be used. WLL is the
load value assigned to the “maximum” safe working load under ideal conditions (by
calculation) and in most cases WLL will be the same as the SWL. However, depending on
the conditions of use, it may be necessary for the competent person to reduce the WLL to a
practical SWL; it is this figure, which should be marked on equipment to comply with
Regulation 7 (and be used in determining its safe use for the purposes of Regulation 8).
SWL may be the same or less than WLL but can never be more.
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158. This Regulation requires that (a) machinery and (b) accessories are clearly marked to
indicate their SWLs. Most “traditional” lifting equipment, that is, machinery and
“conventional” accessories, should be marked with the SWL, as should other equipment,
which present similar risks.

159. On chain and wire slings the SWL should be marked legibly and indelibly on a durable tag
or label attached to the sling, or marked on the ferrule or master link.

160. The marking need not show the SWL if there are other ways of “indicating” the safe
working criteria for the equipment. In some cases a “surrogate” marking may be acceptable,
such as a capacity indicator on an excavator. Colour coding alone to denote SWL, whilst not
normally acceptable, is a useful additional feature, e.g. of textile slings, and may be a key
element in the marking of some equipment, e.g. access and rescue ropes.

161. Parts of some earth moving machinery, e.g. attachments such as grabs, forks and buckets,
are interchangeable equipment. These attachments are not normally marked with their SWL
because they may be used in conjunction with a variety of machinery, e.g. different FLTs or
agricultural tractors. In such cases, both the machine, e.g. its maximum load moment and the
attachment, e.g. maximum lift capacity, need to be considered in determining the SWL of
the combination. The latter information should be available to the operator to ensure that the
equipment may be used safely but it need not be marked on the attachment. Marking should
not be required for other types of equipment if it does not contribute significantly to
reducing risks.

Regulation 7 (2) (b)

162. The technical meaning of the term “configuration” relates to how a machine is physically set
up, e.g. crane outrigger position and length of lattice jib. In this Regulation, however, the
term refers also to the way in which the SWL can vary as the load moves, e.g. with the
inclination or extension of a jib. Where a single SWL cannot be assumed because of
changing configurations, the operator must have a means of assessing the SWL at any
instant. A series of markers on a crane jib, or a chart for a selection of radii, would be
sufficient if the SWL can be applied safely to all work within that range.

163. Examples of the type of lifting equipment where its configuration can affect the SWL would
include:
(a) a fork-lift truck fitted with attachment (such as a drum clamp or crane jib);
(b) fitting a fly jib to a crane;
(c) using a mobile crane with outriggers in position or “free on wheels”;
(d) a telescopic reach truck;
(e) an excavator used as a crane;
(f) a jib of a tower crane that can lift loads at various operating radii; and
(g) a lifting beam with multiple lifting points.

164. You should ensure that where lifting equipment has a SWL 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 SWL. Any marking should
be clearly visible or the information be readily available to the operator or user.
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165. Examples of the types of lifting machinery where the SWL can vary within its operating
radius include:
(a) any crane having a jib which can be raised or lowered;
(a) a mobile crane or fork-lift truck with telescopic jib; and
(b) a MEWP on a cantilevered arm.

166. The Regulation requires only that information be provided, not that such equipment is
provided with a device such as a load limiter (to stop the operation if the SWL is exceeded)
or an indicator (to show the operator the radius and the corresponding SWL). However,
where there is a significant hazard arising from its use, the equipment should be fitted with a
device such as a rated capacity indicator (RCI) – formerly known as an automatic safe load
indicator (ASLI) or moment load indicator and/or a rated capacity limiter (RCL).

167. Where changing the operating radius leads to corresponding variations in the SWL your risk
assessment may indicate the need for a load-limiting device to stop the operation if the SWL
is in danger of being exceeded and/or an indicating device which clearly shows the operator
the radius and the corresponding SWL and provides visual and/or audible warning if the
SWL for any radius is in danger of being exceeded. Such devices are necessary for high-risk
activities such as construction and dock work and where people are being lifted.

168. It may not always be practicable to mark the lifting equipment for each configuration but
adequate information about the SWL should always be available to the operator. Where a
machine’s SWL is reduced by the fitting of an attachment (such as a FLT fitted with a drum
clamp or crane jib), the machine should be rated accordingly and may need to be de-rated.

169. It will be necessary for the various mast and jib sections of a crane to be suitably marked to
enable them to be related to the appropriate examination reports for the crane of which they
form a part.

170. The lifting machinery should be clearly marked with information about how the
configuration affects the SWL. This can be in the form of an indicator, plate, chart or
certificate, which is readily available to the operator.

171. If it is not possible to provide a value for the SWL for all configurations, the capacity of the
equipment should be reduced to allow for a factor of safety (this is known as derating).
Where this is necessary it should only be carried out by a competent person. You should
contact the manufacturer or supplier of the equipment for information before any derating is
carried out.

Regulation 7 (2) (c)

172. 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.
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173. You may need to mark certain accessories with details of the particular piece of lifting
equipment with which they should be used.

174. Where a number of lifting accessories are assembled to form one lifting assembly, which is
not dismantled after use, the assembly should be marked to indicate its safety characteristics
to users.

175. Where the weight of an accessory is significant in relation to the SWL of the machine with
which it is intended to be used, the accessory should be clearly marked with its weight.

176. Where there are other characteristics, which might make the use of an accessory for lifting
unsuitable in a particular application then this ACOP information should be marked or
otherwise be available to the user.

177. Accessories for lifting include a single item (such as a shackle) or an assembly of items
(such as lifting beam and slings), which may be used to secure the load to the piece of lifting
equipment. Accessories include:
(a) slings;
(b) shackles;
(c) swivel or eye bolts;
(d) clamps;
(e) lifting magnets;
(f) vacuum lifters; and
(g) lifting beams.

178. For lifting accessories with one SWL the value of the SWL should be marked on the
accessory. Where this is not possible, a coding system should be used which allows the user
to determine the SWL. Examples of such systems include colour coding or attaching some
form of label.

179. If the configuration of an accessory can affect the SWL, e.g. two chains joined by a ring
each with a hook, it should be clearly marked by a tag or a plate, or a chart should be readily
available providing the user with information on the SWL for each configuration.

180. You may need to mark such accessories with their own weight and any other characteristics
that may be appropriate in particular circumstances, e.g. whether the accessory should only
be used with one identified piece of lifting equipment or where its use can be affected by
other factors such as heat or corrosive atmospheres. Furthermore, an accessory such as a
plate clamp may need to be marked with the plate thickness range over which it can be
safely used.

181. The SWL of a multi-leg chain sling varies with the angle between the legs. This is one of the
characteristics affecting safe use. Multi-leg slings are currently tagged to show the 3 SWLs
corresponding to an angle of 45°, 90° and 120° between the legs, although developing
European standards are likely to refer to the angle between a leg and the vertical.
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Regulation 7 (2) (d)
182. Lifting equipment, which is designed for lifting persons, must be appropriately and clearly
marked that it is for lifting persons.

183. The SWL should be clearly indicated on the carrier.

184. In addition, any carrier (e.g. a suspended personnel basket or car of a passenger lift) should
clearly display the maximum number of persons to be carried. The maximum number of
persons who can be lifted safely in certain carriers, e.g. a hoist with an operator, will
generally depend not only upon the SWL but also upon the number who can, without undue
crowding, be accommodated in the carrier while allowing the operator complete freedom of
movement to operate the controls. This is a matter for the manufacturer or other competent
person to decide and certify. In determining the maximum number of persons who can be
lifted safely on carriers from which work is carried out, e.g. MEWPs, an account needs to be
taken of equipment carried on the platform.

Regulation 7 (2) (e)

185. Lifting equipment which may be inadvertently used for lifting people but which has not
been designed for this purpose or which is not intended by the employer to be used for this
purpose should be clearly marked that it should not be used for lifting people. Once the
lifting equipment is so marked it must not be used to lift persons.

186. In some circumstances, complying with Regulation 7 (2) (e) alone, could lead to a “failure to
danger” e.g. if the duty holder did not mark the equipment and it was used for lifting people
when not safe for that purpose. Therefore, Regulation 7 (2) (d) was introduced to ensure a
“failure to safety” approach.

187. Some examples of what may be erroneously assumed as suitable for lifting people are a
goods lift or a construction goods hoist. See the ACOP sections on Regulation 5 of LOLER
above which gives guidance on when lifting equipment, which is not specifically designed
for lifting person, can be undertaken and the necessary precautions to be taken to ensure
safety.

Regulations 7 (3) and (4) Warnings in Lifting Equipment

188. A warning is normally in the form of a permanent printed notice. These may be attached to
or incorporated into the equipment or positioned close to it. There may also be a need for
portable warnings to be posted during temporary operations such as maintenance. Examples
are “not to be lifted above 60 feet” or “not to be operated by persons under 18 years”. In
some cases words can be augmented or replaced by appropriate graphical signs. So as to be
readily understood, such signs will normally need to be from a nationally or internationally
agreed standard set.

189. A warning device or an alarm is an active unit giving a signal. The signal may typically be
either audible (e.g. reversing alarms or automatic safe load indicators on mobile cranes) or
visible (e.g. a red light) and is often connected into the lifting equipment so that it is only
active when a hazard exists. Thus, it alerts persons to imminent danger or the development
of a fault condition or the continued presence of a potential hazard.
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190. Warnings and/or warning devices may be appropriate where risks to health and safety
remain after other hardware measures have been taken. They may be incorporated into
systems of work and can enforce measures of information, instruction and training.

191. Warnings must be easily perceived and unambiguous. It is important to consider factors,
which affect people's perception of such devices, especially for warnings of imminent
danger. Visual warnings will be effective only if a person frequently looks in a particular
direction, and therefore may not be as widely applicable as audible signals. Appropriate
choice of colour and (lashing can catch attention, and also reinforce the warning nature of a
visual signal. The sound given by an audible signal should be of such a type that people
unambiguously perceive it as a warning. This means that it must be possible to distinguish
between the warnings given by separate warning devices and between the warnings and any
other, unrelated signals, which may be in operation at the time. It may not be possible to rely
on audible signals in a noisy environment, nor in circumstances where many such signals are
expected to be active at one time.

192. Warnings and/or warning devices must be maintained in an efficient state, in efficient
working order and in good repair.

Regulation 8 Organisation of lifting operations

Regulation 8 (a) Proper Planning by an appropriately trained person

193. The person planning the operation should have adequate practical and theoretical knowledge
and experience of planning lifting operations. Compliance with this regulation is essential to
the safe undertaking of operations involving lifting equipment.

194. 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.

195. The plan should ensure that the lifting equipment remains safe for the range of lifting
operations for which the equipment might be used.

196. 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.

197. Regulation 8(a) lies at the heart of these regulations. The risk assessment required by the
OSH Act will identify the hazards and corresponding risks. The requirement for proper
planning under these regulations should therefore address how risks identified by this
assessment will be eliminated or adequately controlled. Proper planning of lifting operations
should ensure that not only is suitable equipment provided by duty holders but also that it
can be used safely.

198. The degree of planning will vary considerably. It will depend upon the type of lifting
equipment to be used and the complexity of the lifting operation for which it will be used.
Proper planning of lifting operations is a combination of two parts:
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(a) initial planning to ensure that lifting equipment is provided which is suitable for the
range of tasks that it will have to carry out; and

(b) planning of individual lifting operations so that they can be carried out safely with
the lifting equipment provided.

199. In particular if a load has to be lifted by two or more pieces of work equipment for lifting
non-guided loads simultaneously, a procedure should be established and applied to ensure
good co-ordination on the part of the operators.

200. The balance between the two parts of the planning process will also vary depending upon
the lifting equipment and the particular lifting operation.

Initial planning
201. Factors you should consider when selecting lifting equipment so that it is suitable for the
proposed task include:
(a) the load to be lifted;
(b) its weight, shape, centre of gravity, availability of lifting points;
(c) where the load is presently positioned and where it will be positioned after the lifting
operation;
(d) how often the lifting equipment will be used to carry out the task;
(e) the environment in which the lifting equipment will be used; and
(f) the personnel available and their knowledge, training and experience.

202. The person carrying out this part of the planning exercise will need to have appropriate
knowledge and expertise.

203. You may need to use appropriate equipment for lifting particular types of loads, e.g.
spreader beams for unbalanced loads or you may need to use specialist handling equipment
in conjunction with fork-lift trucks, e.g. reel-handling attachments if you are handling paper
reels or similar loads.

A Person appropriately trained in Lifting Operations

204. The person required to carry out the planning is unlikely to be the competent person referred
to in Regulation 9 (Thorough examination and inspection) and would not normally need to
be from an external organisation.

205. The person appointed to plan the lift (referred to as the “appropriately trained person”) will
normally be an in-house employee. They should have adequate practical and theoretical
knowledge and experience to plan the lifting operation properly. The plan should address
issues such as “the lift” remaining safe for the whole of the operation, i.e. from where the
load starts to where it finishes. Major operations, e.g. “tandem” lift using 2 cranes or 2
FLTs, will normally require a written plan.

Planning of individual lifting operations

206. For routine lifting operations the planning of each individual lifting operation will usually be
a matter for the people using the lifting equipment, such as a slinger, the fork-lift truck
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operator etc. The person carrying out this part of the planning exercise should have
appropriate knowledge and expertise.

207. An example of a simple plan for routine use of an overhead travelling crane would be:
(a) assess the weight of the load;
(b) choose the right accessory for lifting, e.g. depending upon the nature and weight of
the load and the environment in which it is to be used;
(c) check the anticipated path of the load to make sure that it is not obstructed;
(d) prepare a suitable place to set down the load;
(e) fit the sling to the load (using an appropriate method of slinging);
(f) make the lift (a trial lift may be necessary to confirm the centre of gravity of the
load; tag lines may be necessary to stop the load swinging);
(g) release the slings (boards or similar may be necessary to prevent trapping of the
sling); and
(h) clear up.

208. The same principles could be applied to other routine lifting operations involving other types
of lifting equipment, e.g. fork-lift truck, use of an electric winch etc.

209. For routine lifting operations an initial plan may only be required once but you may need to
review it occasionally to make sure that nothing has changed and the “plan” remains valid.
Examples of lifting equipment generally provided for routine lifting operations include:
(a) fork-lift trucks in a warehouse;
(b) a construction site hoist;
(c) a mobile elevated work platform (MEWP) used for general maintenance;
(d) a suspended cradle used for window-cleaning;
(e) a vehicle tail lift; and
(f) a patient hoist.

210. For complex lifting operations you may need to plan the task each time it is carried out.

Regulation 8 (b) Appropriate Supervision

211. Section 6 (2) (d) of the OSH Act places a duty on employers for “...the provision of such,
information, instruction, training and supervision as is necessary to ensure, so far as is
reasonably practicable, the health and safety at work of his employees”. LOLER extends the
duties on employers to other duty holders listed in the ACOP sections on Regulation 3 of
LOLER.

212. Regulation 8 (b) of LOLER extends the duty of section 6 of the OSH Act. “Appropriate
supervision” means that the amount and quality of supervision should be proportional to the
risk and take account the people involved in the particular lifting operation such as those
with disabilities and the inexperienced.

213. Levels of supervision are determined by the nature of the work, and the competence of those
involved in using the equipment and assisting with the lifting operation. It does not mean,
for example, that an experienced fork-lift truck driver will have to be under direct
supervision every time they carry out a routine lift but they may need to be supervised if
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they are required to lift an unusual load, or lift in potentially hazardous conditions, for
example across a public road. Also it does not mean that an occupier of an office block has
to provide a person to supervise the operation of a passenger lift.

214. Both LOLER and the OSH Act require appropriate supervision and as long as you provide
this you will comply with both the requirements of the OSH Act and these Regulations.

Regulation 8 (c) – Lifting Operation Carried Out without Risks

215. Regulation 8 (c) places a duty on you to ensure that lifting equipment is used safely. This
can only be achieved if you have complied with the other regulations where they are
relevant.

Working under Suspended Loads

216. Where practicable, loads should not be carried or suspended over areas occupied by persons.

217. Regulation 6 of LOLER requires you to use lifting equipment only if it is positioned or
installed so that risks arising from the equipment or lifting accessory or the load are
minimised. Where possible, you should organise the layout of the workplace so that no
person will have to work under a suspended load. In some cases this is not possible, e.g.
mechanics working under a car on a raised vehicle inspection lift. In such circumstances you
should ensure that the workers are aware of the risks and that the equipment is thoroughly
examined to ensure that it is safe to use.

218. Unless required for the effective operation of the work, measures must be taken to ensure
that workers are not present under suspended loads. Loads may not be moved above
unprotected workplaces usually occupied by workers. Where that is the case, if work cannot
be carried out properly any other way, appropriate measures must be laid down and applied.
You should establish a safe system of work, which minimises the risks to persons who may
need to be below the load.

219. Where it is necessary to leave loads suspended you should ensure that access to the danger
zone is prevented ensuring that the load has been secured properly.

220. Where the risks cannot be controlled by organising the layout of the workplace, other
measures will need to be taken to protect people below the load to minimise the
consequences if it falls. This may be a combination of reliance on equipment, for example
by using lifting equipment with additional safety features (see ACOP sections on Regulation
6), ensuring a secondary means to contain the load should it begin to disintegrate or the
provision of some form of overhead protection.

221. Where these measures might not be fully effective then you need to provide a safe system of
work to exclude people from the danger zone. This may involve provision of barriers to
prevent people inadvertently walking below the load and/or warning signs advising people
of the danger.
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Operator protection
222. Where operators may be adversely affected by the environment, in which they are using the
lifting equipment, you should provide them with adequate protection.

223. When selecting lifting equipment you need to consider the environment in which it will be
used. In certain circumstances, particularly where the operator needs to be positioned at the
operating station for long periods, then some form of protection should to be provided.
Typically, this would be provided as a cab or cabin to protect the worker.

224. Situations where protection would be necessary include where the operator of the lifting
machinery is exposed to:
(a) extremes of temperature, for example in a steel foundry or cold store;
(b) the weather;
(c) air contaminants at high nuisance or discomfort levels, for example at a waste
disposal operation; or
(d) levels of noise that could damage their hearing, for example in a glass factory, saw
mill or in demolition work.

225. The exact nature of any operator protection will depend upon the nature of the hazards to
which the operator is exposed and the risks these hazards present. Any operator protection
will need to:
(a) give the operator adequate visibility of the task they have to perform;
(b) protect them from harmful substances;
(c) be ventilated and/or heated, as necessary; and
(d) be ergonomically suited to the operator.

Visibility
226. 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.

227. There are different types of auxiliary devices that can be used to indicate the position of the
load to the operator of the lifting equipment. These include closed circuit television systems
and visual markers (either on the lifting equipment or on the ground) indicating the position
of the load accurately. The type of device that you choose will depend on the lifting
equipment with which it will be used, where it will be used and the particular lifting
operation.

228. Where these auxiliary devices will be insufficient you will need a system of work, which
provides the operator with information on the position of the load. This will usually involve
the appointment of a responsible person to give clear instructions to the operator. This
responsible person may be referred to as a signaller or a banksman. The responsible person
needs to have a clear view of the path of the load. They should be in a safe position and be
in view or able to communicate effectively with the operator of the lifting equipment.
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229. If the operator of work equipment designed for lifting non-guided loads cannot observe the
full path of the load either directly or by means of auxiliary equipment providing the
necessary information, an appropriately trained person should be in communication with the
operator to guide him and organisational measures should be taken to prevent collisions of
the load which could endanger workers.

230. If the responsible person is unable to maintain a clear view of the path of the load then they
will need assistants. These assistants also need to be in a safe position and either be in view
of the responsible person or able to communicate effectively with them.

231. The lifting equipment operator, responsible person and, where applicable, any assistants to
the responsible person need to use the same reliable means of effective communication. This
could be by using hand signals, radios or telephones etc.

232. Where hand signals are used, every employer shall ensure that each of his employees
receives suitable and sufficient instruction and training in the meaning of safety signs and
the measures to be taken in connection with safety signs.

Attaching/detaching and securing loads

233. You should ensure that any lifting accessories used for securing the load are compatible with
the load, taking into account any attachment points on the load, the environmental
conditions in which the accessories will be used and their configuration of use.

234. You should ensure that appropriate measures are taken to prevent the load, or part of the
load disintegrating while being lifted.

235. Ropes, chains or slings should only be shortened in a safe manner.

236. You should ensure that the lifting operation is organised so that the lifting equipment is not
operated unless the person attaching or detaching the load has given their authorisation to do
so or it has been given by some other authorised person.

237. The term “load handler” is used to describe the person with responsibility for
attaching/detaching and securing the loads to the lifting equipment. This could be the
operator of the lifting equipment or a slinger who would normally attach loads to cranes.

238. The load handler should have the necessary competence to select suitable lifting accessories
(see Regulation 4). You need to ensure that they receive adequate information, instruction
and practical experience on the principles of selection, use, care and maintenance of lifting
accessories including any limitations on use. This may include, for example, the methods of
slinging loads, the methods for rating multi-legged slings, interpretation of markings on
lifting accessories and derating of lifting accessories for particular adverse conditions of use
such as when lifting in adverse weather conditions.

239. Lifting accessories should be selected as a function of the loads to be handled, gripping
points, attachment tackle and the atmospheric conditions having regard to the mode and
configuration of slinging. Work should be organised in such a way that when a worker is
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attaching or detaching a load by hand, it can be done safely, in particular through the worker
retaining direct or indirect control of the work equipment.

240. The lifting operation should not commence until the load handler has indicated that it is safe
to do so or some other person in control of the lifting operation has given the authority to do
so. The load handler should normally only obey the instructions of the identified person in
charge of the lifting operation. In either case, a system of work needs to be in place, which
ensures that the load handler is in a safe position before the lifting operation begins.

241. Where there is a risk of the load breaking up and this could result in injury to persons below
then it will be necessary to take additional measures to ensure that the load remains intact
and in a safe condition, Examples when this might be necessary include lifting pallets of
bricks which should be secured by metal strapping or plastic sheeting.

242. You may need to ensure that suitable precautions are taken, e.g. using packing material, to
prevent the load or lifting equipment from being damaged by sharp edges or due to the loads
shifting while they are lifted.

Environment
243. 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.

244. Various weather conditions could have an effect on the integrity of the equipment or expose
persons to danger which may mean that lifting operations have to be stopped, e.g. excessive
wind speed, poor visibility due to mist or fog, lightning, heavy rain, sea state etc. Other
factors may produce unsafe conditions after the particular weather condition has finished,
e.g. waterlogged and unstable ground following a period of heavy rain. You therefore need a
system of work in place, which sets out what measures or action needs to be taken for
particular weather conditions. Such systems of work need to recognise that additional
measures may be needed to reinforce the stability of the lifting equipment or to reduce the
safe working load so that the lifting operations can be continued safely.

245. You may need to have the lifting equipment thoroughly examined where the weather
conditions may have jeopardised the safety of the lifting equipment.

Location
246. Lifting equipment should only be used where there is sufficient headroom.

247. Open-air use of work equipment designed for lifting non-guided loads should be halted
when meteorological conditions deteriorate to the point of jeopardising the safe use of the
equipment and exposing workers to risks. Adequate protection measures, in particular, to
avoid work equipment turning over should be taken to avoid any risks to workers.
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248. You also need to ensure that you have adequate site access and egress for the lifting
equipment. You should also consider whether there will be sufficient space to safely
position and install the equipment, for example to put out any outriggers.

Overturning
249. Lifting equipment should not be used in a manner likely to cause it to overturn.

250. 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.

251. Lifting equipment should not be used to drag loads if such operations are liable to cause
damage or overload the lifting equipment.

252. Regulation 4 requires you not to use lifting equipment unless it is of adequate strength and
stability for the load. This means that you need to ensure that those people who use the
lifting equipment have sufficient knowledge to judge whether or not the equipment is likely
to be over-stressed or made unstable while they are using it. This could arise, for example:
(a) when turning a lift truck with a raised load;
(b) during excessive and uneven loading of a mast climbing work platform;
(c) when using a crane to lift an unknown (and excessive) load; and
(d) when using a mobile elevating work platform (MEWP) in excessively high winds or
in locations where traffic could collide with it.

253. You need to ensure that operators of lifting equipment know or can judge the weight of the
load they are required to lift. This does not mean that the operator needs to calculate the
exact weight of each and every load. For routine lifting operations the weight will usually be
known. In other instances it will be possible for the weight of the load to be estimated. Rules
of thumb often used are that an adult person weighs 80 kg and a 1 m³ of sand can weigh up
to 2 tonnes. There will, however, be some situations where you will need to make
calculations to find out the weight of the load if you are to avoid overloading the equipment.

254. As a general rule you should not use lifting equipment to drag loads as this may result in
uneven loading on the lifting equipment. In circumstances where lifting equipment is used to
drag loads there is a risk that the load could become snagged with an obstacle on the ground.
This could lead to the destabilising of the lifting equipment or it exceeding its safe working
load. If loads have to be dragged this needs to be done where there are no snagging hazards
and the load's movement can be closely observed or by limiting the pulling capacity of the
lifting equipment to safe limits through the use of appropriate devices such as pressure-
limiting valves on hydraulic equipment.

255. When using mobile work equipment for lifting non-guided loads, measures should be taken
to prevent the equipment from tilting, overturning or, if necessary, moving or slipping.
Checks should be made to ensure that these measures are executed properly.
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256. For lifting equipment which travels with the load raised you will need to consider the layout
and ground conditions of the workplace to ensure that the possibility of it overturning are
minimised.

Proximity hazards
257. You should take suitable measures to minimise the risks from lifting equipment due to its
proximity to other objects.

258. 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.

259. You need measures in place, which address the risks arising from proximity hazards. These
measures need to take into account the lifting equipment in use and the particular proximity
hazard.

260. Proximity hazards that you will need to consider include:

(i) coming into contact with overhead power lines;
(ii) coming into contact with other work equipment or structures;
(iii) trench work and excavations;
(iv) other lifting operations in the vicinity;
(v) low bridges;
(vi) speed retarders;
(vii) warehouse racking; and
(viii) underground services such as drains or sewers.

261. Some of these hazards are associated with fixed lifting equipment, others with mobile lifting
equipment and others with both kinds of equipment. The measures you need to take will
depend upon the particular kind of lifting equipment and hazards.

262. As a general rule, no lifting equipment should be brought closer than 15 m to overhead
power lines suspended from steel towers or 9 m to overhead lines supported on wooden
poles. In cases where closer approach is likely it may be necessary to have the lines made
dead or to erect barriers to prevent approach to them.

263. The best way to prevent items of mobile equipment from falling into excavations is to keep
them out of the area. Not only can they be inadvertently driven into the excavations but if
they drive too close they can cause the sides to collapse, tipping the equipment over. Where
necessary, use balks or barriers to separate mobile lilting equipment from excavated edges.
Balks or barriers need to be painted or marked to make sure that they are visible to drivers.
They should be positioned at a suitable distance, which reflects the weight of the lifting
equipment, likely loads, the space available for operations, the nature of the ground and the
depth of excavations etc.

264. Some of the proximity hazards may be addressed by having an appropriate traffic
management system in place, which identifies the hazards and keeps the lifting equipment
out of the danger zone.
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265. Collision of lifting equipment with other objects may lead to damage to the lifting
equipment or to the other object. Both have the potential to put people's safety at risk. In a
warehouse, for example, damaged racking may lead to its collapse. Where necessary,
barriers are required to prevent mobile lifting equipment contacting other work equipment or
structures which might then collapse.

Derating
266. 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.

267. Although a safe working load may be marked on a piece of lifting equipment, it may be
necessary to reduce this value to take into account where and how the equipment is being
used. This is often referred to as 'derating'. You therefore need to ensure that those involved
in lifting operations know when this may be necessary and that those undertaking the
derating have sufficient competence. Examples include:
(a) using a carpet boom on a fork-lift truck with a safe working load determined for
'normal' lift truck use;
(b) the way a sling is attached to a load, e.g. the angle of its legs;
(c) using a multi-leg sling with less than the full number of legs in use;
(d) lifting of people; and
(e) where the load is being lifted in adverse weather conditions.

Lifting of persons
268. 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.

269. 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. Where the
distances between the person being lifted and the person controlling the lifting operation are
short then verbal communication may be adequate. However, where the distances involved
mean that the people involved cannot hear each other then you will need to provide the
people being lifted with control of the lifting operation or some reliable means of
communication. This could be based on a system of hand signals but more usually a radio or
telephone would be used.

270. In the event of danger or in the event of failure of the lifting equipment, there must be
reliable means of rescue or evacuation.

271. Ideally you should provide lifting equipment designed specifically for the purpose to lift
people. If this is not possible then adequate precautions should be taken. The safe working
load for the equipment and accessories should be reduced (derated) by a suitable amount
(such as 50%) to provide an appropriate factor of safety. Your appropriately trained person
should be able to provide advice. The ACOP section on Regulation 5 above contains advice
on the precautions to take when using such lifting equipment as lift trucks, telescopic
handlers or cranes to lift people.
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Overload
272. A load greater than the SWL should not be lifted except where the competent person
requires it for the purposes of a test.

273. Where the SWL of a piece of lifting equipment is not known then you should ensure that
this equipment is not used until this value is determined. This may mean that you need to
contact the manufacturer or supplier or alternatively arrange for the equipment to be
thoroughly examined by a competent person.

274. There is no provision in the regulation for lifting beyond the SWL. The provision was not
included in view of the relative ease nowadays of obtaining lifting equipment, which is
suitable for any desired lift. Lifting loads in excess of the SWL is not good practice and
should be limited to only where it is required by a competent person for the purposes of a
test.

275. Where the weight of the load is not known and it is believed that it may be approaching the
maximum weight that the equipment can safely lift, then you should ensure that it is not
lifted until steps are taken to determine its weight. Only if the weight is equal to or less than
the SWL should it be lifted.

276. If for the purpose of a test, a competent person requires the lifting equipment to be loaded
beyond its SWL then this should only be done with certain precautions in place. These
include:
(a) ensuring that the area around the lifting equipment is cleared;
(b) making sure that only essential workers are retained to lift the load;
(c) completing the test as efficiently as possible; and
(d) ensuring that the test is carried out in an area where the consequences of failure are
minimised, e.g. make sure that mobile lifting equipment is positioned well away
from buildings.

Pre-use check
277. A pre-use check is an important element of a safe system of work for lifting. Employees
should have appropriate training, instructions and experience so that they are able to carry it
out effectively. Pre-use checks are one of the three “monitoring” controls in LOLER (the
others being in Regulation 9, i.e. inspections and thorough examinations), which together
present a hierarchy and (inversely) intensity of checking. They are particularly important for
lifting accessories (for which, normally, there is no inspection regime).

278. You should ensure that employees have appropriate training and instructions so that they are
able to ensure that the lifting equipment is safe to use. The user or operator are the best
placed to identify faults or damage to equipment.

279. The purpose of these pre-use checks is to identify faulty equipment. For example, pre-
checks are done on a container to ensure it is actually capable of containing the load safely
and will not disintegrate from the lifting equipment.
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280. The operators of the equipment should act as the first line of defence in identifying any
faults or damage. Such checks should be carried out before the lifting equipment is used by
an operator during each working day or at the beginning of each shift. The aim of such
checks is to pick up faults due to day-to-day wear and tear and malfunction of safety-related
equipment. If any defects are found the operator may need to report the defect or, if
competent to do so, take appropriate action to rectify it.

281. A trained operator or other person carrying out the checks should be able to identify damage
to lifting ropes and accessories, distortions to shackles and other obvious faults, which could
affect the safe operation of the lifting equipment or accessories.

Regulation 9 Thorough examination and inspection

Competent person
282. LOLER defines a competent person as a qualified engineer recognized by the Board of
Engineering, who has adequate knowledge of and experience in the construction,
maintenance, operation and repair of lifting equipment.

283. All employers should ensure that the competent person carrying out a thorough examination
has such appropriate practical and theoretical knowledge and experience of the lifting
equipment to be thoroughly examined as will enable him/her to detect defects or weaknesses
and to assess their importance in relation to the safety and continued use of the lifting
equipment.

284. The OSH Agency may provide general guidance but cannot provide specific advice on
exactly who is or is not “competent”.

285. It is the employer’s responsibility to conduct their appropriate due diligence tests and select
a competent person with the particular skills, qualifications, knowledge and understanding
of the work involved, the principles of risk assessment and relevant current laws,
regulations, standards and best practices.

286. It is essential that the competent person is sufficiently independent and impartial to allow
objective decisions to be made. This does not mean that competent persons must necessarily
be employed from an external company. If employers and others within their own
organisations have the necessary competence then they can use it. However, if they do, they
must ensure that their “in-house” competent persons/examiners have the necessary degree of
impartiality, genuine authority and independence to ensure that examinations are properly
carried out and that the necessary recommendations arising from them are made without fear
or favour. This should be made very clear to any company, which wishes to use its own staff
as a competent person.

287. The competent person drawing up an examination scheme and the one carrying out the
examination may be different persons. In both cases, they may need to draw on others for
advice on specific issues, such as testing (proof, non-destructive testing, etc.) as part of the
examination regime.
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Regulation 9(1)
288. All lifting equipment and lifting accessories are to be thoroughly examined by a competent
person in accordance with an examination scheme. Thus, you should identify all lifting
accessories and equipment which would fall under LOLER and which would require a
thorough examination.

289. The extent of the thorough examination will depend on an assessment of the risks based on
the type of lifting accessory or equipment, where it is installed and how it is to be used. The
competent person will determine the level of thorough examination required based on an
assessment of the risks. For certain types of thorough examination, access to inner workings
of the equipment may be required.

290. The competent person may determine that a thorough examination will not be necessary for
a lifting accessory or equipment which presents only a low risk in the event of its failure.
For example, the requirement relating to conditions causing deterioration [Regulation 9(4)]
applies where a “dangerous situation” is more than the low “everyday” risks, which are
commonly experienced. However, where a failure could foreseeably result in a major injury
or worse those lifting accessories or equipment would definitely require a through
examination.

291. Competent persons would include in the thorough examination of an FLT, for example, the
counterbalance weights, the integrity of which needs to be maintained to ensure safety in
lifting operations, the chains, forks, hoist mechanism, i.e. mast and cylinders and any
associated fork attachments. Other items may be included in the thorough examination as a
result of risk assessment by the competent person or the equipment owner.

292. Thorough examination may be needed at several points. For instance:

(i) when a lifting accessory or equipment is used for the first time by that employer it
must be thoroughly examined unless that employer has received physical evidence
that a thorough examination has been carried out which shows that it is safe to use.

(ii) when lifting equipment is being used for the first time and its safety depends on the
installation conditions, it must be thoroughly examined after installation and before it
is put into service for the first time to ensure that it is installed correctly and it is safe
to operate.

(iii) when the lifting equipment has been moved to a new site or location, it needs to be
thoroughly examined before it is used to ensure that it is assembled properly and it is
safe to operate. For example, if a tower crane, is moved to a new site it should be
thoroughly examined again at the new site after it has been installed but before it is
put into service.

(iv) lifting equipment must be thoroughly examined periodically during its lifetime so
that deterioration can be detected in sufficient time to allow remedial action to be
taken. Deterioration can occur more quickly in certain conditions such as wet,
abrasive or corrosive environments and equipment in these conditions may need to
be thoroughly examined more frequently.
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(v) Lifting equipment must be thoroughly examined after any of the following
exceptional circumstances as it may affect the safe operation of the lifting
equipment:
(a) its involvement in an accident or dangerous occurrence;
(b) after substantial or significant modification or repair;
(c) after a significant change in conditions of use; and
(d) after long periods out of use.

Testing
293. 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.

294. The design of certain lifting equipment is such that damage may be caused by conventional
overload tests. It is important therefore that the competent person carrying out the thorough
examination or testing takes account of the instructions and other relevant information
provided by the manufacturer.

295. Because proof testing can cause damage to machinery (which, increasingly, is built to fine
tolerances), the decision to test is one which may need to be made by someone with
substantial expertise and who is suitably informed by advice from the manufacturer.

Regulation 9(2) – Initial Thorough Examination

296. Lifting accessories or equipment do not require a thorough examination before being put
into service for the first time only if the accessory or equipment has an unexpired (current)
thorough examination report certifying it is fit for use. However, if equipment has to be
“installed” then the requirements of regulation 9(3)(a) need to be considered.

297. The expression “put into service” means when the lifting equipment is put into normal use
for the first time. Any “trying out” of the equipment or components is part of the installation
examination and should be carried out by the competent person examining the equipment
before it is handed over to production personnel for in service operation.

298. Although a person using hired lifting equipment, e.g. a crane, always has a duty to comply
with the requirements for thorough examination, it is usually the case that such examinations
are, in fact, carried out by, or on behalf of, the plant hire firm. The responsibility in law,
however, rests upon the user and they should, therefore, always satisfy themselves at the
outset that there is a current report of thorough examination. The requirement for lifting
equipment obtained from the undertaking of another person to be accompanied by “physical
evidence” (before it is first put into service) complements the requirement in regulation 9
(5).

Regulation 9(3) - Installation and Reconfiguration

299. Installation is not defined but is considered to apply to lifting equipment which are erected
or which require a considerable degree of assembly at the location before it is ready for use,
such as tower cranes, construction site hoists or gantry cranes, i.e. lifting equipment which is
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intended to be there for a period of time and is normally fixed in position. It would not apply
to mobile lifting equipment which could move from one location to another to carry out a
lifting operation within the scope of the current report of thorough examination.

300. The safety of lifting equipment often depends on the way it is assembled, positioned or
secured before use, e.g. rope access equipment. This is not “installation” as covered by this
regulation.

301. You should ensure that where lifting equipment is being used for the first time and its safety
depends on the installation conditions, it is thoroughly examined after installation and before
it is put into service for the first time to ensure that it is installed correctly and it is safe to
operate.

302. You should ensure that where lifting equipment is installed in a new location or
reconfigured it is thoroughly examined by a competent person to ensure that it has the
adequate strength and stability for its intended use.

303. The complexity of the installation requirements will largely determine the extent and depth
of the thorough examination required and should be based on the results of a risk
assessment.

304. If the configuration of the lifting equipment is changed while it is still at its new location,
e.g. a tower crane being increased in height, the equipment may need to be thoroughly
examined further before it is put back into use. This will be decided by the competent person
based on an assessment of the risks. Such thorough examinations will not be required if the
existing report of thorough examination for the lifting equipment covers the new
configuration.

305. In regulation 9 (3) (b) the words “after assembly and before being put into service at a new
site or in a new location” refer to reinstallation, e.g. when a tower crane is repositioned. On
each such occasion the thorough examination should be repeated to ensure the equipment
has been installed correctly and is safe to operate. For example, stability may have been
affected either during erection or after removal or adjustment (which could involve changes
in the counter-weighting, anchoring or other supports).

306. Certain cranes are manufactured and supplied with mast and jib sections, or jibs which
provide variations in height of lift and radii. Variations made to the crane in the course of its
use by the addition or removal of such mast sections should not be regarded as substantial
alteration requiring a further thorough examination, provided that the thorough examination
for which a report is available included those rated variations in radii and lifts. A thorough
examination should only be required where the additions and alterations to the structure are
not provided for in the original design of the crane or have not been covered by the existing
report of thorough examination. It is sometimes necessary to interchange parts of cranes.
This should not be regarded as a substantial alteration or repair provided that the
replacement attachment is covered by the current thorough examination of the complete
machine.
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307. In some cases modification to, or repair of, lifting equipment is so substantial or significant
that it effectively creates a new item of equipment. In such cases a thorough examination
should be required after the modification or repair. See regulation 9 (4) (b) “exceptional
circumstances”.

Regulation 9 (4) (a) - In service Thorough Examinations

308. You should make necessary arrangements for a competent person to thoroughly examine the
lifting equipment and to provide expert guidance to the extent of the examination needed.
The competent person has to make a professional judgment about the level and extent of
examination on a particular installation, including what tests, if any, are necessary. For
example, if a chain block is suspended from a roof beam, or other part of a structure, they
should decide the part played by the beam and building structure in ensuring safety and
examine it as necessary. If appropriate they should seek assistance from someone with the
necessary competence for that part of the task.

309. You have a choice. You can follow a specified period approach to the thorough examination
of lifting equipment (i.e. make arrangements to have the equipment examined at the
intervals specified in this regulation unless the competent person specifies shorter periods
based on how and where the equipment is being used). Alternatively, you can have an
examination scheme drawn up for the lifting equipment in use and have it thoroughly
examined in accordance with this scheme. Certain pieces of equipment can be subject to
periodic thorough examination while others, or groups of others, may be subject to an
examination scheme approach.

310. If you, as the user or owner of the equipment, are unable to produce a written examination
scheme when requested by an Inspector from the OSH Agency it will be assumed that you
are following the specified period approach as laid down by these Regulations and that the
equipment is being thoroughly examined at those prescribed intervals. You should then
ensure that you can produce a current examination report when requested by an enforcing
officer.

311. Even when an employer is using the fixed periods between thorough examination contained
in regulation 9 (4) (a) (i) and (ii), the competent person should still confirm that those
periods are appropriate by considering the use of the equipment, e.g. the number of hours it
works and the conditions in which it is used.

312. Lifting equipment used in arduous conditions is likely to require a thorough examination
more frequently than the maximum periods stated in regulation 9 (4) (a) (i) and (ii). The
words “at least” in those regulations give the competent person the facility to recommend
shorter periods. Alternatively, they may prefer to recommend the adoption of a scheme of
examination which formalises this need. For equipment used in much less arduous
conditions, employers can also make use of the flexibility which a scheme of examination
allows in extending the “traditional” periods of examination given in the regulation.

313. The 6-monthly period between thorough examinations specified in regulation 9 (4) (a) (i)
applies to all lifting accessories, whether or not they are used for lifting persons. The
regulation also applies to all other lifting equipment used for lifting persons. Such
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machinery, e.g. a crane or FLT, even if intended to be used only occasionally for lifting
persons, should be examined in accordance with regulation 9 (4) (a) (i) unless the employer
arranges to have the equipment examined in accordance with a scheme of examination.

314. The competent person should thoroughly examine those items and parts of the lifting
equipment specified in the examination scheme or those items and parts of the lifting
equipment which could through deterioration lead to dangerous situations.

315. Lifting equipment deteriorates through normal wear and tear when used within its design
limits and in the ways specified by the manufacturer/supplier. Unacceptable deterioration
occurs when the equipment has deteriorated to the extent that safety is compromised or
could be compromised before the next thorough examination takes place.

316. Exceptional circumstances can affect the safe use of the equipment by causing damage or
premature deterioration. For example, exceptionally high winds may cause overload, failed
safe load indicators may allow overload to go undetected and environmental influences may
cause equipment to deteriorate when equipment is not in use.

Examination Scheme
317. The examination scheme is to be drawn up by a competent person and should specify the
intervals at which the lifting equipment (or individual parts thereof) should be thoroughly
examined and, where appropriate, identify the specific parts that may need to be tested.

318. Any examination scheme for lifting equipment should take account of:
(a) its condition;
(b) the environment in which it is to be used; and
(c) the number of lifting operations and the loads lifted.

319. The examination scheme must be preserved in the form of a document. It should be capable
of being reproduced as a written copy when required. It should be secure from loss or
unauthorised modification and it should be authenticated by the competent person preparing
the scheme.

320. You should inform the competent person of any changes in use of the lifting equipment
which may affect the examination scheme either:
(a) where these changes have occurred since the last thorough examination was carried
out; or
(b) are expected to occur before the next thorough examination is due.

321. The competent person should decide what changes may need to be made to the examination
scheme.

322. Different items or parts of the lifting equipment may be thoroughly examined at different
intervals, taking into account the degree of risk associated with each item or part.
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323. You will need to identify all equipment to which LOLER applies and will need the
assistance of a competent person to devise an examination scheme in terms of scope and
frequency of examination for each item of equipment.

324. The examination scheme could refer to one particular piece of lifting equipment or
alternatively it could apply to many similar items of equipment. For example, all the lifting
accessories in a factory may be sufficiently similar in age and subjected to similar amounts
of use to enable them to be thoroughly examined at the same frequency. This decision would
need to made by the competent person drawing up the examination scheme.

325. The competent person who draws up the examination scheme for a duty holder could also
carry out the thorough examinations of the lifting equipment. However, the thorough
examinations could be carried out by another person or persons provided that they are
suitably knowledgeable and trained for the purpose.

326. The competent person will need to review periodically the time between thorough
examinations taking into account the information provided by the employer (e.g. significant
changes in the environment or type of lifting operation performed) as well as information
arising from the results of the thorough examinations. Periods may need to be shortened in
some circumstances.

327. In certain circumstances the competent person may decide to extend the periods between
thorough examination that are specified in the examination scheme. This could happen
where a history of thorough examinations at the original frequency specified in the scheme
have revealed that defects or potential problems are highly unlikely to occur. Provided that
the equipment continues to be used in the same way, the low level of risk may justify a
longer period between thorough examinations. The examination scheme then needs to be
revised accordingly.

Regulation 9 (4) (b) Exceptional Circumstances

328. The employer should advise the competent person of exceptional circumstances which are
liable to jeopardise the safety of the lifting equipment so that the competent person can
thoroughly examine the equipment to assess the condition of the equipment. Some of these
exceptional circumstances may be:
(a) the lifting equipment’s involvement in an accident or dangerous occurrence;
(b) incidents or use of the lifting equipment which may have affected the integrity of the
equipment e.g. using equipment in demanding conditions, such as a crane used for
piling or demolition work;
(c) after substantial or significant modification or repair;
(d) after a significant change in conditions of use; and
(e) after long periods out of use.

Regulation 9 (4) (c) Inspections

329. An “inspection” is something more than an operator check under LOLER regulation 8. Note
that a record should be made of the inspection [See Regulation 10 (2)].
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330. You should carry out an inspection of lifting equipment where your risk assessment has
identified risks to the operator or other workers which would be addressed by regularly
inspecting it.

331. In general, if lifting equipment receives a thorough examination it is presumed to present a

significant risk and it should therefore, also be inspected as necessary at intervals between
thorough examinations. An inspection is not required if it will not help identify defects or
minimise risks.

332. 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.

333. 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.

334. You should arrange for suitable inspections to be carried out where the lifting equipment is
of a type where its safe operation is dependent on its condition in use and deterioration
would lead to significant risks to the operator or other persons. In determining the suitability
and scope of the inspection you should refer to available information such as the
manufacturer's instructions. Examples of conditions which can be detected by inspection of
the lifting equipment include:
(a) rapid wear arising from use in an arduous environment, e.g. construction;
(b) failure through repeated operation, e.g. of a hoist interlock;
(c) malfunction, e.g. of a rated capacity indicator; and
(d) tampering with safety devices, e.g. defeating an interlock.

335. Potential faults in many items are often easy to detect by inspection, particularly where there
are defects which can commonly occur during use of the equipment. An operator will often
be able to identify faults and these should be reported so that repairs can be carried out.

336. Weekly inspections of lifting machinery will depend on the equipment and where and how it
is used but could include, for a crane as an example the correct operation of limiters and
indicators, checking tyre pressures (if mobile equipment), checking that no components are
missing, e.g. bolts, and that the controls work properly. Other examples of lifting machinery
which may require regular inspection are forklift trucks, hoists and automated stacking
equipment. Lifting accessories such as chains or slings will not normally require an
inspection as long as they receive a thorough examination at the appropriate interval and a
proper pre-use check.

337. Inspections would normally be carried out by a competent person and include visual and
functional checks, for example that the alarm operates correctly on a crane overload device.
They may be weekly or less frequent (monthly, quarterly) and will normally be carried out
on machinery, e.g. a crane, rather than accessories (it is considered that detachable chains
and slings, etc. should receive a pre-use check by the operator, rather than periodic
inspections).
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338. Inspections are, for most lifting equipment, a key part of ensuring lifting safety and there
should be a very good reason if they are not carried out. However, regulation 9 (4) (c) refers
to inspections being carried out between thorough examinations.

339. Variations made to lifting machinery in the course of its use, e.g. by the addition, removal or
repair of mast sections of a crane, do not normally require a further thorough examination
under regulation 9 (3). However, in these circumstances an inspection by an appropriate
competent person should normally be carried out. Matters which should be checked after the
height of a tower crane has been altered, for example, include the condition of the tower or
mast extension, the condition of any extra rope brought into use, and the calibration and
operation of the safety devices.

340. The person carrying out an inspection must be competent to do so, i.e. they should be able to
detect and appreciate the significance of defects and be able to draw attention to them.

Regulation 9 (5)
341. Anyone using lifting equipment should be able to ascertain that it has been thoroughly
examined and is fit for use. Thus it is important that when used outside its normal place of
work the equipment is accompanied by appropriate evidence that this thorough examination
has been carried out.

342. An “undertaking” is the employer's business. If you transfer lifting equipment, either
temporarily or permanently to another employer, you should ensure adequate evidence is
transferred with it that the last thorough examination has been carried out. This would
normally be a paper copy of the last examination report but may be, if it is more convenient,
a copy of the report on computer disk or other electronic format.

343. If you receive lifting equipment from another organisation you should obtain evidence of the
last thorough examination carried out. Such evidence is not required by these regulations if
you transfer equipment between different parts of your business, e.g. from site A to site B
provided that the evidence is held centrally and available on request.

344. If you take your lifting equipment with you for use in another person's business, e.g. if you
are a contractor carrying a sling or chain in your van, then you should have available with
you evidence that it has been thoroughly examined as required by LOLER.

345. The information accompanying the equipment needs to include:

(a) the name and address of the duty holder for whom the thorough examination was
made;
(b) the name and address of the competent person who conducted the last thorough
examination;
(c) the address of the premises at which the thorough examination was made;
(d) sufficient information to identify the equipment;
(e) the date of the last thorough examination;
(f) the date when the next thorough examination is due; and
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(g) the safe working load of the equipment or (where its safe working load depends on
the configuration of the equipment) its safe working load for each configuration of
equipment.

Regulation 10 Reports and defects

346. In normal circumstances, the competent person should complete the thorough examination
report and forward it within 14 calendar days from the date of the thorough examination.
The words “as soon as practicable” are intended to ensure that there is no unnecessary delay
between the thorough examination being carried out and the receipt by the employer of the
thorough examination report. It would not be reasonable to expect all reports to be
completed within the same time period, this depends on the complexity of the lifting
equipment being thoroughly examined.

347. The report should contain the information detailed in Schedule 1 of LOLER and can be
provided in writing, electronically or on computer disk but it must be in a form which is
usable to the employer in fulfilling his or her duties to act on the information it contains.

348. Where the competent person identifies defects which need to be made good within a
specified timescale, they must notify the employer forthwith of these defects.

349. The word “forthwith” is intended to ensure that the competent person notifies the employer
and/or the person in control of the lifting operation immediately where there are serious and
significant defects, which the competent person considers, or could soon become, dangerous
to any person operating the equipment or working in the vicinity of it. This is so that
appropriate action can be taken to repair or replace the equipment or otherwise ensure that
potentially dangerous equipment is withdrawn from use as soon as possible.

350. In certain situations the competent person is required to send a report of the examination
immediately to the OSH Agency. This applies where there is in his or her opinion a defect in
the lifting equipment involving an existing or imminent risk of serious personal injury. This
requirement is limited to those cases where there would be a risk of serious personal injury
arising from failure of the equipment should anyone attempt to use it. Furthermore, such a
failure is likely to be imminent, meaning that it may happen at any moment within a
reasonably short time of the equipment being used again. An example of such a defect
would be a structurally damaged jib on a crane. The purpose of the words “existing or
imminent risk of serious personal injury” in regulation 10 (1) (c) is to restrict notifications to
those defects which are of immediate significance in terms of the continuing safe use of the
equipment.

351. The competent person should report a defect of this sort by sending a copy of the report
immediately to the Chief Inspector of the OSH Agency. Such reports would normally be
restricted to the actual lifting machine. However, a severely damaged chain which is close to
failure and is still being used should also be reported. Lesser defects in lifting accessories
should be reported to the employer controlling their use.
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352. Defects which are commonly noted as being potentially hazardous include cracks and
permanent deformation, corrosion of vital pans, excessive wear or failure of moving parts
(e.g. interlocks) and significant misalignment. Example of defects which should be
identified in common items of lifting accessories include:
(a) textile slings - damaged, cut, abraded or stretched;
(b) chains - deformed or stretched links, cracks; and
(c) wire ropes - broken wires, kinks.

353. The competent person should make a report of the state of the equipment at the time of the
thorough examination. Defects should be notified even if there is no intention to use the
equipment again (such as when it is immediately scrapped) or not immediately to do so (e.g.
equipment taken out of use until repairs can be carried out). The duty applies even where
repairs are carried out immediately. In all cases the competent person should make a report
on the condition of the equipment which necessitates the repairs.

354. Competent persons’ reports are a vital diagnostic aid to the safe management of lifting
equipment. Defects which are habitually not detected or rectified until the competent
person’s thorough examination are indicative of inadequacies in management systems. A
competent person who fails to report a defect, simply because it has been remedied on the
spot, is disguising a potentially dangerous situation.

355. The competent person also has to confirm in the report that the equipment “would be safe to
operate”. They have to decide what tests, if any, are necessary to establish such safe
condition, and whether they are essential to the examination. Where any tests which are
desirable, but not essential, cannot be carried out the report may need to be qualified to
reflect any consequent uncertainty. If the competent person is able to complete the
examination but concludes that the equipment is not safe to operate, e.g. because of
defective interlocks, the report should be issued stating this conclusion.

356. If the owner of lifting equipment refuses to allow the whole or part of an examination, the
competent person has to decide whether the refused items are essential to the examination. It
would be a fundamental failing, for example, if a competent person were denied the
opportunity to satisfy themselves of the equipment’s SWL. If the items to which access
cannot be gained are essential to the thorough examination, the competent person will be
unable to complete the examination and should not issue a report.

357. If a competent person is prevented from carrying out certain tests they may be unable to
identify potentially dangerous defects covered by regulation 10 (1) (c). In such cases there is
no requirement to notify the enforcing authority. The competent person may want to draw
the owner’s attention to the implications of not being able to issue a report and the
consequences of using possibly unsafe equipment. They also have the option of voluntarily
and in confidence notifying the enforcing authority where they have serious concern, e.g.
sending a copy of any interim document.

358. After completing the thorough examination the competent person should formally report his
findings in writing as soon as is practicable to the employer controlling the use of the
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equipment and also, where appropriate, the person from whom the equipment has been hired
or leased.

359. It is helpful to the employer if the competent person clearly differentiates the report
containing the statutory information from any other document they issue, e.g. to confirm that
contracted work has been carried out. This may be particularly important if the report of
thorough examination cannot be issued or is qualified. In order not to mislead the employer,
competent persons should be advised to produce any document regarding a partial or
incomplete examination in a format that cannot be confused with a completed report
containing the statutory information.

360. All inspections should also be recorded. A simple tick box form is acceptable, as is a record
form. There is no obligation under LOLER for the employer to rectify any defect before the
lifting equipment is used again, merely because it has been reported under regulation 10 (2)
following an inspection. The duty of the person making a regulation 10 (2) report is limited
to notifying the employer who then has the opportunity to decide if action is needed, e.g.
whether continuing use of unsuitable equipment would be in breach of LOLER. Note there
is a difference in terminology between regulation 10 (1) which refers to reports of thorough
examination and regulation 10 (2) which refers to records of inspection.

Regulation 11 Keeping of information

361. Reports of thorough examinations should be readily available to inspectors from the OSH
Agency should they request to see them. The requirement to keep the “initial” report and
“installation” reports is of most relevance to equipment and accessories.

362. This information may be kept in hard copy form, stored electronically or on computer disk.
If a computer system is used to keep this information then it needs to be protected from
unauthorised alteration. The system should be able to provide a written copy when
necessary.

363. The information, or copies, should normally be stored at the premises where the lifting
equipment is being used. However, in circumstances where this is not possible, due to space
constraints or for security reasons, then it can be stored elsewhere provided that it is readily
accessible.

364. Reports and records may be kept for longer periods if the information they contain assists in
identifying repeated defects or indicating trends, e.g. of wear or damage. Periodic review of
this information should be part of the management arrangements for controlling the lifting
equipment.

Regulation 12 Operators of Lifting Equipment

Regulation 13 Modification of Lifting Equipment

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APPENDIX 1

NON-EXHAUSTIVE EXAMPLES OF
EQUIPMENT AND OPERATIONS
COVERED BY LOLER
Regulation 2 (1) defines “lifting equipment” as “work equipment (any machinery, appliance,
apparatus, tool or installation for use in an industrial establishment) for lifting or lowering loads
and includes its attachments used for anchoring, fixing or supporting it.”

The following is a non-exhaustive list of examples of the types of equipment and operations
covered by LOLER:

• all types of cranes including but not limited to mobile, pedestal, tower, gantry, barge,
overhead, vacuum lifting, a loader crane, knuckle-boom or articulating crane;

• cranes mounted on trucks, hiabs, lift trucks, dump trucks, tipper trucks, the mechanism on
the rear of a refuse collection vehicle for raising the bins to empty the rubbish into the
compactor;

• mobile elevating work platforms, lift tables, lift platforms, man lifts, bucket hoists, fire truck
ladder hoist, cherry-picker, a scissors lift, boom lifts, air cargo elevating transfer machine
(irrespective if manual/electric/hydraulic/vacuum);

• marine lifting equipment, derricks, sheers, gyn, gin wheels;

• excavators, backhoes, a front-end loader on a tractor used for raising and lowering loads,
front end loaders, overloaders;

• forklifts, high/low, stacker-truck, side-loader, goods lifts;

• Block and lifting tackle, pulleys, hoist, winch, bar or chain hoist
(manual/electric/hydraulic/vacuum), construction site hoists, chain slings

• trolley lifts, garbage boxes, off-shore boxes, carriers, skyscraper’s window cleaning lifts,
turntable ladders;

• a hoist used to lift a resident/patient e.g. from beds and baths in a nursing home/hospital;

• a passenger lift/elevator in an industrial establishment for example an office building, hotel,

restaurant or a shopping centre/mall;

• escalators in an industrial establishment;

• certain amusement park rides e.g. ferris wheel, roller coaster;

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• a rope and pulley used to raise a bucket of cement on an industrial establishment (e.g. a
construction site), ropes used for climbing or work positioning during arboriculture,
climbing telecommunication towers to work on overhead lines and structural examination of
a rock face or external structure of a building;

• a dumb waiter in an industrial establishment particularly a restaurant or hotel;

• a paper roll hoist on a printing machine;

• an automated storage and retrieval system;

• vehicle recovery equipment for example a wrecker, vehicle tail lifts;

• vehicle jacks and vehicle inspection hoists in an industrial establishment (e.g. in gas stations,
vehicle service centres, garages);

• all lifting machines, which itself form part of an installation, that is, a complex assembly of
plant. For example, a pallet raising machine located within a brick making plant;

• equipment which is fitted permanently or for extended periods is to be considered to be part

of the lifting machinery for example, hook, grab, bucket, electromagnets on a crane hoist
rope or a drum clamp, jib on a fork lift truck (FLT) or permanently fixed suspension chains
and similar lifting tackle for example attached to the hydraulic lifting arms of a skip
recovery lorry.
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APPENDIX 2

NON-EXHAUSTIVE EXAMPLES OF
EQUIPMENT AND OPERATIONS
NOT COVERED BY LOLER
The following is a non-exhaustive list of examples of equipment and operations, which are NOT
covered by LOLER:

• a passenger lift/elevator in premises occupied for residential purposes for example in an

apartment or condominium complex or a block of flats;

• movators;

• machinery whose primary function is not that of raising or lowering but includes some
integral part performing a lifting function. For example, equipment which should not be
regarded as lifting equipment are chains, ropes, lifting tackle, counterbalance furnace doors,
dock gates, the boom of a mobile concreting pump or a tipper lorry which raises its body to
discharge the load, a three-point linkage on a tractor, which raises a tractor attachment, such
as a plough, in order to clear the ground;

• machinery which lifts itself for example roller shutter doors;

• work equipment whose primary function is height adjustment for example, raising someone
in a barber’s chair and equipment supporting an elevated platform such as a hydraulically
raised walkway connecting an airport terminal to an aircraft;

• continuous operations such as conveyance by means of pipelines, belts, pocket conveyors,

transporters and runways used for the conveyance of goods on an overhead track, the load
being suspended from a carriage running on the track. In respect of the latter the load may
be moved along the track under power or by hand. Where the load maintains a constant
distance from the track and no lifting takes place, such installations should be regarded as
conveyors and outside the scope of LOLER, notwithstanding that the load may travel from
one level to another, over slight elevations or obstructions, or in and out of tanks;

• winching equipment if the resultant movement is primarily horizontal;

• unassisted manual movement of loads, such as a person carrying a parcel or a person/nurse

lifting a patient in a hospital, does not involve work equipment and is thus not covered by
LOLER.

In cases where LOLER does not apply (like the above examples), it is likely that the OSH Act or
other Regulations will be applicable and will require similar levels of precautions.